RP-14-0007_Amendment_1_Conformed.pdf

RFQ IFB RFP

ECONOMICALLY DISADVANTAGED

WOMEN-OWNED SMALL BUSINESS

(EDWOSB)

WOMEN-OWNED SMALL

BUSINESS (WOSB)

SOLICITATION/CONTRACT/ORDER FOR COMMERCIAL ITEMS

OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, & 30

1. REQUISITION NUMBER PAGE OF

2. CONTRACT NO. 3. AWARD/EFFECTIVE

DATE

4. ORDER NUMBER 5. SOLICITATION NUMBER 6. SOLICITATION ISSUE

DATE

7. FOR SOLICITATION

INFORMATION CALL:

a. NAME b. TELEPHONE NUMBER (No collect calls)

8. OFFER DUE DATE/

LOCAL TIME

9. ISSUED BY

13b. RATING

14. METHOD OF SOLICITATION

CODE

15. DELIVER TO 16. ADMINISTERED BY CODE

18a. PAYMENT WILL BE MADE BY CODEFACILITY

CODE

CODE

TELEPHONE NO.

17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN

OFFER

18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a UNLESS BLOCK

BELOW IS CHECKED

SEE ADDENDUM

19.

ITEM NO.

20.

SCHEDULE OF SUPPLIES/SERVICES

21.

QUANTITY

22.

UNIT

23.

UNIT PRICE

24.

AMOUNT

(Use Reverse and/or Attach Additional Sheets as Necessary)

25. ACCOUNTING AND APPROPRIATION DATA 26. TOTAL AWARD AMOUNT (For Govt. Use Only)

28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN

DELIVER ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED ABOVE AND ON ANY

ADDITIONAL SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED

29. AWARD OF CONTRACT: REF.

DATED . YOUR OFFER ON SOLICITATION

(BLOCK 5), INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE

SET FORTH HEREIN, IS ACCEPTED AS TO ITEMS:

30a. SIGNATURE OF OFFEROR/CONTRACTOR

30b. NAME AND TITLE OF SIGNER (Type or print) 30c. DATE SIGNED

31a. UNITED STATES OF AMERICA (SIGNATURE OF CONTRACTING OFFICER)

31b. NAME OF CONTRACTING OFFICER (Type or print) 31c. DATE SIGNED

AUTHORIZED FOR LOCAL REPRODUCTION

PREVIOUS EDITION IS NOT USABLE

STANDARD FORM 1449 (REV. 3/2011)

Prescribed by GSA - FAR (48 CFR) 53.212

COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND

OFFER

13a. THIS CONTRACT IS A

RATED ORDER UNDER

DPAS (15 CFR 700)

11. DELIVERY FOR FOB DESTINA-

TION UNLESS BLOCK IS

MARKED

SEE SCHEDULE

12. DISCOUNT TERMS

ARE ARE NOT ATTACHED

ARE ARE NOT ATTACHED

27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1, 52.212-4. FAR 52.212-3 AND 52.212-5 ARE ATTACHED. ADDENDA

27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED. ADDENDA

17a CONTRACTOR/

OFFEROR.

CODE

8 (A)

SIZE STANDARD:

NAICS:

% FOR:SET ASIDE:UNRESTRICTED OR

SERVICE-DISABLED

VETERAN-OWNED

SMALL BUSINESS

HUBZONE SMALL

BUSINESS

SMALL BUSINESS

10. THIS ACQUISITION IS

STANDARD FORM 1449 (REV. 3/2011) BACK

19.

ITEM NO.

20.

SCHEDULE OF SUPPLIES/SERVICES

21.

QUANTITY

22.

UNIT

23.

UNIT PRICE

24.

AMOUNT

32a. QUANTITY IN COLUMN 21 HAS BEEN

RECEIVED INSPECTED ACCEPTED, AND CONFORMS TO THE CONTRACT, EXCEPT AS NOTED:

41a. I CERTIFY THIS ACCOUNT IS CORRECT AND PROPER FOR PAYMENT

32b. SIGNATURE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32c. DATE

41b. SIGNATURE AND TITLE OF CERTIFYING OFFICER 41c. DATE

42a. RECEIVED BY (Print)

42b. RECEIVED AT (Location)

42c. DATE REC'D (YY/MM/DD) 42d. TOTAL CONTAINERS

40. PAID BY

32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT

REPRESENTATIVE

32e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT REPRESENTATIVE 32f. TELPHONE NUMBER OF AUTHORZED GOVERNMENT REPRESENTATIVE

32g. E-MAIL OF AUTHORIZED GOVERNMENT REPRESENTATIVE

33. SHIP NUMBER 34. VOUCHER NUMBER 35. AMOUNT VERIFIED

CORRECT FOR

PARTIAL FINAL

37. CHECK NUMBER

38. S/R ACCOUNT NO. 39. S/R VOUCHER NUMBER

36. PAYMENT

COMPLETE PARTIAL FINAL

SCHEDULE Continued

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

PAGE 3 OF 137 PBGC01-RP-14-0007

0001 Reference the pricing schedule in Section B of this solicitation.

Period of Performance: 08/01/2014 to 07/31/2015

12.00 MO

Table of Contents

PAGE 4 OF 137 PBGC01-RP-14-0007

SECTION B SUPPLIES OR SERVICES AND PRICES/COSTS

B. 1 Pricing Schedule

SECTION C DESCRIPTION/SPECIFICATIONS/WORK STATEMENT

C. 1 Statement of Work

SECTION D PACKAGING AND MARKING

D. 1 PBGC-11 004 PACKAGING AND MARKING (JAN 2012)

SECTION F DELIVERIES OR PERFORMANCE

F. 1 52.242-15 STOP-WORK ORDER (AUG 1989)

F. 2 Period of Performance

SECTION G CONTRACT ADMINISTRATION DATA

G. 1 PBGC-32-004 SUBMISSION OF INVOICES (JAN 2012)

G. 2 PBGC-42-001 CONTRACTING OFFICER'S REPRESENTATIVE (JAN 2012)

G. 3 PBGC-42-002 OBSERVANCE OF LEGAL HOLIDAYS (JAN 2012)

G. 4 Contract Administration

SECTION H SPECIAL CONTRACT REQUIREMENTS

H. 1 PBGC-00-001 PROFESSIONAL ATTIRE (OCT 2005)

H. 2 PBGC-03-001 CONFIDENTIALITY OF INFORMATION (OCT 2004)

H. 3 PBGC-03-002 ORGANIZATIONAL CONFLICTS OF INTEREST (OCT 2004)

H. 4 PBGC-03-003 SUITABILITY DETERMINATION REQUIREMENTS (JAN 2012)

H. 5 PBGC-03-004 DISPLAY OF PBGC IDENTIFICATION BADGES (FEB 2013)

H. 6 PBGC-04-004 PBGC INFORMATION SECURITY (FEB 2011)

H. 7 PBGC-04-007 MANAGEMENT AND RETENTION OF PBGC RECORDS (JUN 2013)

H. 8 PBGC-09-001 RESTRICTIONS AGAINST DISCLOSURE OF INFORMATION (JAN 2012)

H. 9 PBGC-15-007 EXPENSES RELATED TO PROPOSAL SUBMISSION (OCT 2004)

H. 10 PBGC-15 011 REFERENCE AND EVALUATION (OCT 2004)

H. 11 PBGC-16 003 CEILING PRICE (FEB 2013)

H. 12 PBGC-31-004 AGENCY AWARENESS TRAINING (JAN 2012)

H. 13 PBGC-37-001 KEY PERSONNEL (MAR 2012)

H. 14 PBGC-44-001 OTHER DIRECT COSTS (MAY 2012)

H. 15 PBGC-45 001 GOVERNMENT FURNISHED INFORMATION, ASSISTANCE AND/OR EQUIPMENT (JAN 2012)

SECTION I CONTRACT CLAUSES

I. 1 52.203-17 CONTRACTOR EMPLOYEE WHISTLEBLOWER RIGHTS AND REQUIREMENT TO INFORM EMPLOYEES OF

WHISTLEBLOWER RIGHTS (SEPT 2013)

I. 2 52.204-2 SECURITY REQUIREMENTS (AUG 1996)

I. 3 52.204-7 SYSTEM FOR AWARD MANAGEMENT (JUL 2013)

I. 4 52.209-9 UPDATES OF PUBLICLY AVAILABLE INFORMATION REGARDING RESPONSIBILITY MATTERS (JULY

2013)

I. 5 52.212-4 CONTRACT TERMS AND CONDITIONS--COMMERCIAL ITEMS (SEPT 2013)

I. 6 52.215-1 INSTRUCTIONS TO OFFERORS--COMPETITIVE ACQUISITION (JAN 2004)

I. 7 52.222-1 NOTICE TO THE GOVERNMENT OF LABOR DISPUTES (FEB 1997)

I. 8 52.223-6 DRUG-FREE WORKPLACE (MAY 2001)

I. 9 52.224-1 PRIVACY ACT NOTIFICATION (APR 1984)

I. 10 52.224-2 PRIVACY ACT (APR 1984)

I. 11 52.227-14 RIGHTS IN DATA--GENERAL (DEC 2007)

I. 12 52.232-1 PAYMENTS (APR 1984)

Table of Contents

PAGE 5 OF 137 PBGC01-RP-14-0007

I. 13 52.232-9 LIMITATION ON WITHHOLDING OF PAYMENTS (APR 1984)

I. 14 52.232-17 INTEREST (OCT 2010)

I. 15 52.232-23 ASSIGNMENT OF CLAIMS (JAN 1986)

I. 16 52.232-39 UNENFORCEABILITY OF UNAUTHORIZED OBLIGATIONS (JUNE 2013)

I. 17 52.237-2 PROTECTION OF GOVERNMENT BUILDINGS, EQUIPMENT, AND VEGETATION (APR 1984)

I. 18 52.242-13 BANKRUPTCY (JUL 1995)

I. 19 52.245-1 GOVERNMENT PROPERTY (APR 2012)

I. 20 52.246-25 LIMITATION OF LIABILITY--SERVICES (FEB 1997)

I. 21 52.249-8 DEFAULT (FIXED-PRICE SUPPLY AND SERVICE) (APR 1984)

I. 22 52.251-1 GOVERNMENT SUPPLY SOURCES (APR 2012)

I. 23 52.253-1 COMPUTER GENERATED FORMS (JAN 1991)

I. 24 52.203-3 GRATUITIES (APR 1984)

I. 25 52.212-5 CONTRACT TERMS AND CONDITIONS REQUIRED TO IMPLEMENT STATUTES OR EXECUTIVE ORDERS--

COMMERCIAL ITEMS (JAN 2014)

I. 26 52.217-8 OPTION TO EXTEND SERVICES (NOV 1999)

I. 27 52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT (MAR 2000)

I. 28 52.233-2 SERVICE OF PROTEST (SEP 2006)

I. 29 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

SECTION J LIST OF ATTACHMENTS

J. 1 Attachments List

SECTION K REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS

K. 1 52.209-5 CERTIFICATION REGARDING RESPONSIBILITY MATTERS (APR 2010)

K. 2 52.209-7 INFORMATION REGARDING RESPONSIBILITY MATTERS (JULY 2013)

K. 3 52.212-3 OFFEROR REPRESENTATIONS AND CERTIFICATIONS--COMMERCIAL ITEMS (NOV 2013)

K. 4 52.215-6 PLACE OF PERFORMANCE (OCT 1997)

K. 5 52.222-25 AFFIRMATIVE ACTION COMPLIANCE (APR 1984)

SECTION L INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS

L. 1 52.212-1 INSTRUCTIONS TO OFFERORS--COMMERCIAL ITEMS (JULY 2013)

L. 2 52.212-4 CONTRACT TERMS AND CONDITIONS--COMMERCIAL ITEMS (SEPT 2013)

L. 3 52.216-1 TYPE OF CONTRACT (APR 1984)

L. 4 Instructions, Conditions, and Notices to Offerors

SECTION M EVALUATION FACTORS FOR AWARD

M. 1 Evaluation Factors for Award

PAGE 6 OF 137 PBGC01-RP-14-0007

SECTION B

SUPPLIES OR SERVICES AND PRICES/COSTS

B. 1 Pricing Schedule

The Contractor shall provide the personnel, facilities, and other materials and services necessary to perform the effort described in Section C, the Statement of Work.

SECTION B.2 Custodian Banking Services Pricing

The contract type is a combination Firm-Fixed-Price (FFP) and Fixed Rate/Variable Quantity (FRVQ) effort. Offerors shall provide prices for Menu Based Services and Optional Services, as shown in Sections B.3 and B.5.

PBGC has provided pricing assumptions in Sections B.6 and B.7 of the solicitation. These assumptions should be used by the offerors in calculating a total annual price for each service listed in the pricing schedule as well as a total annual price for each year of the contract. The offerors’ total annual price per year of the contract as well as annual price per service will be used for price evaluation purposes only. The pricing assumptions provided by PBGC in the solicitation are not indicative of the work the offerors can expect to receive on an annual basis under this contract. The offerors’ are required to provide a fixed fee or rate for each menu based service and optional service listed in Section B of the contract and an annual firm-fixed-price for the on-site consultant services. The offeror’s proposed fixed fee or fixed rate for the menu based and optional services and the offeror’s on-site consultant service firm-fixed-prices shall be incorporated into the final contract upon award. A “Not to Exceed” value of $75,000 is provided by PBGC for Other Direct Costs. The Agency may elect not to exercise an optional Contract Line Item Number (CLIN), but this decision would not impact the Agency’s right to exercise an optional CLIN in other (or future) option periods. The Total Ceiling Price will be determined at the time of award and stated in Section B of the resulting contract. Additionally, the exact dates for the Period of Performance will be determined at time of award.

Base Year Period of Performance (POP) for CLIN 0001: August 1, 2014 – July 31, 2015 Base Year - Custodian Banking Services in accordance with the SOW

CLIN 0001 Menu Based Services (FRVQ) 1 Lot $ ________ CLIN 0002 On-Site Consultant (FFP) 1 YR $ ________ CLIN 0003 Optional Services (FRVQ) 1 Lot $ ________ CLIN 0004 Other Direct Costs Not to Exceed (NTE) 1 Lot $ 75,000

Total Amount: $___________

Option Year One Period of Performance for CLIN 1001: August 1, 2015 – July 31, 2016 Option Year One - Custodian Banking Services in accordance with the SOW

CLIN 1001 Menu Based Services (FRVQ) 1 Lot $ ________ CLIN 1002 On-Site Consultant (FFP) 1 YR $ ________ CLIN 1003 Optional Services (FRVQ) 1 Lot $ ________ CLIN 1004 Other Direct Costs (NTE) 1 Lot $ 75,000

Total Amount: $___________

Option Year Two Period of Performance for CLIN 2001: August 1, 2016 – July 31, 2017 Option Year Two - Custodian Banking Services in accordance with the SOW

CLIN 2001 Menu Based Services (FRVQ) 1 Lot $ ________ CLIN 2002 On-Site Consultant (FFP) 1 YR $ ________ CLIN 2003 Optional Services (FRVQ) 1 Lot $ ________ CLIN 2004 Other Direct Costs (NTE) 1 Lot $ 75,000

Total Amount: $___________

PAGE 7 OF 137 PBGC01-RP-14-0007

Option Year Three Period of Performance for CLIN 3001: August 1, 2017 – July 31, 2018 Option Year Three - Custodian Banking Services in accordance with the SOW

CLIN 3001 Menu Based Services (FRVQ) 1 Lot $ ________ CLIN 3002 On-Site Consultant (FFP) 1 YR $ ________ CLIN 3003 Optional Services (FRVQ) 1 Lot $ ________ CLIN 3004 Other Direct Costs (NTE) 1 Lot $ 75,000

Total Amount: $___________

Option Year Four Period of Performance for CLIN 4001: August 1, 2018 – July 31, 2019 Option Year Four - Custodian Banking Services in accordance with the SOW

CLIN 4001 Menu Based Services (FRVQ) 1 Lot $ ________ CLIN 4002 On-Site Consultant (FFP) 1 YR $ ________ CLIN 4003 Optional Services (FRVQ) 1 Lot $ ________ CLIN 4004 Other Direct Costs (NTE) 1 Lot $ 75,000

Total Amount: $___________

Option Year Five Period of Performance for CLIN 5001: August 1, 2019 – July 31, 2020 Option Year Five - Custodian Banking Services in accordance with the SOW

CLIN 5001 Menu Based Services (FRVQ) 1 Lot $ ________ CLIN 5002 On-Site Consultant (FFP) 1 YR $ ________ CLIN 5003 Optional Services (FRVQ) 1 Lot $ ________ CLIN 5004 Other Direct Costs (NTE) 1 Lot $ 75,000

Total Amount: $___________

Option Year Six Period of Performance for CLIN 6001: August 1, 2020 – July 31, 2021 Option Year Six - Custodian Banking Services in accordance with the SOW

CLIN 6001 Menu Based Services (FRVQ) 1 Lot $ ________ CLIN 6002 On-Site Consultant (FFP) 1 YR $ ________ CLIN 6003 Optional Services (FRVQ) 1 Lot $ ________ CLIN 6004 Other Direct Costs (NTE) 1 Lot $ 75,000

Total Amount: $___________

Option Year Seven Period of Performance for CLIN 7001: August 1, 2021 – July 31, 2022 Option Year Seven - Custodian Banking Services in accordance with the SOW

CLIN 7001 Menu Based Services (FRVQ) 1 Lot $ ________ CLIN 7002 On-Site Consultant (FFP) 1 YR $ ________ CLIN 7003 Optional Services (FRVQ) 1 Lot $ ________ CLIN 7004 Other Direct Costs (NTE) 1 Lot $ 75,000

Total Amount: $___________

Option Year Eight Period of Performance for CLIN 8001: August 1, 2022 – July 31, 2023 Option Year Eight - Custodian Banking Services in accordance with the SOW

CLIN 8001 Menu Based Services (FRVQ) 1 Lot $ ________ CLIN 8002 On-Site Consultant (FFP) 1 YR $ ________

PAGE 8 OF 137 PBGC01-RP-14-0007

CLIN 8003 Optional Services (FRVQ) 1 Lot $ ________ CLIN 8004 Other Direct Costs (NTE) 1 Lot $ 75,000

Total Amount: $___________

Option Year Nine Period of Performance for CLIN 9001: August 1, 2023 – July 31, 2024 Option Year Nine - Custodian Banking Services in accordance with the SOW

CLIN 9001 Menu Based Services (FRVQ) 1 Lot $ ________ CLIN 9002 On-Site Consultant (FFP) 1 YR $ ________ CLIN 9003 Optional Services (FRVQ) 1 Lot $ ________ CLIN 9004 Other Direct Costs (NTE) 1 Lot $ 75,000

Total Amount: $___________

Option Year Ten Period of Performance for CLIN 9500: August 1, 2024 – July 31, 2025 Option Year Ten - Custodian Banking Services in accordance with the SOW

CLIN 9501 Menu Based Services (FRVQ) 1 Lot $ ________ CLIN 9502 On-Site Consultant (FFP) 1 YR $ ________ CLIN 9503 Optional Services (FRVQ) 1 Lot $ ________ CLIN 9504 Other Direct Costs (NTE) 1 Lot $ 75,000

Total Amount: $___________

Note:

As identified in the Pricing Schedule above, the period of performance for this procurement is a one-year base period with four one-year option periods. However, the Government reserves the right to award a contract with a period of performance of a one-year base period and nine one-year option periods. Therefore, Offerors are required to submit pricing proposals for both periods of performance: (1) one-year base period with four option year periods and (2) one-year base period with nine option year periods.

The pricing assumptions provided in this solicitatation shall be applied to both pricing proposals. Further, the pricing assumptions apply to all years of the contract and should not be adjusted for inflation. The only pricing changes proposed in the option years shall be the assumed increases in the proposed fixed fee or rates. All optional services must be priced in order for the proposal to be evaluated.

SECTION B.3 Menu Based Services Fee Schedule

B.3.1 Menu Based Services Fees

This Schedule delineates items for which the offeror may charge a fee. Offerors are required to provide an ANNUAL PRICE for its Menu Based Services Fee Schedule and shall demonstrate the line-item detail which substantiates the Menu Based Fee. The offeror shall use the assumptions in Section B.6 for estimating PBGC account activity.

Proposals will be evaluated using the assumptions provided in Section B.6.

These assumptions should be used by the offerors in calculating a total annual price for each service listed in the tables from this section as well as a total annual price for each year of performance. The offerors’ total annual prices provided for each service and year will be used for price evaluation purposes only. The total for each year should be entered in the corresponding line in Section B.2 above.

PBGC makes no representation as to the size of the Fund during the solicitation and contract period. The pricing assumptions provided by PBGC in the solicitation are not indicative of the work the offerors can expect to receive on an annual basis under this contract.

For the Menu Based Services Fee Schedule, all prices must be provided with a fixed rate as described in the assumptions for an entire year using the hypothetical portfolio profile found in the Section B.6.

PAGE 9 OF 137 PBGC01-RP-14-0007

B.3.2 Menu Based Services Fees Tables

Use the assumptions in the Section B.6 to complete the following tables.

B.3.2.1 Menu Based Fees for CLIN 0001- Base Year:

Category Annual Price

1) Custodial Account Fee (3.1.1.3.1) -

Active Passive Standard Transition Commingled

2) Asset-Based Fee per Country (in basis points) International Holdings

3) Custody Fees (Annualized) (Section 3.1.1.3 / 3.1.1.5) -

DEPOSITORY TRUST CORP (DTC) eligible securities

FEDERAL RESERVE BANK (FRB) eligible securities

Non-Depository securities

4) Transaction Fees per country (International trades from Pricing Schedule) (U.S. only transactions below)

Purchases - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Sales - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Futures Transactions

Options Roundtrip

Paydowns (GNMA, FNMA, FHLMC, etc.)

Asset Transfers

Maturities/Redemptions - DEPOSITORY TRUST CORP

Other (Swaps)

Global Trades

5) Income Collection (Section 3.1.1.4 / 3.1.1.5) -

Dividends Interest DEPOSITORY TRUST CORP securities

FEDERAL RESERVE BANK securities

Other (Section 3.1.1.4(c))

PAGE 10 OF 137 PBGC01-RP-14-0007

Category Annual Price

6) Wire Transfer Fees -

To Others (5.2.1.1, 5.3.1.4.1)

From Others (5.3.1.4)

7) Report Fees (4.1.2.10, 5.3, 8.1)

8) Foreign Exchange Transaction Fees (3.1.8)

9) Transition Costs (3.1.1.3.1) -

Transfer to Custodian bank/Contractor of physical securities (5.1.3, 5.3.1.3)

Conversion of Depository Trust Corp securities

Conversion of Federal Reserve Bank securities

Other conversion costs (e.g. Non-US Conversions, etc.)

10) Servicing of Bank Loan (3.1.9) -

Minimum monthly charge for 1-10 loans across the entire PBGC account

Minimum monthly charge for 11-20 loans across the entire PBGC account

Minimum monthly charge for 21-35 loans across the entire PBGC account

Minimum monthly charge for 36-50 loans across the entire PBGC account

Monthly per loan charge thereafter 50 loans across the entire PBGC account

11) Pricing of OTC and centrally cleared derivatives (3.1.6)

12) STIF Fee (4.1.2.3)

13) Educational Conferences (5.4.1.1)

Total Menu Based Services (0001)

B.3.2.2 Menu Based Fees for CLIN 1001 - Option Year 1:

Category Annual Price

1) Custodial Account Fee (3.1.1.3.1) -

Active Passive Standard Transition Commingled

2) Asset-Based Fee per Country (in basis points)

PAGE 11 OF 137 PBGC01-RP-14-0007

International Holdings

3) Custody Fees (Annualized) (Section 3.1.1.3 / 3.1.1.5) -

DEPOSITORY TRUST CORP (DTC) eligible securities

FEDERAL RESERVE BANK (FRB) eligible securities

Non-Depository securities

4) Transaction Fees per country (International trades from Pricing Schedule) (U.S. only transactions below)

Purchases - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Sales - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Futures Transactions

Options Roundtrip

Paydowns (GNMA, FNMA, FHLMC, etc.)

Asset Transfers

Maturities/Redemptions - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Swaps)

5) Income Collection (Section 3.1.1.4 / 3.1.1.5) -

Dividends

Interest DEPOSITORY TRUST CORP securities

Other (Section 3.1.1.4(c))

6) Wire Transfer Fees -

To Others (5.2.1.1, 5.3.1.4.1)

From Others (5.3.1.4)

7) Report Fees (4.1.2.10, 5.3, 8.1)

8) Foreign Exchange Transaction Fees (3.1.8)

9) Transition Costs (3.1.1.3.1) -

Transfer to Custodian bank/Contractor of physical securities (5.1.3, 5.3.1.3)

Conversion of Depository Trust Corp securities

Conversion of Federal Reserve Bank securities

Other conversion costs (e.g. Non-US Conversions, etc.)

10) Servicing of Bank Loan (3.1.9) -

PAGE 12 OF 137 PBGC01-RP-14-0007

Minimum monthly charge for 1-10 loans across the entire PBGC account

Minimum monthly charge for 11-20 loans across the entire PBGC account

Minimum monthly charge for 21-35 loans across the entire PBGC account

Minimum monthly charge for 36-50 loans across the entire PBGC account

Monthly per loan charge thereafter 50 loans across the entire PBGC account

11) Pricing of OTC and centrally cleared derivatives (3.1.6)

12) STIF Fee (4.1.2.3)

13) Educational Conferences (5.4.1.1)

Total Menu Based Services (1001)

B.3.2.3 Menu Based Fees for CLIN 2001 - Option Year 2:

Category Annual Price

1) Custodial Account Fee (3.1.1.3.1) -

Active Passive Standard Transition Commingled

2) Asset-Based Fee per Country (in basis points) International Holdings

3) Custody Fees (Annualized) (Section 3.1.1.3 / 3.1.1.5) -

DEPOSITORY TRUST CORP (DTC) eligible securities

FEDERAL RESERVE BANK (FRB) eligible securities

Non-Depository securities

4) Transaction Fees per country (International trades from Pricing Schedule) (U.S. only transactions below)

Purchases - DEPOSITORY TRUST CORP

Other (Physical delivery/ receipt, asset transfers etc.)

PAGE 13 OF 137 PBGC01-RP-14-0007

Sales - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Futures Transactions

Options Roundtrip

Paydowns (GNMA, FNMA, FHLMC, etc.)

Asset Transfers

Maturities/Redemptions - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Swaps)

5) Income Collection (Section 3.1.1.4 / 3.1.1.5) -

Dividends Interest DEPOSITORY TRUST CORP securities

FEDERAL RESERVE BANK securities

Other (Section 3.1.1.4(c))

6) Wire Transfer Fees -

To Others (5.2.1.1, 5.3.1.4.1)

From Others (5.3.1.4)

7) Report Fees (4.1.2.10, 5.3, 8.1)

8) Foreign Exchange Transaction Fees (3.1.8)

9) Transition Costs (3.1.1.3.1) -

Transfer to Custodian bank/Contractor of physical securities (5.1.3, 5.3.1.3)

Conversion of Depository Trust Corp securities

Conversion of Federal Reserve Bank securities

Other conversion costs (e.g. Non-US Conversions, etc.)

10) Servicing of Bank Loan (3.1.9) -

Minimum monthly charge for 1-10 loans across the entire PBGC account

Minimum monthly charge for 11-20 loans across the entire PBGC account

Minimum monthly charge for 21-35 loans across the entire PBGC account

Minimum monthly charge for 36-50 loans across the entire PBGC account

Monthly per loan charge thereafter 50 loans across the entire PBGC account

11) Pricing of OTC and centrally cleared derivatives (3.1.6)

12) STIF Fee (4.1.2.3)

PAGE 14 OF 137 PBGC01-RP-14-0007

13) Educational Conferences (5.4.1.1)

Total Menu Based Services (2001)

B.3.2.4 Menu Based Fees for CLIN 3001 - Option Year 3:

Category Annual Price

1) Custodial Account Fee (3.1.1.3.1) -

Active Passive Standard Transition Commingled

2) Asset-Based Fee per Country (in basis points) International Holdings

3) Custody Fees (Annualized) (Section 3.1.1.3 / 3.1.1.5) -

DEPOSITORY TRUST CORP (DTC) eligible securities

FEDERAL RESERVE BANK (FRB) eligible securities

Non-Depository securities

4) Transaction Fees per country (International trades from Pricing Schedule) (U.S. only transactions below)

Purchases - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Sales - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Futures Transactions

Options Roundtrip

Paydowns (GNMA, FNMA, FHLMC, etc.)

Asset Transfers

Maturities/Redemptions - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Swaps)

Global Trades

PAGE 15 OF 137 PBGC01-RP-14-0007

5) Income Collection (Section 3.1.1.4 / 3.1.1.5) -

Dividends Interest DEPOSITORY TRUST CORP securities

FEDERAL RESERVE BANK securities

Other (Section 3.1.1.4(c))

6) Wire Transfer Fees -

To Others (5.2.1.1, 5.3.1.4.1)

From Others (5.3.1.4)

7) Report Fees (4.1.2.10, 5.3, 8.1)

8) Foreign Exchange Transaction Fees (3.1.8)

9) Transition Costs (3.1.1.3.1) -

Transfer to Custodian bank/Contractor of physical securities (5.1.3, 5.3.1.3)

Conversion of Depository Trust Corp securities

Conversion of Federal Reserve Bank securities

Other conversion costs (e.g. Non-US Conversions, etc.)

10) Servicing of Bank Loan (3.1.9) -

Minimum monthly charge for 1-10 loans across the entire PBGC account

Minimum monthly charge for 11-20 loans across the entire PBGC account

Minimum monthly charge for 21-35 loans across the entire PBGC account

Minimum monthly charge for 36-50 loans across the entire PBGC account

Monthly per loan charge thereafter 50 loans across the entire PBGC account

11) Pricing of OTC and centrally cleared derivatives (3.1.6)

12) STIF Fee (4.1.2.3)

13) Educational Conferences (5.4.1.1)

Total Menu Based Services (3001)

B.3.2.5 Menu Based Fees for CLIN 4001 - Option Year 4:

PAGE 16 OF 137 PBGC01-RP-14-0007

1) Custodial Account Fee (3.1.1.3.1) -

Active Passive Standard Transition Commingled

2) Asset-Based Fee per Country (in basis points) International Holdings

3) Custody Fees (Annualized) (Section 3.1.1.3 / 3.1.1.5) -

DEPOSITORY TRUST CORP (DTC) eligible securities

FEDERAL RESERVE BANK (FRB) eligible securities

Non-Depository securities

4) Transaction Fees per country (International trades from Pricing Schedule) (U.S. only transactions below)

Purchases - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Sales - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Futures Transactions

Options Roundtrip

Paydowns (GNMA, FNMA, FHLMC, etc.)

Asset Transfers

Maturities/Redemptions - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Swaps)

5) Income Collection (Section 3.1.1.4 / 3.1.1.5) -

Dividends Interest DEPOSITORY TRUST CORP securities

FEDERAL RESERVE BANK securities

Other (Section 3.1.1.4(c))

6) Wire Transfer Fees -

To Others (5.2.1.1, 5.3.1.4.1)

From Others (5.3.1.4)

7) Report Fees (4.1.2.10, 5.3, 8.1)

8) Foreign Exchange Transaction Fees (3.1.8)

9) Transition Costs (3.1.1.3.1) -

Transfer to Custodian bank/Contractor of physical securities (5.1.3, 5.3.1.3)

PAGE 17 OF 137 PBGC01-RP-14-0007

Conversion of Depository Trust Corp securities

Conversion of Federal Reserve Bank securities

Other conversion costs (e.g. Non-US Conversions, etc.)

10) Servicing of Bank Loan (3.1.9) -

Minimum monthly charge for 1-10 loans across the entire PBGC account

Minimum monthly charge for 11-20 loans across the entire PBGC account

Minimum monthly charge for 21-35 loans across the entire PBGC account

Minimum monthly charge for 36-50 loans across the entire PBGC account

Monthly per loan charge thereafter 50 loans across the entire PBGC account

11) Pricing of OTC and centrally cleared derivatives (3.1.6)

12) STIF Fee (4.1.2.3)

13) Educational Conferences (5.4.1.1)

Total Menu Based Services (4001)

B.3.2.6 Menu Based Fees for CLIN 5001 - Option Year 5:

Category Annual Price

1) Custodial Account Fee (3.1.1.3.1) -

Active Passive Standard Transition Commingled

2) Asset-Based Fee per Country (in basis points) International Holdings

3) Custody Fees (Annualized) (Section 3.1.1.3 / 3.1.1.5) -

DEPOSITORY TRUST CORP (DTC) eligible securities

FEDERAL RESERVE BANK (FRB) eligible securities

Non-Depository securities

4) Transaction Fees per country (International trades from Pricing Schedule) (U.S. only transactions below)

Purchases - DEPOSITORY TRUST CORP

PAGE 18 OF 137 PBGC01-RP-14-0007

Other (Physical delivery/ receipt, asset transfers etc.)

Sales - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Futures Transactions

Options Roundtrip

Paydowns (GNMA, FNMA, FHLMC, etc.)

Asset Transfers

Maturities/Redemptions - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Swaps)

5) Income Collection (Section 3.1.1.4 / 3.1.1.5) -

Dividends Interest DEPOSITORY TRUST CORP securities

FEDERAL RESERVE BANK securities

Other (Section 3.1.1.4(c))

6) Wire Transfer Fees -

To Others (5.2.1.1, 5.3.1.4.1)

From Others (5.3.1.4)

7) Report Fees (4.1.2.10, 5.3, 8.1)

8) Foreign Exchange Transaction Fees (3.1.8)

9) Transition Costs (3.1.1.3.1) -

Transfer to Custodian bank/Contractor of physical securities (5.1.3, 5.3.1.3)

Conversion of Depository Trust Corp securities

Conversion of Federal Reserve Bank securities

Other conversion costs (e.g. Non-US Conversions, etc.)

10) Servicing of Bank Loan (3.1.9) -

Minimum monthly charge for 1-10 loans across the entire PBGC account

Minimum monthly charge for 11-20 loans across the entire PBGC account

Minimum monthly charge for 21-35 loans across the entire PBGC account

Minimum monthly charge for 36-50 loans across the entire PBGC account

Monthly per loan charge thereafter 50 loans across the entire PBGC account

11) Pricing of OTC and centrally cleared derivatives (3.1.6)

PAGE 19 OF 137 PBGC01-RP-14-0007

13) Educational Conferences (5.4.1.1)

Total Menu Based Services (5001)

B.3.2.7 Menu Based Fees for CLIN 6001 - Option Year 6:

Category Annual Price

1) Custodial Account Fee (3.1.1.3.1) -

Active Passive Standard Transition Commingled

2) Asset-Based Fee per Country (in basis points) International Holdings

3) Custody Fees (Annualized) (Section 3.1.1.3 / 3.1.1.5) -

DEPOSITORY TRUST CORP (DTC) eligible securities

FEDERAL RESERVE BANK (FRB) eligible securities

Non-Depository securities

4) Transaction Fees per country (International trades from Pricing Schedule) (U.S. only transactions below)

Purchases - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Sales - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Futures Transactions

Options Roundtrip

Paydowns (GNMA, FNMA, FHLMC, etc.)

Asset Transfers

Maturities/Redemptions - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Swaps)

5) Income Collection (Section 3.1.1.4 / 3.1.1.5) -

Dividends

PAGE 20 OF 137 PBGC01-RP-14-0007

Interest DEPOSITORY TRUST CORP securities

FEDERAL RESERVE BANK securities

Other (Section 3.1.1.4(c))

6) Wire Transfer Fees -

To Others (5.2.1.1, 5.3.1.4.1)

From Others (5.3.1.4)

7) Report Fees (4.1.2.10, 5.3, 8.1)

8) Foreign Exchange Transaction Fees (3.1.8)

9) Transition Costs (3.1.1.3.1) -

Transfer to Custodian bank/Contractor of physical securities (5.1.3, 5.3.1.3)

Conversion of Depository Trust Corp securities

Conversion of Federal Reserve Bank securities

Other conversion costs (e.g. Non-US Conversions, etc.)

10) Servicing of Bank Loan (3.1.9) -

Minimum monthly charge for 1-10 loans across the entire PBGC account

Minimum monthly charge for 11-20 loans across the entire PBGC account

Minimum monthly charge for 21-35 loans across the entire PBGC account

Minimum monthly charge for 36-50 loans across the entire PBGC account

Monthly per loan charge thereafter 50 loans across the entire PBGC account

11) Pricing of OTC and centrally cleared derivatives (3.1.6)

12) STIF Fee (4.1.2.3)

13) Educational Conferences (5.4.1.1)

Total Menu Based Services (6001)

B.3.2.8 Menu Based Fees for CLIN 7001 - Option Year 7:

Category Annual Price

1) Custodial Account Fee (3.1.1.3.1) -

Active Passive

PAGE 21 OF 137 PBGC01-RP-14-0007

Standard Transition Commingled

2) Asset-Based Fee per Country (in basis points) International Holdings

3) Custody Fees (Annualized) (Section 3.1.1.3 / 3.1.1.5) -

DEPOSITORY TRUST CORP (DTC) eligible securities

FEDERAL RESERVE BANK (FRB) eligible securities

Non-Depository securities

4) Transaction Fees per country (International trades from Pricing Schedule) (U.S. only transactions below)

Purchases - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Sales - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Futures Transactions

Options Roundtrip

Paydowns (GNMA, FNMA, FHLMC, etc.)

Asset Transfers

Maturities/Redemptions - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Swaps)

5) Income Collection (Section 3.1.1.4 / 3.1.1.5) -

Dividends Interest DEPOSITORY TRUST CORP securities

FEDERAL RESERVE BANK securities

Other (Section 3.1.1.4(c))

6) Wire Transfer Fees -

To Others (5.2.1.1, 5.3.1.4.1)

From Others (5.3.1.4)

7) Report Fees (4.1.2.10, 5.3, 8.1)

8) Foreign Exchange Transaction Fees (3.1.8)

9) Transition Costs (3.1.1.3.1) -

Transfer to Custodian bank/Contractor of physical securities (5.1.3, 5.3.1.3)

Conversion of Depository Trust Corp securities

Conversion of Federal Reserve Bank securities

PAGE 22 OF 137 PBGC01-RP-14-0007

10) Servicing of Bank Loan (3.1.9) -

Minimum monthly charge for 1-10 loans across the entire PBGC account

Minimum monthly charge for 11-20 loans across the entire PBGC account

Minimum monthly charge for 21-35 loans across the entire PBGC account

Minimum monthly charge for 36-50 loans across the entire PBGC account

Monthly per loan charge thereafter 50 loans across the entire PBGC account

11) Pricing of OTC and centrally cleared derivatives (3.1.6)

12) STIF Fee (4.1.2.3)

13) Educational Conferences (5.4.1.1)

Total Menu Based Services (7001)

B.3.2.9 Menu Based Fees for CLIN 8001 - Option Year 8:

Category Annual Price

1) Custodial Account Fee (3.1.1.3.1) -

Active Passive Standard Transition Commingled

2) Asset-Based Fee per Country (in basis points) International Holdings

3) Custody Fees (Annualized) (Section 3.1.1.3 / 3.1.1.5) -

DEPOSITORY TRUST CORP (DTC) eligible securities

FEDERAL RESERVE BANK (FRB) eligible securities

Non-Depository securities

4) Transaction Fees per country (International trades from Pricing Schedule) (U.S. only transactions below)

Purchases - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Sales - DEPOSITORY TRUST CORP

PAGE 23 OF 137 PBGC01-RP-14-0007

Other (Physical delivery/ receipt, asset transfers etc.)

Futures Transactions

Options Roundtrip

Paydowns (GNMA, FNMA, FHLMC, etc.)

Asset Transfers

Maturities/Redemptions - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Swaps)

5) Income Collection (Section 3.1.1.4 / 3.1.1.5) -

Dividends Interest DEPOSITORY TRUST CORP securities

FEDERAL RESERVE BANK securities

Other (Section 3.1.1.4(c))

6) Wire Transfer Fees -

To Others (5.2.1.1, 5.3.1.4.1)

From Others (5.3.1.4)

7) Report Fees (4.1.2.10, 5.3, 8.1)

8) Foreign Exchange Transaction Fees (3.1.8)

9) Transition Costs (3.1.1.3.1) -

Transfer to Custodian bank/Contractor of physical securities (5.1.3, 5.3.1.3)

Conversion of Depository Trust Corp securities

Conversion of Federal Reserve Bank securities

Other conversion costs (e.g. Non-US Conversions, etc.)

10) Servicing of Bank Loan (3.1.9) -

Minimum monthly charge for 1-10 loans across the entire PBGC account

Minimum monthly charge for 11-20 loans across the entire PBGC account

Minimum monthly charge for 21-35 loans across the entire PBGC account

Minimum monthly charge for 36-50 loans across the entire PBGC account

Monthly per loan charge thereafter 50 loans across the entire PBGC account

11) Pricing of OTC and centrally cleared derivatives (3.1.6)

13) Educational Conferences (5.4.1.1)

PAGE 24 OF 137 PBGC01-RP-14-0007

Total Menu Based Services (8001)

B.3.2.10 Menu Based Fees for CLIN 9001 - Option Year 9:

Category Annual Price

1) Custodial Account Fee (3.1.1.3.1) -

Active Passive Standard Transition Commingled

2) Asset-Based Fee per Country (in basis points) International Holdings

3) Custody Fees (Annualized) (Section 3.1.1.3 / 3.1.1.5) -

DEPOSITORY TRUST CORP (DTC) eligible securities

FEDERAL RESERVE BANK (FRB) eligible securities

Non-Depository securities

4) Transaction Fees per country (International trades from Pricing Schedule) (U.S. only transactions below)

Purchases - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Sales - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Futures Transactions

Options Roundtrip

Paydowns (GNMA, FNMA, FHLMC, etc.)

Asset Transfers

Maturities/Redemptions - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Swaps)

5) Income Collection (Section 3.1.1.4 / 3.1.1.5) -

Dividends Interest DEPOSITORY TRUST CORP securities

PAGE 25 OF 137 PBGC01-RP-14-0007

Other (Section 3.1.1.4(c))

6) Wire Transfer Fees -

To Others (5.2.1.1, 5.3.1.4.1)

From Others (5.3.1.4)

7) Report Fees (4.1.2.10, 5.3, 8.1)

8) Foreign Exchange Transaction Fees (3.1.8)

9) Transition Costs (3.1.1.3.1) -

Transfer to Custodian bank/Contractor of physical securities (5.1.3, 5.3.1.3)

Conversion of Depository Trust Corp securities

Conversion of Federal Reserve Bank securities

Other conversion costs (e.g. Non-US Conversions, etc.)

10) Servicing of Bank Loan (3.1.9) -

Minimum monthly charge for 1-10 loans across the entire PBGC account

Minimum monthly charge for 11-20 loans across the entire PBGC account

Minimum monthly charge for 21-35 loans across the entire PBGC account

Minimum monthly charge for 36-50 loans across the entire PBGC account

Monthly per loan charge thereafter 50 loans across the entire PBGC account

11) Pricing of OTC and centrally cleared derivatives (3.1.6)

12) STIF Fee (4.1.2.3)

13) Educational Conferences (5.4.1.1)

Total Menu Based Services (9001)

B.3.2.11 Menu Based Fees for CLIN 9501 - Option Year 10:

Category Annual Price

1) Custodial Account Fee (3.1.1.3.1) -

Active Passive Standard Transition

PAGE 26 OF 137 PBGC01-RP-14-0007

Commingled

2) Asset-Based Fee per Country (in basis points) International Holdings

3) Custody Fees (Annualized) (Section 3.1.1.3 / 3.1.1.5) -

DEPOSITORY TRUST CORP (DTC) eligible securities

FEDERAL RESERVE BANK (FRB) eligible securities

Non-Depository securities

4) Transaction Fees per country (International trades from Pricing Schedule) (U.S. only transactions below)

Purchases - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Sales - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Physical delivery/ receipt, asset transfers etc.)

Futures Transactions

Options Roundtrip

Paydowns (GNMA, FNMA, FHLMC, etc.)

Asset Transfers

Maturities/Redemptions - DEPOSITORY TRUST CORP

FEDERAL RESERVE BANK

Other (Swaps)

5) Income Collection (Section 3.1.1.4 / 3.1.1.5) -

Dividends Interest DEPOSITORY TRUST CORP securities

FEDERAL RESERVE BANK securities

Other (Section 3.1.1.4(c))

6) Wire Transfer Fees -

To Others (5.2.1.1, 5.3.1.4.1)

From Others (5.3.1.4)

7) Report Fees (4.1.2.10, 5.3, 8.1)

8) Foreign Exchange Transaction Fees (3.1.8)

9) Transition Costs (3.1.1.3.1) -

Transfer to Custodian bank/Contractor of physical securities (5.1.3, 5.3.1.3)

Conversion of Depository Trust Corp securities

Conversion of Federal Reserve Bank securities

PAGE 27 OF 137 PBGC01-RP-14-0007

10) Servicing of Bank Loan (3.1.9) -

Minimum monthly charge for 1-10 loans across the entire PBGC account

Minimum monthly charge for 11-20 loans across the entire PBGC account

Minimum monthly charge for 21-35 loans across the entire PBGC account

Minimum monthly charge for 36-50 loans across the entire PBGC account

Monthly per loan charge thereafter 50 loans across the entire PBGC account

11) Pricing of OTC and centrally cleared derivatives (3.1.6)

12) STIF Fee (4.1.2.3)

13) Educational Conferences (5.4.1.1)

Total Menu Based Services (9501)

B.4 On-Site Consultant

This Schedule delineates price for the on-site consultant. The offeror shall use the information provided in the SOW to estimate pricing. Offerors are required to provide an annual price, which should then be entered in the corresponding line item in Section B.2 above.

Category

Unit Unit Price Annual Price

Base Year (CLIN 0002) Per Month Option Year 1 (CLIN 1002) Per Month Option Year 2 (CLIN 2002) Per Month Option Year 3 (CLIN 3002) Per Month Option Year 4 (CLIN 4002) Per Month Option Year 5 (CLIN 5002) Per Month Option Year 6 (CLIN 6002) Per Month Option Year 7 (CLIN 7002) Per Month Option Year 8 (CLIN 8002) Per Month Option Year 9 (CLIN 9002) Per Month Option Year 10 (CLIN 9502) Per Month

B.5 Optional Services

B.5.1 Optional Services Estimated Pricing

PAGE 28 OF 137 PBGC01-RP-14-0007

This Schedule delineates items for which the offeror may charge a fee. Offerors are required to provide an ANNUAL PRICE for the Optional Services and shall demonstrate the line-item detail which substantiates the prices for these services. The offeror shall use the assumptions in Section B.7 for estimating PBGC account activity. Proposals will be evaluated using the assumptions provided in Section B.7. These assumptions should be used by the offerors in calculating a total annual price for each service listed in the tables from this section as well as a total annual price for each year of performance. The offerors’ total annual prices provided for each service and year will be used for price evaluation purposes only. The total for each year should be entered in the corresponding line in Section B.2 above. All optional services must be priced in order for the proposal to be evaluated.

PBGC makes no representation as to the size of the Fund during the solicitation and contract period. The pricing assumptions provided by PBGC in the solicitation are not indicative of the work the offerors can expect to receive on an annual basis under this contract.

For the Menu Based Services Fee Schedule, all prices must be provided with a fixed rate as described in the assumptions for an entire year using the hypothetical portfolio profile found in the Section B.6.

B.5.2 Optional Services Estimated Pricing Tables

Use the assumptions in the Section B.7 to complete the following tables.

B.5.2.1 Optional Services Pricing for CLIN 0003 - Base Year:

Category

Annual Price

1) Escrow Account Mortgages (Section 3.1.1.5.1)

2) Transition Management Services – (Section 4.1.2.2)

3) Act as Investment Manager (Section 4.1.2.3.1) and provide Investment Management Services.

4) Provide a compliance solution that monitors investment guidelines for fixed income portfolios prescribed from any source.

(4.1.2.12)

5) Securities Lending Services (Section 4.1.2.4) NOTE: Annual Gross Revenue Less Collateral Reinvestment Fee Total Optional Services (0003)

PAGE 29 OF 137 PBGC01-RP-14-0007

B.5.2.2 Optional Services Pricing for CLIN 1003 - Option Year 1:

Category

Annual Price

1) Escrow Account Mortgages (Section 3.1.1.5.1)

2) Transition Management Services – (Section 4.1.2.2)

3) Act as Investment Manager (Section 4.1.2.3.1) and provide Investment Management Services.

4) Provide a compliance solution that monitors investment guidelines for fixed income portfolios prescribed from any source.

(4.1.2.12)

5) Securities Lending Services (Section 4.1.2.4) NOTE: Annual Gross Revenue Less Collateral Reinvestment Fee Total Optional Services (1003)

B.5.2.3 Optional Services Pricing for CLIN 2003 - Option Year 2:

Category

PAGE 30 OF 137 PBGC01-RP-14-0007

Annual Price

1) Escrow Account Mortgages (Section 3.1.1.5.1)

2) Transition Management Services – (Section 4.1.2.2)

3) Act as Investment Manager (Section 4.1.2.3.1) and provide Investment Management Services.

4) Provide a compliance solution that monitors investment guidelines for fixed income portfolios prescribed from any source.

(4.1.2.12)

5) Securities Lending Services (Section 4.1.2.4)

NOTE: Annual Gross Revenue Less Collateral Reinvestment Fee Total Optional Services (2003)

B.5.2.4 Optional Services Pricing for CLIN 3003 - Option Year 3:

Category

Annual Price

1) Escrow Account Mortgages (Section 3.1.1.5.1)

2) Transition Management Services – (Section 4.1.2.2)

3) Act as Investment Manager (Section 4.1.2.3.1) and provide Investment Management Services.

PAGE 31 OF 137 PBGC01-RP-14-0007

4) Provide a compliance solution that monitors investment guidelines for fixed income portfolios prescribed from any source.

(4.1.2.12)

5) Securities Lending Services (Section 4.1.2.4) NOTE: Annual Gross Revenue Less Collateral Reinvestment Fee Total Optional Services (3003)

B.5.2.5 Optional Services Pricing for CLIN 4003 - Option Year 4:

Category

Annual Price

1) Escrow Account Mortgages (Section 3.1.1.5.1)

2) Transition Management Services – (Section 4.1.2.2)

3) Act as Investment Manager (Section 4.1.2.3.1) and provide Investment Management Services.

4) Provide a compliance solution that monitors investment guidelines for fixed income portfolios prescribed from any source.

(4.1.2.12)

5) Securities Lending Services (Section 4.1.2.4)

Total Optional Services (4003)

PAGE 32 OF 137 PBGC01-RP-14-0007

B.5.2.6 Optional Services Pricing for CLIN 5003 - Option Year 5:

Category

Annual Price

1) Escrow Account Mortgages (Section 3.1.1.5.1)

2) Transition Management Services – (Section 4.1.2.2)

3) Act as Investment Manager (Section 4.1.2.3.1) and provide Investment Management Services.

4) Provide a compliance solution that monitors investment guidelines for fixed income portfolios prescribed from any source.

(4.1.2.12)

5) Securities Lending Services (Section 4.1.2.4) NOTE: Annual Gross Revenue Less Collateral Reinvestment Fee Total Optional Services (5003)

B.5.2.7 Optional Services Pricing for CLIN 6003 - Option Year 6:

Category

PAGE 33 OF 137 PBGC01-RP-14-0007

Annual Price

1) Escrow Account Mortgages (Section 3.1.1.5.1)

2) Transition Management Services – (Section 4.1.2.2)

3) Act as Investment Manager (Section 4.1.2.3.1) and provide Investment Management Services.

4) Provide a compliance solution that monitors investment guidelines for fixed income portfolios prescribed from any source.

(4.1.2.12)

5) Securities Lending Services (Section 4.1.2.4) NOTE: Annual Gross Revenue Less Collateral Reinvestment Fee Total Optional Services (6003)

B.5.2.8 Optional Services Pricing for CLIN 7003 - Option Year 7:

Category

Annual Price

1) Escrow Account Mortgages (Section 3.1.1.5.1)

2) Transition Management Services – (Section 4.1.2.2)

3) Act as Investment Manager (Section 4.1.2.3.1) and provide Investment Management Services.

4) Provide a compliance solution that monitors investment guidelines for fixed income portfolios prescribed from any source.

(4.1.2.12)

5) Securities Lending Services (Section 4.1.2.4)

Total Optional Services (7003)

PAGE 34 OF 137 PBGC01-RP-14-0007

B.5.2.9 Optional Services Pricing for CLIN 8003 - Option Year 8:

Category

Annual Price

1) Escrow Account Mortgages (Section 3.1.1.5.1)

2) Transition Management Services – (Section 4.1.2.2)

3) Act as Investment Manager (Section 4.1.2.3.1) and provide Investment Management Services.

4) Provide a compliance solution that monitors investment guidelines for fixed income portfolios prescribed from any source.

(4.1.2.12)

5) Securities Lending Services (Section 4.1.2.4)

Total Optional Services (8003)

PAGE 35 OF 137 PBGC01-RP-14-0007

B.5.2.10 Optional Services Pricing for CLIN 9003 - Option Year 9:

Category

Annual Price

1) Escrow Account Mortgages (Section 3.1.1.5.1)

2) Transition Management Services – (Section 4.1.2.2)

3) Act as Investment Manager (Section 4.1.2.3.1) and provide Investment Management Services.

4) Provide a compliance solution that monitors investment guidelines for fixed income portfolios prescribed from any source.

(4.1.2.12)

5) Securities Lending Services (Section 4.1.2.4)

Total Optional Services (9003)

PAGE 36 OF 137 PBGC01-RP-14-0007

B.5.2.11 Optional Services Pricing for CLIN 9503 - Option Year 10:

Category

Annual Price

1) Escrow Account Mortgages (Section 3.1.1.5.1)

2) Transition Management Services – (Section 4.1.2.2)

3) Act as Investment Manager (Section 4.1.2.3.1) and provide Investment Management Services.

4) Provide a compliance solution that monitors investment guidelines for fixed income portfolios prescribed from any source.

(4.1.2.12)

5) Securities Lending Services (Section 4.1.2.4) NOTE: Annual Gross Revenue Less Collateral Reinvestment Fee Total Optional Services (9503)

SECTION B.6 PBGC Account Assumptions

The following data in this section shall be used by offerors as PBGC’s account assumptions for completing the annual pricing estimates for Section B.3. These assumptions should be used by the offerors in calculating a total annual price for each service listed in the pricing schedule as well as a total annual price for each year of the contract. Provide a fixed fee or rate for each item listed in the tables in this Section B.6. The offeror’s proposed fixed fee or fixed rate for the menu based services in this Section B.6 shall be incorporated into the final contract upon award. PBGC makes no representation as to the size of the Fund during the solicitation and contract period. The pricing assumptions provided by PBGC in the solicitation are not indicative of the work the offerors can expect to receive on an annual basis under this contract. Proposals shall be evaluated using the profile found in this section. Populate the assumption tables as needed for the base and all option

PAGE 37 OF 137 PBGC01-RP-14-0007

years. The pricing assumptions apply to all years of the contract and should not be adjusted for inflation. The only pricing changes proposed in the option years shall be the assumed increases in the proposed fixed fee or rates.

Custodial Services:

Domestic Assets (Holdings) $50 Billion

1) Accounts: The charge per account will be the fixed rate.

Number of Accounts

Charge Per Account Annual Price

Active 35 per month $ Passive: 15 per month $ Standard Transitions:

15 per year $

Commingled: 15 per year $

2) International Holdings: The Basis Points will be the fixed rate.

Value of Holdings

Basis Points Annual Price

- Austria 19,347,679 -Argentina 3,162,871 -Australia 185,003,615 -Belgium 34,383,690 -Brazil 233,338,506 -Canada 184,457,255 -Chile 29,524,547 -Columbia 94,384,427 -Costa Rica 2,026,932 -Czech Republic 2,905,675 -Denmark 31,269,614 -Egypt 1,000 -Euroclear 350,286,767 -Finland 8,036,200 -France 276,289,536 -Ghana 2,561,045 -Greece 4,969,935 -Germany 531,047,881 -Hong Kong 75,027,875 -Hungary 49,467,282 -Indonesia 32,550,705 -Ireland 67,756,572 -Israel 7,783,559 -Italy 276,871,659 -Japan 682,232,680 -Mexico 191,347,982 -Malaysia 5,035,370 -Netherlands 85,124,872 -Nigeria 600,328 -Norway 12,656,491 -New Zealand 91,459,999 -Peru 34,790,755 -Philippines 8,019,992 -Poland 106,695,307 -Portugal 1,618,239

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-Romania 13,236,959 -Russia 87,904,078 -South Africa 83,185,713 -Switzerland 134,893,353 -Singapore 9,835,024 -South Korea 32,673,375 -Slovenia 7,587,103 -Spain 128,273,721 -Slovak Republic 1,095,398 -Sweden 64,002,296 -Thailand 45,215,724 -Turkey 83,547,051 -United Kingdom 6,66,603,493 -Uruguay 6,184,672 -Other 63,044,144 Total - - $

3) Custody Fees (Annualized): The Fixed Fee Per Holding will be the fixed rate.

Number of Holdings

Fixed Rate per Holding

Annual Price

DTC Eligible Securities 15,000 FRB Eligible Securities 750 Non-Depository Securities 150

4)…