Attachment_1_-_Statement_of_Work.pdf

Attachment 1 – Statement of Work

The U.S. Securities and Exchange Commission requires a commercial–off-the-shelf product/services that provides access to a database containing historical and current equity ownership composition of publicly held companies. The database shall provide institutional, mutual fund, stakeholder, and float-related share ownership information for U.S. and international equities from 1999 – present.

The database shall include insider transaction data, e.g., insider/stakeholder names, transaction date, shares disposed of or acquired, price, transaction value, type of transaction, for U.S. public company transactions beginning July 1, 2003 – present. The data shall allow users to access and analyze shareholder turnover at specific points in time. The holdings data should account for share price splits and reverse splits so that the data is consistent across quarters.

The database shall include the following information:

Summary data, aggregated both for securities and for holders

• Ownership statistics and analysis

• Investor regional analysis

• Analysis of non-U.S. company shares traded in U.S. markets, i.e. American Depositary Receipts

• Analysis of non-U.S. company shares traded in the company's home market, i.e. Ordinary Shares

• Contact information

• Portfolio characteristics

• Breakdown of holder’s portfolio by region, sector, asset class, and market capitalization

Detailed data for a holder company’s current position in each security

• Position and position change

• Market value adjusted for daily pricing and corporate actions

• Percentage of both portfolio and shares outstanding

• Source

• Metro region and state

• Style

• Turnover

For securities traded on major U.S. exchanges, such as the NYSE, NASDAQ and NYSE Amex Equities, institutional ownership information shall be gathered via 13F filings, as well as by “rolling up” the sum of shares held by the mutual funds managed by a particular institution. For securities not traded on major U.S.

exchanges, i.e. ordinary shares for foreign companies, the “rolling up” method shall be used to gather ownership data.

Insider/declarable stakes data shall be collected via 13D/13G/Canadian early warning reports, registration forms, proxy reports, Insider filings (Forms 3, 4, and 5), public company annual reports and interim financial statements.

The data shall be delivered through a password-protected website for 10 users. The capability to export into spreadsheet format shall be provided.