Attachments_A_(1-3)_-_Securities_Liquidation_Commission_ _Fees.xlsx
XLSX spreadsheet 32 KB Posted
- Attached to
- Fiscal Service Securities Liquidation Services Federal contract opportunity
- Solicitation number
- TFSAFSA14CI0005
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Attachments A (1-3) - Securities Liquidation Commission Fees
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| File | Type | Posted |
|---|---|---|
| TFSAFSA14CI0005-000001.pdf | ||
| TFSAFSA14CI0005.pdf | ||
| Attachment_B_-_Subcontracting_Plan_Template.doc | DOC document |
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Attch A-1 - Sec C & F
| Offeror shall complete the "Notes or Identificatioin of the Contractor/Subcontractor" section per Security/Instrument and Additional Fee, as well as propose their commission and fee rates for each period (highlighted yellow sections). |
| Attachment A-1 - Securities Liquidation Commissions & Fees |
| TFSAFSA14CI0005 |
| Offeror: | |||||||
| Securities/Instruments & Commissions | |||||||
| # | Securities/ Instruments | Notes or Identification of Contractor/Subcontractors | Base Period (12 Mo.) - Commission Rates | Option Period 1 (12 Mo.) - Commission Rates | Option Period 2 (12 Mo.) - Commission Rates | Option Period 3 (12 Mo.) - Commission Rates | Option Period 4 (12 Mo.) - Commission Rates |
| 1 | Common Stocks | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | |||||
| 2 | Warrant A | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | |||||
| 3 | Warrant B | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | |||||
| 4 | Closed End Funds & Exchange Traded Funds (ETFs)* | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | |||||
| 5 | Commodities, and Future Contracts* | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | |||||
| 6 | Preferred Stocks | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | |||||
| 7 | Options: Equity Options, ETF Options, Index Options* | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | |||||
| 8 | Open End Mutual Funds, Mutual Funds, Money Markets, and Unit Investment Trusts (UITs).* | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | |||||
| 9 | Debt Securities - Nine (9) Securities or Less* | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 10 | U.S. Treasury Securities* | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 11 | U.S. Government Agency Debt Securities, Domestic Corporate Debt Securities, Municipal Debt Securities, and Brokered CDs.* | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 12 | Thinly Traded Domestic Corporate Debt.* | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 13 | Foreign Securities: US Dollar Euro Notes | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 14 | Foreign Securities: Unit Ben Int | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 15 | Foreign Securities: Trust Units | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 16 | Foreign Securities: Dollar Subordinate, Dollar OID Notes, Global Depository Receipt (GDR) | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 17 | Foreign Government Debt Securities, Foreign Corporate Debt Securities, and Senior Dollar Notes | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 18 | Non-Public Instruments: Private Stocks, Warrants, Ownership Units, and Debt Securities* | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 19 | Rule 144 Transactions* | Fixed Price ($) per Security |
| ADDITIONAL FEES | |||||||
| # | Additional Fees | Notes or Identification of Contractor/Subcontractors | Base Period (12 Mo.) - Fee or Hourly Rate | Option Period 1 (12 Mo.) - Fee or Hourly Rate | Option Period 2 (12 Mo.) - Fee or Hourly Rate | Option Period 3 (12 Mo.) - Fee or Hourly Rate | Option Period 4 (12 Mo.) - Fee or Hourly Rate |
| 1 | Confirmation Charge | Fixed Price ($) per Security per transaction | |||||
| 2 | Funds Transfer (Wire/ACH) Domestic/International | Fixed Price ($) per Security per transaction | |||||
| 3 | Same Day or Next Day Settlement | Fixed Price ($) per Security per transaction | |||||
| 4 | Ticket Charge(s) | Fixed Price ($) per Security per transaction | |||||
| 5 | Annual Account Fee | Fixed Annual Price ($) | |||||
| 6 | Coupon Collection | Fixed Price ($) per Security per transaction | |||||
| 7 | Return Check Fee | Fixed Price ($) per Security per transaction | |||||
| 8 | Statement Fee | Fixed Price ($) per Security per transaction | |||||
| 9 | Shipping Fees for physical securities | Fixed Price ($) per Security per transaction | |||||
| 10 | Safe Keeping of Custodial Services | Fixed Price ($) per Security per transaction | |||||
| 11 | Investment Banking Services | Fixed Price ($) per Security per transaction | |||||
| 12 | SEC Fee | Fixed Price (%) of Sale of Securities per transaction | |||||
| 13 | 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 | Labor Category & Fully Loaded Labor Rate per hour | |||||
| 14 | Dividend & Interest Payments | Fixed Price per Dividend & Interest Payment |
Attch A-2 Total Evaluated Price
| Offerors shall calculate their total commission (highlighted yellow cells) per Security/Instrument below for each period in accordance with their proposed commission on Attachment A-1. The Government has already inserted a formula to cacluated the Offeror's "Additional Fees" per period based on the Government's estimates for evaluation purposes only and the Offeror's proposed fee rates in Attachment A-1. Offerors shall provide how they calculated their commissions per Security/Instrument per period on the next tab "Offeror's Formula Disclosure" for evaluation purposes. |
| Attachment A -2: Total Evaluated Price |
| TFSAFSA14CI0005 |
| Offeror: | 0 | |||||||||||||||||
| For Evaluation Purposes Only - This is not a direct reflections of the work that will be done, but rather than an estimate for evaluating Offerors' price only. | ||||||||||||||||||
| Securities/Instruments & Commissions | Base Period (12 Mo.) | Option Period 1 (12 Mo.) | Option Period 2 (12 Mo.) | Option Period 3 (12 Mo.) | Option Period 4 (12 Mo.) | Total Evaluated Price Per Security/Instrument | ||||||||||||
| # | Instrument | Notes or Identification of Contractor/Subcontractors | Estimated Yrly Qty Sold (# Shares or Trans) | Estimated Yearly "Sales" or "Principal Amount" | Total Commission | Estimated Yrly Qty Sold (# Shares or Trans) | Estimated Yearly "Sales" or "Principal Amount" | Total Commission | Estimated Yrly Qty Sold (# Shares or Trans) | Estimated Yearly "Sales" or "Principal Amount" | Total Commission | Estimated Yrly Qty Sold (# Shares or Trans) | Estimated Yearly "Sales" or "Principal Amount" | Total Commission | Estimated Yrly Qty Sold (# Shares or Trans) | Estimated Yearly "Sales" or "Principal Amount" | Total Commission | |
| 1 | Common Stocks | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | 2,060,790 | $23,371,665.57 | 2,060,790 | $23,371,665.57 | 2,060,790 | $23,371,665.57 | 2,060,790 | $23,371,665.57 | 2,060,790 | $23,371,665.57 | $0.00 | |||||
| 2 | Warrant A | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | 138,471 | $2,246,743.97 | 138,471 | $2,246,743.97 | 138,471 | $2,246,743.97 | 138,471 | $2,246,743.97 | 138,471 | $2,246,743.97 | $0.00 | |||||
| 3 | Warrant B | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | 141,038 | $1,534,305.07 | 141,038 | $1,534,305.07 | 141,038 | $1,534,305.07 | 141,038 | $1,534,305.07 | 141,038 | $1,534,305.07 | $0.00 | |||||
| 4 | Closed End Funds & Exchange Traded Funds (ETFs)* | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | $0.00 | |||||
| 5 | Commodities, and Future Contracts* | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | $0.00 | |||||
| 6 | Preferred Stocks | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | 1 | $7,446.80 | 1 | $7,446.80 | 1 | $7,446.80 | 1 | $7,446.80 | 1 | $7,446.80 | $0.00 | |||||
| 7 | Options: Equity Options, ETF Options, Index Options* | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | $0.00 | |||||
| 8 | Open End Mutual Funds, Mutual Funds, Money Markets, and Unit Investment Trusts (UITs).* | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | $0.00 | |||||
| 9 | Debt Securities - Nine (9) Securities or Less* | Fixed Price ($) and/or (%) per Security (i.e. base fee) | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | $0.00 | |||||
| 10 | U.S. Treasury Securities* | Fixed Price ($) and/or (%) per Security (i.e. base fee) | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | $0.00 | |||||
| 11 | U.S. Government Agency Debt Securities, Domestic Corporate Debt Securities, Municipal Debt Securities, and Brokered CDs.* | Fixed Price ($) and/or (%) per Security (i.e. base fee) | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | $0.00 | |||||
| 12 | Thinly Traded Domestic Corporate Debt.* | Fixed Price ($) and/or (%) per Security (i.e. base fee) | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | $0.00 | |||||
| 13 | Foreign Securities: US Dollar Euro Notes | Fixed Price ($) and/or (%) per Security (i.e. base fee) | 4,000,000 | $2,173,155.76 | 4,000,000 | $2,173,155.76 | 4,000,000 | $2,173,155.76 | 4,000,000 | $2,173,155.76 | 4,000,000 | $2,173,155.76 | $0.00 | |||||
| 14 | Foreign Securities: Unit Ben Int | Fixed Price ($) and/or (%) per Security (i.e. base fee) | 6,998 | $100,057.82 | 6,998 | $100,057.82 | 6,998 | $100,057.82 | 6,998 | $100,057.82 | 6,998 | $100,057.82 | $0.00 | |||||
| 15 | Foreign Securities: Trust Units | Fixed Price ($) and/or (%) per Security (i.e. base fee) | 8,568 | $120,419.43 | 8,568 | $120,419.43 | 8,568 | $120,419.43 | 8,568 | $120,419.43 | 8,568 | $120,419.43 | $0.00 | |||||
| 16 | Foreign Securities: Dollar Subordinate, Dollar OID Notes, Global Depository Receipt (GDR) | Fixed Price ($) and/or (%) per Security (i.e. base fee) | 714,625 | $710,957.02 | 714,625 | $710,957.02 | 714,625 | $710,957.02 | 714,625 | $710,957.02 | 714,625 | $710,957.02 | $0.00 | |||||
| 17 | Foreign Government Debt Securities, Foreign Corporate Debt Securities, and Senior Dollar Notes | Fixed Price ($) and/or (%) per Security (i.e. base fee) | 3,153,923 | $3,414,121.65 | 3,153,923 | $3,414,121.65 | 3,153,923 | $3,414,121.65 | 3,153,923 | $3,414,121.65 | 3,153,923 | $3,414,121.65 | $0.00 | |||||
| 18 | Non-Public Instruments: Private Stocks, Warrants, Ownership Units, and Debt Securities* | Fixed Price ($) and/or (%) per Security (i.e. base fee) | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | $0.00 | |||||
| 19 | Rule 144 Transactions* | Fixed Price ($) per Security | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | 1 | $1,000.00 | $0.00 | |||||
| Evaluated Subtotal of Instrument Fees: | $0.00 | $0.00 | $0.00 | $0.00 | $0.00 | $0.00 | ||||||||||||
| * Please note the Government has not liquidated any of these instruments over the past 5 years, therefore a minimal value of $1,000 per year has been included for evaluation purposes only. | ||||||||||||||||||
| ADDITIONAL FEES | Base Period (12 Mo.) | Option Period 1 (12 Mo.) | Option Period 2 (12 Mo.) | Option Period 3 (12 Mo.) | Option Period 4 (12 Mo.) | Total Evaluated Price per Additional Fee | ||||||||||||
| # | Additional Fees | Notes or Identification of Contractor/Subcontractors | Est. Yrly Qty (Trans, hours, etc) | Total Fee | Est. Yrly Qty (Trans, hours, etc) | Total Fee | Est. Yrly Qty (Trans, hours, etc) | Total Fee | Est. Yrly Qty (Trans, hours, etc) | Total Fee | Est. Yrly Qty (Trans, hours, etc) | Total Fee | ||||||
| 1 | Confirmation Charge | Fixed Price ($) per Security per transaction | 57 | $0.00 | 57 | $0.00 | 57 | $0.00 | 57 | $0.00 | 57 | $0.00 | $0.00 | |||||
| 2 | Funds Transfer (Wire/ACH) Domestic/International | Fixed Price ($) per Security per transaction | 57 | $0.00 | 57 | $0.00 | 57 | $0.00 | 57 | $0.00 | 57 | $0.00 | $0.00 | |||||
| 3 | Same Day or Next Day Settlement | Fixed Price ($) per Security per transaction | 1 | $0.00 | 1 | $0.00 | 1 | $0.00 | 1 | $0.00 | 1 | $0.00 | $0.00 | |||||
| 4 | Ticket Charge(s) | Fixed Price ($) per Security per transaction | 57 | $0.00 | 57 | $0.00 | 57 | $0.00 | 57 | $0.00 | 57 | $0.00 | $0.00 | |||||
| 5 | Annual Account Fee | Fixed Annual Price ($) | $0.00 | $0.00 | $0.00 | $0.00 | $0.00 | $0.00 | ||||||||||
| 6 | Coupon Collection | Fixed Price ($) per Security per transaction | 1 | $0.00 | 1 | $0.00 | 1 | $0.00 | 1 | $0.00 | 1 | $0.00 | $0.00 | |||||
| 7 | Return Check Fee | Fixed Price ($) per Security per transaction | 1 | $0.00 | 1 | $0.00 | 1 | $0.00 | 1 | $0.00 | 1 | $0.00 | $0.00 | |||||
| 8 | Statement Fee | Fixed Price ($) per Security per transaction | 12 | $0.00 | 12 | $0.00 | 12 | $0.00 | 12 | $0.00 | 12 | $0.00 | $0.00 | |||||
| 9 | Shipping Fees for physical securities | Fixed Price ($) per Security per transaction | 4 | $0.00 | 4 | $0.00 | 4 | $0.00 | 4 | $0.00 | 4 | $0.00 | $0.00 | |||||
| 10 | Safe Keeping of Custodial Services | Fixed Price ($) per Security per transaction | 57 | $0.00 | 57 | $0.00 | 57 | $0.00 | 57 | $0.00 | 57 | $0.00 | $0.00 | |||||
| 11 | Investment Banking Services | Fixed Price ($) per Security per transaction | 57 | $0.00 | 57 | $0.00 | 57 | $0.00 | 57 | $0.00 | 57 | $0.00 | $0.00 | |||||
| 12 | SEC Fee | Fixed Price (%) of Sale of Securities per transaction | 57 | $0.00 | 57 | $0.00 | 57 | $0.00 | 57 | $0.00 | 57 | $0.00 | $0.00 | |||||
| 13 | 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 | Labor Category & Fully Loaded Labor Rate per hour | 100 | $0.00 | 100 | $0.00 | 100 | $0.00 | 100 | $0.00 | 100 | $0.00 | $0.00 | |||||
| 14 | Dividend & Interest Payments | Fixed Price per Dividend & Interest Payment | 10 | $0.00 | 10 | $0.00 | 10 | $0.00 | 10 | $0.00 | 10 | $0.00 | $0.00 | |||||
| Evaluated Subtotal of Additional Fees: | $0.00 | $0.00 | $0.00 | $0.00 | $0.00 | $0.00 |
Overall Total Evulated Fees: $0.00 $0.00 $0.00 $0.00 $0.00 $0.00
Attch A-3 Formula Disclosure
| Offerors shall provide how they calculated their commission per instrument and per period below. |
| Attachment A -3: Offeror's Formula Disclosure Form |
| TFSAFSA14CI0005 |
Offeror: 0
| Securities/Instruments & Commissions | Offeror's Formula Disclosure | ||||||
| # | Instrument | Notes or Identification of Contractor/Subcontractors | Base Period (12-Months) | Option Period 1 (12-Months) | Option Period 2 (12-Months) | Option Period 3 (12-Months) | Option Period 4 (12-Months) |
| 1 | Common Stocks | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | |||||
| 2 | Warrant A | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | |||||
| 3 | Warrant B | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | |||||
| 4 | Closed End Funds & Exchange Traded Funds (ETFs)* | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | |||||
| 5 | Commodities, and Future Contracts* | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | |||||
| 6 | Preferred Stocks | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | |||||
| 7 | Options: Equity Options, ETF Options, Index Options* | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | |||||
| 8 | Open End Mutual Funds, Mutual Funds, Money Markets, and Unit Investment Trusts (UITs).* | Fixed Price ($) and/or (%) per Security (i.e. base fee plus commission %) | |||||
| 9 | Debt Securities - Nine (9) Securities or Less* | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 10 | U.S. Treasury Securities* | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 11 | U.S. Government Agency Debt Securities, Domestic Corporate Debt Securities, Municipal Debt Securities, and Brokered CDs.* | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 12 | Thinly Traded Domestic Corporate Debt.* | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 13 | Foreign Securities: US Dollar Euro Notes | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 14 | Foreign Securities: Unit Ben Int | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 15 | Foreign Securities: Trust Units | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 16 | Foreign Securities: Dollar Subordinate, Dollar OID Notes, Global Depository Receipt (GDR) | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 17 | Foreign Government Debt Securities, Foreign Corporate Debt Securities, and Senior Dollar Notes | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 18 | Non-Public Instruments: Private Stocks, Warrants, Ownership Units, and Debt Securities* | Fixed Price ($) and/or (%) per Security (i.e. base fee) | |||||
| 19 | Rule 144 Transactions* | Fixed Price ($) per Security |
File details come from the government source that posted it. Updated .