SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
___________________
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
AMENDMENT NO.
Smith Corona Corporation
- ----------------------------------
(NAME OF ISSUER)
Common Stock
- ----------------------------------
(TITLE OF CLASS OF SECURITIES)
831858204
- ----------------------------------
(CUSIP NUMBER)
William J. Morgan
Pacholder Associates, Inc.
8044 Montgomery Road, Suite 382
Cincinnati, OH 45236
(513) 985-3200
- ----------------------------------
(NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON
AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS)
March 7, 1997
(DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT)
If the filing person has previously filed a statement on Schedule 13G to
report the acquisition which is the subject of this Schedule 13D, and is
filing this schedule because of Rule 13d-1(b)(3) or (4), check the following
box [ ] .
Check the following box if a fee is being paid with this statement [ ] .
1. NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Pacholder Associates, Inc. 31-1089398
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [ ]
3. SEC USE ONLY
4. SOURCE OF FUNDS*
Inapplicable - Investment Advisor
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e) [ ]
6. CITIZENSHIP OR PLACE OF ORGANIZATION
State of Ohio
7. SOLE VOTING POWER
830,000 shares
8. SHARED VOTING POWER
- 0 -
9. SOLE DISPOSITIVE POWER
830,000 shares
10. SHARED DISPOSITIVE POWER
- 0 -
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
830,000 shares
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* [ ]
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
37.08%
14. TYPE OF REPORTING PERSON*
IA, CO
<PAGE>
This Schedule 13-D is filed by Pacholder Associates, Inc. ("PAI").
Item 1. Security and Issuer
This Schedule 13-D relates to the common stock of Smith Corona
Corporation (the "Company"). The address of the
Company's principal executive offices is 839 NYS Route 13 South, P.O. Box
2090, Cortland, NY 13045.
Item 2. Identity and Background
(a, b, c, f) PAI is a corporation organized under the laws of the State
of Ohio. It is a registered investment advisor. Its business address is 8044
Montgomery Road, Suite 382, Cincinnati, Ohio 45236. The names and addresses
of the directors and officers of PAI are set forth in the attached as Exhibit
A.
Pursuant to a contract dated April 13, 1994 between PAI and the Pension
Benefit Guaranty Corporation ("PBGC") a wholly owned United States Government
Corporation, referenced as Exhibit B, PAI has full and complete discretion for
the investment in the Company, as well as voting the shares. However, under
the terms of the agreement the PBGC has the ability to terminate this contract
at its discretion.
(d) During the last five years neither PAI, nor any of its officers and
directors have been convicted in a criminal proceeding (excluding traffic
violations or similar misdemeanors).
(e) During the last five years neither PAI, nor any of its officers and
directors were a party to a civil proceeding of a judicial or administrative
body of competent jurisdiction and as a result of such proceeding was or is
subject to a judgment, decree, or final order enjoining future violations of,
or prohibiting or mandating activities subject to, federal or state securities
laws or finding any violation with respect to such laws.
Item 3. Source and Amounts of Funds and Other Consideration
See Item 4.
Item 4. Purpose of Transaction
Since March 7, 1997, PAI has acted as financial advisor to the PBGC in
the voting, acquisition or sale of securities of the Company.
William J. Morgan, the President and a Director of PAI was elected to the
Company's Board of Directors on February 28, 1997.
As of the date of this filing PAI has no plans or proposals which relate
to or would result in any of the following:
(a) The acquisition of securities or the disposition of securities of
the Company;
(b) An extraordinary corporate transaction, such as a merger,
reorganization or liquidation, involving the Company or any of its
subsidiaries;
(c) A sale or transfer of a material amount of assets of the Company or
any of its subsidiaries;
(d) Any change in the present board of directors or management of the
Company, including any plans or proposals to change the number or term of
directors or to fill any existing vacancies on the board;
(e) Any material change in the present capitalization or dividend policy
of the Company;
(f) Any other material change in the Company's business or corporate
structure;
(g) Changes in the Company's charter, bylaws or instruments
corresponding thereto or other actions which may impede the acquisition or
control of the issuer by any person;
(h) Causing a class of securities to be delisted from a national
securities exchange or to cease to be authorized to be quoted in an inter-
dealer quotation system of a registered national securities association;
(i) A class of equity securities of the Company becoming eligible for
termination of registration pursuant to Section 12(g)(4) of the Act; or
(j) Any action similar to any of those enumerated above.
Item 5. Interest in Securities of the Company
(a) Pursuant to the contract between the PBGC and PAI, PAI beneficially
owns, 830,000 common shares, or 37.08% of all issued and outstanding shares.
(b) As long as the contract between the PBGC and PAI is in effect, PAI
has the power to vote and dispose of all 830,000 shares held by the PBGC.
(c) None.
(d) The PBGC.
(e) Not applicable
Item 6. Contracts, Arrangements, Understandings or Relationships With Respect
to Securities of the Issuer
Information respective to Item 6 is set forth in Item 2 above.
<PAGE>
Item 7. Material to be Filed as Exhibits
Exhibit Number Title of Document
A. Names and addresses of officers
and directors of PAI
B. Contract between the PBGC and PAI *
C. Modification No. 1 to Contract
dated 5/23/94
D. Modification No. 2 to Contract
dated 6/23/94
E. Modification No. 3 to Contract
dated 9/28/94
F. Modification No. 4 to Contract
dated 12/13/94
G. Modification No. 5 to Contract
dated 1/4/95
H. Modification No. 6 to Contract
dated 4/7/95
I. Modification No. 7 to Contract
dated 9/13/95
J. Modification No. 8 to Contract
dated 11/1/95
K. Modification No. 9 to Contract
dated 12/1/95
L. Modification No. 10 to Contract
dated 12/1/95
M. Modification No. 11 to Contract
dated 8/12/96
N. Modification No. 12 to Contract
dated 8/30/96
O. Modification No. 13 to Contract
dated 9/20/96
P. Modification No. 14 to Contract
dated 10/22/96
Q. Modification No. 15 to Contract
dated 2/19/97
*Incorporated by reference to Kaiser Ventures, Inc. (fka Kaiser
Resources, Inc.) Schedule 13-D original filing dated May 23, 1994
<PAGE>
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true,
complete and correct.
Pacholder Associates, Inc.
March 12, 1997
Date
/s/ William J. Morgan
Signature
President
Title
<PAGE>
EXHIBIT A
Dr. Asher O. Pacholder
Chairman of the Board and Director
c/o ICO, Inc.
100 Glenborough Dr., Suite 250
Houston, TX 77067
Mr. William J. Morgan
President and Director
Pacholder Associates, Inc.
8044 Montgomery Road, Suite 382
Cincinnati, OH 45236
Mr. James P. Shanahan, Jr.
Executive Vice President
and General Counsel
Pacholder Associates, Inc.
8044 Montgomery Road, Suite 382
Cincinnati, OH 45236
Mr. Thomas M. Barnhart II
Senior Vice President
and Associate General Counsel
Pacholder Associates, Inc.
8044 Montgomery Road, Suite 382
Cincinnati, OH 45236
Mr. Anthony L. Longi, Jr.
Executive Vice President
Pacholder Associates, Inc.
8044 Montgomery Road, Suite 382
Cincinnati, OH 45236
Mr. Robert C. Amenta
Senior Vice President
Pacholder Associates, Inc.
8044 Montgomery Road, Suite 382
Cincinnati, OH 45236
Mr. James E. Gibson
Senior Vice President
Pacholder Associates, Inc.
8044 Montgomery Road, Suite 382
Cincinnati, OH 45236
Mr. Michael J. Bennett
Vice President
Pacholder Associates, Inc.
8044 Montgomery Road, Suite 382
Cincinnati, OH 45236
Mr. Bernard M. Casey
Vice President
Pacholder Associates, Inc.
8044 Montgomery Road, Suite 382
Cincinnati, OH 45236
Mr. Mark H. Prenger
Assistant Vice President
Pacholder Associates, Inc.
8044 Montgomery Road, Suite 382
Cincinnati, OH 45236
Ms. Virginia A. Miller
Assistant Vice President
Pacholder Associates, Inc.
8044 Montgomery Road, Suite 382
Cincinnati, OH 45236
Mr. Nickolas J. Sakelos
Assistant Vice President
Pacholder Associates, Inc.
8044 Montgomery Road, Suite 382
Cincinnati, OH 45236
<PAGE>
EXHIBIT C
<TABLE>
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AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE PAGE OF PAGES
1 1
- -----------------------------------------------------------------------------------------------------------------------------------
2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable)
T00001 05/23/94 Memo Dtd 5/23/94
- -----------------------------------------------------------------------------------------------------------------------------------
6. ISSUED BY CODE 35000 7. ADMINISTERED BY (If other than Item 6) CODE
PENSION BENEFIT GUARANTY CORPORATION
PROCUREMENT DEPARTMENT
1200 K STREET, N.W., SUITE 510
WASHINGTON, DC 20005-4026
MARILYN SILVERMAN C02 202/326-4160 X3322
- -----------------------------------------------------------------------------------------------------------------------------------
8. NAME AND ADDRESS OF CONTRACTOR Vendor ID: 00002760 (X) 9A. AMENDMENT OF SOLICITATION NO.
(No., street, county, State and ZIP Code)
Pacholder Associates, Inc. ----------------------------------------
Towers of Kenwood 9B. DATED (SEE ITEM 11)
8044 Montgomery Road, Suite 382
Cincinnati OH 45236 ----------------------------------------
Attn: Mr. William J. Morgan 10A. MODIFICATION OF CONTRACT/ORDER NO.
X PBGC-J-0436
----------------------------------------
10B. DATED (SEE ITEM 13)
4/1/94
- -------------------------------------------------------------------------------
CODE FACILITY CODE
- -----------------------------------------------------------------------------------------------------------------------------------
11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
- -----------------------------------------------------------------------------------------------------------------------------------
[ ] The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers
[ ] is extended, [ ] is not extended.
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one
of the following methods:
(a) By completing Items 8 and 15, and returning _____ copies of the amendment; (b) By acknowledging receipt of this amendment on
each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE
HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer
already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the
solicitation and this amendment, and is received prior to the opening hour and date specified.
- -----------------------------------------------------------------------------------------------------------------------------------
12. ACCOUNTING AND APPROPRIATION DATA (If required)
N/A
- -----------------------------------------------------------------------------------------------------------------------------------
13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,
IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
- -----------------------------------------------------------------------------------------------------------------------------------
(X) A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT
ORDER NO. IN ITEM 10A.
X
- -----------------------------------------------------------------------------------------------------------------------------------
B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,
appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).
- -----------------------------------------------------------------------------------------------------------------------------------
C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
- -----------------------------------------------------------------------------------------------------------------------------------
D. OTHER (Specify type of modification and authority)
- -----------------------------------------------------------------------------------------------------------------------------------
E. IMPORTANT: Contractor [X] is not, [ ] is required to sign this document and return _____ copies to the issuing office.
- -----------------------------------------------------------------------------------------------------------------------------------
14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where
feasible.)
The contract is hereby modified as follows:
1. Under Section G-2, "Submission of Invoices and Method of Payment,"
the first sentence is changed to the following, "A quarterly invoice
shall be submitted in an original and (1) copy for work performed.
Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains
unchanged and in full force and effect.
- -----------------------------------------------------------------------------------------------------------------------------------
15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
ROBERT W. HERTING AO1
- -----------------------------------------------------------------------------------------------------------------------------------
15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED
BY ROBERT W. HERTING 5-24-94
---------------------------------------- ----------------------------------
(Signature of person authorized to sign) (Signature of Contracting Officer)
==================================================================================================================================
NSN 7540-01-152-8070 STANDARD FORM 30 (REV. 10-83)
PREVIOUS EDITION UNUSABLE Prescribed by GSA
FAR (48 CFR) 53.243
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EXHIBIT D
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AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE PAGE OF PAGES
1 1
- -----------------------------------------------------------------------------------------------------------------------------------
2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable)
T00002 06/23/94 PBGC01-CF4183
- -----------------------------------------------------------------------------------------------------------------------------------
6. ISSUED BY CODE 35000 7. ADMINISTERED BY (If other than Item 6) CODE
PENSION BENEFIT GUARANTY CORPORATION
PROCUREMENT DEPARTMENT
1200 K STREET, N.W., SUITE 510
WASHINGTON, DC 20005-4026
MARILYN SILVERMAN C02 202/326-4160 X3322
- -----------------------------------------------------------------------------------------------------------------------------------
8. NAME AND ADDRESS OF CONTRACTOR Vendor ID: 00002760 (X) 9A. AMENDMENT OF SOLICITATION NO.
(No., street, county, State and ZIP Code)
Pacholder Associates, Inc. ----------------------------------------
Towers of Kenwood 9B. DATED (SEE ITEM 11)
8044 Montgomery Road, Suite 382
Cincinnati OH 45236 ----------------------------------------
10A. MODIFICATION OF CONTRACT/ORDER NO.
X PBGC-J-4-0436
----------------------------------------
10B. DATED (SEE ITEM 13)
03/25/94
- -------------------------------------------------------------------------------
CODE FACILITY CODE
- -----------------------------------------------------------------------------------------------------------------------------------
11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
- -----------------------------------------------------------------------------------------------------------------------------------
[ ] The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers
[ ] is extended, [ ] is not extended.
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one
of the following methods:
(a) By completing Items 8 and 15, and returning _____ copies of the amendment; (b) By acknowledging receipt of this amendment on
each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE
HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer
already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the
solicitation and this amendment, and is received prior to the opening hour and date specified.
- -----------------------------------------------------------------------------------------------------------------------------------
12. ACCOUNTING AND APPROPRIATION DATA (If required)
1-7-1100-1-33500-2512 DECREASE: $100,000
- -----------------------------------------------------------------------------------------------------------------------------------
13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,
IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
- -----------------------------------------------------------------------------------------------------------------------------------
(X) A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT
ORDER NO. IN ITEM 10A.
X
- -----------------------------------------------------------------------------------------------------------------------------------
B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,
appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).
- -----------------------------------------------------------------------------------------------------------------------------------
C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
- -----------------------------------------------------------------------------------------------------------------------------------
D. OTHER (Specify type of modification and authority)
- -----------------------------------------------------------------------------------------------------------------------------------
E. IMPORTANT: Contractor [X] is not, [ ] is required to sign this document and return _____ copies to the issuing office.
- -----------------------------------------------------------------------------------------------------------------------------------
14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where
feasible.)
THIS CONTRACT IS HEREBY MODIFIED AS FOLLOWS:
1. FUNDS IN THE AMOUNT OF $100,000.00 ARE HEREBY DEOBLIGATED
FROM THIS CONTRACT.
2. THE TOTAL AMOUNT OF THE CONTRACT AS DECREASED FROM
$300,000.00 TO $200,000.00.
Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains
unchanged and in full force and effect.
- -----------------------------------------------------------------------------------------------------------------------------------
15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
ROBERT W. HERTING AO1
- -----------------------------------------------------------------------------------------------------------------------------------
15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED
BY CHRISTINA PAPAVASILIAN 6-28-95
---------------------------------------- ----------------------------------
(Signature of person authorized to sign) (Signature of Contracting Officer)
===================================================================================================================================
NSN 7540-01-152-8070 STANDARD FORM 30 (REV. 10-83)
PREVIOUS EDITION UNUSABLE Prescribed by GSA
FAR (48 CFR) 53.243
</TABLE>
<PAGE>
EXHIBIT E
<TABLE>
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AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE PAGE OF PAGES
1 1
- -----------------------------------------------------------------------------------------------------------------------------------
2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable)
Modification 3 Upon Signature N/A
- -----------------------------------------------------------------------------------------------------------------------------------
6. ISSUED BY CODE 7. ADMINISTERED BY (If other than Item 6) CODE
PENSION BENEFIT GUARANTY CORPORATION See Block 6
PROCUREMENT DEPARTMENT
1200 K STREET, N.W., SUITE 510
WASHINGTON, DC 20005
- -----------------------------------------------------------------------------------------------------------------------------------
8. NAME AND ADDRESS OF CONTRACTOR Vendor ID: 00002760 (X) 9A. AMENDMENT OF SOLICITATION NO.
(No., street, county, State and ZIP Code)
Pacholder Associates, Inc. ----------------------------------------
Towers of Kenwood 9B. DATED (SEE ITEM 11)
8044 Montgomery Road, Suite 382
Cincinnati OH 45236 ----------------------------------------
10A. MODIFICATION OF CONTRACT/ORDER NO.
X J-94-0436
----------------------------------------
10B. DATED (SEE ITEM 13)
03/25/94
- -------------------------------------------------------------------------------
CODE FACILITY CODE
- -----------------------------------------------------------------------------------------------------------------------------------
11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
- -----------------------------------------------------------------------------------------------------------------------------------
[ ] The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers
[ ] is extended, [ ] is not extended.
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one
of the following methods:
(a) By completing Items 8 and 15, and returning _____ copies of the amendment; (b) By acknowledging receipt of this amendment on
each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE
HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer
already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the
solicitation and this amendment, and is received prior to the opening hour and date specified.
- -----------------------------------------------------------------------------------------------------------------------------------
12. ACCOUNTING AND APPROPRIATION DATA (If required)
1-7-1100-1-33500-2512 ($97,000)
- -----------------------------------------------------------------------------------------------------------------------------------
13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,
IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
- -----------------------------------------------------------------------------------------------------------------------------------
(X) A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT
ORDER NO. IN ITEM 10A.
- -----------------------------------------------------------------------------------------------------------------------------------
B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,
X appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).
- -----------------------------------------------------------------------------------------------------------------------------------
C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
- -----------------------------------------------------------------------------------------------------------------------------------
D. OTHER (Specify type of modification and authority)
- -----------------------------------------------------------------------------------------------------------------------------------
E. IMPORTANT: Contractor [XX] is not, [ ] is required to sign this document and return _____ copies to the issuing office.
- -----------------------------------------------------------------------------------------------------------------------------------
14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where
feasible.)
THIS CONTRACT IS HEREBY MODIFIED TO REFLECT THE FOLLOWING CHANGES:
1. Total value of subject contract is hereby decreased by $97,000 from $200,000 to
$103,000.
2. Total FY94 funds obligated against this contract are hereby decreased by $97,000, from
$200,000 to $103,000.
Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains
unchanged and in full force and effect.
- -----------------------------------------------------------------------------------------------------------------------------------
15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
Robert W. Herting
Contracting Officer
- -----------------------------------------------------------------------------------------------------------------------------------
15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED
BY ROBERT W. HERTING 9-28-94
---------------------------------------- ----------------------------------
(Signature of person authorized to sign) (Signature of Contracting Officer)
===================================================================================================================================
NSN 7540-01-152-8070 STANDARD FORM 30 (REV. 10-83)
PREVIOUS EDITION UNUSABLE Prescribed by GSA
FAR (48 CFR) 53.243
</TABLE>
<PAGE>
EXHIBIT F
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AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE PAGE OF PAGES
1 1
- -----------------------------------------------------------------------------------------------------------------------------------
2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable)
T00004 12/13/94 PBGC01-CF5058
- -----------------------------------------------------------------------------------------------------------------------------------
6. ISSUED BY CODE 35000 7. ADMINISTERED BY (If other than Item 6) CODE
PENSION BENEFIT GUARANTY CORPORATION
PROCUREMENT DEPARTMENT
1200 K STREET, N.W., SUITE 510
WASHINGTON, DC 20005-4026
DANIEL O'BRIEN C06 202/326-4160
- -----------------------------------------------------------------------------------------------------------------------------------
8. NAME AND ADDRESS OF CONTRACTOR Vendor ID: 00002760 (X) 9A. AMENDMENT OF SOLICITATION NO.
(No., street, county, State and ZIP Code)
Pacholder Associates, Inc. ----------------------------------------
Towers of Kenwood 9B. DATED (SEE ITEM 11)
8044 Montgomery Road, Suite 382
Cincinnati OH 45236 ----------------------------------------
10A. MODIFICATION OF CONTRACT/ORDER NO.
X PBGC-J-4-0436
----------------------------------------
10B. DATED (SEE ITEM 13)
03/25/94
- -------------------------------------------------------------------------------
CODE FACILITY CODE
- -----------------------------------------------------------------------------------------------------------------------------------
11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
- -----------------------------------------------------------------------------------------------------------------------------------
[ ] The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers
[ ] is extended, [ ] is not extended.
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one
of the following methods:
(a) By completing Items 8 and 15, and returning _____ copies of the amendment; (b) By acknowledging receipt of this amendment on
each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE
HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer
already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the
solicitation and this amendment, and is received prior to the opening hour and date specified.
- -----------------------------------------------------------------------------------------------------------------------------------
12. ACCOUNTING AND APPROPRIATION DATA (If required)
1-7-1100-1-31000-2512 increase: $300,000
- -----------------------------------------------------------------------------------------------------------------------------------
13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,
IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
- -----------------------------------------------------------------------------------------------------------------------------------
(X) A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT
ORDER NO. IN ITEM 10A.
X
- -----------------------------------------------------------------------------------------------------------------------------------
B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,
appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).
- -----------------------------------------------------------------------------------------------------------------------------------
C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
- -----------------------------------------------------------------------------------------------------------------------------------
D. OTHER (Specify type of modification and authority)
- -----------------------------------------------------------------------------------------------------------------------------------
E. IMPORTANT: Contractor [X] is not, [ ] is required to sign this document and return _____ copies to the issuing office.
- -----------------------------------------------------------------------------------------------------------------------------------
14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where
feasible.)
Subject contract is hereby modified to reflect the following changes:
1. The total value of subject contract is hereby increased by
$300,000, from $103,000 to $403,000.
2. Total FY '95 funds obligated against subject contract are
$300,000.
Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains
unchanged and in full force and effect.
- -----------------------------------------------------------------------------------------------------------------------------------
15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
ROBERT W. HERTING AO1
- -----------------------------------------------------------------------------------------------------------------------------------
15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED
BY ROBERT W. HERTING 12-14-94
---------------------------------------- ----------------------------------
(Signature of person authorized to sign) (Signature of Contracting Officer)
===================================================================================================================================
NSN 7540-01-152-8070 STANDARD FORM 30 (REV. 10-83)
PREVIOUS EDITION UNUSABLE Prescribed by GSA
FAR (48 CFR) 53.243
</TABLE>
<PAGE>
EXHIBIT G
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AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE PAGE OF PAGES
1 2
- -----------------------------------------------------------------------------------------------------------------------------------
2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable)
T00005 06/23/94 PBGC01-CF5063
- -----------------------------------------------------------------------------------------------------------------------------------
6. ISSUED BY CODE 35000 7. ADMINISTERED BY (If other than Item 6) CODE
PENSION BENEFIT GUARANTY CORPORATION
PROCUREMENT DEPARTMENT
1200 K STREET, N.W., SUITE 510
WASHINGTON, DC 20005-4026
DANIEL O'BRIEN C06 202/326-4160
- -----------------------------------------------------------------------------------------------------------------------------------
8. NAME AND ADDRESS OF CONTRACTOR Vendor ID: 00002760 (X) 9A. AMENDMENT OF SOLICITATION NO.
(No., street, county, State and ZIP Code)
Pacholder Associates, Inc. ----------------------------------------
Towers of Kenwood 9B. DATED (SEE ITEM 11)
8044 Montgomery Road, Suite 382
Cincinnati OH 45236 ----------------------------------------
10A. MODIFICATION OF CONTRACT/ORDER NO.
X J-5-0436
----------------------------------------
10B. DATED (SEE ITEM 13)
03/25/94
- -------------------------------------------------------------------------------
CODE FACILITY CODE
- -----------------------------------------------------------------------------------------------------------------------------------
11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
- -----------------------------------------------------------------------------------------------------------------------------------
[ ] The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers
[ ] is extended, [ ] is not extended.
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one
of the following methods:
(a) By completing Items 8 and 15, and returning _____ copies of the amendment; (b) By acknowledging receipt of this amendment on
each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE
HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer
already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the
solicitation and this amendment, and is received prior to the opening hour and date specified.
- -----------------------------------------------------------------------------------------------------------------------------------
12. ACCOUNTING AND APPROPRIATION DATA (If required)
1-7-1100-1-31000-2512 DECREASE: $100,000.00
- -----------------------------------------------------------------------------------------------------------------------------------
13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,
IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
- -----------------------------------------------------------------------------------------------------------------------------------
(X) A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT
ORDER NO. IN ITEM 10A.
X
- -----------------------------------------------------------------------------------------------------------------------------------
B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,
appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).
- -----------------------------------------------------------------------------------------------------------------------------------
C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
- -----------------------------------------------------------------------------------------------------------------------------------
D. OTHER (Specify type of modification and authority)
- -----------------------------------------------------------------------------------------------------------------------------------
E. IMPORTANT: Contractor [X] is not, [ ] is required to sign this document and return _____ copies to the issuing office.
- -----------------------------------------------------------------------------------------------------------------------------------
14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where
feasible.)
Subject contract is hereby modified to reflect the following changes:
1. The total value of subject contract is hereby decreased by
$100,000.00 from $403,000.00 to $303,000.00.
2. Total FY 95 funds obligated against subject contract are
hereby decreased by $100,000.00 from $300,000.00 to
Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains
unchanged and in full force and effect.
- -----------------------------------------------------------------------------------------------------------------------------------
15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
ROBERT W. HERTING AO1
- -----------------------------------------------------------------------------------------------------------------------------------
15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED
BY ROBERT W. HERTING 1-4-94-'95
---------------------------------------- ----------------------------------
(Signature of person authorized to sign) (Signature of Contracting Officer)
===================================================================================================================================
NSN 7540-01-152-8070 STANDARD FORM 30 (REV. 10-83)
PREVIOUS EDITION UNUSABLE Prescribed by GSA
FAR (48 CFR) 53.243
</TABLE>
<PAGE>
SF 30 CONTINUATION SHEET
$200,000.00.
PBGC-J-4-0436 Mod. T00005 2
<PAGE>
EXHIBIT H
<TABLE>
<S> <C> <C>
===================================================================================================================================
AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE PAGE OF PAGES
PBGC-J-5-0436 1 1
- -----------------------------------------------------------------------------------------------------------------------------------
2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable)
Modification 6 Upon Signature N/A
- -----------------------------------------------------------------------------------------------------------------------------------
6. ISSUED BY CODE 35000 7. ADMINISTERED BY (If other than Item 6) CODE
PENSION BENEFIT GUARANTY CORPORATION See Block 6
PROCUREMENT DEPARTMENT
1200 K STREET, N.W., SUITE 510
WASHINGTON, DC 20005
- -----------------------------------------------------------------------------------------------------------------------------------
8. NAME AND ADDRESS OF CONTRACTOR Vendor ID: 00002760 (X) 9A. AMENDMENT OF SOLICITATION NO.
(No., street, county, State and ZIP Code)
Pacholder Associates, Inc. ----------------------------------------
Towers of Kenwood 9B. DATED (SEE ITEM 11)
8044 Montgomery Road, Suite 382
Cincinnati OH 45236 ----------------------------------------
10A. MODIFICATION OF CONTRACT/ORDER NO.
X PBGC-J-5-0436
----------------------------------------
10B. DATED (SEE ITEM 13)
3/25/94
- -------------------------------------------------------------------------------
CODE FACILITY CODE
- -----------------------------------------------------------------------------------------------------------------------------------
11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
- -----------------------------------------------------------------------------------------------------------------------------------
[ ] The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers
[ ] is extended, [ ] is not extended.
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one
of the following methods:
(a) By completing Items 8 and 15, and returning _____ copies of the amendment; (b) By acknowledging receipt of this amendment on
each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE
HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer
already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the
solicitation and this amendment, and is received prior to the opening hour and date specified.
- -----------------------------------------------------------------------------------------------------------------------------------
12. ACCOUNTING AND APPROPRIATION DATA (If required)
N/A
- -----------------------------------------------------------------------------------------------------------------------------------
13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,
IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
- -----------------------------------------------------------------------------------------------------------------------------------
(X) A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT
ORDER NO. IN ITEM 10A.
- -----------------------------------------------------------------------------------------------------------------------------------
B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,
X appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).
- -----------------------------------------------------------------------------------------------------------------------------------
C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
- -----------------------------------------------------------------------------------------------------------------------------------
D. OTHER (Specify type of modification and authority)
- -----------------------------------------------------------------------------------------------------------------------------------
E. IMPORTANT: Contractor [X] is not, [ ] is required to sign this document and return _____ copies to the issuing office.
- -----------------------------------------------------------------------------------------------------------------------------------
14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where
feasible.)
Subject contract is hereby modified to reflect the following changes:
1. Robert Perlstein is hereby deleted as COTR and replaced with Frank Tate.
Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains
unchanged and in full force and effect.
- -----------------------------------------------------------------------------------------------------------------------------------
15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
ROBERT W. HERTING
Contracting Officer
- -----------------------------------------------------------------------------------------------------------------------------------
15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED
BY ROBERT W. HERTING 4-7-95
---------------------------------------- ----------------------------------
(Signature of person authorized to sign) (Signature of Contracting Officer)
===================================================================================================================================
NSN 7540-01-152-8070 STANDARD FORM 30 (REV. 10-83)
PREVIOUS EDITION UNUSABLE Prescribed by GSA
FAR (48 CFR) 53.243
</TABLE>
<PAGE>
EXHIBIT I
<TABLE>
<S> <C> <C>
===================================================================================================================================
AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE PAGE OF PAGES
1 2
- -----------------------------------------------------------------------------------------------------------------------------------
2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable)
T00007 PBGC01-CF5187
- -----------------------------------------------------------------------------------------------------------------------------------
6. ISSUED BY CODE 35000 7. ADMINISTERED BY (If other than Item 6) CODE 34400
PENSION BENEFIT GUARANTY CORPORATION PENSION BENEFIT GUARANTY CORPORATION
PROCUREMENT DEPARTMENT PROCUREMENT DIVISION
1200 K STREET, N.W., SUITE 510 2020 K STREET, NW, CODE 34400
WASHINGTON, DC 20005-4026 WASHINGTON, DC 20006
MARILYN SILVERMAN C02 202/326-4160 X3322
- -----------------------------------------------------------------------------------------------------------------------------------
8. NAME AND ADDRESS OF CONTRACTOR Vendor ID: 00002760 (X) 9A. AMENDMENT OF SOLICITATION NO.
(No., street, county, State and ZIP Code)
Pacholder Associates, Inc. ----------------------------------------
Towers of Kenwood 9B. DATED (SEE ITEM 11)
8044 Montgomery Road, Suite 382
Cincinnati OH 45236 ----------------------------------------
10A. MODIFICATION OF CONTRACT/ORDER NO.
Attn: William Morgan
X J-5-0436
----------------------------------------
10B. DATED (SEE ITEM 13)
03/25/94
- -------------------------------------------------------------------------------
CODE FACILITY CODE
- -----------------------------------------------------------------------------------------------------------------------------------
11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
- -----------------------------------------------------------------------------------------------------------------------------------
[ ] The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers
[ ] is extended, [ ] is not extended.
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one
of the following methods:
(a) By completing Items 8 and 15, and returning _____ copies of the amendment; (b) By acknowledging receipt of this amendment on
each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE
HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer
already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the
solicitation and this amendment, and is received prior to the opening hour and date specified.
- -----------------------------------------------------------------------------------------------------------------------------------
12. ACCOUNTING AND APPROPRIATION DATA (If required)
1-7-1100-1-31000-2531 INCREASE: $18,400.00
- -----------------------------------------------------------------------------------------------------------------------------------
13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,
IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
- -----------------------------------------------------------------------------------------------------------------------------------
(X) A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT
ORDER NO. IN ITEM 10A.
X
- -----------------------------------------------------------------------------------------------------------------------------------
B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,
appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).
- -----------------------------------------------------------------------------------------------------------------------------------
C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
- -----------------------------------------------------------------------------------------------------------------------------------
D. OTHER (Specify type of modification and authority)
- -----------------------------------------------------------------------------------------------------------------------------------
E. IMPORTANT: Contractor [X] is not, [ ] is required to sign this document and return _____ copies to the issuing office.
- -----------------------------------------------------------------------------------------------------------------------------------
14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where
feasible.)
Subject contract is hereby modified to reflect the following changes:
1. The total amount of the contract is hereby increased
from $303,000.00 to $321,400,000.
2. Total FY '95 funds obligated against subject contract
are hereby increased from $200,000 to $218,400.00.
Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains
unchanged and in full force and effect.
- -----------------------------------------------------------------------------------------------------------------------------------
15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
ROBERT W. HERTING AO1
- -----------------------------------------------------------------------------------------------------------------------------------
15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED
BY ROBERT W. HERTING 9-13-93
---------------------------------------- ----------------------------------
(Signature of person authorized to sign) (Signature of Contracting Officer)
===================================================================================================================================
NSN 7540-01-152-8070 STANDARD FORM 30 (REV. 10-83)
PREVIOUS EDITION UNUSABLE Prescribed by GSA
FAR (48 CFR) 53.243
</TABLE>
<PAGE>
EXHIBIT J
<TABLE>
<S> <C> <C>
===================================================================================================================================
AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE PAGE OF PAGES
1 2
- -----------------------------------------------------------------------------------------------------------------------------------
2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable)
8 PBGC01-CF6018
- -----------------------------------------------------------------------------------------------------------------------------------
6. ISSUED BY CODE 35000 7. ADMINISTERED BY (If other than Item 6) CODE
PENSION BENEFIT GUARANTY CORPORATION
PROCUREMENT DEPARTMENT
1200 K STREET, N.W., SUITE 510
WASHINGTON, DC 20005-4026
TINA PAPAVASILOU C01 202/326-4160 X 3324
- -----------------------------------------------------------------------------------------------------------------------------------
8. NAME AND ADDRESS OF CONTRACTOR Vendor ID: 00002760 (X) 9A. AMENDMENT OF SOLICITATION NO.
(No., street, county, State and ZIP Code)
Pacholder Associates, Inc. ----------------------------------------
Towers of Kenwood 9B. DATED (SEE ITEM 11)
8044 Montgomery Road, Suite 382
Cincinnati OH 45236 ----------------------------------------
10A. MODIFICATION OF CONTRACT/ORDER NO.
Attn: William Morgan
X J-6-0436
----------------------------------------
10B. DATED (SEE ITEM 13)
03/25/94
- -------------------------------------------------------------------------------
CODE FACILITY CODE
- -----------------------------------------------------------------------------------------------------------------------------------
11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
- -----------------------------------------------------------------------------------------------------------------------------------
[ ] The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers
[ ] is extended, [ ] is not extended.
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one
of the following methods:
(a) By completing Items 8 and 15, and returning _____ copies of the amendment; (b) By acknowledging receipt of this amendment on
each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE
HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer
already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the
solicitation and this amendment, and is received prior to the opening hour and date specified.
- -----------------------------------------------------------------------------------------------------------------------------------
12. ACCOUNTING AND APPROPRIATION DATA (If required)
1-7-1000-1-32000-2512 INCREASE: $250,000.00
- -----------------------------------------------------------------------------------------------------------------------------------
13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,
IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
- -----------------------------------------------------------------------------------------------------------------------------------
(X) A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT
ORDER NO. IN ITEM 10A.
X
- -----------------------------------------------------------------------------------------------------------------------------------
B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,
appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).
- -----------------------------------------------------------------------------------------------------------------------------------
C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
- -----------------------------------------------------------------------------------------------------------------------------------
D. OTHER (Specify type of modification and authority)
- -----------------------------------------------------------------------------------------------------------------------------------
E. IMPORTANT: Contractor [X] is not, [ ] is required to sign this document and return _____ copies to the issuing office.
- -----------------------------------------------------------------------------------------------------------------------------------
14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where
feasible.)
Subject contract is hereby modified to reflect the following changes:
1. Modification No. 4 added FY 95 funds for option year one.
However, it did not clearly state that these funds were
to exercise option year 1.
Correct Modification No. 4 as follows:
Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains
unchanged and in full force and effect.
- -----------------------------------------------------------------------------------------------------------------------------------
15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
ROBERT W. HERTING AO1
- -----------------------------------------------------------------------------------------------------------------------------------
15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED
BY ROBERT W. HERTING 11-1-95
---------------------------------------- ----------------------------------
(Signature of person authorized to sign) (Signature of Contracting Officer)
===================================================================================================================================
NSN 7540-01-152-8070 STANDARD FORM 30 (REV. 10-83)
PREVIOUS EDITION UNUSABLE Prescribed by GSA
FAR (48 CFR) 53.243
</TABLE>
<PAGE>
SF 30 CONTINUATION SHEET
2. Article F-4 Period of Performance is hereby amended to extend the
contract from October 1, 1994 through September 30, 1995.
3. Additional funds in the amount of $250,000.00 are hereby obligated to
the contract.
The Pension Benefit Guaranty Corporation is exercising its 2nd option
year for the period October 1, 1995 through September 30, 1996.
Therefore, the following articles are amended as follows:
4. The total price of this contract is increased from $321,400.00 to
$571,400.00.
5. The total amount obligated for FY 96 is $250,000.00.
6. For purposes of fiscal year accountability the contract number is
changed from J-5-0436 to J-6-0436.
7. Section G.2, Submission of Invoices and Method of Payment first
paragraph is deleted in its entirety in its entirety and changed to the
following:
A monthly invoice shall be submitted on SF1034 and SF1035, in an
original and (1) copy for work performed hereunder to:
Pension Benefit Guaranty Corporation
Controller Operations Div/General Accounting Branch
1200 K Street, NW, Suite 640
Washington, DC 20005-4026
ALSO SEND ONE COPY TO:
Pension Benefit Guaranty Corporation
Attn: Procurement Department
1200 K Street, NW, Suite 510
Washington, D.C. 20005-4026
Mod. 8 2
<PAGE>
EXHIBIT K
<TABLE>
<S> <C> <C>
===================================================================================================================================
AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE PAGE OF PAGES
1 3
- -----------------------------------------------------------------------------------------------------------------------------------
2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable)
9 memo dtd. 10/18/95
- -----------------------------------------------------------------------------------------------------------------------------------
6. ISSUED BY CODE 35000 7. ADMINISTERED BY (If other than Item 6) CODE
PENSION BENEFIT GUARANTY CORPORATION
PROCUREMENT DEPARTMENT
1200 K STREET, N.W., SUITE 510
WASHINGTON, DC 20005-4026
MARILYN SILVERMAN C02 202/326-4160 X3322
- -----------------------------------------------------------------------------------------------------------------------------------
8. NAME AND ADDRESS OF CONTRACTOR Vendor ID: 00002760 (X) 9A. AMENDMENT OF SOLICITATION NO.
(No., street, county, State and ZIP Code)
Pacholder Associates, Inc. ----------------------------------------
Towers of Kenwood 9B. DATED (SEE ITEM 11)
8044 Montgomery Road, Suite 382
Cincinnati OH 45236 ----------------------------------------
10A. MODIFICATION OF CONTRACT/ORDER NO.
Attn: William Morgan
X J-6-0436
----------------------------------------
10B. DATED (SEE ITEM 13)
03/25/94
- -------------------------------------------------------------------------------
CODE FACILITY CODE
- -----------------------------------------------------------------------------------------------------------------------------------
11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
- -----------------------------------------------------------------------------------------------------------------------------------
[ ] The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers
[ ] is extended, [ ] is not extended.
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one
of the following methods:
(a) By completing Items 8 and 15, and returning _____ copies of the amendment; (b) By acknowledging receipt of this amendment on
each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE
HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer
already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the
solicitation and this amendment, and is received prior to the opening hour and date specified.
- -----------------------------------------------------------------------------------------------------------------------------------
12. ACCOUNTING AND APPROPRIATION DATA (If required)
N/A
- -----------------------------------------------------------------------------------------------------------------------------------
13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,
IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
- -----------------------------------------------------------------------------------------------------------------------------------
(X) A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT
ORDER NO. IN ITEM 10A.
X
- -----------------------------------------------------------------------------------------------------------------------------------
B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,
appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).
- -----------------------------------------------------------------------------------------------------------------------------------
C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
- -----------------------------------------------------------------------------------------------------------------------------------
D. OTHER (Specify type of modification and authority)
- -----------------------------------------------------------------------------------------------------------------------------------
E. IMPORTANT: Contractor [ ] is not, [X] is required to sign this document and return 3 copies to the issuing office.
- -----------------------------------------------------------------------------------------------------------------------------------
14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where
feasible.)
Subject contract is hereby modified to reflect the following changes:
1. Section C-11, Statement of Work, is deleted in its
entirety and replaced with the following:
Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains
unchanged and in full force and effect.
- -----------------------------------------------------------------------------------------------------------------------------------
15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
WILLIAM T. MORGAN ROBERT W. HERTING AO1
- -----------------------------------------------------------------------------------------------------------------------------------
15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED
/s/ WILLIAM T. MORGAN 11/14/95 BY ROBERT W. HERTING 12-1-95
---------------------------------------- ----------------------------------
(Signature of person authorized to sign) (Signature of Contracting Officer)
===================================================================================================================================
NSN 7540-01-152-8070 STANDARD FORM 30 (REV. 10-83)
PREVIOUS EDITION UNUSABLE Prescribed by GSA
FAR (48 CFR) 53.243
</TABLE>
<PAGE>
C-II. Statement of Work:
A. MANAGER RESPONSIBILITIES:
The Special Situations Manager has the responsibility for accepting
certain assets as assigned by the Pension Benefit Guaranty Corporation (PBGC),
pursuant to the authority of the Employees Retirement Income Security Act of
1974, as amended (ERISA). These assets, by their nature or because of
regulatory constraints, are typically illiquid or difficult to market. Examples
of these positions could be: SEC 144 Stock; equity positions with little or no
trading activity; or, equity positions with trading restrictions and/or
limitations, real estate, promissory notes, bonds, profit sharing interests,
warrants, options, commodities, etc. The above examples are not intended to
reflect all possible assignments to the manager. The manager may be assigned
any asset that comes into PBGC's possession in the course of performing any of
its responsibilities or obligations under ERISA as deemed necessary and/or
appropriate by PBGC. The primary characteristic of these positions would be the
need for development of a "work out" strategy and the implementation of a
defined liquidation format or plan.
These positions, whether equity, fixed income, or partnership interests,
are not generally intended to be held as long term positions by the manager.
However, it is recognized that because of the illiquid nature of these holdings,
they may remain in the portfolio for extended periods of time (or to maturity)
if efforts to prudently market and liquidate the positions are not successful.
In addition, the liquidation proceeds generated from the successful sale of
these positions will not remain with the manager, but will be wire transferred
to the PBGC Custodian Bank immediately upon settlement. It is not intended that
any liquidation proceeds will be retained for the acquisition of new positions
selected by the manager or any other authorized PBGC personnel.
The manager will be in a fiduciary relationship with respect to the
assets assigned to it by the PBGC. Also, the manager will have full and
complete discretion with regard to the assigned positions as well as independent
voting authority for those positions for which proxy voting is required. The
manager must be registered as an Investment Advisor under the Investment
Advisors Act of 1940. The manager will be required to submit written
confirmation of that registration to PBGC prior to and as a condition for
contract award.
The development of liquidation and marketing strategies will require an
extensive knowledge and understanding of securities laws and regulations;
securities marketing techniques; and, experience with institutional investment
companies, pension plans, and secondary markets. Further, the manager will be
required to maintain a close relationship with the Treasury Division staff, and
primarily, the Contracting Officer's Technical Representative (COTR) who will be
identified in the contract Special Provisions.
Within the scope of the contract, and in recognition of the increased
analytical and
<PAGE>
negotiation skills required by the large percentage ownership positions of
restricted or illiquid positions, certain specific assignments will be required
of the manager. These assignments may include, but are not limited, to:
1) locating and negotiating with the management of issuing companies
or institutional investors for the purpose of liquidating large
equity or fixed income positions, which may be restricted under
Rule 144, or by PBGC Settlement Agreement;
2) preparation of specific strategies for the sale of positions with
small daily trading volumes in instances where the sale will
severely depress the PBGC trade price if the PBGC position is
marketed imprudently;
3) coordinate directly with legal counsel, transfer agents, and banks
to assure the timely settlement of trades, without the need for
extensions or "buy ins", when the PBGC is unable to deliver the
liquidated position. Note, these situations are more likely to
occur in liquidations associated with the equity and fixed income
positions assigned under this contract; but, may occur in
partnership interest transactions.
The manager may also be called upon to assist the PBGC staff in
negotiations or to act as an expert on securities valuation matters as well as
to coordinate administrative and securities settlement and delivery matters with
the PBGC Custodian Bank. Certain periodic written reports will also be
required, as indicated in the Reports section of the contract Special
Provisions.
Also, the manager shall perform all other related services as may
become necessary or required in connection with the liquidation and/or
management of any assets that are or may become assigned to the manager by PBGC
so as to protect all rights and interests of the PBGC and/or plan participants.
B. MANAGER AGENCY AND PROXY VOTING AUTHORITY:
The incumbent will act as PBGCs' agent in connection with the assets
assigned and will have full proxy voting discretion, where appropriate, with
respect to all assets for which PBGC has responsibility and has not been
assigned to any other party.
Pursuant to this proxy voting discretion, the manager may, among other
things, develop and implement proxy policies and procedures which will be used
during the performance of the contract; and, develop a report format that will
be used by the manager for submission of quarterly reports to the PBGC.
The manager will discuss all specific company positions regarding its
proxy voting
<PAGE>
policies, such as social, environmental, or political, matters, which could
affect their voting positions on proxy proposals. The manager may be requested
to explain votes which are inconsistent with managers general policy.
At a minimum, the quarterly report submitted by the manager shall
include:
<TABLE>
<CAPTION>
Management
Company Proposal Recommendation Manager Vote
------- -------- -------------- ------------
<S> <C> <C> <C>
</TABLE>
This report shall be separate and distinct from the quarterly report on
the activity in the specific positions held by the manager.
The manager may be required, from time to time, to explain the basis for a
particular vote, and to provide additional advice and assistance or reporting.
<PAGE>
2. Section 1, insert the following clause:
1.40 52.244-1 Subcontracts (Fixed Price Contracts)
PBGC-J-4-0436 MOD. 9
<PAGE>
EXHIBIT L
<TABLE>
<S> <C> <C>
===================================================================================================================================
AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE PAGE OF PAGES
1 1
- -----------------------------------------------------------------------------------------------------------------------------------
2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable)
10 1-1-96 Letter dtd. 11/15/95
- -----------------------------------------------------------------------------------------------------------------------------------
6. ISSUED BY CODE 35000 7. ADMINISTERED BY (If other than Item 6) CODE
PENSION BENEFIT GUARANTY CORPORATION
PROCUREMENT DEPARTMENT
1200 K STREET, N.W., SUITE 510
WASHINGTON, DC 20005-4026
MARILYN SILVERMAN C02 202/326-4160 X3322
- -----------------------------------------------------------------------------------------------------------------------------------
8. NAME AND ADDRESS OF CONTRACTOR Vendor ID: 00002760 (X) 9A. AMENDMENT OF SOLICITATION NO.
(No., street, county, State and ZIP Code)
Pacholder Associates, Inc. ----------------------------------------
Towers of Kenwood 9B. DATED (SEE ITEM 11)
8044 Montgomery Road, Suite 382
Cincinnati OH 45236 ----------------------------------------
10A. MODIFICATION OF CONTRACT/ORDER NO.
Attn: William Morgan
X J-6-0436
----------------------------------------
10B. DATED (SEE ITEM 13)
03/25/94
- -------------------------------------------------------------------------------
CODE FACILITY CODE
- -----------------------------------------------------------------------------------------------------------------------------------
11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
- -----------------------------------------------------------------------------------------------------------------------------------
[ ] The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers
[ ] is extended, [ ] is not extended.
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one
of the following methods:
(a) By completing Items 8 and 15, and returning _____ copies of the amendment; (b) By acknowledging receipt of this amendment on
each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE
HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer
already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the
solicitation and this amendment, and is received prior to the opening hour and date specified.
- -----------------------------------------------------------------------------------------------------------------------------------
12. ACCOUNTING AND APPROPRIATION DATA (If required)
N/A
- -----------------------------------------------------------------------------------------------------------------------------------
13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,
IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
- -----------------------------------------------------------------------------------------------------------------------------------
(X) A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT
ORDER NO. IN ITEM 10A.
X
- -----------------------------------------------------------------------------------------------------------------------------------
B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,
appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).
- -----------------------------------------------------------------------------------------------------------------------------------
C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
- -----------------------------------------------------------------------------------------------------------------------------------
D. OTHER (Specify type of modification and authority)
- -----------------------------------------------------------------------------------------------------------------------------------
E. IMPORTANT: Contractor [X] is not, [ ] is required to sign this document and return _____ copies to the issuing office.
- -----------------------------------------------------------------------------------------------------------------------------------
14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where
feasible.)
Subject contract is hereby modified to reflect the following changes:
1. Section G.9, Key Personnel first paragraph, the following
is changed, Robert C. Amenta replaces Anthony L. Longi, Jr.
Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains
unchanged and in full force and effect.
- -----------------------------------------------------------------------------------------------------------------------------------
15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
ROBERT W. HERTING AO1
- -----------------------------------------------------------------------------------------------------------------------------------
15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED
BY ROBERT W. HERTING 12-1-93
---------------------------------------- ----------------------------------
(Signature of person authorized to sign) (Signature of Contracting Officer)
===================================================================================================================================
NSN 7540-01-152-8070 STANDARD FORM 30 (REV. 10-83)
PREVIOUS EDITION UNUSABLE Prescribed by GSA
FAR (48 CFR) 53.243
</TABLE>
<PAGE>
EXHIBIT M
<TABLE>
<S> <C> <C>
===================================================================================================================================
AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE PAGE OF PAGES
1 1
- -----------------------------------------------------------------------------------------------------------------------------------
2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable)
#11 see block 16C CF4-288 & CF5244
- -----------------------------------------------------------------------------------------------------------------------------------
6. ISSUED BY CODE 35000 7. ADMINISTERED BY (If other than Item 6) CODE
PENSION BENEFIT GUARANTY CORPORATION
PROCUREMENT DEPARTMENT
1200 K STREET, N.W., SUITE 510
WASHINGTON, DC 20005-4026
Tova Stein C07 202/326-4160 X3234
- ----------------------------------------------------------------------------------------------------------------------------------
8. NAME AND ADDRESS OF CONTRACTOR Vendor ID: 00002760 (X) 9A. AMENDMENT OF SOLICITATION NO.
(No., street, county, State and ZIP Code)
Pacholder Associates, Inc. ----------------------------------------
Towers of Kenwood 9B. DATED (SEE ITEM 11)
8044 Montgomery Road, Suite 382
Cincinnati OH 45236 ----------------------------------------
10A. MODIFICATION OF CONTRACT/ORDER NO.
Attn: William Morgan
X J-6-0436
----------------------------------------
10B. DATED (SEE ITEM 13)
03/25/94
- -------------------------------------------------------------------------------
CODE FACILITY CODE
- -----------------------------------------------------------------------------------------------------------------------------------
11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
- -----------------------------------------------------------------------------------------------------------------------------------
[ ] The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers
[ ] is extended, [ ] is not extended.
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one
of the following methods:
(a) By completing Items 8 and 15, and returning _____ copies of the amendment; (b) By acknowledging receipt of this amendment on
each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE
HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer
already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the
solicitation and this amendment, and is received prior to the opening hour and date specified.
- -----------------------------------------------------------------------------------------------------------------------------------
12. ACCOUNTING AND APPROPRIATION DATA (If required)
1-8-1000-1-33500-2512 Decrease: 1,811.88 1-8-1000-1-31000-2531 Decrease: 36,723.14
- -----------------------------------------------------------------------------------------------------------------------------------
13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,
IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
- -----------------------------------------------------------------------------------------------------------------------------------
(X) A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT
ORDER NO. IN ITEM 10A.
- -----------------------------------------------------------------------------------------------------------------------------------
B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,
X appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).
- -----------------------------------------------------------------------------------------------------------------------------------
C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
- -----------------------------------------------------------------------------------------------------------------------------------
D. OTHER (Specify type of modification and authority)
- -----------------------------------------------------------------------------------------------------------------------------------
E. IMPORTANT: Contractor [X] is not, [ ] is required to sign this document and return _____ copies to the issuing office.
- -----------------------------------------------------------------------------------------------------------------------------------
14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where
feasible.)
The contract is modified to deobligate funds as follows:
Previous Contract Obligations $571,400.00
This Modification ($38,535.02)
-----------
Current Total Contract Obligations $532,864.98
Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains
unchanged and in full force and effect.
- -----------------------------------------------------------------------------------------------------------------------------------
15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
ROBERT W. HERTING AO1
- -----------------------------------------------------------------------------------------------------------------------------------
15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED
BY ROBERT W. HERTING 8-12-96
---------------------------------------- ----------------------------------
(Signature of person authorized to sign) (Signature of Contracting Officer)
===================================================================================================================================
NSN 7540-01-152-8070 STANDARD FORM 30 (REV. 10-83)
PREVIOUS EDITION UNUSABLE Prescribed by GSA
FAR (48 CFR) 53.243
</TABLE>
<PAGE>
EXHIBIT N
<TABLE>
<S> <C> <C>
===================================================================================================================================
AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE PAGE OF PAGES
1 2
- -----------------------------------------------------------------------------------------------------------------------------------
2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable)
12 See block 16C PBGC01-CF6150
- -----------------------------------------------------------------------------------------------------------------------------------
6. ISSUED BY CODE 35000 7. ADMINISTERED BY (If other than Item 6) CODE
PENSION BENEFIT GUARANTY CORPORATION
PROCUREMENT DEPARTMENT
1200 K STREET, N.W., SUITE 510
WASHINGTON, DC 20005-4026
TOVA STEIN C07 202/326-4000 ext3234
- -----------------------------------------------------------------------------------------------------------------------------------
8. NAME AND ADDRESS OF CONTRACTOR Vendor ID: 00002760 (X) 9A. AMENDMENT OF SOLICITATION NO.
(No., street, county, State and ZIP Code)
Pacholder Associates, Inc. ----------------------------------------
Towers of Kenwood 9B. DATED (SEE ITEM 11)
8044 Montgomery Road, Suite 382
Cincinnati OH 45236 ----------------------------------------
10A. MODIFICATION OF CONTRACT/ORDER NO.
Attn: William Morgan
X J-6-0436
----------------------------------------
10B. DATED (SEE ITEM 13)
03/25/94
- -------------------------------------------------------------------------------
CODE FACILITY CODE
- -----------------------------------------------------------------------------------------------------------------------------------
11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
- -----------------------------------------------------------------------------------------------------------------------------------
[ ] The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers
[ ] is extended, [ ] is not extended.
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one
of the following methods:
(a) By completing Items 8 and 15, and returning _____ copies of the amendment; (b) By acknowledging receipt of this amendment on
each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE
HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer
already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the
solicitation and this amendment, and is received prior to the opening hour and date specified.
- -----------------------------------------------------------------------------------------------------------------------------------
12. ACCOUNTING AND APPROPRIATION DATA (If required)
1-7-1000-1-32000-2531 INCREASE: $325,000.00
- -----------------------------------------------------------------------------------------------------------------------------------
13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,
IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
- -----------------------------------------------------------------------------------------------------------------------------------
(X) A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT
ORDER NO. IN ITEM 10A.
- -----------------------------------------------------------------------------------------------------------------------------------
B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,
X appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).
- -----------------------------------------------------------------------------------------------------------------------------------
C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
- -----------------------------------------------------------------------------------------------------------------------------------
D. OTHER (Specify type of modification and authority)
- -----------------------------------------------------------------------------------------------------------------------------------
E. IMPORTANT: Contractor [X] is not, [ ] is required to sign this document and return _____ copies to the issuing office.
- -----------------------------------------------------------------------------------------------------------------------------------
14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where
feasible.)
This contract is modified as follows:
(Continued on page 2)
Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains
unchanged and in full force and effect.
- -----------------------------------------------------------------------------------------------------------------------------------
15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
ROBERT W. HERTING AO1
- -----------------------------------------------------------------------------------------------------------------------------------
15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED
BY ROBERT W. HERTING 8-30-96
---------------------------------------- ----------------------------------
(Signature of person authorized to sign) (Signature of Contracting Officer)
===================================================================================================================================
NSN 7540-01-152-8070 STANDARD FORM 30 (REV. 10-83)
PREVIOUS EDITION UNUSABLE Prescribed by GSA
FAR (48 CFR) 53.243
</TABLE>
<PAGE>
1 FY 96 funds in the amount of $325,000.00 are hereby obligated as follows:
Previous FY 96 Obligations $250,000.00
Increased by this Modification $325,000.00
-----------
Current Total FY 96 Obligations $575,000.00
2 The total contract amount is therefore increased as follows:
Previous Contract Obligations $569,588.12
Increased by this Modification $325,000.00
-----------
Current Total Contract Obligations $894,588.12
PBGC-J-6-0436 Mod. 12 2
<PAGE>
EXHIBIT O
<TABLE>
<S> <C> <C>
===================================================================================================================================
AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE PAGE OF PAGES
1 2
- -----------------------------------------------------------------------------------------------------------------------------------
2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable)
13 PBGC01-CF6178
- -----------------------------------------------------------------------------------------------------------------------------------
6. ISSUED BY CODE 35000 7. ADMINISTERED BY (If other than Item 6) CODE
PENSION BENEFIT GUARANTY CORPORATION
PROCUREMENT DEPARTMENT
1200 K STREET, N.W., SUITE 510
WASHINGTON, DC 20005-4026
TOVA STEIN C07 202/326-4000 ext3234
- -----------------------------------------------------------------------------------------------------------------------------------
8. NAME AND ADDRESS OF CONTRACTOR Vendor ID: 00002760 (X) 9A. AMENDMENT OF SOLICITATION NO.
(No., street, county, State and ZIP Code)
Pacholder Associates, Inc. ----------------------------------------
Towers of Kenwood 9B. DATED (SEE ITEM 11)
8044 Montgomery Road, Suite 382
Cincinnati OH 45236 ----------------------------------------
10A. MODIFICATION OF CONTRACT/ORDER NO.
Attn: William Morgan
X J-6-0436
----------------------------------------
10B. DATED (SEE ITEM 13)
03/25/94
- -------------------------------------------------------------------------------
CODE FACILITY CODE
- -----------------------------------------------------------------------------------------------------------------------------------
11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
- -----------------------------------------------------------------------------------------------------------------------------------
[ ] The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers
[ ] is extended, [ ] is not extended.
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one
of the following methods:
(a) By completing Items 8 and 15, and returning _____ copies of the amendment; (b) By acknowledging receipt of this amendment on
each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE
HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer
already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the
solicitation and this amendment, and is received prior to the opening hour and date specified.
- -----------------------------------------------------------------------------------------------------------------------------------
12. ACCOUNTING AND APPROPRIATION DATA (If required)
1-7-1000-32000-2531 INCREASE: $67,500.00
- -----------------------------------------------------------------------------------------------------------------------------------
13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,
IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
- -----------------------------------------------------------------------------------------------------------------------------------
(X) A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT
ORDER NO. IN ITEM 10A.
- -----------------------------------------------------------------------------------------------------------------------------------
B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,
X appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).
- -----------------------------------------------------------------------------------------------------------------------------------
C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
- -----------------------------------------------------------------------------------------------------------------------------------
D. OTHER (Specify type of modification and authority)
- -----------------------------------------------------------------------------------------------------------------------------------
E. IMPORTANT: Contractor [X] is not, [ ] is required to sign this document and return _____ copies to the issuing office.
- -----------------------------------------------------------------------------------------------------------------------------------
14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where
feasible.)
This contract is modified as follows:
(Continued on page 2)
Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains
unchanged and in full force and effect.
- -----------------------------------------------------------------------------------------------------------------------------------
15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
ROBERT W. HERTING AO1
- -----------------------------------------------------------------------------------------------------------------------------------
15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED
/s/ ROBERT W. HERTING
BY /s/ CHRISTINA PAPAVASILIOV 9-20-96
---------------------------------------- ----------------------------------
(Signature of person authorized to sign) (Signature of Contracting Officer)
===================================================================================================================================
NSN 7540-01-152-8070 STANDARD FORM 30 (REV. 10-83)
PREVIOUS EDITION UNUSABLE Prescribed by GSA
FAR (48 CFR) 53.243
</TABLE>
<PAGE>
1 FY 96 funds in the amount of $67,500.00 are hereby obligated as follows:
Previous FY 96 Obligations $575,000.00
Changed by this Modification $67,500.00
-----------
Current Total FY 96 Obligations $642,500.00
2 The total contract amount is therefore increased as follows:
Previous Contract Obligations $894,588.12
Changed by this Modification $67,500.00
-----------
Current Total Contract Obligations $962,088.12
PBGC-J-6-0436 Mod. 13 2
<PAGE>
EXHIBIT P
<TABLE>
<S> <C> <C>
===================================================================================================================================
AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE PAGE OF PAGES
1 2
- -----------------------------------------------------------------------------------------------------------------------------------
2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable)
14 See block 16C PBGC01-CF7013
- -----------------------------------------------------------------------------------------------------------------------------------
6. ISSUED BY CODE 35000 7. ADMINISTERED BY (If other than Item 6) CODE
PENSION BENEFIT GUARANTY CORPORATION
PROCUREMENT DEPARTMENT
1200 K STREET, N.W., SUITE 510
WASHINGTON, DC 20005-4026
TOVA STEIN C07 202/326-4000 ext3234
- -----------------------------------------------------------------------------------------------------------------------------------
8. NAME AND ADDRESS OF CONTRACTOR Vendor ID: 00002760 (X) 9A. AMENDMENT OF SOLICITATION NO.
(No., street, county, State and ZIP Code)
Pacholder Associates, Inc. ----------------------------------------
Towers of Kenwood 9B. DATED (SEE ITEM 11)
8044 Montgomery Road, Suite 382
Cincinnati OH 45236 ----------------------------------------
10A. MODIFICATION OF CONTRACT/ORDER NO.
Attn: William Morgan
X J-6-0436
----------------------------------------
10B. DATED (SEE ITEM 13)
03/25/94
- -------------------------------------------------------------------------------
CODE FACILITY CODE
- -----------------------------------------------------------------------------------------------------------------------------------
11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
- -----------------------------------------------------------------------------------------------------------------------------------
[ ] The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers
[ ] is extended, [ ] is not extended.
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one
of the following methods:
(a) By completing Items 8 and 15, and returning _____ copies of the amendment; (b) By acknowledging receipt of this amendment on
each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE
HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer
already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the
solicitation and this amendment, and is received prior to the opening hour and date specified.
- -----------------------------------------------------------------------------------------------------------------------------------
12. ACCOUNTING AND APPROPRIATION DATA (If required)
1-7-1100-1-32000-2531 INCREASE: $637,500.00
- -----------------------------------------------------------------------------------------------------------------------------------
13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,
IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
- -----------------------------------------------------------------------------------------------------------------------------------
(X) A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT
ORDER NO. IN ITEM 10A.
- -----------------------------------------------------------------------------------------------------------------------------------
B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,
X appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).
- -----------------------------------------------------------------------------------------------------------------------------------
C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
- -----------------------------------------------------------------------------------------------------------------------------------
D. OTHER (Specify type of modification and authority)
- -----------------------------------------------------------------------------------------------------------------------------------
E. IMPORTANT: Contractor [X] is not, [ ] is required to sign this document and return _____ copies to the issuing office.
- -----------------------------------------------------------------------------------------------------------------------------------
14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where
feasible.)
This contract is modified as follows:
(Continued on page 2)
Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains
unchanged and in full force and effect.
- -----------------------------------------------------------------------------------------------------------------------------------
15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
ROBERT W. HERTING AO1
- -----------------------------------------------------------------------------------------------------------------------------------
15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED
BY /s/ R. HERTING 9-20-96
---------------------------------------- ----------------------------------
(Signature of person authorized to sign) (Signature of Contracting Officer)
===================================================================================================================================
NSN 7540-01-152-8070 STANDARD FORM 30 (REV. 10-83)
PREVIOUS EDITION UNUSABLE Prescribed by GSA
FAR (48 CFR) 53.243
</TABLE>
<PAGE>
1. In accordance with Clause F.5, Option to Extend the Term of the Contract
-----------------------------------------
(FAR 52.217-9), option period 3 is exercised.
2. The funds obligated for performance of this option period are
$637,500.00. The total contract amount is therefore increased
as follows:
Previous Contract Obligations 962,088.12
Obligated in this Modification 637,500.00
------------------
Total Contract Obligations $1,599,588.12
3. The rates in Section B of the contract remain unchanged.
4. Clause F.4, Period of Performance, is revised as follows:
---------------------
This contract shall extend from date of award through
September 30, 1997, with two additional option years
remaining to be exercised.
5. The contract number is changed to J-7-0436 for fiscal year accountability.
6. No other terms or conditions are changed by this modification.
PBGC-J-7-0436 Mod. 14 Page 2
<PAGE>
EXHIBIT Q
<TABLE>
<S> <C> <C>
===================================================================================================================================
AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE PAGE OF PAGES
1 2
- -----------------------------------------------------------------------------------------------------------------------------------
2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable)
15 See Block 16C PBGC01-CP7040
- -----------------------------------------------------------------------------------------------------------------------------------
6. ISSUED BY CODE 35000 7. ADMINISTERED BY (If other than Item 6) CODE
PENSION BENEFIT GUARANTY CORPORATION
PROCUREMENT DEPARTMENT
1200 K STREET, N.W., SUITE 510
WASHINGTON, DC 20005-4026
TOVA STEIN C07 202/326-4000 ext3234
- -----------------------------------------------------------------------------------------------------------------------------------
8. NAME AND ADDRESS OF CONTRACTOR Vendor ID: 00002760 (X) 9A. AMENDMENT OF SOLICITATION NO.
(No., street, county, State and ZIP Code)
Pacholder Associates, Inc. ----------------------------------------
Towers of Kenwood 9B. DATED (SEE ITEM 11)
8044 Montgomery Road, Suite 382
Cincinnati OH 45236 ----------------------------------------
10A. MODIFICATION OF CONTRACT/ORDER NO.
Attn: William Morgan
X J-7-0436
----------------------------------------
10B. DATED (SEE ITEM 13)
03/25/94
- -------------------------------------------------------------------------------
CODE FACILITY CODE
- -----------------------------------------------------------------------------------------------------------------------------------
11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
- -----------------------------------------------------------------------------------------------------------------------------------
[ ] The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers
[ ] is extended, [ ] is not extended.
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one
of the following methods:
(a) By completing Items 8 and 15, and returning _____ copies of the amendment; (b) By acknowledging receipt of this amendment on
each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE
HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer
already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the
solicitation and this amendment, and is received prior to the opening hour and date specified.
- -----------------------------------------------------------------------------------------------------------------------------------
12. ACCOUNTING AND APPROPRIATION DATA (If required)
1-7-1000-1-51000-2531 INCREASE: $780.00
- -----------------------------------------------------------------------------------------------------------------------------------
13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,
IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
- -----------------------------------------------------------------------------------------------------------------------------------
(X) A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT
ORDER NO. IN ITEM 10A.
- -----------------------------------------------------------------------------------------------------------------------------------
B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,
X appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).
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C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
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D. OTHER (Specify type of modification and authority)
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E. IMPORTANT: Contractor [X] is not, [ ] is required to sign this document and return _____ copies to the issuing office.
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14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where
feasible.)
This contract is modified as follows:
(Continued on page 2)
Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains
unchanged and in full force and effect.
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15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
ROBERT W. HERTING AO1
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15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED
BY /s/ R. HERTING 2-19-97
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(Signature of person authorized to sign) (Signature of Contracting Officer)
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NSN 7540-01-152-8070 STANDARD FORM 30 (REV. 10-83)
PREVIOUS EDITION UNUSABLE Prescribed by GSA
FAR (48 CFR) 53.243
</TABLE>
<PAGE>
1 FY 97 funds in the amount of $780.00 are hereby obligated as follows:
Previous FY Obligations $637,500.00
Changed by this Modification $780.00
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Current Total FY Obligations $638,280.00
2 The total contract amount is therefore increased as follows:
Previous Contract Obligations $1,599,588.12
Changed by this Modification $780.00
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Current Total Contract Obligations $1,600,368.12
PBGC-J-7-0436 Mod. 15 2
