<PAGE> 1
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
-------------------
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
AMENDMENT NO. 1
Uniroyal Technology Corporation
----------------------------------
(NAME OF ISSUER)
Common Stock
Series B Convertible Preferred Stock
----------------------------------
(TITLE OF CLASS OF SECURITIES)
Common Stock 909163107
Series B Convertible Preferred Stock 909163982
----------------------------------
(CUSIP NUMBER)
Thomas M. Barnhart, II
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)
September 19, 1996
(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 [ X ] .
Check the following box if a fee is being paid with this statement [ X ] .
1
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1. NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Pacholder Associates, Inc. 31-1251983
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
2,236,648 shares of Common Stock
35 shares of Series B Convertible Preferred Stock
8. SHARED VOTING POWER
- 0 -
9. SOLE DISPOSITIVE POWER
2,236,648 shares of Common Stock
35 shares of Series B Convertible Preferred Stock
10. SHARED DISPOSITIVE POWER
- 0 -
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,236,648 shares of Common Stock
35 shares of Series B Convertible Preferred Stock
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES* [ ]
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Common Stock: 16.9%
Series B Convertible Preferred Stock: 100%
14. TYPE OF REPORTING PERSON*
IA, CO
2
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This Schedule 13-D is filed by Pacholder
Associates, Inc. ("PAI"). PAI previously filed a Schedule 13-G
related to this investment on July 3, 1996.
Item 1. Security and Issuer
This Schedule 13-D relates to the Common Stock, par
value $0.01, and the Series B Convertible Preferred Stock, par
value $0.01 of Uniroyal Technology Corporation (the "Company").
The address of the Company's principal executive offices is Two
North Tamiami Trail, Suite 900, Sarasota, Florida 34236.
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 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, attached as
Exhibit B of a 13-D filed on May 24, 1994 relating to Kaiser
Resources, Inc., now known as Kaiser Ventures, Inc., 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.
3
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Item 4. Purpose of Transaction
Since June 2, 1996, PAI has acted as financial
advisor to the PBGC in the voting, acquisition or sale of
securities of the Company.
PAI has met with management of the Company and is
considering meeting with board members or other significant
shareholders. PAI, as a result of its relationship with the PBGC,
has a contractual right arising from the Series B Convertible
Preferred Stock, to a board seat, which becomes effective at the
Company's next annual meeting. PAI is considering acting upon
this contractual right. Any determination by PAI to take any of
the actions listed in sub (a) - (j) below will be based on
various factors, including but not limited to, the Company's
financial condition, business and prospects, other developments
concerning the Company, price levels of the Company's common
stock, other opportunities, general economic, monetary and stock
market conditions, and other applicable business and legal
considerations.
As of the date of this filing, and except as set
forth above, 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;
4
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(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, 2,236,648 common shares, or 16.9% 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
2,236,648 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.
Item 7. Material to be Filed as Exhibits
<TABLE>
<CAPTION>
Exhibit Number Title of Document Exhibit Page
-------------- ----------------- ------------
<S> <C> <C>
A. Names and addresses of officers and 8
directors of PAI.
B. Contract between Pension Benefit *
Guaranty Corporation and PAI
dated April 13, 1994
C. Modification No. 1 to Contract 10
dated 5/23/94
D. Modification No. 2 to Contract 11
dated 6/23/94
</TABLE>
*Incorporated by reference to Schedule 13-D filed by PAI on May
24, 1994 with reference to Kaiser Resources, Inc.
5
<PAGE> 6
E. Modification No. 3 to Contract 12
dated 9/28/94
F. Modification No. 4 to Contract 13
dated 12/13/94
G. Modification No. 5 to Contract 14
dated 1/4/95
H. Modification No. 6 to Contract 16
dated 4/7/95
I. Modification No. 7 to Contract 17
dated 9/13/95
J. Modification No. 8 to Contract 18
dated 11/1/95
K. Modification No. 9 to Contract 20
dated 12/1/95
L. Modification No. 10 to Contract 25
dated 12/1/95
M. Modification No. 11 to Contract 26
dated 8/12/96
N. Modification No. 12 to Contract 27
dated 8/30/96
6
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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.
September 19, 1996
------------------------------------
Date
/s/ Thomas M. Barnhart, II
------------------------------------
Signature
Sr. Vice President & Assoc.
------------------------------------
Gen. Counsel
------------------------------------
Title
7
<PAGE> 8
EXHIBIT A
Dr. Asher O. Pacholder
Chairman of the Board and Director
c/o ICO, Inc.
11490 Westheimer, Suite 1000
Houston, TX 77077
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. James E. Gibson
Senior Vice President
Pacholder Associates, Inc.
8044 Montgomery Road, Suite 382
Cincinnati, OH 45236
Ms. Robin E. Pacholder
Senior Vice President
and Associate General Counsel
Pacholder Associates, Inc.
8044 Montgomery Road, Suite 382
Cincinnati, OH 45236
8
<PAGE> 9
Mr. Timothy T. Janszen
Senior 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. 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
Ms. Virginia A. Miller
Assistant 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
Mr. Nickolas J. Sakelos
Assistant Vice President
Pacholder Associates, Inc.
8044 Montgomery Road, Suite 382
Cincinnati, OH 45236
9
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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
Page 10
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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
Page 11
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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
Page 12
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<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)
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
Page 13
</TABLE>
<PAGE> 14
<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)
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
Page 14
</TABLE>
<PAGE> 15
SF 30 CONTINUATION SHEET
$200,000.00.
PBGC-J-4-0436 Mod. T00005 2
Page 15
<PAGE> 16
<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
Page 16
</TABLE>
<PAGE> 17
<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
Page 17
</TABLE>
<PAGE> 18
<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
Page 18
</TABLE>
<PAGE> 19
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 19
<PAGE> 20
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<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
Page 20
</TABLE>
<PAGE> 21
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 21
<PAGE> 22
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 22
<PAGE> 23
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 23
<PAGE> 24
2. Section 1, insert the following clause:
1.40 52.244-1 Subcontracts (Fixed Price Contracts)
PBGC-J-4-0436 MOD. 9
Page 24
<PAGE> 25
<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
Page 25
</TABLE>
<PAGE> 26
<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
Page 26
</TABLE>
<PAGE> 27
<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
Page 27
</TABLE>
<PAGE> 28
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 28
