USVI Public Records

Document text

Executed Contract Letter March 14, 2022 Mr. Bernard Cuffy Owner Old Hospital Ground Investments Inc. d/b/a Carpet Masters 2001 Old Hospital Grounds, Suite 2 C Christiansted, VI 00820 RE: EXECUTED CONTRACT Contract No. S012BITC22(CM)— Janitorial Services for the Bureau of Information Technology, St. Croix U.S. Virgin Islands Dear Mr. Cuffy: Transmitted herewith is the attached fully executed Supply Contract for Janitorial Services for the Bureau of Information Technology, St. Croix U.S. Virgin Islands during the period of March 10, 2022, through March 9, 2023. Old Hospital Ground Investments Inc. d/b/a Carpet Masters will perform under this Contract in accordance with Addendum I (Scope of Work), Addendum II (Compensation), Addendum III (General Provisions), Addendum IV (Termination of Contracts) and Addendum V (Provisions from 2 CFR 200 – Appendix II). If Old Hospital Ground Investments Inc. d/b/a Carpet Masters fails to comply with the terms of the enclosed Contract, the Government of the Virgin Islands will exercise all rights and remedies available to it in law and equity. Respectfully, Anthony D. Thomas Commissioner ADT/klp/mth xc: Bureau of Information Technology Department of Property and Procurement Project File    23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 *29(510(172) 7+(9,5*,1,6/$1'62)7+(81,7('67$7(6   '(3$570(172)3523(57<$1'352&85(0(17 6833/<&2175$&7 6%,7&&0 7KLV$*5((0(17PDGHWKLVBBBBBBGD\RIBBBBBBBBBBBBBBBBBBBIRU-DQLWRULDO6HUYLFHVIRU WKH%XUHDXRI,QIRUPDWLRQ7HFKQRORJ\6W&URL[869LUJLQ,VODQGV E\DQGEHWZHHQWKH*RYHUQPHQW RIWKH9LUJLQ,VODQGV %XUHDXRI,QIRUPDWLRQ7HFKQRORJ\KHUHLQDIWHUFDOOHGWKH³*29(510(17´DQG 2OG+RVSLWDO*URXQG,QYHVWPHQWV,QFGED&DUSHW0DVWHUV ZKRVH DGGUHVVLV$+RVSLWDO*URXQG &KULVWLDQVWHG9,KHUHLQDIWHUFDOOHGWKH³&2175$&725´ :,71(66(7+ )RUDQGLQFRQVLGHUDWLRQRIWKHDFFHSWDQFHRIWKH&RQWUDFWRU¶VSURSRVDOXQGHU,QYLWDWLRQIRU%LGV 1R,)%%,7&6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 DQGWKH6FRSHRI:RUN $GGHQGXP , DW WKH SULFH RU SULFHV VWDWHG WKHUHLQ DQG LQ VWULFW DFFRUGDQFH ZLWK WKH FRQGLWLRQV RI VDLG DFFHSWHGSURSRVDO7KH$GYHUWLVHPHQW,QYLWDWLRQIRU%LGV6FRSHRI:RUN$GGHQGXP,&RPSHQVDWLRQ $GGHQGXP,,*HQHUDO3URYLVLRQV$GGHQGXP,,,7HUPLQDWLRQ RI&RQWUDFWV$GGHQGXP,93URYLVLRQV IURP&)5$SSHQGL[,,$GGHQGXP9DQ\ 6XSSOHPHQWDO3URYLVLRQVDQG6SHFLILFDWLRQVDQGWKH 3XUFKDVH 2UGHU LQFOXGLQJ DQ\ FKDQJH WKHUHRI DUH DOO SDUW DQG SDUFHO RI WKLV &RQWUDFW DQG DUH E\ WKLV UHIHUHQFHLQFRUSRUDWHGLQWKLV&RQWUDFWDVIXOO\DQGHIIHFWLYHO\DVLIVHWIRUWKLQGHWDLOKHUHLQ 6(&7,21 7KH*RYHUQPHQWIRUDQGLQ FRQVLGHUDWLRQRIWKHIXOODQGWUXHSHUIRUPDQFHRIWKH ZRUNE\WKH&RQWUDFWRUDJUHHVWRSD\WKHSULFHRUSULFHVVHWIRUWKLQWKHDWWDFKHG,QYLWDWLRQIRU%LGVDQG WKH VHUYLFHVDV LQGLFDWHGLQ$GGHQGXP, 6FRSHRI:RUNDQG$GGHQGXP,,&RPSHQVDWLRQLQODZIXOPRQH\ RIWKH8QLWHG6WDWHVDQGWKHSD\PHQWVKDOOEHPDGHDWWKHWLPHDQGLQWKHPDQQHUVHWIRUWKLQ WKH,QYLWDWLRQ IRU%LGVDQG$GGHQGXP,,&RPSHQVDWLRQ 6(&7,21 7KLV &RQWUDFW VKDOO FRPPHQFH 0DUFK   DQG VKDOO WHUPLQDWH RQ 0DUFK   WKHUHDIWHUXQOHVVPXWXDOO\H[WHQGHGRUWHUPLQDWHGE\WKHSDUWLHV1RDOWHUDWLRQVRUYDULDWLRQVRIWKHWHUPV RIWKHSURSRVDOVKDOOEHYDOLGRUELQGLQJXSRQWKH*RYHUQPHQWXQOHVVPDGHLQZULWLQJDQGDSSURYHGE\ WKH *RYHUQPHQW %& 9HULILHGE\SGI)LOOHU  14th March 23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 6(&7,21 7KLV&RQWUDFW ZLOOUHPDLQLQIRUFHIRUWKHIXOOSHULRGVSHFLILHGDQGXQWLODOODUWLFOHVRU VHUYLFHVRUGHUHG EHIRUHWKHGDWH RIWHUPLQDWLRQVKDOOEHVDWLVIDFWRULO\GHOLYHUHGDQGDFFHSWHGDQGRUXQWLODOO WHUPVDQGFRQGLWLRQVKDYHEHHQPHWXQOHVV D WHUPLQDWHG SULRU WR H[SLUDWLRQ E\ VDWLVIDFWRU\ GHOLYHU\ DJDLQVW RUGHUV RI HQWLUH TXDQWLWLHV FRQWUDFWHGIRURU E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³/,67 2) 3$57,(6 (;&/8'(' )520 )('(5$/ 352&85(0(17 25 121352&85(0(17´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DWWDFKHGKHUHWRDQGPDGHDSDUWKHUHRI %& 9HULILHGE\SGI)LOOHU  23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 6(&7,217KLV &RQWUDFW LV VXEMHFW WR WKH DSSURSULDWLRQ DQG DYDLODELOLW\ RI IXQGV DQG WR WKH DSSURYDORIWKH&RPPLVVLRQHURIWKH'HSDUWPHQWRI3URSHUW\DQG3URFXUHPHQW 6(&7,21 7KH IROORZLQJ LQVXUDQFH FRYHUDJHV DUH UHTXLUHG E\ &RQWUDFW DQG &RQWUDFWRU VKDOO PDLQWDLQWKHVHLQVXUDQFHFRYHUDJHVGXULQJWKHWHUPRIWKLV&RQWUDFW D &200(5&,$/ *(1(5$/ /,$%,/,7< &RPPHUFLDO JHQHUDO OLDELOLW\ LQVXUDQFH LQ D IRUPDFFHSWDEOHWR WKH*RYHUQPHQWRQD³SHU RFFXUUHQFH´EDVLVZLWKDPLQLPXPOLPLWRI QRWOHVVWKDQRQHKXQGUHGWKRXVDQGGROODUVIRUDQ\RQHSHUVRQSHURFFXUUHQFH IRUGHDWKRUSHUVRQDOLQMXU\DQGRQHKXQGUHGWKRXVDQGGROODUV IRUDQ\RQH RFFXUUHQFHIRUSURSHUW\ GDPDJH ,QVXUDQFHSROLF\LHVVKDOOQDPHWKH*RYHUQPHQWRIWKH 9LUJLQ,VODQGVDVWKHFHUWLILFDWHKROGHUDQGDGGLWLRQDOLQVXUHGYLDDQHQGRUVHPHQW E :25.(56¶ &203(16$7,21 &RQWUDFWRU VKDOO VXSSO\ FXUUHQW FRYHUDJH XQGHU WKH *RYHUQPHQW,QVXUDQFH)XQGRURWKHUIRUPRIFRYHUDJH 6(&7,21(LWKHU 3DUW\PD\WHUPLQDWHWKLV&RQWUDFWIRUFDXVHE\SURYLGLQJWHQGD\VZULWWHQ QRWLFH WR WKH RWKHU SDUW\ VSHFLI\LQJ WKH GDWH RI WHUPLQDWLRQ 7KH *RYHUQPHQW PD\ DOVR WHUPLQDWH WKLV &RQWUDFWIRUFRQYHQLHQFHRQWHQGD\VZULWWHQQRWLFHLQDFFRUGDQFH ZLWK WKH3URYLVLRQVRI$GGHQGXP ,97HUPLQDWLRQRI&RQWUDFWV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 ,)%%,7&6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 9HULILHGE\SGI)LOOHU  9HULILHGE\SGI)LOOHU  %& 9HULILHGE\SGI)LOOHU  

 3/14/2022 23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 $''(1'80, 6&23(2):25. 7KH&RQWUDFWRUZLOOSURYLGH -DQLWRULDO6HUYLFHVIRUWKH9LUJLQ,VODQGV %XUHDXRI,QIRUPDWLRQ7HFKQRORJ\ 6W&URL[869LUJLQ,VODQGVDVOLVWHGLQ$WWDFKPHQW$ 7KH&RQWUDFWRUZLOOIXUQLVKDOOODERUHTXLSPHQWDQGVXSSOLHVWRSURYLGHWKHIROORZLQJFOHDQLQJVHUYLFH WKUHHWLPHVZHHNO\7KHFRQWUDFWRUVKDOO XVHVXLWDEOHFOHDQLQJDJHQWVWRUHGXFHVFUDWFKHVVWDLQV DQG VPHDUV $OOFOHDQLQJVHUYLFHVVKDOOEHSHUIRUPHG ZLWK&'&&29,'FOHDQLQJJXLGHOLQHV7KHFRQWUDFWRUVKDOO IXUQLVK DOO VXSHUYLVLRQ DQG HTXLSPHQW QHFHVVDU\ WR SHUIRUP WKH ZRUN LQFOXVLYH RI EXW QRW OLPLWHG WR FOHDQLQJVXSSOLHVPRSVEXFNHWVEURRPVHWF 7KH&RQWUDFWRUVKDOO  &OHDQDQGGLVLQIHFWUHFHSWLRQDUHD  &OHDQDQGGLVLQIHFWWKUHHEDWKURRPV  'XVWRIILFHIXUQLWXUH  :LSHRQWRSRIFUHGHQ]DVDQGZLQGRZVLOOV  :LSHDQGGLVLQIHFWWHOHSKRQHVOLJKWVZLWFKHVGRRUKDQGOHVDQGVRDSVDQLWL]HUGLVSHQVHUV  &OHDQZDWHUGLVSHQVHUV  9DFXXPWZR[RIILFHFDUSHWV  &OHDQWDEOHVLQDOORIILFHVFRQIHUHQFHURRPDQGEUHDNURRP  &OHDQ DQG GLVLQIHFW NLWFKHQ DQG ORXQJH DUHD LQFOXGLQJ VLQNV FRXQWHUWRSV WDEOHV PLFURZDYHV WRDVWHUVDQGUHIULJHUDWRUV  &OHDQJODVVZLQGRZVEOLQGVDQGGRRUVZKHQQHFHVVDU\  (PSW\ DOO ZDVWHEDVNHWV UHSODFH EDJV ZKHQ QHFHVVDU\ DQG GLVSRVH RI DOO WUDVK LQ GHVLJQDWHG UHFHSWDFOHRXWVLGH  :DVKDQGGLVLQIHFWZDVWHEDVNHWVZKHQQHFHVVDU\  'LVSRVHWUDVKIURPWKHRXWVLGHGXPSVWHU  6SRWFOHDQZDOOVDQG SDUWLWLRQVWRUHPRYHVWDLQVDQGPDUNVDVQHFHVVDU\ 6FKHGXOH 7KHVHUYLFHVDUHWRLQFOXGH ZHHNO\WKUHHWLPHV DZHHN FOHDQLQJVDQLWL]LQJDQGGLVLQIHFWLQJVHUYLFHVIRU WKHIROORZLQJORFDWLRQ /RFDWLRQ 6TXDUH)W 7HUP (VWDWH&DVWOH&RDNOH\&KULVWLDQVWHG6W&URL[9, VTIW  BC Verified by pdfFiller 03/03/2022 23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 $WWDFKPHQW$ BC Verified by pdfFiller 03/03/2022 23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 $''(1'80,, &203(16$7,21 7KH*RYHUQPHQWLQ FRQVLGHUDWLRQ RIWKHVDWLVIDFWRU\SHUIRUPDQFHRI WKHVHUYLFHVGHVFULEHG LQ$GGHQGXP, 6FRSHRI:RUNDJUHHVWRPDNHSURJUHVVSD\PHQWVEDVHGRQWKHLQYRLFHV VXEPLWWHG E\ WKH &RQWUDFWRU 7KH 3DUWLHV IXUWKHU DJUHH WKDW SD\PHQWV ZLOO EH PDGH LQ DFFRUGDQFHZLWKWKHDFWXDOZRUN SURYLGHG /RFDWLRQV 0RQWKO\ $QQXDOO\ 7HUP (VWDWH&DVWOH&RDNOH\ &KULVWLDQVWHG6W&URL[9,    BC Verified by pdfFiller 03/03/2022 23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 $''(1'80,,, *(1(5$/3529,6,216 6833/< &2175$&7  '(),1,7,216 $V8VHGWKURXJKRXWWKLVFRQWUDFWWKHIROORZLQJ WHUPV VKDOOKDYHWKHPHDQLQJVHWIRUWKEHORZ 7KH WHUP ³&RQWUDFWLQJ 2IILFHU´ PHDQV WKH &RPPLVVLRQHU RI WKH 'HSDUWPHQW RI 3URSHUW\  3URFXUHPHQW DQG WKH WHUP LQFOXGHV H[FHSW DV RWKHUZLVH SURYLGHG LQ WKH FRQWUDFW WKH DXWKRUL]HG UHSUHVHQWDWLYH RI WKH &RQWUDFWLQJ 2IILFHU DFWLQJ ZLWKLQWKHOLPLWVRIKLVDXWKRULW\  &+$1*(6 7KH&RQWUDFWLQJ2IILFHUPD\DWDQ\WLPHE\D ZULWWHQ RUGHU DQG ZLWKRXW QRWLFH WR WKH VXUHWLHV PDNH FKDQJHV ZLWKLQ WKH JHQHUDO VFRSH RI WKLV FRQWUDFW LQ DQ\RQH RU PRUH RI WKH IROORZLQJ L 'UDZLQJV GHVLJQV RU VSHFLILFDWLRQV ZKHUH WKH VXSSOLHV WR EH IXUQLVKHG DUH WR EH VSHFLDOO\ PDQXIDFWXUHG IRU WKH *RYHUQPHQW LQ DFFRUGDQFH WKHUHZLWK LL PHWKRG RI VKLSPHQW RU SDFNLQJ DQG LLL SODFHRIGHOLYHU\,IDQ\ VXFKFKDQJHFDXVHVDQ LQFUHDVH RU GHFUHDVH LQ WKH FRVW RI RU WKH WLPH UHTXLUHG IRU WKHSHUIRUPDQFHRIDQ\SDUWRI WKHZRUN XQGHUWKLVFRQWUDFWZKHWKHUFKDQJHGRUQRWFKDQJHG E\DQ\VXFKRUGHUDQHTXLWDEOHDGMXVWPHQWVKDOOEH PDGH LQ WKH FRQWUDFW SULFH RU GHOLYHU\ VFKHGXOH RU ERWK DQG WKH FRQWUDFW VKDOO EH PRGLILHG LQ ZULWLQJ DFFRUGLQJO\ $Q\ FODLP E\ WKH FRQWUDFWRU IRU DGMXVWPHQWXQGHUWKLVFODXVHPXVWEHDVVHUWHGZLWKLQ GD\VIURPWKHGDWHRIUHFHLSWE\WKH&RQWUDFWRURI WKH QRWLILFDWLRQRI FKDQJH 3URYLGHG KRZHYHU 7KDW WKH &RQWUDFWLQJ 2IILFHU LI KH GHFLGHV WKDW WKH IDFWV MXVWLI\ VXFK DFWLRQ PD\ UHFHLYH DQG DFW XSRQ DQ\ VXFKFODLPDVVHUWHGDWDQ\WLPHSULRUWRILQDOSD\PHQW XQGHUWKLVFRQWUDFW:KHUHWKHFRVWRISURSHUW\PDGH REVROHWHRUH[FHVV DVDUHVXOWRI DFKDQJHLVLQFOXGHG LQ WKH &RQWUDFWRU V FODLP IRU DGMXVWPHQW WKH &RQWUDFWLQJ2IILFHUVKDOOKDYHWKHULJKWWRSUHVFULEH WKHPDQQHURIGLVSRVLWLRQRIVXFKSURSHUW\)DLOXUHWR DJUHHWRDQ\DGMXVWPHQWVKDOOEHDGLVSXWHFRQFHUQLQJ DTXHVWLRQ RIIDFWZLWKLQ WKHPHDQLQJRIWKHFODXVHRI WKLVFRQWUDFWHQWLWOHG'LVSXWHV+RZHYHUQRWKLQJLQ WKLV FODXVH VKDOO H[FXVH WKH &RQWUDFWRU IURP SURFHHGLQJZLWKWKHFRQWUDFWDVFKDQJHG  (;75$6 ([FHSWDVRWKHUZLVHSURYLGHGLQWKLVFRQWUDFWQR SD\PHQWIRUH[WUDVVKDOOEHPDGHXQOHVVVXFKH[WUDV DQGWKHSULFHWKHUHRIKDYHEHHQDXWKRUL]HGLQZULWLQJ E\WKH&RQWUDFWLQJ2IILFHU  9$5,$7,21,148$/,7< 1RYDULDWLRQLQWKHTXDQWLW\RIDQ\LWHPFDOOHG IRU E\ WKLV FRQWUDFW ZLOO EH DFFHSWHG XQOHVV VXFK YDULDWLRQ KDV EHHQ FDXVHG E\ FRQGLWLRQV RI ORDGLQJ VKLSSLQJ SDFNLQJ RU DOORZDQFHV LQ PDQXIDFWXULQJ SURFHVVHVDQGWKHQRQO\WRWKHH[WHQWLIDQ\VSHFLI\ HOVHZKHUHLQWKLVFRQWUDFW  ,163(&7,21 D $OO VXSSOLHV ZKLFK WHUP WKURXJKRXW WKLV FODXVH LQFOXGHV ZLWKRXW OLPLWDWLRQ UDZ PDWHULDOV FRPSRQHQWV LQWHUPHGLDWH DVVHPEOLHV DQG HQG SURGXFWVVKDOOEHVXEMHFWWR LQVSHFWLRQDQGWHVWE\WKH*RYHUQPHQWWRWKHH[WHQW SUDFWLFDEOH DW DOO WLPHV DQG SODFHV LQFOXGLQJ WKH SHULRG RI PDQXIDFWXUH DQG LQ DQ\ HYHQW SULRU WR DFFHSWDQFH E ,QFDVHDQ\VXSSOLHVRUORWVRIVXSSOLHVDUH GHIHFWLYH LQ PDWHULDO RU ZRUNPDQVKLS RU RWKHUZLVH QRW LQ FRQIRUPLW\ ZLWK WKH UHTXLUHPHQWV RI WKLV FRQWUDFWWKH*RYHUQPHQWVKDOOKDYHWKHULJKWHLWKHU WRUHMHFWWKHP ZLWKRUZLWKRXWLQVWUXFWLRQVDVWRWKHLU GLVSRVLWLRQ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PD\E\FRQWUDFW RU RWKHUZLVH UHSODFH RU FRUUHFW VXFK VXSSOLHV DQG FKDUJH WR WKH &RQWUDFWRU WKH FRVW RFFDVLRQHG WKH *RYHUQPHQW WKHUHE\ RU LL PD\ WHUPLQDWH WKLV FRQWUDFWIRUGHIDXOW DVSURYLGHGLQWKHFODXVHRIWKLV FRQWUDFW HQWLWOHG 'HIDXOW 8QOHVV WKH &RQWUDFWRU FRUUHFWVRUUHSODFHVVXFKVXSSOLHVZLWKLQWKHGHOLYHU\ VFKHGXOH WKH &RQWUDFWLQJ 2IILFHU PD\ UHTXLUH WKH GHOLYHU\ RI VXFK VXSSOLHV DW D UHGXFWLRQ LQ SULFH ZKLFKLVHTXLWDEOHXQGHUWKHFLUFXPVWDQFHV)DLOXUHWR DJUHH WR VXFK UHGXFWLRQ RI SULFH VKDOO EH D GLVSXWH BC Verified by pdfFiller 03/03/2022 23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 FRQFHUQLQJDTXHVWLRQRIIDFWZLWKLQWKHPHDQLQJRI WKHFODXVHRIWKLVFRQWUDFWHQWLWOHG'LVSXWHV F ,IDQ\FKDQJHLQVSHFWLRQRUWHVWLVPDGHE\ WKH*RYHUQPHQWRQWKHSUHPLVHVRIWKH&RQWUDFWRURU D VXEFRQWUDFWRU WKH &RQWUDFWRU ZLWKRXW DGGLWLRQDO FKDUJH VKDOO SURYLGH UHDVRQDEOH IDFLOLWLHV DQG DVVLVWDQFH IRU WKH VDIHW\ DQG FRQYHQLHQFH RI WKH *RYHUQPHQW LQVSHFWRUV LQ WKH SHUIRUPDQFH RI WKHLU GXWLHV,I*RYHUQPHQWLQVSHFWLRQRUWHVWLVPDGH DWD SRLQWRWKHUWKDQWKHSUHPLVHVRIWKH&RQWUDFWRURU D VXEFRQWUDFWRU LW VKDOO EH DW WKH H[SHQVH RI WKH *RYHUQPHQW H[FHSW DV RWKHUZLVH SURYLGHG LQ WKLV FRQWUDFW 3URYLGHG 7KDW LQ FDVH RI UHMHFWLRQ WKH *RYHUQPHQWVKDOOQRWEHOLDEOHIRUDQ\UHGXFWLRQLQ YDOXH RI VDPSOHV XVHG LQ FRQQHFWLRQ ZLWK VXFK LQVSHFWLRQ RU WHVW $ LQVSHFWLRQV DQG WHVWV E\ WKH *RYHUQPHQWVKDOOEHSHUIRUPHGLQVXFKDPDQQHUDV QRW WR XQGX\ GHOD\ WKH ZRUN 7KH *RYHUQPHQW UHVHUYHV WKH ULJKW WR FKDUJH WR WKH &RQWUDFWRU DQ\ DGGLWLRQDO FRVW RI *RYHUQPHQW LQVSHFWLRQ DQG WHVW ZKHQ VXSSOLHV DUH QRW UHDG\ DW WKH WLPH VXFK LQVSHFWLRQDQGWHVWLVUHTXHVWHGE\WKH&RQWUDFWRURU ZKHQ UHLQVSHFWLRQ RU UHWHVW LV QHFHVVLWDWHG E\ SULRU UHMHFWLRQ $FFHSWDQFH RU UHMHFWLRQ RI WKH VXSSOLHV VKDOO EH PDGH DV SURPSWO\ DV SUDFWLFDEOH DIWHU GHOLYHU\ H[FHSW DV RWKHUZLVH SURYLGHG LQ WKLV FRQWUDFW EXW IDLOXUH WR LQVSHFW DQG DFFHSW RU UHMHFW VXSSOLHV VKDOO QHLWKHU UHOLHYH WKH &RQWUDFWRU IURP UHVSRQVLELOLW\ IRU VXFK VXSSOLHV DV DUH QRW LQ DFFRUGDQFH ZLWK WKH FRQWUDFW UHTXLUHPHQWV QRU LPSRVHOLDELOLW\RQWKH*RYHUQPHQWWKHUHIRU G 7KH LQVSHFWLRQ DQG WHVW E\ WKH *RYHUQPHQW RI DQ\ VXSSOLHV RU ORWV WKHUHRI GRHV QRW UHOLHYH WKH &RQWUDFWRUIURPDQ\UHVSRQVLELOLW\UHJDUGLQJGHIHFWV RU RWKHU IDLOXUHV WR PHHW WKH FRQWUDFW UHTXLUHPHQWV ZKLFKPD\EHGLVFRYHUHGSULRUWRDFFHSWDQFH([FHSW DV RWKHUZLVH SURYLGHG LQ WKLV FRQWUDFW DFFHSWDQFH VKDOO EH FRQFOXVLYH H[FHSW DV UHJDUGV ODWHQW GHIHFWV IUDXGRUVXFKJURVVPLVWDNHVDVDPRXQWWR IUDXG H 7KH &RQWUDFWRU VKDOO SURYLGH DQG PDLQWDLQ DQ LQVSHFWLRQ V\VWHP DFFHSWDEOH WR WKH *RYHUQPHQW FRYHULQJ WKH VXSSOLHV KHUHXQGHU 5HFRUGV RI DOO LQVSHFWLRQ ZRUN E\ WKH &RQWUDFWRU VKDOO EH NHSW FRPSOHWHDQGDYDLODEOHWRWKH*RYHUQPHQWGXULQJWKH SHUIRUPDQFH RI WKLV FRQWUDFW DQG IRU VXFK ORQJHU SHULRGDV PD\EHVSHFLILHGHOVHZKHUHLQWKLVFRQWUDFW  5(63216,%,/,7<)256833/,(6 ([FHSWDVRWKHUZLVHSURYLGHGLQWKHFRQWUDFWL WKH &RQWUDFWRU VKDOO EH UHVSRQVLEOH IRU WKH VXSSOLHV FRYHUHGE\ WKLVFRQWUDFWXQWLOWKH\DUHGHOLYHUHGDWWKH GHVLJQDWHGGHOLYHU\SRLQWUHJDUGOHVVRI WKHSRLQWRI LQVSHFWLRQ LL DIWHU GHOLYHU\ WR WKH *RYHUQPHQW DW WKH GHVLJQDWHG SRLQW DQG SULRU WR DFFHSWDQFH E\ WKH *RYHUQPHQWRUUHMHFWLRQDQGJLYLQJQRWLFHWKHUHRIE\ WKH*RYHUQPHQWWKH*RYHUQPHQWVKDOOEHUHVSRQVLEOH IRU WKH ORVV RU GHVWUXFWLRQ RI RU GDPDJH WR WKH VXSSOLHV RQO\ LI VXFK ORVV GHVWUXFWLRQ RU GDPDJH UHVXOWV IURP WKH QHJOLJHQFH RI RIILFHUV DJHQWV RU HPSOR\HHVRIWKH*RYHUQPHQWDFWLQJZLWKLQWKHVFRSH RI WKHLU HPSOR\PHQW DQG LLL WKH &RQWUDFWRU VKDOO EHDU DOO ULVNV DV WR UHMHFWHG VXSSOLHV DIWHU QRWLFH RI UHMHFWLRQ H[FHSW WKDW WKH *RYHUQPHQW VKDOO EH UHVSRQVLEOHIRUWKHORVVRUGHVWUXFWLRQRIRUGDPDJH WR WKH VXSSOLHV RQO\ LI VXFK ORVV GHVWUXFWLRQ RU GDPDJHUHVXOWVIURPWKHJURVVQHJOLJHQFHRIRIILFHUV DJHQWV RU HPSOR\HHV RI WKH *RYHUQPHQW DFWLQJ ZLWKLQWKHVFRSHRIWKHLUHPSOR\PHQW  3$<0(176 7KH &RQWUDFWRU VKDOO EH SDLG XSRQ WKH VXEPLVVLRQRISURSHULQYRLFHVRUYRXFKHUVWKHSULFHV VWLSXODWHGKHUHLQIRUVXSSOLHV GHOLYHUHGDQGDFFHSWHG RUVHUYLFHVUHQGHUHGDQGDFFHSWHGOHVVGHGXFWLRQVLI DQ\DVKHUHLQSURYLGHG8QOHVVRWKHUZLVHVSHFLILHG SD\PHQWZLOOEHPDGHRQ SDUWLDOGHOLYHULHVDFFHSWHG E\ WKH *RYHUQPHQW ZKHQ WKH DPRXQW GXH RQ VXFK GHOLYHULHV VR ZDUUDQWV RU ZKHQ UHTXHVWHG E\ WKH &RQWUDFWRU SD\PHQW IRU DFFHSWHG SDUWLDO GHOLYHULHV VKDOOEHPDGHZKHQHYHUVXFKSD\PHQWZRXOGHTXDO RU H[FHHG HLWKHU  RU  SHUFHQW RI WKH WRWDO DPRXQWRIWKLVFRQWUDFW  $66,*10(172)&/$,06 D 3XUVXDQWWRWKHSURYLVLRQVRIWKH$VVLJQPHQW RI&ODLPV$FW9,&HW VHT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erified by pdfFiller 03/03/2022 23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6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 D 7KH&RQWUDFWRUDJUHHVWKDWWKH*RYHUQPHQW &RPSWUROOHURI WKH869LUJLQ,VODQGVRUDQ\RIKLV GXO\ DXWKRUL]HG UHSUHVHQWDWLYHV VKDOO XQWLO WKH H[SLUDWLRQ RI WKUHH \HDUV DIWHU ILQDO SD\PHQW XQGHU WKLVFRQWUDFW KDYHDFFHVVWRDQGWKHULJKWWRH[DPLQH DQ\GLUHFWO\SHUWLQHQWERRNV GRFXPHQWVSDSHUVDQG UHFRUGV RI WKH &RQWUDFWRU LQYROYLQJ WUDQVDFWLRQV UHODWHGWRWKLVFRQWUDFW E 7KH &RQWUDFWRU IXUWKHU DJUHHV WR LQFOXGH LQ DOO KLV VXEFRQWUDFWV KHUHXQGHU D SURYLVLRQ WR WKH HIIHFW WKDW WKH VXEFRQWUDFWRU DJUHHV WKDW WKH *RYHUQPHQW&RPSWUROOHURIWKH9LUJLQ,VODQGVRUDQ\ RIKLVGXO\DXWKRUL]HGUHSUHVHQWDWLYHVVKDOOXQWLOWKH H[SLUDWLRQ RI WKUHH \HDUV DIWHU ILQDO SD\PHQW XQGHU WKH VXEFRQWUDFW KDYH DFFHVV WR DQG WKH ULJKW WR H[DPLQH DQ\ GLUHFWO\ SHUWLQHQW ERRNV GRFXPHQWV SDSHUVDQGUHFRUGVRIVXFKVXEFRQWUDFWRULQYROYLQJ WUDQVDFWLRQV UHODWHG WR WKH VXEFRQWUDFW 7KH WHUP VXEFRQWUDFW DV XVHG LQ WKLV FODXVH H[FOXGHV L SXUFKDVH RUGHUV QRW H[FHHGLQJ  DQG LL VXEFRQWUDFWRUV RU SXUFKDVH RUGHUV IRU SXEOLF XWLOLW\ VHUYLFHVDWUDWHVHVWDEOLVKHGIRUXQLIRUPDSSOLFDELOLW\ WRWKHJHQHUDOSXEOLF  '()$8/7 D 7KH *RYHUQPHQW PD\ VXEMHFW WR WKH SURYLVLRQVRISDUDJUDSKFEHORZE\ZULWWHQQRWLFH RIGHIDXOWWRWKH&RQWUDFWRUWHUPLQDWHWKHZKROHRU DQ\SDUWRIWKLVFRQWUDFWLQDQ\RQH RIWKHIROORZLQJ FLUFXPVWDQFHV L LIWKH&RQWUDFWRUIDLOVWRPDNHGHOLYHU\RI WKH VXSSOLHV RU WR SHUIRUP WKH VHUYLFHV ZLWKLQ WKH WLPHVSHFLILHGKHUHLQRUDQ\H[WHQVLRQWKHUHRIRU LL LI WKH&RQWUDFWRUIDLOVWRSHUIRUPDQ\ RI WKH RWKHU SURYLVLRQV RI WKLV FRQWUDFW RU VR IDLOV WR PDNH SURJUHVV DV WR HQGDQJHU SHUIRUPDQFH RI WKLV FRQWUDFWLQDFFRUGDQFHZLWKLWVWHUPVDQGLQHLWKHU RI  WKHVH  WZR FLUFXPVWDQFHV GRHV QRW  FXUH VXFK IDLOXUH ZLWKLQ D SHULRG RI  GD\V RU VXFK ORQJHU SHULRGDV WKH &RQWUDFWLQJ 2IILFHU PD\ DXWKRUL]H LQ ZULWLQJ DIWHU UHFHLSW RI QRWLFH IURP WKH &RQWUDFWLQJ 2IILFHU VSHFLI\LQJVXFKIDLOXUH E ,QWKHHYHQWWKH*RYHUQPHQWWHUPLQDWHVWKLV FRQWUDFWLQZKROH RULQSDUWDVSURYLGHGLQSDUDJUDSK D RIWKLVFODXVHWKH*RYHUQPHQWPD\SURFXUHXSRQ VXFK WHUPV DQG LQ VXFK PDQQHU DV WKH &RQWUDFWLQJ 2IILFHUPD\GHHPDSSURSULDWHVXSSOLHVRUVHUYLFHV VLPLODU WR WKRVH VR WHUPLQDWHG DQG WKH &RQWUDFWRU VKDOOEH OLDEOHWRWKH*RYHUQPHQWIRUDQ\H[FHVVFRVWV IRUVXFKVLPLODUVXSSOLHVRUVHUYLFHV3URYLGHG7KDW WKH&RQWUDFWRUVKDOOFRQWLQXHWKHSHUIRUPDQFHRIWKLV FRQWUDFW WR WKH H[WHQW QRW WHUPLQDWHG XQGHU WKH SURYLVLRQVRIWKLVFODXVH F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erified by pdfFiller 03/03/2022 23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 SHUIRUP XQOHVV WKH VXSSOLHV RU VHUYLFH IHHV WR EH IXUQLVKHGE\WKHVXEFRQWUDFWRUZDVREWDLQDEOHIURP RWKHU VRXUFHV LQ VXIILFLHQW WLPH WR SHUPLW WKH &RQWUDFWRUWRPHHWWKHUHTXLUHGGHOLYHU\VFKHGXOH G ,IWKLVFRQWUDFWLVWHUPLQDWHGDVSURYLGHGLQ SDUDJUDSK D RIWKLVFODXVHWKH*RYHUQPHQWLQDGGLWLRQ WR DQ\ RWKHU ULJKWV SURYLGHG LQ WKLV FODXVH PD\ UHTXLUHWKH&RQWUDFWRUWRWUDQVIHUWLWOHDQGGHOLYHUWR WKH *RYHUQPHQW LQ WKH PDQQHU DQG WR WKH H[WHQW GLUHFWHG E\ WKH &RQWUDFWLQJ 2IILFHU L DQ\ FRPSOHWHGVXSSOLHVDQGLLVXFKSDUWLDOO\FRPSOHWHG VXSSOLHV DQG PDWHULDOV SDUWV WRROV GLHV MLJV IL[WXUHV SODQV GUDZLQJV LQIRUPDWLRQ DQG FRQWUDFW ULJKWV KHUHLQDIWHU FDOOHG PDQXIDFWXULQJ PDWHULDOV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 7KHULJKWVDQG UHPHGLHVRIWKH*RYHUQPHQW SURYLGHGLQ WKLVFODXVHVKDOOQRWEHH[FOXVLYHDQGDUH LQDGGLWLRQWRDQ\RWKHUULJKWVDQGUHPHGLHVSURYLGHG E\ODZRUXQGHUWKLVFRQWUDFW  ',6387(6 D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 7KLV 'LVSXWHV FODXVH GRHV QRW SUHFOXGH FRQVLGHUDWLRQ RI ODZ TXHVWLRQV LQ FRQQHFWLRQ ZLWK GHFLVLRQVSURYLGHGIRULQSDUDJUDSKDERYH3URYLGHG 7KDW QRWKLQJ LQ WKLV FRQWUDFW VKDOO EH FRQVWUXHG PDNLQJ ILQDO WKH GHFLVLRQ RI DQ\ DGPLQLVWUDWLYH RIILFLDOUHSUHVHQWDWLYHRU ERDUGRQDTXHVWLRQRI ODZ  127,&($1'$66,67$1&(5(*$5',1* 3$7(17 $1'&23<5,*+7,1)5,1*(0(17 7KHSURYLVLRQV RIWKLVFODXVHVKDOOEHDSSOLFDEOH RQO\LIWKHDPRXQWRIWKLVFRQWUDFWH[FHHGV BC Verified by pdfFiller 03/03/2022 23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 D 7KH&RQWUDFWRUVKDOOUHSRUWWRWKH&RQWUDFWLQJ 2IILFHU SURPSWO\ DQG LQ UHDVRQDEOH ZULWWHQ GHWDLO HDFK QRWLFH RU FODLP RI SDWHQW RU FRS\ULJKW LQIULQJHPHQW EDVHG RQ WKH SHUIRUPDQFH RI WKLV FRQWUDFWRIZKLFKWKH&RQWUDFWRUKDVNQRZOHGJH E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 ,QDFTXLULQJHQG SURGXFWVWKH%X\$PHULFDQ $FW  86 &RGH D嘋G SURYLGHV WKDW WKH *RYHUQPHQWJLYHSUHIHUHQFHWRGRPHVWLFVRXUFHHQG SURGXFWV)RUWKHSXUSRVHRIWKLVFODXVH L FRPSRQHQWV PHDQV WKRVH DUWLFOHV PDWHULDOV DQG VXSSOLHV ZKLFK DUH GLUHFWO\ LQFRUSRUDWHGLQWKHHQGSURGXFWV LL HQG SURGXFWV PHDQV WKRVH DUWLFOHV PDWHULDOV DQG VXSSOLHV ZKLFK DUH WR EH DFTXLUHG XQGHUWKLVFRQWUDFWIRUSXEOLFXVHDQG LLL DGRPHVWLFVRXUFHHQGSURGXFWPHDQV$ DQ XQPDQXIDFWXUHG HQG SURGXFW ZKLFK KDV EHHQ PLQHG RU SURGXFHG LQ WKH 8QLWHG 6WDWHV DQG % DQ HQGSURGXFWPDQXIDFWXUHGLQWKH8QLWHG6WDWHVLIWKH FRVW RI WKH FRPSRQHQWV WKHUHRI ZKLFK DUH PLQHG SURGXFHG RU PDQXIDFWXUHG LQ WKH 8QLWHG 6WDWHV H[FHHGVSHUFHQWRIWKHFRVWRIDOOLWVFRPSRQHQWV )RUWKHSXUSRVHVRIWKLVDLLL %FRPSRQHQWVRI IRUHLJQ RULJLQ RI WKH VDPH W\SH RU NLQG DV WKH SURGXFWVUHIHUUHGWRLQELLRULLLRIWKLVFODXVH VKDOO EH WUHDWHG DV FRPSRQHQWV PLQHG SURGXFHGRU PDQXIDFWXUHGLQWKH8QLWHG6WDWHV E 7KH &RQWUDFWRU DJUHHV WKDW WKHUH ZLOO EH GHOLYHUHG XQGHU WKLV FRQWUDFW RQO\ GRPHVWLF VRXUFH HQGSURGXFWVH[FHSWHQGSURGXFWV L ZKLFKDUHIRUXVHRXWVLGHWKH8QLWHG6WDWHV LL ZKLFK WKH *RYHUQPHQW GHWHUPLQHV DUH QRW PLQHG SURGXFHG RU PDQXIDFWXUHG LQ WKH 8QLWHG 6WDWHV LQ VXIILFLHQW DQG UHDVRQDEO\ DYDLODEOH FRPPHUFLDOTXDQWLWLHVDQGRIDVDWLVIDFWRU\TXDOLW\ LLL DV WR ZKLFK WKH 6HFUHWDU\ GHWHUPLQHV WKH GRPHVWLFSUHIHUHQFHWREHLQFRQVLVWHQWZLWKWKHSXEOLF LQWHUHVWRU LY DV WR ZKLFK WKH 6HFUHWDU\ GHWHUPLQHV WKH FRVWWRWKH*RYHUQPHQWWREHXQUHDVRQDEOH 7KHIRUHJRLQJUHTXLUHPHQWVDUHDGPLQLVWHUHG LQDFFRUGDQFHZLWK([HFXWLYH2UGHU1RGDWHG 'HFHPEHU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erified by pdfFiller 03/03/2022 23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 $''(1'80,9 7(50,1$7,212)&2175$&76 ņņņņņ ņņņņņ &219(1,(1&(2)7+(*29(510(17 D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 $IWHU UHFHLSW RI D 1RWLFH RI 7HUPLQDWLRQ DQG H[FHSW DV RWKHUZLVH GLUHFWHG E\ WKH &RQWUDFWLQJ2IILFHUWKH&RQWUDFWRUVKDOO L VWRSZRUNXQGHUWKHFRQWUDFWRQWKHGDWHDQGWRWKHH[WHQWVSHFLILHGLQWKH 1RWLFHRI7HUPLQDWLRQ LL SODFHQRIXUWKHURUGHUVRUVXEFRQWUDFWVIRUPDWHULDOVVHUYLFHVRUIDFLOLWLHV H[FHSW DV PD\ EH QHFHVVDU\ IRU FRPSOHWLRQ RI VXFK SRUWLRQ RI WKH ZRUN XQGHUWKHFRQWUDFWDVLVQRWWHUPLQDWHG LLL WHUPLQDWHDOORUGHUVDQGVXEFRQWUDFWVWRWKHH[WHQWWKDWWKH\UHODWHWRWKH SHUIRUPDQFHRIZRUNWHUPLQDWHGE\WKH1RWLFHRI7HUPLQDWLRQ LY DVVLJQWRWKH*RYHUQPHQWLQWKHPDQQHUDW WKHWLPHVDQGWRWKHH[WHQW GLUHFWHGE\WKH&RQWUDFWLQJ2IILFHUDOORIWKHULJKWWLWOHDQGLQWHUHVWRIWKH &RQWUDFWRUXQGHUWKHRUGHUVDQGVXEFRQWUDFWVVRWHUPLQDWHGLQZKLFKFDVH WKH*RYHUQPHQWVKDOOKDYHWKHULJKWLQLWVGLVFUHWLRQWRVHWWOHRUSD\DQ\ RUDOOFODLPVDULVLQJRXWRIWKHWHUPLQDWLRQRIVXFKRUGHUVDQGVXEFRQWUDFWV Y VHWWOH DOO RXWVWDQGLQJ OLDELOLWLHV DQG DOO FODLPV DULVLQJ RXW RI VXFK WHUPLQDWLRQRIRUGHUVDQGVXEFRQWUDFWVZLWKWKHDSSURYDORUUDWLILFDWLRQRI WKH&RQWUDFWLQJ2IILFHUWRWKHH[WHQWKHPD\UHTXLUHZKLFKDSSURYDORU UDWLILFDWLRQVKDOOEHILQDOIRUDOOWKHSXUSRVHVRIWKLVFODXVH YL WUDQVIHUWLWOHDGGHOLYHUWRWKH*RYHUQPHQWLQWKHPDQQHUDWWKHWLPHVDQG WRWKHH[WHQWLIDQ\GLUHFWHGE\WKH&RQWUDFWLQJ2IILFHU$WKHIDEULFDWHG RU XQIDEULFDWHG SDUWV ZRUN LQ SURJUHVV FRPSOHWHG ZRUN VXSSOLHV DQG RWKHU PDWHULDO SURGXFHGDVDSDUW RI RU DFTXLUHG LQ FRQQHFWLRQZLWKWKH BC Verified by pdfFiller 03/03/2022 23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 SHUIRUPDQFHRIWKHZRUNWHUPLQDWHGE\WKH1RWLFHRI7HUPLQDWLRQDQG% WKH FRPSOHWHG RU SDUWLDOO\ FRPSOHWHG SODQV GUDZLQJV LQIRUPDWLRQ DQG RWKHUSURSHUW\ZKLFKLIWKHFRQWUDFWKDGEHHQFRPSOHWHGZRXOGKDYHEHHQ UHTXLUHGWREHIXUQLVKHGWRWKH*RYHUQPHQW YLL XVHKLVEHVWHIIRUWVWRVHOOLQWKHPDQQHUDWWKHWLPHVWRWKHH[WHQWDQG DW WKHSULFHRUSULFHVGLUHFWHGRUDXWKRUL]HGE\WKH&RPPLVVLRQHURI3URSHUW\ DQG 3URFXUHPHQW DQ\ SURSHUW\ RI WKH W\SHV UHIHUUHG WR LQ YL DERYH SURYLGHGKRZHYHUWKDWWKH&RQWUDFWRU$VKDOOQRWEHUHTXLUHGWRH[WHQG FUHGLWWRDQ\SXUFKDVHUDQG% PD\DFTXLUHDQ\VXFKSURSHUW\XQGHUWKH FRQGLWLRQV SUHVFULEHG E\ DQG DW WKH SULFH RU SULFHV DSSURYHG E\ WKH &RPPLVVLRQHURI3URSHUW\DQG3URFXUHPHQWDQGSURYLGHGIXUWKHU WKDWWKH SURFHHGVRIDQ\VXFKWUDQVIHURUGLVSRVLWLRQVKDOOEHDSSOLHGLQUHGXFWLRQRI DQ\SD\PHQWVWREHPDGHE\WKH*RYHUQPHQWWRWKH&RQWUDFWRUXQGHUWKLV FRQWUDFW RU VKDOO RWKHUZLVH EH FUHGLWHG WR WKH SULFH RU FRVW RI WKH ZRUN FRYHUHGE\WKLVFRQWUDFWRUSDLGLQVXFKRWKHUPDQQHUDVWKH&RPPLVVLRQHU RI3URSHUW\DQG3URFXUHPHQWPD\GLUHFW YLLL FRPSOHWH SHUIRUPDQFH RI VXFK SDUW RI WKH ZRUN DV VKDOO QRW KDYH EHHQ WHUPLQDWHGE\WKH1RWLFHRI7HUPLQDWLRQDQG L[ WDNHVXFKDFWLRQDVPD\EHQHFHVVDU\RUDVWKH&RPPLVVLRQHURI3URSHUW\ DQG 3URFXUHPHQW PD\ GLUHFW IRU WKH SURWHFWLRQ DQG SUHVHUYDWLRQ RI WKH SURSHUW\ UHODWHG WR WKLV FRQWUDFW ZKLFK LV LQ WKH SRVVHVVLRQ RI WKH &RQWUDFWRUDQGLQZKLFKWKH*RYHUQPHQWKDVRUPD\DFTXLUHDQLQWHUHVW F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 6XEMHFWWRWKHSURYLVLRQVRISDUDJUDSKFWKH&RQWUDFWRUDQGWKH &RPPLVVLRQHURI 3URSHUW\ DQG 3URFXUHPHQW PD\ DJUHH XSRQ WKH ZKROH RU DQ\ SDUW RI WKH DPRXQW RU DPRXQWVWREHSDLGWRWKH&RQWUDFWRUE\ UHDVRQRIWKHWRWDORUSDUWLDOWHUPLQDWLRQRIZRUN SXUVXDQWWRWKLVFODXVHZKLFKDPRXQWRUDPRXQWVPD\LQFOXGHD UHDVRQDEOHDOORZDQFHIRU SURILW RQ ZRUN GRQH SURYLGHG WKDW VXFK DJUHHG DPRXQW RU DPRXQWV H[FOXVLYH RI BC Verified by pdfFiller 03/03/2022  23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 VHWWOHPHQWFRVWVVKDOOQRWH[FHHGWKHWRWDOFRQWUDFWSULFHDVUHGXFHGE\WKHDPRXQWRI SD\PHQWV RWKHUZLVH PDGH DQG DV IXUWKHU UHGXFHG E\ WKH FRQWUDFW SULFH RI ZRUN QRW WHUPLQDWHG7KHFRQWUDFW VKDOOEHDPHQGHGDFFRUGLQJO\DQGWKH&RQWUDFWRUVKDOOEHSDLG WKHDJUHHGDPRXQW1RWKLQJLQSDUDJUDSKHRIWKLVFODXVHSUHVFULELQJWKHDPRXQWWREH SDLGWRWKH&RQWUDFWRULQWKHHYHQWRIIDLOXUHRIWKH&RQWUDFWRUDQGWKH&RPPLVVLRQHURI 3URSHUW\DQG3URFXUHPHQWWRDJUHHXSRQWKHZKROH DPRXQWWREHSDLGWRWKH&RQWUDFWRU E\UHDVRQRIWKHWHUPLQDWLRQRIZRUNSXUVXDQWWRWKLVFODXVHVKDOOEHGHHPHGWROLPLW UHVWULFWRURWKHUZLVHGHWHUPLQHRUDIIHFWWKHDPRXQWRUDPRXQWVZKLFKPD\EHDJUHHGWR EHSDLGWRWKH&RQWUDFWRUSXUVXDQWWRWKLVSDUDJUDSKG L IRUFRPSOHWHGVXSSOLHVPDWHULDOVDQGHTXLSPHQWRUVHUYLFHVDFFHSWHGE\ WKH *RYHUQPHQW RU VROG RU DFTXLUHG DV SURYLGHG LQ SDUDJUDSK E YLL DERYHDQGQRWWKHUHWRIRUHSDLGIRUDVXPHTXLYDOHQWWRWKHDJJUHJDWHSULFH IRU VXFK VXSSOLHV RU VHUYLFHV FRPSXWHG LQ DFFRUGDQFH ZLWK WKH SULFH RU SULFHVVSHFLILHGLQWKHFRQWUDFWDSSURSULDWHO\DGMXVWHGIRUDQ\VDYLQJIRU IUHLJKWRURWKHUFKDUJHV  LL WKHWRWDORI² $ WKH FRVWV LQFXUUHG LQ WKH SHUIRUPDQFH RI WKH ZRUN WHUPLQDWHG LQFOXGLQJLQLWLDOFRVWVDQGSUHSDUDWRU\H[SHQVHDOORFDEOHWKHUHWREXW H[FOXVLYHRIDQ\FRVWVDWWULEXWDEOHWRVXSSOLHVRUVHUYLFHVSDLGRUWR EHSDLGIRUXQGHUSDUDJUDSKHLKHUHRI  % WKHFRVWVHWWOLQJDQGSD\LQJFODLPVDULVLQJRXWRIWKHWHUPLQDWLRQRI ZRUNXQGHUVXEFRQWUDFWVRURUGHUVDVSURYLGHGLQSDUDJUDSKEY DERYHZKLFKDUHSURSHUO\FKDUJHDEOHWRWKHWHUPLQDWHGSRUWLRQRI WKHFRQWUDFWH[FOXVLYHRIDPRXQWVSDLGRUSD\DEOHRQDFFRXQWRI VXSSOLHV RU PDWHULDOV GHOLYHUHG RU VHUYLFHV IXUQLVKHG E\ VXEFRQWUDFWRUVRUYHQGRUVSULRUWRWKHHIIHFWLYHGDWHRIWKH1RWLFHRI 7HUPLQDWLRQZKLFKDPRXQWVVKDOOEHLQFOXGHGLQWKHFRVWVSD\DEOH XQGHU$DERYHDQG & D VXP DV SURILW RQ $ DERYH GHWHUPLQHG E\ WKH &RQWUDFWLQJ 2IILFHU WR EH IDLU DQG UHDVRQDEOH SURYLGHG KRZHYHU WKDW LI LW DSSHDUV WKDW WKH &RQWUDFWRU ZRXOG KDYH VXVWDLQHG D ORVV RQ WKH HQWLUHFRQWUDFWKDGLWEHHQFRPSOHWHGQRSURILWVKDOOEHLQFOXGHGRU DOORZHGXQGHUWKLVVXEGLYLVLRQ&DQGDQDSSURSULDWHDGMXVWPHQW VKDOOEHPDGHUHGXFLQJWKHDPRXQWRIWKHVHWWOHPHQWWRUHIOHFWWKH LQGLFDWHGUDWHRIORVVDQG LLL WKHUHDVRQDEOHFRVWVRIVHWWOHPHQWLQFOXGLQJDFFRXQWLQJOHJDOFOHULFDODQG RWKHU H[SHQVHV UHDVRQDEO\ QHFHVVDU\ IRU WKH SUHSDUDWLRQ RI VHWWOHPHQW FODLPV DQG VXSSRUWLQJGDWDZLWKUHVSHFW WRWKHWHUPLQDWHGSRUWLRQRIWKH BC Verified by pdfFiller 03/03/2022  23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 FRQWUDFWDQGIRUWKHWHUPLQDWLRQDQGVHWWOHPHQWRIVXEFRQWUDFWWKHUHXQGHU WRJHWKHUZLWKUHDVRQDEOHVWRUDJHWUDQVSRUWDWLRQDQGRWKHUFRVWVLQFXUUHGLQ FRQQHFWLRQZLWKWKHSURWHFWLRQRUGLVSRVLWLRQRISURSHUW\DOORFDEOHWRWKLV FRQWUDFW BC Verified by pdfFiller 03/03/2022 23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 $''(1'809 3529,6,216)520&)5$33(1',;,,  (48$/(03/2<0(1723325781,7< 'XULQJWKHSHUIRUPDQFHRIWKLVFRQWUDFWWKH&RQWUDFWRUDJUHHVDVIROORZV  7KH &RQWUDFWRU ZLOO QRW GLVFULPLQDWH DJDLQVW DQ\ HPSOR\HH RU DSSOLFDQW IRU HPSOR\PHQW EHFDXVH RI UDFH FRORU UHOLJLRQ VH[ RU QDWLRQDO RULJLQ  7KH &RQWUDFWRU ZLOO WDNH DIILUPDWLYH DFWLRQWRHQVXUHWKDWDSSOLFDQWVDUHHPSOR\HGDQGWKDWGXULQJHPSOR\PHQWHPSOR\HHVDUHWUHDWHG ZLWKRXWUHJDUGWRWKHLUUDFHFRORUUHOLJLRQVH[ RUQDWLRQDORULJLQ6XFKDFWLRQVKDOOLQFOXGHEXW QRWEHOLPLWHGWRWKHIROORZLQJ(PSOR\PHQWXSJUDGLQJGHPRWLRQRUWUDQVIHUUHFUXLWPHQWRU UHFUXLWPHQWDGYHUWLVLQJOD\RIIRUWHUPLQDWLRQUDWHVRISD\RURWKHUIRUPVRIFRPSHQVDWLRQDQG VHOHFWLRQ IRU WUDLQLQJ LQFOXGLQJDSSUHQWLFHVKLS  7KH FRQWUDFWRUDJUHHV WR SRVW LQ FRQVSLFXRXV SODFHV DYDLODEOH WR HPSOR\HHV DQG DSSOLFDQWV IRU HPSOR\PHQW QRWLFHV WR EH SURYLGHG VHWWLQJ IRUWKWKHSURYLVLRQVRIWKLVQRQGLVFULPLQDWLRQFODXVH  7KH &RQWUDFWRU ZLOO LQ DOO VROLFLWDWLRQV RU DGYHUWLVHPHQWV IRU HPSOR\HHV SODFHG E\ RU RQ EHKDOI RI WKH &RQWUDFWRU VWDWH WKDW DOO TXDOLILHG DSSOLFDQWV ZLOO UHFHLYH FRQVLGHUDWLRQV IRU HPSOR\PHQWZLWKRXWUHJDUGWRUDFHFRORUUHOLJLRQVH[RUQDWLRQDORULJLQ  7KH&RQWUDFWRUZLOOVHQGWRHDFKODERUXQLRQRUUHSUHVHQWDWLYHRIZRUNHUVZLWKZKLFKKHKDVD FROOHFWLYH EDUJDLQLQJ DJUHHPHQW RU RWKHU FRQWUDFW RU XQGHUVWDQGLQJ D QRWLFH WR EH SURYLGHG DGYLVLQJWKHVDLGODERUXQLRQRUZRUNHUV UHSUHVHQWDWLYHVRIWKHFRQWUDFWRU VFRPPLWPHQWVXQGHU WKLVVHFWLRQDQGVKDOOSRVWFRSLHVRIWKHQRWLFHLQFRQVSLFXRXVSODFHVDYDLODEOHWRHPSOR\HHVDQG DSSOLFDQWVIRUHPSOR\PHQW  7KH&RQWUDFWRUZLOOFRPSO\ZLWKDOOSURYLVLRQVRI([HFXWLYH 2UGHURI6HSWHPEHU DQGRIWKHUXOHVUHJXODWLRQVDQGUHOHYDQWRUGHUVRIWKH6HFUHWDU\RI/DERU  7KH&RQWUDFWRUZLOOIXUQLVKDOOLQIRUPDWLRQDQGUHSRUWVUHTXLUHGE\([HFXWLYH2UGHURI 6HSWHPEHUDQGE\UXOHVUHJXODWLRQVDQGRUGHUVRIWKH6HFUHWDU\RI/DERURUSXUVXDQW WKHUHWRDQGZLOOSHUPLWDFFHVVWRKLVERRNVUHFRUGVDQGDFFRXQWVE\WKHDGPLQLVWHULQJDJHQF\ DQGWKH6HFUHWDU\RI/DERUIRUSXUSRVHVRILQYHVWLJDWLRQWRDVFHUWDLQFRPSOLDQFHZLWKVXFKUXOHV UHJXODWLRQVDQGRUGHUV 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erified by pdfFiller 03/03/2022  23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 7KH&RQWUDFWRUZLOOLQFOXGHWKHSRUWLRQRIWKHVHQWHQFHLPPHGLDWHO\SUHFHGLQJSDUDJUDSK DQGWKHSURYLVLRQVRISDUDJUDSKVWKURXJK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 2YHUWLPH UHTXLUHPHQWV 1R FRQWUDFWRU RU VXEFRQWUDFWRU FRQWUDFWLQJ IRU DQ\ SDUW RI WKH FRQWUDFW ZRUN ZKLFK PD\ UHTXLUH RU LQYROYH WKH HPSOR\PHQW RI ODERUHUV RU PHFKDQLFV VKDOO UHTXLUHRUSHUPLWDQ\VXFKODERUHURUPHFKDQLFLQDQ\ZRUNZHHNLQZKLFKKHRU VKHLVHPSOR\HG RQVXFKZRUNWRZRUNLQH[FHVVRIIRUW\KRXUVLQVXFKZRUNZHHNXQOHVVVXFKODERUHURUPHFKDQLF UHFHLYHVFRPSHQVDWLRQDWDUDWHQRWOHVVWKDQRQHDQGRQHKDOIWLPHVWKHEDVLFUDWHRISD\IRUDOO KRXUVZRUNHGLQH[FHVVRIIRUW\KRXUVLQVXFKZRUNZHHN 9LRODWLRQOLDELOLW\IRUXQSDLGZDJHVOLTXLGDWHGGDPDJHV,QWKHHYHQWRIDQ\YLRODWLRQRIWKH FODXVHVHWIRUWKLQSDUDJUDSKRIWKLVVHFWLRQWKHFRQWUDFWRUDQGDQ\VXEFRQWUDFWRUUHVSRQVLEOH WKHUHIRUVKDOOEHOLDEOHIRUWKHXQSDLGZDJHV,QDGGLWLRQVXFKFRQWUDFWRUDQGVXEFRQWUDFWRUVKDOO EH OLDEOH WR WKH 8QLWHG 6WDWHV LQ WKH FDVH RI ZRUN GRQH XQGHU FRQWUDFW IRU WKH 'LVWULFW RI &ROXPELD RU D WHUULWRU\ WR VXFK 'LVWULFW RU WR VXFK WHUULWRU\ IRU OLTXLGDWHG GDPDJHV 6XFK OLTXLGDWHG GDPDJHV VKDOO EH FRPSXWHG ZLWK UHVSHFW WR HDFK LQGLYLGXDO ODERUHU RU PHFKDQLF LQFOXGLQJZDWFKPHQDQGJXDUGVHPSOR\HGLQYLRODWLRQRIWKHFODXVHVHWIRUWKLQSDUDJUDSKRI WKLVVHFWLRQLQWKHVXPRIIRUHDFKFDOHQGDUGD\RQZKLFKVXFKLQGLYLGXDOZDVUHTXLUHGRU SHUPLWWHGWRZRUNLQH[FHVVRIWKHVWDQGDUGZRUNZHHNRIIRUW\KRXUVZLWKRXWSD\PHQWRIWKH RYHUWLPHZDJHVUHTXLUHGE\WKHFODXVHVHWIRUWKLQSDUDJUDSKRIWKLVVHFWLRQ 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RIWKLVVHFWLRQ 6XEFRQWUDFWV7KHFRQWUDFWRURUVXEFRQWUDFWRUVKDOOLQVHUWLQDQ\VXEFRQWUDFWVWKHFODXVHVVHW IRUWKLQSDUDJUDSKWKURXJKRIWKLVVHFWLRQDQGDOVRDFODXVHUHTXLULQJWKHVXEFRQWUDFWRUVWR LQFOXGHWKHVHFODXVHVLQDQ\ORZHUWLHUVXEFRQWUDFWV7KHSULPHFRQWUDFWRUVKDOOEHUHVSRQVLEOHIRU FRPSOLDQFH E\ DQ\ VXEFRQWUDFWRU RU ORZHU WLHU VXEFRQWUDFWRU ZLWK WKH FODXVHV VHW IRUWK LQ SDUDJUDSKVWKURXJKRIWKLVVHFWLRQ BC Verified by pdfFiller 03/03/2022 23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6  &/($1$,5$&7$1'7+()('(5$/:$7(532//87,21&21752/$&7 &OHDQ$LU$FW  7KHFRQWUDFWRUDJUHHVWRFRPSO\ZLWKDOODSSOLFDEOHVWDQGDUGVRUGHUV RUUHJXODWLRQVLVVXHG SXUVXDQWWRWKH&OHDQ$LU$FWDVDPHQGHG86&†HWVHT  7KHFRQWUDFWRU DJUHHV WR UHSRUW HDFK YLRODWLRQWR WKH 'HSDUWPHQW RI 3ODQQLQJ DQG 1DWXUDO 5HVRXUFHV'315XQGHUVWDQGVDQGDJUHHVWKDWWKH'315ZLOOLQWXUQUHSRUWHDFKYLRODWLRQDV UHTXLUHGWRDVVXUHQRWLILFDWLRQWRWKH*RYHUQPHQW)HGHUDO(PHUJHQF\0DQDJHPHQW$JHQF\DQG WKHDSSURSULDWH(QYLURQPHQWDO3URWHFWLRQ$JHQF\5HJLRQDO2IILFH  7KHFRQWUDFWRUDJUHHVWRLQFOXGHWKHVHUHTXLUHPHQWVLQHDFKVXEFRQWUDFWH[FHHGLQJ ILQDQFHGLQZKROHRULQSDUWZLWK)HGHUDODVVLVWDQFHSURYLGHGE\)(0$ )HGHUDO:DWHU3ROOXWLRQ&RQWURO$FW  7KHFRQWUDFWRUDJUHHVWRFRPSO\ZLWKDOODSSOLFDEOHVWDQGDUGVRUGHUVRUUHJXODWLRQVLVVXHG SXUVXDQWWRWKH)HGHUDO:DWHU3ROOXWLRQ&RQWURO$FWDVDPHQGHG86&HWVHT  7KHFRQWUDFWRUDJUHHVWRUHSRUWHDFKYLRODWLRQWRWKH'315DQGXQGHUVWDQGVDQGDJUHHVWKDW WKH '315 ZLOO LQ WXUQ UHSRUW HDFK YLRODWLRQ DV UHTXLUHG WR DVVXUH QRWLILFDWLRQ WR WKH *RYHUQPHQW )HGHUDO (PHUJHQF\ 0DQDJHPHQW $JHQF\ DQG WKH DSSURSULDWH (QYLURQPHQWDO 3URWHFWLRQ$JHQF\5HJLRQDO2IILFH  7KHFRQWUDFWRUDJUHHVWRLQFOXGHWKHVHUHTXLUHPHQWVLQHDFKVXEFRQWUDFWH[FHHGLQJ ILQDQFHG LQ ZKROH RU LQ SDUW ZLWK )HGHUDO DVVLVWDQFH SURYLGHG E\ WKH )HGHUDO (PHUJHQF\ 0DQDJHPHQW$JHQF\  6863(16,21$1''(%$50(17  7KLV&RQWUDFWLVDFRYHUHGWUDQVDFWLRQIRUSXUSRVHVRI&)5SWDQG&)5SW $VVXFKWKH&RQWUDFWRULVUHTXLUHGWRYHULI\WKDWQRQHRIWKHFRQWUDFWRULWVSULQFLSDOVGHILQHGDW &)5†RULWVDIILOLDWHVGHILQHGDW&)5†DUHH[FOXGHGGHILQHGDW &)5†RUGLVTXDOLILHGGHILQHGDW&)5†  7KH&RQWUDFWRUPXVWFRPSO\ZLWK&)5SWVXESDUW&DQG&)5SWVXESDUW &DQGPXVWLQFOXGHDUHTXLUHPHQWWRFRPSO\ZLWKWKHVHUHJXODWLRQVLQDQ\ORZHUWLHUFRYHUHG WUDQVDFWLRQLWHQWHUVLQWR  7KLVFHUWLILFDWLRQLVDPDWHULDOUHSUHVHQWDWLRQRIIDFWUHOLHGXSRQE\WKH*RYHUQPHQW,ILWLV ODWHUGHWHUPLQHGWKDWWKHFRQWUDFWRUGLGQRWFRPSO\ZLWK&)5SWVXESDUW&DQG&)5 SW  VXESDUW & LQ DGGLWLRQ WR UHPHGLHV DYDLODEOH WR WKH *RYHUQPHQW WKH )HGHUDO *RYHUQPHQW PD\ SXUVXH DYDLODEOH UHPHGLHV LQFOXGLQJ EXW QRW OLPLWHG WR VXVSHQVLRQ DQGRU GHEDUPHQW  7KHELGGHURUSURSRVHUDJUHHVWRFRPSO\ZLWKWKHUHTXLUHPHQWVRI&)5SWVXESDUW& DQG  &)5 SW  VXESDUW & ZKLOH WKLV RIIHU LV YDOLG DQG WKURXJKRXW WKH SHULRG RI DQ\ BC Verified by pdfFiller 03/03/2022 23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 FRQWUDFW WKDW PD\ DULVH IURP WKLV RIIHU  7KH ELGGHU RU SURSRVHU IXUWKHU DJUHHV WR LQFOXGH D SURYLVLRQUHTXLULQJVXFKFRPSOLDQFHLQLWVORZHUWLHUFRYHUHGWUDQVDFWLRQV  %<5'$17,/2%%<,1* &RQWUDFWRUV ZKR DSSO\ RU ELG IRU DQ DZDUG RI  RU PRUH VKDOO ILOH WKH UHTXLUHG FHUWLILFDWLRQ  (DFK WLHU FHUWLILHV WR WKH WLHU DERYH WKDW LW ZLOO QRW DQG KDV QRW XVHG )HGHUDO DSSURSULDWHGIXQGVWRSD\DQ\SHUVRQRURUJDQL]DWLRQIRULQIOXHQFLQJRUDWWHPSWLQJWRLQIOXHQFH DQRIILFHURUHPSOR\HHRIDQ\DJHQF\DPHPEHURI&RQJUHVVRIILFHURUHPSOR\HHRI&RQJUHVV RU DQ HPSOR\HH RI D PHPEHU RI &RQJUHVV LQ FRQQHFWLRQ ZLWK REWDLQLQJ DQ\ )HGHUDO FRQWUDFW JUDQWRUDQ\RWKHUDZDUGFRYHUHGE\86&†(DFKWLHUVKDOODOVRGLVFORVHDQ\OREE\LQJ ZLWKQRQ)HGHUDOIXQGVWKDWWDNHVSODFHLQFRQQHFWLRQZLWKREWDLQLQJDQ\)HGHUDODZDUG6XFK GLVFORVXUHVDUHIRUZDUGHGIURPWLHUWRWLHUXSWRWKH*RYHUQPHQW  352&85(0(172)5(&29(5('0$7(5,$/6  ,Q WKH SHUIRUPDQFH RI WKLV FRQWUDFW WKH &RQWUDFWRU VKDOO PDNH PD[LPXP XVH RI SURGXFWV FRQWDLQLQJ UHFRYHUHG PDWHULDOV WKDW DUH (3$ GHVLJQDWHG LWHPV XQOHVV WKH SURGXFW FDQQRW EH DFTXLUHG² L &RPSHWLWLYHO\ZLWKLQDWLPHIUDPHSURYLGLQJIRUFRPSOLDQFHZLWKWKHFRQWUDFWSHUIRUPDQFH VFKHGXOH LL 0HHWLQJFRQWUDFWSHUIRUPDQFHUHTXLUHPHQWVRU LLL $WDUHDVRQDEOHSULFH  ,QIRUPDWLRQDERXWWKLVUHTXLUHPHQWDORQJZLWKWKHOLVWRI(3$GHVLJQDWHLWHPVLVDYDLODEOHDW (3$¶V &RPSUHKHQVLYH 3URFXUHPHQW *XLGHOLQHV ZHE VLWH KWWSVZZZHSDJRYVPPFRPSUHKHQVLYHSURFXUHPHQWJXLGHOLQHFSJSURJUDP  $&&(66725(&25'6 7KHIROORZLQJDFFHVVWRUHFRUGVUHTXLUHPHQWVDSSO\WRWKLVFRQWUDFW  7KH &RQWUDFWRU DJUHHV WR SURYLGH WKH *RYHUQPHQW WKH )HGHUDO (PHUJHQF\ 0DQDJHPHQW $JHQF\$GPLQLVWUDWRUWKH&RPSWUROOHU*HQHUDORIWKH8QLWHG6WDWHVRUDQ\RIWKHLUDXWKRUL]HG UHSUHVHQWDWLYHVDFFHVVWRDQ\ERRNVGRFXPHQWVSDSHUVDQGUHFRUGVRIWKH&RQWUDFWRUZKLFKDUH GLUHFWO\SHUWLQHQWWRWKLVFRQWUDFWIRUWKHSXUSRVHVRIPDNLQJDXGLWVH[DPLQDWLRQVH[FHUSWVDQG WUDQVFULSWLRQV  7KH &RQWUDFWRU DJUHHV WR SHUPLW DQ\ RI WKH IRUHJRLQJ SDUWLHV WR UHSURGXFH E\ DQ\ PHDQV ZKDWVRHYHURUWRFRS\H[FHUSWV DQGWUDQVFULSWLRQVDVUHDVRQDEO\QHHGHG  7KHFRQWUDFWRUDJUHHVWRSURYLGHWKH)HGHUDO(PHUJHQF\0DQDJHPHQW$JHQF\$GPLQLVWUDWRU RUKLVKHUDXWKRUL]HGUHSUHVHQWDWLYHVDFFHVVWRFRQVWUXFWLRQRURWKHUZRUNVLWHVSHUWDLQLQJWRWKH ZRUNEHLQJFRPSOHWHGXQGHUWKHFRQWUDFW BC Verified by pdfFiller 03/03/2022  23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 ,1'(01,),&$7,21 &RQWUDFWRUDJUHHVWRLQGHPQLI\GHIHQGDQGKROGKDUPOHVV*RYHUQPHQWIURPDQGDJDLQVWDQ\ DQG DOO ORVV GDPDJH OLDELOLW\ FODLPV GHPDQGV GHWULPHQWV FRVWV FKDUJHV DQG H[SHQVHV LQFOXGLQJDWWRUQH\¶VIHHVDQGFDXVHVRIDFWLRQRIZKDWVRHYHUFKDUDFWHUZKLFK*RYHUQPHQW PD\LQFXUVXVWDLQRUEHVXEMHFWHGWRDULVLQJRXWRIRULQDQ\ZD\FRQQHFWHGWRWKHVHUYLFHVWR EHSHUIRUPHGE\&RQWUDFWRUXQGHUWKLV&RQWUDFWDQGDULVLQJIURPDQ\FDXVHH[FHSWWKHVROH QHJOLJHQFHRI*RYHUQPHQW 5,*+772:,7++2/' ,I ZRUN XQGHU WKLV FRQWUDFW LV QRW SHUIRUPHG LQ DFFRUGDQFH ZLWK WKH WHUPV KHUHRI *RYHUQPHQWZLOOKDYHWKHULJKWWRZLWKKROGRXWRIDQ\SD\PHQWGXHWRFRQWUDFWRUVXFKVXPV DV*RYHUQPHQWPD\GHHPDPSOHWRSURWHFWLWDJDLQVWORVVRUWRDVVXUHSD\PHQWRIFODLPV DULVLQJWKHUHIURPDQGDWLWVRSWLRQ*RYHUQPHQWPD\DSSO\VXFKVXPVLQVXFKPDQQHUDV *RYHUQPHQW PD\ GHHP SURSHU WRVHFXUHLWVHOIRUWRVDWLVI\VXFKFODLPV *RYHUQPHQWZLOO LPPHGLDWHO\QRWLI\WKHFRQWUDFWRULQZULWLQJLQWKHHYHQWWKDWLWHOHFWVWRH[HUFLVHLWVULJKWWR ZLWKKROG 1RVXFKZLWKKROGLQJRUDSSOLFDWLRQVKDOOEHPDGHE\*RYHUQPHQWLIDQGZKLOHFRQWUDFWRU JLYHVVDWLVIDFWRU\DVVXUDQFHWR*RYHUQPHQWWKDWVXFK FODLPVZLOOEHSDLGE\FRQWUDFWRURULWV LQVXUDQFHFDUULHULIDSSOLFDEOHLQWKHHYHQWWKDWVXFKFRQWHVWLVQRWVXFFHVVIXO BC Verified by pdfFiller 03/03/2022 23&05  ,QLWLDOVBBBB 612%,7&&0 ,)%%,7&6 &HUWLILFDWLRQIRU&RQWUDFWV*UDQWV/RDQVDQG&RRSHUDWLYH$JUHHPHQWV 7REHVXEPLWWHGZLWKHDFKELGRURIIHUH[FHHGLQJ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³'LVFORVXUH)RUPWR5HSRUW/REE\LQJ´LQDFFRUGDQFHZLWKLWVLQVWUXFWLRQV  7KH XQGHUVLJQHG VKDOO UHTXLUH WKDW WKH ODQJXDJH RI WKLV FHUWLILFDWLRQ EH LQFOXGHG LQ WKH DZDUG GRFXPHQWV IRU DOO VXE DZDUGV DW DOO WLHUV LQFOXGLQJ VXEFRQWUDFWV VXE JUDQWV DQG FRQWUDFWV XQGHU JUDQWV ORDQV DQG FRRSHUDWLYH DJUHHPHQWV DQG WKDW DOO VXE UHFLSLHQWV VKDOO FHUWLI\ DQG GLVFORVH DFFRUGLQJO\ 7KLV FHUWLILFDWLRQ LV D PDWHULDO UHSUHVHQWDWLRQ RI IDFW XSRQ ZKLFK UHOLDQFH ZDV SODFHG ZKHQ WKLV WUDQVDFWLRQ ZDV PDGH RU HQWHUHG 6XEPLVVLRQ RI WKLV FHUWLILFDWLRQ LV D SUHUHTXLVLWH IRU PDNLQJ RU HQWHULQJWKLVWUDQVDFWLRQLPSRVHGE\86&†DVDPHQGHGE\WKH/REE\LQJ'LVFORVXUH$FW RI$Q\SHUVRQZKRIDLOV WR ILOHWKHUHTXLUHGFHUWLILFDWLRQVKDOOEHVXEMHFWWRDFLYLOSHQDOW\RI QRWOHVVWKDQDQGQRWPRUHWKDQIRUHDFKVXFKIDLOXUH 7KH&RQWUDFWRUBBBBBBBBBBBBBBBBBBBBBBBBBFHUWLILHVRUDIILUPVWKHWUXWKIXOQHVVDQGDFFXUDF\RI HDFKVWDWHPHQWRILWVFHUWLILFDWLRQDQGGLVFORVXUHLIDQ\,QDGGLWLRQWKH&RQWUDFWRUXQGHUVWDQGVDQG DJUHHVWKDWWKHSURYLVLRQVRI86&†HWVHTDSSO\WRWKLVFHUWLILFDWLRQDQGGLVFORVXUHLI DQ\ BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB 6LJQDWXUHRI&RQWUDFWRU¶V$XWKRUL]HG2IILFLDO BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB 1DPHDQG7LWOHRI&RQWUDFWRU¶V$XWKRUL]HG2IILFLDO BBBBBBBBBBBBBBBB 'DWH The undersigned _________N/A_____________ certifies, to the best of his or her knowledge, that: BC Verified by pdfFiller 03/03/2022