Form TA-1 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM TA-1/A	OMB APPROVAL
FORM TA-1/A		OMB Number:   3235-0084 Estimated average burden hours per response: 1.5

TA-1/A : Filer Information

Form Version X0405

1(a). Filer CIK:	0001090027
1(b). Filer CCC:	********
1(c). Is this a LIVE or TEST submission?	Live   Test
1(d). Would you like a Return Copy?	Yes
1(e). Is this filing an amendment to a previous filing?	Yes
1(e)(i). File Number:	084-05822

Submission Contact Information

The registrant may provide a single e-mail address for contact purposes.

1(f)(i). Contact Name:
1(f)(ii). Contact Phone Number:
1(f)(iii). Contact E-Mail Address:

Notification Information

The registrant may provide additional e-mail addresses for those persons the filer would like to receive notification e-mails regarding the filing.

1(g). Notification E-mail Address:

TA-1/A : Registrant Information

2. Appropriate regulatory agency (check one):

Securities and Exchange Commission     Federal Deposit Insurance Corporation     Comptroller of the Currency

3(c). Address of principal office where transfer agent activities are, or will be, performed:

3(c)(i). Address 1	6187 Carpinteria Avenue
3(c)(ii). Address 2
3(c)(iii). City	Carpinteria
3(c)(iv). State or Country	CALIFORNIA
3(c)(v). Postal Code	93013
3(d). Is Mailing address different from response to Question 3c? If "yes" provide address(es):	Yes   No
3(e). Telephone Number (Include Area Code)	805-684-1199
4. Does Registrant conduct, or will it conduct, transfer agent activities at any location other than that given in Questions 3(c) above? If "Yes" provide address (es):	Yes   No
5. Does registrant act, or will it act, as a transfer agent solely for its own securities, and/or securities of an affiliate(s)?	Yes   No
6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions?	Yes   No

7. Has registrant been engaged, or will it be engaged as a service company by a named transfer agent to perform transfer agent functions?

Yes   No

TA-1/A : Independent, Non-Issuer Registrant Information

Completion of Question 8 on this form is required by all independent, non-issuer registrants whose appropriate regulatory authority is the Securities and Exchange Commission. Those registrants who are not required to complete Question 8 should select "Not Applicable".

Section for Initial Registration and for Amendments Reporting Additional Persons.

8(a)(i). Full Name	Jon M. Ziehl
8(a)(ii). Relationship Start Date	09/01/1984
8(a)(iii). Title or Status	Director/CEO/President
8(a)(iv). Ownership Code	C
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Terrall Janeway
8(a)(ii). Relationship Start Date	10/01/1998
8(a)(iii). Title or Status	SVP/COO
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Sean Haley
8(a)(ii). Relationship Start Date	03/08/2019
8(a)(iii). Title or Status	VP & Chief Compliance Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	William S. Kemble
8(a)(ii). Relationship Start Date	10/18/2006
8(a)(iii). Title or Status	CFO/Treasurer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Byron Bowman
8(a)(ii). Relationship Start Date	04/01/2015
8(a)(iii). Title or Status	Secretary/General Counsel
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	PlanMember Financial Corporation
8(a)(ii). Relationship Start Date	12/01/1991
8(a)(iii). Title or Status	Direct Owner
8(a)(iv). Ownership Code	E
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	AXA Distribution Holding Corp
8(a)(ii). Relationship Start Date	02/14/2013
8(a)(iii). Title or Status	Indirect Owner
8(a)(iv). Ownership Code	C
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Daniel A. Murphy
8(a)(ii). Relationship Start Date	03/01/2005
8(a)(iii). Title or Status	VP/CCO
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	03/08/2019

9. Does any person or entity not named in the answer to Question 8:

9(a). directly or indirectly, through agreement or otherwise exercise or have the power to exercise control over the management or policies of applicant, or;….

Yes   No

9(b). wholly or partially finance the business of the applicant, directly or indirectly, in any manner other than by a public offering of securities made pursuant to the Securities Act of 1933 or by credit extended in the ordinary course of business by suppliers, banks and others?…..

Yes   No

TA-1/A : 10. Applicant and Control Affiliate Disciplinary History

The following definitions apply for purposes of answering this Question 10

10(a). In the past ten years has the applicant or a control affiliate been convicted of or plead guilty or nolo contendere ("no contest") to:

10(a)(1). a felony or misdemeanor involving: investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, or bribery, forgery, counterfeiting, or extortion?

Yes   No

10(a)(2). any other felony?

Yes   No

10(b). Has any court in the past ten years:
10(b)(1). enjoined the applicant or a control affiliate in connection with any investment-related activity?	Yes   No

10(b)(2). found that the applicant or control affiliate was involved in a violation of investment-related statutes or regulations?

Yes   No

10 (c). Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
10(c)(1). found the applicant or control affiliate to have made a false statement or omission?	Yes   No

10(c)(2). found the applicant or control affiliate to have been involved in a violation of its regulation or statutes?

Yes   No

10(c)(3). found the applicant or control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?

Yes   No

10(c)(4). entered an order denying, suspending or revoking the applicant’s or control affiliate’s registration or otherwise disciplined it by restricting its activities?

Yes   No

10(d). Has any other Federal regulatory agency or any state regulatory agency :
10(d)(1). ever found the applicant or control affiliate to have made a false statement or omission or to have been dishonest, unfair, or unethical?	Yes   No

10(d)(2). ever found the applicant or control affiliate to have been involved in a violation of investment-related regulations or statutes?

Yes   No

10(d)(3). ever found the applicant or control affiliate to have been a cause of an investment-related business having its authorization to do business Denied, suspended, revoked or restricted?

Yes   No

10(d)(4). in the past ten years entered an order against the applicant or control affiliate in connection with investment-related activity?

Yes   No

10(d)(5). ever denied, suspended, or revoked applicant’s or control affiliate’s registration or license, or prevented it from associating with an investment-related business, or otherwise disciplined it by restricting its activities?

Yes   No

10(d)(6). ever revoked or suspended the applicant’s or a control affiliate’s license as an attorney or accountant?

Yes   No

10(e)(1). found the applicant or a control affiliate to have made a false statement or omission?

Yes   No

10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules?

Yes   No

10(e)(3). found the applicant or a control affiliate to have been the cause of an investment-related business losing its authorization to do business?

Yes   No

10(e)(4). disciplined the applicant or a control affiliate by expelling or suspending it from membership, by barring or suspending its association with other members, or by otherwise restricting its activities?

Yes   No

10(f). Has any foreign government, court, regulatory agency or exchange ever entered an order against the applicant or a control affiliate related to investments or fraud?

Yes   No

10(g). Is the applicant or a control affiliate now the subject of a proceeding that could result in a yes answer for questions 10(a) – 10(f) ?

Yes   No

10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate?

Yes   No

10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it?

Yes   No

TA-1/A : Signature