TA-1/A : Filer Information

Form Version X0405

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

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

If "yes," provide the name(s) and address(es) of all service companies engaged, or that will be engaged, by the registrant to perform its transfer agent functions:

Engaged sevice company information Related to item 6 Record: 1
6(a). Name
DST Asset Manager Solutions Inc.
6(b). File Number
6(c)(i). Address 1
2000 Crown Colony Dr
6(c)(ii). Address 2
6(c)(iii). City
Quincy
6(c)(iv). State or Country
MASSACHUSETTS
6(c)(v). Postal Code
02169

Engaged sevice company information Related to item 6 Record: 2
6(a). Name
SS&C Fintech Services India Private Limited
6(b). File Number
6(c)(i). Address 1
5th Floor, Block B, Q City
6(c)(ii). Address 2
Nanakramguda, Gachibowli
6(c)(iii). City
Hyderabad
6(c)(iv). State or Country
INDIA
6(c)(v). Postal Code
500032
7. Has registrant been engaged, or will it be engaged as a service company by a named transfer agent to perform transfer agent functions? radio button checked  Yes  radio button unchecked  No

If "Yes" provide the name(s) and File Number(s) of the named transfer agent(s) for which the registrant has been engaged, or will be engaged, as a service company to perform transfer agent functions:

Engaged transfer agent company information Related to item 7 Record: 1
7(a). Name
Thrivent Financial Investor Services, Inc.
7(b). File Number
7(c)(i). Address 1
4321 N Ballard Rd
7(c)(ii). Address 2
7(c)(iii). City
Appleton
7(c)(iv). State or Country
WISCONSIN
7(c)(v). Postal Code
54919

Engaged transfer agent company information Related to item 7 Record: 2
7(a). Name
State Street Bank & Trust Company
7(b). File Number
7(c)(i). Address 1
One Lincoln Street
7(c)(ii). Address 2
7(c)(iii). City
Boston
7(c)(iv). State or Country
MASSACHUSETTS
7(c)(v). Postal Code
02111-2900

Engaged transfer agent company information Related to item 7 Record: 3
7(a). Name
DWS Service Co.
7(b). File Number
7(c)(i). Address 1
222 South Riverside Plaza
7(c)(ii). Address 2
7(c)(iii). City
Chicago
7(c)(iv). State or Country
ILLINOIS
7(c)(v). Postal Code
60606

Engaged transfer agent company information Related to item 7 Record: 4
7(a). Name
Transamerica Fund Services, Inc.
7(b). File Number
7(c)(i). Address 1
1801 California St
7(c)(ii). Address 2
Suite 5200
7(c)(iii). City
Denver
7(c)(iv). State or Country
COLORADO
7(c)(v). Postal Code
80202

Engaged transfer agent company information Related to item 7 Record: 5
7(a). Name
American Century Services, LLC
7(b). File Number
7(c)(i). Address 1
4500 Main Street
7(c)(ii). Address 2
7(c)(iii). City
Kansas City
7(c)(iv). State or Country
MISSOURI
7(c)(v). Postal Code
64111

Engaged transfer agent company information Related to item 7 Record: 6
7(a). Name
Goldman, Sachs & Co. LLC
7(b). File Number
7(c)(i). Address 1
71 South Wacker Drive
7(c)(ii). Address 2
Suite 400
7(c)(iii). City
Chicago
7(c)(iv). State or Country
ILLINOIS
7(c)(v). Postal Code
60606

Engaged transfer agent company information Related to item 7 Record: 7
7(a). Name
Fidelity Investments Institutional Operations Co., LLC
7(b). File Number
7(c)(i). Address 1
245 Summer St
7(c)(ii). Address 2
7(c)(iii). City
Boston
7(c)(iv). State or Country
MASSACHUSETTS
7(c)(v). Postal Code
02210

Engaged transfer agent company information Related to item 7 Record: 8
7(a). Name
NYLIM Service Company LLC
7(b). File Number
7(c)(i). Address 1
30 Hudson Street
7(c)(ii). Address 2
7(c)(iii). City
Jersey City
7(c)(iv). State or Country
NEW JERSEY
7(c)(v). Postal Code
07302

Engaged transfer agent company information Related to item 7 Record: 9
7(a). Name
Columbia Management Investment Services Corp.
7(b). File Number
7(c)(i). Address 1
225 Franklin Street
7(c)(ii). Address 2
25th Floor
7(c)(iii). City
Boston
7(c)(iv). State or Country
MASSACHUSETTS
7(c)(v). Postal Code
02110

Engaged transfer agent company information Related to item 7 Record: 10
7(a). Name
Principal Shareholder Services, Inc.
7(b). File Number
7(c)(i). Address 1
620 Coolidge Dr
7(c)(ii). Address 2
Ste 300
7(c)(iii). City
Folsom
7(c)(iv). State or Country
CALIFORNIA
7(c)(v). Postal Code
95630-3183

Engaged transfer agent company information Related to item 7 Record: 11
7(a). Name
MFS Service Center, Inc.
7(b). File Number
7(c)(i). Address 1
111 Huntington Ave
7(c)(ii). Address 2
7(c)(iii). City
Boston
7(c)(iv). State or Country
MASSACHUSETTS
7(c)(v). Postal Code
02199

Engaged transfer agent company information Related to item 7 Record: 12
7(a). Name
John Hancock Signature Services, Inc.
7(b). File Number
7(c)(i). Address 1
380 Stuart Street
7(c)(ii). Address 2
7(c)(iii). City
Boston
7(c)(iv). State or Country
MASSACHUSETTS
7(c)(v). Postal Code
02116

Engaged transfer agent company information Related to item 7 Record: 13
7(a). Name
Hartford Administrative Services Company
7(b). File Number
7(c)(i). Address 1
690 Lee Road
7(c)(ii). Address 2
7(c)(iii). City
Wayne
7(c)(iv). State or Country
PENNSYLVANIA
7(c)(v). Postal Code
19087

Engaged transfer agent company information Related to item 7 Record: 14
7(a). Name
Russell Investments Fund Services, LLC
7(b). File Number
7(c)(i). Address 1
1301 Second Avenue
7(c)(ii). Address 2
18th Floor
7(c)(iii). City
Seattle
7(c)(iv). State or Country
WASHINGTON
7(c)(v). Postal Code
98101

Engaged transfer agent company information Related to item 7 Record: 15
7(a). Name
Prudential Mutual Fund Services, LLC.
7(b). File Number
7(c)(i). Address 1
655 Broad Street
7(c)(ii). Address 2
Prudential Tower, 17th Floor
7(c)(iii). City
Newark
7(c)(iv). State or Country
NEW JERSEY
7(c)(v). Postal Code
07102

Engaged transfer agent company information Related to item 7 Record: 16
7(a). Name
T. Rowe Price Retirement Plan Services, Inc.
7(b). File Number
7(c)(i). Address 1
4515 Painters Mills Road
7(c)(ii). Address 2
7(c)(iii). City
Owings Mills
7(c)(iv). State or Country
MARYLAND
7(c)(v). Postal Code
21117

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.

corporation or partner information Related to item 8 Record: 1
8(a)(i). Full Name
SS&C Technologies Holdings, Inc.
8(a)(ii). Relationship Start Date
04/16/2018
8(a)(iii). Title or Status
Indirect Owner
8(a)(iv). Ownership Code
E
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 2
8(a)(i). Full Name
Adam Girard
8(a)(ii). Relationship Start Date
04/16/2018
8(a)(iii). Title or Status
Tax Officer
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 3
8(a)(i). Full Name
William C. Stone
8(a)(ii). Relationship Start Date
04/16/2018
8(a)(iii). Title or Status
Director
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 4
8(a)(i). Full Name
Patrick Pedonti
8(a)(ii). Relationship Start Date
04/16/2018
8(a)(iii). Title or Status
Executive VP, Treasurer, Director
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 5
8(a)(i). Full Name
SS&C Technologies, Inc.
8(a)(ii). Relationship Start Date
04/16/2018
8(a)(iii). Title or Status
Direct Owner
8(a)(iv). Ownership Code
E
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 6
8(a)(i). Full Name
Nick Wright
8(a)(ii). Relationship Start Date
12/23/2021
8(a)(iii). Title or Status
President
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 7
8(a)(i). Full Name
Nicole Greene
8(a)(ii). Relationship Start Date
09/05/2022
8(a)(iii). Title or Status
Head of Global Investor & Dist. Solution
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

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;…. radio button unchecked  Yes  radio button checked  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?….. radio button unchecked  Yes  radio button checked  No

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

The following definitions apply for purposes of answering this Question 10

Control Affiliate- An individual or firm that directly or indirectly controls, is under common control with, or is controlled by applicant. Included are any employees identified in 8(a), 8(b), 8(c) of this form as exercising control. Excluded are any employees who perform solely clerical, administrative support of similar functions, or who, regardless of title, perform no executive duties or have no senior policy making authority.
Investment or investment related- Pertaining to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with a broker dealer, investment company, investment adviser, futures sponsor, bank, or savings and loan association).
Involved- Doing an act of aiding, abetting, counseling, commanding, inducing, conspiring with or failing reasonably to supervise another in doing an act.

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? radio button unchecked  Yes  radio button checked  No
10(a)(2). any other felony? radio button unchecked  Yes  radio button checked  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? radio button unchecked  Yes  radio button checked  No
10(b)(2). found that the applicant or control affiliate was involved in a violation of investment-related statutes or regulations? radio button unchecked  Yes  radio button checked  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? radio button unchecked  Yes  radio button checked  No
10(c)(2). found the applicant or control affiliate to have been involved in a violation of its regulation or statutes? radio button checked  Yes  radio button unchecked  No

Entity information Related to item 10(c)(2) Record: 1

10(c)(2)(i). The individuals named in the Action
DST Asset Manager Solutions, Inc.
10(c)(2)(ii). Title of Action
Order Instituting Administrative and Cease and Desist Proceedings File No. 3-21565 Release No. 98153
10(c)(2)(iii). Date of Action
08/17/2023
10(c)(2)(iv). The Court or body taking the Action and its location
United States Securities and Exchange Commission
10(c)(2)(v). Description of the Action
The SEC alleged that DST Asset Manager Solutions, Inc. ("DST AMS"), who is an SEC registered transfer agent, violated Exchange Act Rule 17Ad-17 related to searching for lost securityholders, by requiring a database search match to the lost securityholders name in addition to social security number as a condition to sending outreach letters to potentially better mailing addresses in an attempt to locate lost securityholders.
10(c)(2)(vi). The disposition of the proceeding
Pursuant to the Order, in addition to a $500,000 civil monetary penalty and a censure, DST AMS agreed to undertake to (a) take reasonable steps to locate lost securityholders to whom it did not send outreach letters after receiving an SSN match after database searches and who experienced escheatment during the period covered by the investigation, (b) request its mutual fund clients to periodically send out notifications to their shareholders informing them of the risk of escheatment, and (c) provide written certification annually for five years that its written policies and procedures have complied with the requirements of Rule 17Ad-17 and that it has followed those written policies and procedures in practice.
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? radio button unchecked  Yes  radio button checked  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? radio button unchecked  Yes  radio button checked  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? radio button unchecked  Yes  radio button checked  No
10(d)(2). ever found the applicant or control affiliate to have been involved in a violation of investment-related regulations or statutes? radio button unchecked  Yes  radio button checked  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? radio button unchecked  Yes  radio button checked  No
10(d)(4). in the past ten years entered an order against the applicant or control affiliate in connection with investment-related activity? radio button unchecked  Yes  radio button checked  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? radio button unchecked  Yes  radio button checked  No
10(d)(6). ever revoked or suspended the applicant’s or a control affiliate’s license as an attorney or accountant? radio button unchecked  Yes  radio button checked  No

10(e). Has any self-regulatory organization or commodities exchange ever:
10(e)(1). found the applicant or a control affiliate to have made a false statement or omission? radio button unchecked  Yes  radio button checked  No
10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules? radio button unchecked  Yes  radio button checked  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? radio button unchecked  Yes  radio button checked  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? radio button unchecked  Yes  radio button checked  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? radio button unchecked  Yes  radio button checked  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) ? radio button unchecked  Yes  radio button checked  No
10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate? radio button unchecked  Yes  radio button checked  No
10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it? radio button unchecked  Yes  radio button checked  No

TA-1/A : Signature

ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)

SIGNATURE: The registrant submitting this form, and as required, the SEC supplement and Schedules A-D, And the executing official hereby represent that all the information contained herein is true, correct and complete.