Form TA-1/A DST SYSTEMS INC
UNIFORM FORM FOR REGISTRATION AS A TRANSFER AGENT AND FOR AMENDMENT TO REGISTRATION PURSUANT TO SECTION 17A OF THE SECURITIES EXCHANGE ACT OF 1934
|
Form Version 3.2.0 |
1(e)(i).
File Number: 084-00448 2. Appropriate regulatory agency (check one) : |
3(b). Financial Industry Number Standard (FINS) number: | 401588 |
3(c). Address of principal office where transfer agent activities are, or will be, performed: 3(c)(i). Address 1 210 W 10th Street 3(c)(ii). Address 2 3(c)(iii). City Kansas City 3(c)(iv). State or Country MO MISSOURI 3(c)(v). Postal Code 64105 |
3(d)(i). Address 1 Attn: Legal Department 333 W 11th Street 3(d)(ii).Address 2 5th Floor 3(d)(iii).City Kansas City 3(d)(iv).State or Country MO MISSOURI 3(d)(v).Postal Code 64105 |
3(e). Telephone Number (Include Area Code) 816-435-1000 |
4. Does registrant conduct, or will it conduct, transfer agent activities at any location other than that given in question 3c above? If "yes," provide address(es): | Yes No |
4(a)(i). Address 1
7201 E 64th Ct
4(a)(ii). Address 2
4(a)(iii). City
Kansas City
4(a)(iv). State or Country
MO
MISSOURI
MISSOURI
4(a)(v). Postal Code
64133
4(a)(i). Address 1
330 W 9th Street
4(a)(ii). Address 2
4(a)(iii). City
kansas City
4(a)(iv). State or Country
MO
MISSOURI
MISSOURI
4(a)(v). Postal Code
64105
4(a)(i). Address 1
816 Broadway
4(a)(ii). Address 2
4(a)(iii). City
Kansas City
4(a)(iv). State or Country
MO
MISSOURI
MISSOURI
4(a)(v). Postal Code
64105
4(a)(i). Address 1
333 W 11th Street
4(a)(ii). Address 2
4(a)(iii). City
Kansas City
4(a)(iv). State or Country
MO
MISSOURI
MISSOURI
4(a)(v). Postal Code
64105
4(a)(i). Address 1
430 W 7th Street
4(a)(ii). Address 2
4(a)(iii). City
Kansas City
4(a)(iv). State or Country
MO
MISSOURI
MISSOURI
4(a)(v). Postal Code
64105
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 |
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:
6(a). Name: Boston Financial Data Services, Inc. |
6(b). File Number: 084-00896
6(c)(i). Address 1
2000 Crown Colony Drive
6(c)(ii). Address 2
6(c)(iii). City
Quincy
6(c)(iv). State or Country
MA
6(c)(v). Postal Code
02169
6(a). Name: National Financial Data Services, Inc. |
6(b). File Number: 084-01078
6(c)(i). Address 1
330 west 9th Street
6(c)(ii). Address 2
6(c)(iii). City
Kansas City
6(c)(iv). State or Country
MO
6(c)(v). Postal Code
64105
6(a). Name: DST Worldwide Services India Private Limited |
6(b). File Number: 084-06342
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
K7
6(c)(v). Postal Code
500032
6(a). Name: DST Worldwide Services India Private Limited |
6(b). File Number: 084-06342
6(c)(i). Address 1
1st Floor, Block A, Q City
6(c)(ii). Address 2
Nanakramguda, Gachibowli
6(c)(iii). City
Hyderabad
6(c)(iv). State or Country
K7
6(c)(v). Postal Code
500032
6(a). Name: DST Worldwide Services India Private Limited |
6(b). File Number: 084-06342
6(c)(i). Address 1
Suite 201, Building 7, Commerzone
6(c)(ii). Address 2
Samrat Ashok Path Road, Yerawada
6(c)(iii). City
Pune
6(c)(iv). State or Country
K7
6(c)(v). Postal Code
411006
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 |
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:
7(a). Name
Thrivent Financial Investor Services Inc.
7(b). File Number:084-01547
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
WI
7(c)(v).Postal Code
54919
7(a). Name
State Street Bank & Trust Company
7(b). File Number:085-05003
7(c)(i). Address 1
One Lincoln Street
7(c)(ii).Address 2
7(c)(iii).City
Boston
7(c)(iv).State or Country
MA
7(c)(v).Postal Code
02111-2900
7(a). Name
DeAWM Service Company
7(b). File Number:084-01713
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
IL
7(c)(v).Postal Code
60606
7(a). Name
State Farm Investment Management Corp
7(b). File Number:084-00839
7(c)(i). Address 1
Three State Farm Plaza
7(c)(ii).Address 2
7(c)(iii).City
Bloomington
7(c)(iv).State or Country
IL
7(c)(v).Postal Code
61709
7(a). Name
Transamerica Fund Services, Inc.
7(b). File Number:084-06130
7(c)(i). Address 1
AEGON Purchase Processing
7(c)(ii).Address 2
570 Carillon Parkway
7(c)(iii).City
St Petersburg
7(c)(iv).State or Country
FL
7(c)(v).Postal Code
33716
7(a). Name
American Century Services, LLC
7(b). File Number:084-01406
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
MO
7(c)(v).Postal Code
64111
7(a). Name
Morgan Stanley Services Co Inc
7(b). File Number:084-06270
7(c)(i). Address 1
Harborside Financial Center
7(c)(ii).Address 2
Plaza Two, Third Floor
7(c)(iii).City
Jersey City
7(c)(iv).State or Country
NJ
7(c)(v).Postal Code
07311
7(a). Name
Leaf Financial Corporation
7(b). File Number:084-05900
7(c)(i). Address 1
1845 Walnut St
7(c)(ii).Address 2
Ste 100
7(c)(iii).City
Philadelphia
7(c)(iv).State or Country
PA
7(c)(v).Postal Code
19103
7(a). Name
Pioneer Investment Management Shareholder Services, Inc
7(b). File Number:084-01359
7(c)(i). Address 1
60 State Street
7(c)(ii).Address 2
7(c)(iii).City
Boston
7(c)(iv).State or Country
MA
7(c)(v).Postal Code
02109
7(a). Name
Goldman, Sachs & Co
7(b). File Number:084-01100
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
IL
7(c)(v).Postal Code
60606
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".
8. Is registrant a: Corporation
Section for Initial Registration and for Amendments Reporting Additional Persons.
8(a)(i). Full Name | Randall D. Young | ||
2002-07-01 | |||
Sr.Vice President/GC/Sec/CLO | |||
NA - 0 to 5% | |||
8(a)(i). Full Name | Stephen C Hooley | ||
2009-06-30 | |||
Director/President/CEO | |||
NA - 0 to 5% | |||
8(a)(i). Full Name | Lowell L. Bryan | ||
2012-05-08 | |||
Director | |||
NA - 0 to 5% | |||
8(a)(i). Full Name | Samuel G. Liss | ||
2012-05-08 | |||
Director | |||
NA - 0 to 5% | |||
8(a)(i). Full Name | Gregg W Givens | ||
2014-01-01 | |||
Senior Vice President/CFO/Treasurer | |||
NA - 0 to 5% | |||
8(a)(i). Full Name | BlackRock, Inc. | ||
2013-12-31 | |||
8.4% Owner | |||
A - 5% up to 10% | |||
8(a)(i). Full Name | Lynn Dorsey Bleil | ||
2014-05-13 | |||
Director | |||
NA - 0 to 5% | |||
8(a)(i). Full Name | Charles E Haldeman, Jr | ||
2014-11-10 | |||
Director | |||
NA - 0 to 5% | |||
8(a)(i). Full Name | The Vanguard Group | ||
2014-12-31 | |||
7.64% Owner | |||
A - 5% up to 10% | |||
8(a)(i). Full Name | Jerome H. Bailey | ||
2015-05-12 | |||
Director | |||
NA - 0 to 5% | |||
8(a)(i). Full Name | Gary Forsee | ||
2015-05-12 | |||
Director | |||
NA - 0 to 5% | |||
8(a)(i). Full Name | Joseph C. Antonellis | ||
2015-12-15 | |||
Director | |||
NA - 0 to 5% | |||
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 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 |
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 contender ("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 |
Yes No | |
10(c). Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Yes No | |
Yes No | |
Yes No | |
Yes No | |
Yes No | |
Yes No | |
Yes No | |
Yes No | |
Yes No | |
Yes No | |
Yes No | |
Yes No | |
Yes No | |
Yes No | |
Yes No | |
Yes No | |
Yes No | |
Yes No | |
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. | |
11(a). Signature of Official responsible for Form: Randall Young | 11(b). Telephone number: 816-435-8651 |
11(c). Title of Signing Officer: Sr Vice President, General Counsel & Secretary | 11(d). Date signed (Month/Day/Year): 2016-10-18 |
Serious News for Serious Traders! Try StreetInsider.com Premium Free!
You May Also Be Interested In
- Gulfstream G700 Earns FAA Certification
- UPSHER-SMITH LAUNCHES METHIMAZOLE TABLETS, USP
- Truck Stops, Fuel Marketers Respond to Heavy-Duty Greenhouse Gas Rule
Create E-mail Alert Related Categories
SEC FilingsSign up for StreetInsider Free!
Receive full access to all new and archived articles, unlimited portfolio tracking, e-mail alerts, custom newswires and RSS feeds - and more!