# EDGAR Filing Document

**Accession Number:** 0001718015
**File Stem:** 0001718015-23-000005
**Filing Date:** 2023-3
**Character Count:** 7187
**Document Hash:** ee6abaa5fc44afc95e938ec404deec7b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001718015-23-000005.hdr.sgml**: 20230320

**ACCESSION NUMBER**: 0001718015-23-000005

**CONFORMED SUBMISSION TYPE**: TA-1/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230314

**DATE AS OF CHANGE**: 20230320

**EFFECTIVENESS DATE**: 20230324

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Odyssey Trust Co
- **CENTRAL INDEX KEY:** 0001718015
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** A1
- **FISCAL YEAR END:** 0630

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-06568
- **FILM NUMBER:** 23745650

**BUSINESS ADDRESS:**
- **STREET 1:** 1230 - 300 5TH AVE SW
- **CITY:** CALGARY
- **STATE:** A0
- **ZIP:** T2P 3C4
- **BUSINESS PHONE:** 5878850960

**MAIL ADDRESS:**
- **STREET 1:** 1230 - 300 5TH AVE SW
- **CITY:** CALGARY
- **STATE:** A0
- **ZIP:** T2P 3C4

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM TA-1

### UNIFORM FORM OF APPLICATION FOR REGISTRATION AS A TRANSFER AGENT

### Registrant Information

**Appropriate regulatory agency:** SEC

**Full name of Registrant:** Odyssey Trust Co

**FINS Number:** 354050

**Address of principal office where transfer agent activities are performed:** 350 - 409 Granville St, Vancouver, A1, V6C 1T2

**Is mailing address different from principal office address?:** No

**Telephone Number:** 587-885-0960

**Does registrant conduct business in other locations?:** Yes

**Other Business Location Address 1:** 1230-300 5th Ave SW, CALGARY, A0, T2P 3C4

**Other Business Location Address 2:** 702-67 Yonge St, TORONTO, A6, M5E 1J8

**Is registrant a self-transfer agent?:** No

**Does registrant engage a service company to perform any of its transfer agent functions?:** Yes

**Is registrant engaged as a service company by a named transfer agent?:** Yes

**Service Company Arrangement 1:**

- **Name:** Odyssey Transfer US INC.

- **File Number:** 084-06874

- **Address:** 2155 Woodlane Drive, Suite 100, Woodbury, MN, 55125

### Ownership and Control Information

**Registrant Type:** Corporation

**Does any other person control the management or policies of the applicant?:** No

**Does any other person directly or indirectly finance the applicant?:** No

**Control Affiliates Information:**

| Entity Name          | Relationship Start Date   | Title or Status                        | Ownership Code   | Control Person   | Relationship End Date   |
|:---|:---|:---|:---|:---|:---|
| JENNA KAYE           | 09/09/2017                | CEO                                    | B                | Yes              |  |
| John Campbell        | 09/19/2017                | PRESIDENT                              | NA               | Yes              | 12/01/2021              |
| Scott Saxberg        | 09/19/2017                | DIRECTOR                               | B                | Yes              |  |
| Randy Gregory        | 09/19/2017                | Chairman & Director                    | NA               | Yes              |  |
| Nicholas Johnson     | 09/19/2017                | Director                               | A                | Yes              |  |
| Sadiq Lalani         | 09/19/2017                | Director                               | NA               | Yes              |  |
| Dianna Reimer        | 09/19/2017                | Chief Strategy Officer                 | NA               | Yes              |  |
| Lisa Scotland        | 09/19/2017                | CCO, CRO                               | NA               | Yes              | 01/19/2023              |
| Daniel Sander        | 09/19/2017                | EVP, Corporate Trust                   | NA               | Yes              |  |
| Dan Eisner           | 09/19/2017                | Director                               | NA               | Yes              |  |
| MARILOU HAZEL JUANTA | 08/10/2020                | RISK OFFICER                           | NA               | Yes              | 06/30/2022              |
| Robert Morton        | 10/30/2020                | Director                               | NA               | Yes              |  |
| MARIA NARDI          | 03/30/2021                | COO                                    | NA               | Yes              | 08/15/2022              |
| Frank Kailik         | 03/29/2021                | VICE PRESIDENT                         | NA               | Yes              |  |
| Shawn Stordy         | 10/12/2021                | CFO                                    | NA               | Yes              |  |
| Robyn Ross           | 10/28/2021                | Director                               | NA               | Yes              |  |
| Sarah Gilroy         | 05/26/2022                | Vice President                         | NA               | Yes              |  |
| Rachel Wanchulak     | 07/01/2022                | Vice President                         | NA               | Yes              |  |
| Giovana Pedraza      | 07/01/2022                | Managing Director, Compliance and Risk | NA               | Yes              |  |
| Krista Lalonde       | 09/06/2022                | COO                                    | NA               | Yes              |  |
| Cameron Micke        | 01/09/2023                | CCO, CRO                               | NA               | Yes              |  |

### Disciplinary History

- **Convicted/plead guilty to any felony or investment-related misdemeanor?:** No

- **Convicted/plead guilty to any other felony?:** No

- **Enjoined in connection with any investment-related activity?:** No

- **Found to have violated any investment-related statute or regulation?:** No

- **Made a false statement or omission in a filing with the SEC?:** No

- **Found to have violated SRO rules or failed to supervise?:** No

- **Had authorization to act as a financial professional denied, suspended, or revoked?:** No

- **Had a registration as a financial professional denied, suspended, or revoked?:** No

- **Federal/State agency found a false statement or omission?:** No

- **Federal/State agency found a violation of investment-related regulations?:** No

- **Federal/State agency denied, suspended, or revoked authorization?:** No

- **Federal/State agency entered an order against the applicant?:** No

- **Federal/State agency denied, suspended, or revoked registration?:** No

- **Federal/State agency revoked or suspended a license?:** No

- **SRO found a false statement or omission?:** No

- **SRO found a violation of its rules?:** No

- **SRO denied, suspended, or revoked authorization?:** No

- **SRO revoked or suspended a license?:** No

- **Subject of an order or finding by a foreign financial regulatory authority?:** No

- **Currently the subject of any proceeding that could result in a 'yes' answer to any of the above?:** No

- **Had a bond revoked for disorderly conduct, fraud, or dishonesty?:** No

- **Have any unsatisfied judgments or liens against them?:** No

### Signature

**Signature:** Cameron Micke

**Title:** CRO, CCO

**Date:** 03/13/2023

**Phone Number:** 416-524-1088