# EDGAR Filing Document

**Accession Number:** 0000810704
**File Stem:** 0000810704-26-000001
**Filing Date:** 2026-1
**Character Count:** 9224
**Document Hash:** 8443fb55e24078bb566a8a5209a09e40
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000810704-26-000001.hdr.sgml**: 20260211

**ACCESSION NUMBER**: 0000810704-26-000001

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20260128

**DATE AS OF CHANGE**: 20260211

**EFFECTIVENESS DATE**: 20260207

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PRIMERICA SHAREHOLDER SERVICES, INC.
- **CENTRAL INDEX KEY:** 0000810704

**ORGANIZATION NAME:**
- **EIN:** 061186249

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-01499
- **FILM NUMBER:** 26618695

**BUSINESS ADDRESS:**
- **STREET 1:** 1 PRIMERICA PARKWAY
- **CITY:** DULUTH
- **STATE:** GA
- **ZIP:** 30099
- **BUSINESS PHONE:** 8005445445

**MAIL ADDRESS:**
- **STREET 1:** 1 PRIMERICA PARKWAY
- **CITY:** DULUTH
- **STATE:** GA
- **ZIP:** 30099

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PRIMERICA SHAREHOLDER SERVICES /TA
- **DATE OF NAME CHANGE:** 20150730

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PFS SHAREHOLDER SERVICES                                /TA
- **DATE OF NAME CHANGE:** 20011011

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PRIMERICA SHAREHOLDER SERVICES                          /TA
- **DATE OF NAME CHANGE:** 20011011

### 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:** PRIMERICA SHAREHOLDER SERVICES, INC.

**FINS Number:** 409573

**Address of principal office where transfer agent activities are performed:** 1 Primerica Parkway, Duluth, GA, 30099

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

**Telephone Number:** 470-564-7681

**Does registrant conduct business in other locations?:** No

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

**Does registrant engage a service company to perform any of its transfer agent functions?:** No

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

**Service Company Arrangement 1:**

- **Name:** American Century Services, LLC

- **File Number:** 084-01406

- **Address:** 4500 Main Street, Kansas City, MO, 64111

**Service Company Arrangement 2:**

- **Name:** Invesco Investment Services, Inc.

- **File Number:** 084-05432

- **Address:** 11 Greenway Plaza, Houston, TX, 77046-1173

**Service Company Arrangement 3:**

- **Name:** Franklin Templeton Investor Services, LLC

- **File Number:** 084-01036

- **Address:** 100 Fountain Parkway, St. Petersburg, FL, 33716

**Service Company Arrangement 4:**

- **Name:** Fidelity Investments Institutional Operations Company LLC

- **File Number:** 084-01839

- **Address:** 245 Summer Street, Boston, MA, 02210

**Service Company Arrangement 5:**

- **Name:** SS&C GIDS, Inc.

- **File Number:** 084-00448

- **Address:** 2000 Crown Colony Drive, Quincy, MA, 02169

**Service Company Arrangement 6:**

- **Name:** BNY Mellon Investment Servicing (US) Inc.

- **File Number:** 084-01761

- **Address:** 500 Ross Street, 154-0520, Pittsburg, PA, 15262

### 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   |
|:---|:---|:---|:---|:---|:---|
| William A. Kelly              | 01/21/1997                | Executive Vice President                 | NA               | Yes              | 08/28/2020              |
| Cynthia K. Mitchell           | 01/17/1995                | Executive Vice President                 | NA               | Yes              | 02/01/2022              |
| Melanie J. Mitchell           | 12/19/2008                | Executive Vice President                 | NA               | Yes              | 07/24/2019              |
| Alison S. Rand                | 12/31/1998                | Executive Vice President                 | NA               | Yes              | 07/24/2019              |
| John S. Watts, III            | 01/01/2001                | SVP and Chief Legal Counsel              | NA               |  | 10/01/2024              |
| Jimmie B. Barnhill            | 09/01/2006                | Vice President                           | NA               |  |  |
| Janet Kelly                   | 10/15/2014                | Vice President and Assistant Secretary   | NA               |  | 06/01/2018              |
| Daniel A. Woodring            | 09/01/2005                | EVP and Chief Compliance Officer         | NA               |  |  |
| Sharon Grubenhoff             | 09/01/2011                | SVP, Chief Financial Officer & Treasurer | NA               |  | 07/25/2023              |
| Judy R. Trollinger            | 01/01/1999                | Assistant Secretary                      | NA               |  | 05/01/2017              |
| Gloria Tyree Pullard          | 05/01/2017                | Assistant Secretary                      | NA               |  | 03/01/2018              |
| Primerica Finance Corporation | 12/20/1994                | Parent Company                           | E                | Yes              |  |
| Primerica, Inc.               | 04/01/2010                | Indirect Parent Company                  | E                | Yes              |  |
| Stacey K. Geer                | 08/01/2012                | Secretary                                | NA               |  |  |
| Todd M. Cooperider            | 08/15/2013                | Assistant Secretary                      | NA               |  |  |
| Asa Behnia                    | 06/01/2018                | Assistant Secretary                      | NA               |  |  |
| Estelle Faranda               | 01/16/2020                | Director, CEO and President              | NA               | Yes              | 09/30/2023              |
| William Nemetz                | 02/01/2022                | Director and Executive Vice President    | NA               | Yes              |  |
| David Ian How                 | 06/01/2018                | Senior Vice President                    | NA               |  |  |
| Kurt J. Simmons               | 11/30/2009                | Assistant Secretary                      | NA               |  | 10/02/2023              |
| James Alexander Taylor        | 05/16/2016                | Vice President                           | NA               |  |  |
| Brian Weigle                  | 03/31/2023                | Director                                 | NA               | Yes              |  |
| Michael K. Wells              | 07/25/2023                | Treasurer                                | NA               |  |  |
| Paul Etienne Regard           | 10/01/2023                | Director, CEO and President              | NA               | Yes              |  |
| Michael Lesutis               | 10/01/2024                | Senior Vice President and Chief Counsel  | NA               |  |  |
| Karen L. Sukin                | 09/19/2025                | Executive Vice President                 | NA               |  |  |

### 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:** Daniel Woodring

**Title:** Executive Vice President & Chief Compliance Officer

**Date:** 01/28/2026

**Phone Number:** 470-564-7681