# EDGAR Filing Document

**Accession Number:** 0000027048
**File Stem:** 0000027048-23-000004
**Filing Date:** 2023-1
**Character Count:** 8335
**Document Hash:** e45ea0621e375cdd63c973f3e3f714a9
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000027048-23-000004.hdr.sgml**: 20230127

**ACCESSION NUMBER**: 0000027048-23-000004

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230119

**DATE AS OF CHANGE**: 20230127

**EFFECTIVENESS DATE**: 20230129

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SS&C GIDS, Inc.
- **CENTRAL INDEX KEY:** 0000027048
- **IRS NUMBER:** 430912731

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-00448
- **FILM NUMBER:** 23560672

**BUSINESS ADDRESS:**
- **STREET 1:** 1055 BROADWAY, 7TH FL
- **CITY:** KANSAS CITY
- **STATE:** MO
- **ZIP:** 64105
- **BUSINESS PHONE:** 8164351000

**MAIL ADDRESS:**
- **STREET 1:** 1055 BROADWAY ST. 7TH FL
- **STREET 2:** ATTN LEGAL DEPT
- **CITY:** KANSAS CITY
- **STATE:** MO
- **ZIP:** 64105

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** DST SYSTEMS INC /TA
- **DATE OF NAME CHANGE:** 20220218

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** DST SYSTEMS INC                                         /TA
- **DATE OF NAME CHANGE:** 20000101

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** DST INC
- **DATE OF NAME CHANGE:** 19841016

### 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:** SS&C GIDS, Inc.

**FINS Number:** 401588

**Address of principal office where transfer agent activities are performed:** 1055 Broadway St, Kansas City, MO, 64105

**Is mailing address different from principal office address?:** Yes

**Mailing Address:** 1055 Broadway St, 7th FL, ATTN LEGAL DEPT, KANSAS CITY, MO, 64105

**Telephone Number:** 816-435-1000

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

**Other Business Location Address 1:** 7201 E 64th Ct, Kansas City, MO, 64133

**Other Business Location Address 2:** 330 W 9th St, Kansas City, MO, 64105

**Other Business Location Address 3:** 430 W 7th St, Kansas City, MO, 64105

**Other Business Location Address 4:** 2000 Crown Colony Drive, Quincy, MA, 02169

**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:** Thrivent Financial Investor Services, Inc.

- **File Number:** 084-01547

- **Address:** 4321 N Ballard Rd, Appleton, WI, 54919

**Service Company Arrangement 2:**

- **Name:** State Street Bank & Trust Company

- **File Number:** 085-05003

- **Address:** One Lincoln Street, Boston, MA, 02111-2900

**Service Company Arrangement 3:**

- **Name:** DWS Service Co.

- **File Number:** 084-01713

- **Address:** 222 South Riverside Plaza, Chicago, IL, 60606

**Service Company Arrangement 4:**

- **Name:** Transamerica Fund Services, Inc.

- **File Number:** 084-06130

- **Address:** 1801 California St, Suite 5200, Denver, CO, 80202

**Service Company Arrangement 5:**

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

- **File Number:** 084-01406

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

**Service Company Arrangement 6:**

- **Name:** Goldman, Sachs & Co. LLC

- **File Number:** 084-01100

- **Address:** 71 South Wacker Drive, Suite 400, Chicago, IL, 60606

**Service Company Arrangement 7:**

- **Name:** Fidelity Investments Institutional Operations Co., LLC

- **File Number:** 084-01839

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

**Service Company Arrangement 8:**

- **Name:** NYLIM Service Company LLC

- **File Number:** 084-05844

- **Address:** 30 Hudson Street, Jersey City, NJ, 07302

**Service Company Arrangement 9:**

- **Name:** Columbia Management Investment Services Corp.

- **File Number:** 084-05685

- **Address:** 225 Franklin Street, 25th Floor, Boston, MA, 02110

**Service Company Arrangement 10:**

- **Name:** Principal Shareholder Services, Inc.

- **File Number:** 084-05657

- **Address:** 620 Coolidge Dr, Ste 300, Folsom, CA, 95630-3183

**Service Company Arrangement 11:**

- **Name:** MFS Service Center, Inc.

- **File Number:** 084-01316

- **Address:** 111 Huntington Ave, Boston, MA, 02199

**Service Company Arrangement 12:**

- **Name:** John Hancock Signature Services, Inc.

- **File Number:** 084-01885

- **Address:** 380 Stuart Street, Boston, MA, 02116

**Service Company Arrangement 13:**

- **Name:** Hartford Administrative Services Company

- **File Number:** 084-00353

- **Address:** 690 Lee Road, Wayne, PA, 19087

**Service Company Arrangement 14:**

- **Name:** Russell Investments Fund Services, LLC

- **File Number:** 084-06276

- **Address:** 1301 Second Avenue, 18th Floor, Seattle, WA, 98101

**Service Company Arrangement 15:**

- **Name:** Prudential Mutual Fund Services, LLC.

- **File Number:** 084-05681

- **Address:** 655 Broad Street, Prudential Tower, 17th Floor, Newark, NJ, 07102

### 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   |
|:---|:---|:---|:---|:---|
| SS&C Technologies Holdings, Inc. | 04/16/2018                | Indirect Owner                           | E                | Yes              |
| Adam Girard                      | 04/16/2018                | Tax Officer                              | NA               | Yes              |
| William C. Stone                 | 04/16/2018                | Director                                 | NA               | Yes              |
| Patrick Pedonti                  | 04/16/2018                | Executive VP, Treasurer, Director        | NA               | Yes              |
| SS&C Technologies, Inc.          | 04/16/2018                | Direct Owner                             | E                | Yes              |
| Nick Wright                      | 12/23/2021                | President                                | NA               | Yes              |
| Nicole Greene                    | 09/05/2022                | Head of Global Investor & Dist. Solution | 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:** Nicole Greene

**Title:** Head of Global Investor & Distribution Solutions

**Date:** 01/19/2023

**Phone Number:** 617-733-1462