# EDGAR Filing Document

**Accession Number:** 0001451217
**File Stem:** 0001451217-26-000004
**Filing Date:** 2026-3
**Character Count:** 11497
**Document Hash:** 4f3911d05caa151acbbe97dbc12b48c7
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001451217-26-000004.hdr.sgml**: 20260330

**ACCESSION NUMBER**: 0001451217-26-000004

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20260327

**DATE AS OF CHANGE**: 20260330

**EFFECTIVENESS DATE**: 20260406

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SEI Institutional Transfer Agent, Inc.
- **CENTRAL INDEX KEY:** 0001451217

**ORGANIZATION NAME:**
- **EIN:** 320250614
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-06349
- **FILM NUMBER:** 26812079

**BUSINESS ADDRESS:**
- **STREET 1:** 1 FREEDOM VALLEY DRIVE
- **CITY:** OAKS
- **STATE:** PA
- **ZIP:** 19456
- **BUSINESS PHONE:** 800-858-7233

**MAIL ADDRESS:**
- **STREET 1:** 1 FREEDOM VALLEY DRIVE
- **CITY:** OAKS
- **STATE:** PA
- **ZIP:** 19456

### 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:** SEI Institutional Transfer Agent, Inc.

**FINS Number:** 339341

**Address of principal office where transfer agent activities are performed:** 1 Freedom Valley Drive, Oaks, PA, 19456

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

**Telephone Number:** 800-858-7233

**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?:** No

### 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   |
|:---|:---|:---|:---|:---|:---|
| Robert Silvestri                       | 05/08/2008                | Treasurer                              | NA               |  | 03/02/2026              |
| SEI Investments Management Corporation | 05/30/2008                | Direct Parent Company                  | E                | Yes              |  |
| SEI Investments Company                | 05/30/2008                | Ultimate Parent Company                | E                | Yes              |  |
| Philip McCabe                          | 10/03/2012                | President                              | NA               | Yes              |  |
| Michael Peterson                       | 06/20/2018                | Senior Vice President                  | NA               | Yes              |  |
| Bridget Sudall                         | 01/05/2022                | Chief Compliance Officer & Privacy Off | NA               |  | 11/12/2025              |
| Patrick DiLello                        | 02/13/2023                | Vice President & FATCA Responsible Off | NA               |  |  |
| Alexander F Smith                      | 05/26/2023                | General Counsel & Asst Secretary       | NA               |  |  |
| Venita L Knight                        | 05/12/2023                | Secretary                              | NA               |  |  |
| Shawn Hendricks                        | 11/08/2023                | Vice President                         | NA               |  | 12/05/2025              |
| Brett Hassett                          | 03/04/2024                | Anti-Money Laundering Off & Prv Coord  | NA               |  |  |
| Sean J Denham                          | 05/01/2024                | Director                               | NA               |  |  |
| Sean Lawlor                            | 05/01/2025                | Vice President                         | NA               |  |  |
| Margaret Gerhardt                      | 11/12/2025                | Chief Compliance Officer               | NA               |  |  |
| Brandon Stultz                         | 02/11/2026                | Vice President                         | NA               |  |  |
| Christopher Koons                      | 02/11/2026                | Vice President                         | NA               |  |  |
| Stephen Carroll                        | 03/03/2026                | Treasurer                              | 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?:** Yes

  - **Details #1:**

    - **Entity Name:** SEI Investments Distribution Co. and SEI Investments Company

    - **Action Title:** In the matter of SEI Investments Distribution Co. and SEI Investments Company

    - **Action Date:** 07/14/2004

    - **Court/Body Name and Location:** Securities and Exchange Commission

    - **Action Description:** Order instituting administrative and cease and desist proceedings, making finding and imposing remedial sanctions and a cease-and-desist order.

    - **Disposition:** Pursuant to settlement, SIDCO was censored, ordered to cease-and-desist from committing or causing violations and paid a civil monetary penalty. Also SEI Investments Company agreed to cease-and-desist from causing SIDCO's violations.

  - **Details #2:**

    - **Entity Name:** SEI Investments Global Funds Services

    - **Action Title:** In the matter of SEI Investments Global Funds Services File No. 3-18457

    - **Action Date:** 04/26/2018

    - **Court/Body Name and Location:** Securities and Exchange Commission

    - **Action Description:** The SEC's order found SEI Investments Global Fund Services (SGFS) caused an unregistered money market fund for which SGFS served as fund accountant and administrator to violate affiliated transaction rules when that fund sold its shares to, and redeemed them from, a set of affiliated mutual funds. While the unregistered money market fund was permitted to sell its shares to , and redeem them from the mutual funds, it could do so only if it operated in conformity with certain regulatory requirements, including Rule 2A-7 and section18 of the Investment Company Act of 1940. The order finds that due to the manner in which SGFS performed accounting for the unregistered money market fund, it failed to satisfy those regulatory requirements from 2008 through 2012.

    - **Disposition:** The action has been resolved pursuant to an offer of settlement that was accepted by the SEC, as set forth in an order instituting cease-and desist proceedings dated 4/26/18. SGFS must cease-and-desist from further violations and a pay a fine of $225,000.

- **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?:** Yes

  - **Details #1:**

    - **Entity Name:** SEI Investment Distribution Co.

    - **Action Title:** AWC No. 2009018186201

    - **Action Date:** 03/13/2012

    - **Court/Body Name and Location:** Financial Industry Regulatory Authority

    - **Action Description:** FINRA alleged that SIDCO violated the content standards of NASD Rule 2210 in its review of certain ETF marketing materials between January 1, 2005 and October 20, 2009 and certain hedge fund/private placement materials in 2008. FINRA further alleged that SIDCO failed to implement supervisory procedures reasonably designed to achieve compliance with the content standards of Rule 2210

    - **Disposition:** To resolve this matter, SIDCO submitted a Letter of Acceptance, Waiver and Consent (AWC) to FINRA, which was accepted on 03/13/12. Without admitting or denying FINRA's finding, SIDCO accepted and consented to the AWC, a censure and penalty of $225,000.

  - **Details #2:**

    - **Entity Name:** SEI Investments Distribution Co.

    - **Action Title:** AWC No. 2012030611301

    - **Action Date:** 04/12/2013

    - **Court/Body Name and Location:** Financial Industry Regulatory Authority

    - **Action Description:** FINRA found that SIDCO violated Securities Exchange Act Rule 17A-4 and FINRA Rules 2010 and 4511, because it failed to maintain and preserve certain business-related electronic communications as a result of an internal software malfunction.

    - **Disposition:** To resolve this matter, SIDCO submitted a Letter of Acceptance, Waiver and Consent (AWC) to FINRA, which was accepted on 4/12/13. Without admitting or denying FINRA's finding, SIDCO accepted and consented to AWC, a censure and fine of $100,000.

- **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?:** Yes

  - **Details #1:**

    - **Entity Name:** SEI Investments (Europe) Ltd.

    - **Action Title:** Final Decision Notice

    - **Action Date:** 11/26/2013

    - **Court/Body Name and Location:** United Kingdom Financial Conduct Authority ("FCA")

    - **Action Description:** On November 26, 2013 the FCA announced a Final Decision Notice that the FCA entered into with SIEL for violations of Principle 10-Client Assets for (i) concerns with the form of SEIL's internal client money training of operations personnel; and (ii) a calculation methodology in relation to FCA client money requirements (despite using a client money calculation that had been certified annually since 2007 by SIEL's Client Assets auditors as compliant, in 2012 the FCA determined that the calculation varied from the FCA's standard methodology). SEIL provides no services for SITA nor to any investors in the United States.

    - **Disposition:** A fine of approximately 900,000 British Pound. No deficiencies were found by the FCA in the bank accounts and trust letters used by SEIL to appropriately separate client monies from its own assets. SEIL has since remediated the identified deficiencies.

- **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:** /s/Margaret Gerhardt

**Title:** Chief Compliance Officer

**Date:** 03/27/2026

**Phone Number:** 610-676-5550