# EDGAR Filing Document

**Accession Number:** 0000005876
**File Stem:** 0001654954-26-001310
**Filing Date:** 2026-2
**Character Count:** 9738
**Document Hash:** 1acd6cdc86b128e15925752081dcadf9
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001654954-26-001310.hdr.sgml**: 20260317

**ACCESSION NUMBER**: 0001654954-26-001310

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20260217

**DATE AS OF CHANGE**: 20260317

**EFFECTIVENESS DATE**: 20260227

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Equiniti Trust Company, LLC /TA
- **CENTRAL INDEX KEY:** 0000005876

**ORGANIZATION NAME:**
- **EIN:** 133439945

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-00416
- **FILM NUMBER:** 26759614

**BUSINESS ADDRESS:**
- **STREET 1:** 6201 15TH AVENUE
- **CITY:** BROOKLYN
- **STATE:** NY
- **ZIP:** 11219
- **BUSINESS PHONE:** (718) 921-8209

**MAIL ADDRESS:**
- **STREET 1:** 6201 15TH AVENUE
- **CITY:** BROOKLYN
- **STATE:** NY
- **ZIP:** 11219

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AMERICAN STOCK TRANSFER & TRUST CO, LLC /TA
- **DATE OF NAME CHANGE:** 20080721

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AMERICAN STOCK TRANSFER & TRUST CO                      /TA
- **DATE OF NAME CHANGE:** 20000101

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AMERICAN STOCK TRANSFER CO                              /TA
- **DATE OF NAME CHANGE:** 19880104

### 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:** Equiniti Trust Company, LLC /TA

**FINS Number:** 404194

**Address of principal office where transfer agent activities are performed:** 28 Liberty Street, Floor 53, New York, NY, 10005

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

**Telephone Number:** 347-860-5212

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

**Other Business Location Address 1:** 1110 Centre Pointe Curve, Suite 101, Mendota Heights, MN, 55120

**Other Business Location Address 2:** 11200 W Parkland Avenue, 1st Floor, Milwaukee, WI, 53224

**Other Business Location Address 3:** 850 3rd Avenue, Suite 411, Brooklyn, NY, 11232

**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:** JP Morgan Chase Bank NA

- **File Number:** 085-11399

- **Address:** 1111 Polaris Parkway, Columbus, OH, 43240-2050

**Service Company Arrangement 2:**

- **Name:** Ultimus Fund Solutions LLC/TA

- **File Number:** 084-05829

- **Address:** 225 Pictoria Drive, Suite 450, Cincinnati, OH, 45246

**Service Company Arrangement 3:**

- **Name:** Deutsche Bank Trust Co Americas/TA

- **File Number:** 085-05212

- **Address:** 1 Columbus Circle, New York, NY, 10019-8735

**Service Company Arrangement 4:**

- **Name:** TSX Trust Company (Canada)

- **File Number:** 084-06506

- **Address:** 100 Adelaide Street West, Suite 300, Toronto, A6, M5H 1S3

### Ownership and Control Information

**Registrant Type:** Other

**Description (if Other):** Limited Liability Trust Co.

**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                         | Authority Description   | Relationship End Date   |
|:---|:---|:---|:---|:---|
| Paul Lynam          | 12/13/2021                | Director                                | N/A                     | 12/31/2025              |
| Andrew Peeler       | 12/13/2021                | Director                                | N/A                     | 12/31/2025              |
| Martin Flanigan     | 05/22/2018                | Chief Executive Officer, Director       | N/A                     | 10/01/2024              |
| Steven Fradkin      | 04/30/2014                | Director                                | N/A                     | 08/26/2025              |
| James Gillis        | 06/30/2023                | Director                                | N/A                     |  |
| Anthony Horton      | 06/30/2023                | Director                                | N/A                     |  |
| William Lasky       | 06/30/2023                | Director                                | N/A                     |  |
| David Chitty        | 06/12/2017                | US Chief Risk Officer, Head of Grp Risk | N/A                     | 01/31/2026              |
| John Meakin         | 06/30/2023                | Chief Information Security Officer      | N/A                     |  |
| Mark Fields         | 06/30/2023                | Finance Director                        | N/A                     | 08/26/2025              |
| David L. Becker     | 03/30/2023                | General Counsel                         | N/A                     |  |
| Simon Wadey         | 06/30/2023                | Group Compliance Director, CCO          | N/A                     |  |
| Joanne Palmer       | 10/01/2024                | President & CEO, US Shareholder Service | N/A                     |  |
| Daniel Kramer       | 12/31/2024                | Chairman & CEO, Global Shareholder Srvs | N/A                     |  |
| Margot Jordan       | 02/21/2025                | EVP, Transfer Agency                    | N/A                     |  |
| Jacqueline M. Marks | 05/12/2025                | Director & CFO, Group Shareholder Srvs  | N/A                     |  |
| Brian P. O'Neill    | 06/16/2025                | COO, Group Shareholder Services         | N/A                     |  |
| Stanley Guzik       | 06/30/2025                | CTO, Group Shareholder Services         | N/A                     |  |
| Mathew Clarke       | 06/12/2025                | Group Product Officer                   | N/A                     |  |
| Edward Neeck        | 08/26/2025                | Director                                | N/A                     |  |
| Ashely Walker       | 08/26/2025                | Senior Vice President, Finance          | N/A                     |  |
| Ronald Bates        | 01/20/2026                | Chief Risk Officer                      | N/A                     |  |

### 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:** Equiniti Trust Company, LLC f/k/a American Stock Transfer & Trust Company, LLC

    - **Action Title:** In the Matter of Equiniti Trust Company, LLC f/k/a American Stock Transfer & Trust Company, LLC

    - **Action Date:** 08/20/2024

    - **Court/Body Name and Location:** SECURITIES AND EXCHANGE COMMISSION 44 Montgomery Street, Suite 2800 San Francisco, CA 94104

    - **Action Description:** Without admitting or denying the findings, on August 20, 2024, Equiniti Trust Company, LLC ("EQTC"), f/k/a American Stock Transfer & Trust Company, LLC ("AST"), agreed to settle an administrative action by the SEC in which it was ordered to cease-and-desist from violations of Sections 17A(d) and 17Ad-12 of the Securities Exchange Act of 1934. The proceedings related to AST's failure to assure that all securities in its custody or possession related to its transfer agent activities were held in safekeeping and were handled, in light of all facts and circumstances, in a manner reasonably free from risk of theft, loss or destruction, and all funds in its custody or possession related to its transfer agent activities were protected, in light of all facts and circumstances, against misuse. In determining to accept the settlement, the SEC considered the cooperation afforded the SEC staff and the remedial measures promptly undertaken by EQTC. EQTC was censured and ordered to pay a fine in the amount of $850,000.

    - **Disposition:** See above

- **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:** /s/ Thomas Cortese

**Title:** BSA Officer, Senior Director Compliance (US)

**Date:** 02/17/2026

**Phone Number:** 347-860-5212