# EDGAR Filing Document

**Accession Number:** 0001020337
**File Stem:** 0001020337-23-000002
**Filing Date:** 2023-2
**Character Count:** 7313
**Document Hash:** 5038e165a548ace05811cb58647fb2c9
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001020337-23-000002.hdr.sgml**: 20230224

**ACCESSION NUMBER**: 0001020337-23-000002

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230222

**DATE AS OF CHANGE**: 20230224

**EFFECTIVENESS DATE**: 20230304

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PRINCIPAL SHAREHOLDER SERVICES, INC.
- **CENTRAL INDEX KEY:** 0001020337
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** WA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-05657
- **FILM NUMBER:** 23667484

**BUSINESS ADDRESS:**
- **STREET 1:** 620 COOLIDGE DR
- **STREET 2:** SUITE 300
- **CITY:** FOLSOM
- **STATE:** CA
- **ZIP:** 95630-3183
- **BUSINESS PHONE:** 515-235-9615

**MAIL ADDRESS:**
- **STREET 1:** 620 COOLIDGE DR
- **STREET 2:** SUITE 300
- **CITY:** FOLSOM
- **STATE:** CA
- **ZIP:** 95630-3183

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** MURPHEY FAVRE SECURITIES SERVICES  /WA/              /TA
- **DATE OF NAME CHANGE:** 19980520

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** MURPHEY FAVRE SECURITIES SERVICES INC /WA/              /TA
- **DATE OF NAME CHANGE:** 19971015

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** WM SHAREHOLDER SERVICES INC
- **DATE OF NAME CHANGE:** 19960802

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

**FINS Number:** 036558

**Address of principal office where transfer agent activities are performed:** 620 Coolidge Dr Ste 300, Folsom, CA, 95630

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

**Telephone Number:** 515-235-9615

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

**Other Business Location Address 1:** 801 Grand Ave, Des Moines, IA, 50392

**Other Business Location Address 2:** 655 9th St, Des Moines, IA, 50392

**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?:** 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   |
|:---|:---|:---|:---|:---|
| Sharon Hoppel                                        | 06/30/2021                | President and Director                 | NA               | Yes              |
| Kamal Bhatia                                         | 12/16/2019                | Director                               | NA               | Yes              |
| Barbara Wenig                                        | 10/28/2022                | Director                               | NA               | Yes              |
| Michael Scholten                                     | 09/11/2015                | Chief Financial Officer                | NA               | Yes              |
| Michael Hubbard                                      | 08/27/2019                | Assistant Vice President               | NA               | Yes              |
| Clint Woods                                          | 09/01/2021                | VP, Assoc General Counsel & Secretary  | NA               |  |
| Diane Nelson                                         | 10/22/2015                | Chief Compliance Officer & AML Officer | NA               | Yes              |
| Principal Global Investors Holding Company (US), LLC | 05/01/2017                | Parent of Registrant                   | E                | Yes              |
| Principal Financial Services, Inc                    | 01/01/2007                | Parent of PGI Holding Co (US), LLC     | E                | Yes              |
| Principal Financial Group, Inc.                      | 01/01/2007                | Parent of Principal Financial Services | E                | 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?:** Yes

  - **Details #1:**

    - **Entity Name:** Principal Global Investors, LLC

    - **Action Title:** Notice of action to be taken

    - **Action Date:** 11/11/2022

    - **Court/Body Name and Location:** South Korean Securities and Futures Commission

    - **Action Description:** The Registrant has not been the subject of this matter: In April 2022, Principal Global Investors, LLC (PGI) had an unintentional short sales of a security due to a corporate action in potential breach of local regulations. In September 2022, PGI received an email regarding "Notice of action to be taken" regarding the breach of local restriction provisions in the Financial Investment Services and Capital Markets Act of Korea. The final disposition involved a final order issued on 11/11/2022 ordering PGI to pay a fine in the amount of 45,000,000 South Korean WAN, or roughly 34,200 US dollars to the South Korean Securities and Futures Commission.

    - **Disposition:** Order and resolution in a fine of 45,000,000 South Korean WAN, 9,000,000 was waived for early payment, and the amount was paid on 11/14/2022.

- **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/Michael Hubbard

**Title:** Assistant Vice President

**Date:** 02/21/2023

**Phone Number:** 515-235-9615