# EDGAR Filing Document

**Accession Number:** 0000275143
**File Stem:** 0000275143-23-000003
**Filing Date:** 2023-1
**Character Count:** 5830
**Document Hash:** 223c783ce72f8fc290c1b0be8945e3ae
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000275143-23-000003.hdr.sgml**: 20230215

**ACCESSION NUMBER**: 0000275143-23-000003

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230124

**DATE AS OF CHANGE**: 20230215

**EFFECTIVENESS DATE**: 20230203

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** DST ASSET MANAGER SOLUTIONS, INC./TA
- **CENTRAL INDEX KEY:** 0000275143
- **IRS NUMBER:** 042526037

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-00896
- **FILM NUMBER:** 23634664

**BUSINESS ADDRESS:**
- **STREET 1:** 2000 CROWN COLONY DRIVE
- **CITY:** QUINCY
- **STATE:** MA
- **ZIP:** 02169
- **BUSINESS PHONE:** 6174837000

**MAIL ADDRESS:**
- **STREET 1:** 2000 CROWN COLONY DRIVE
- **CITY:** QUINCY
- **STATE:** MA
- **ZIP:** 02169

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BOSTON FINANCIAL DATA SERVICES, INC. /TA
- **DATE OF NAME CHANGE:** 20091207

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BOSTON FINANCIAL DATA SERVICES INC                      /TA
- **DATE OF NAME CHANGE:** 20000101

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** STATE STREET BANK & TRUST CO /TA/
- **DATE OF NAME CHANGE:** 19860814

### 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:** DST ASSET MANAGER SOLUTIONS, INC./TA

**FINS Number:** 401588

**Address of principal office where transfer agent activities are performed:** 2000 Crown Colony Drive, Quincy, MA, 02169

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

**Telephone Number:** 617-483-5000

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

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

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

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

**Other Business Location Address 4:** 1055 Broadway, Kansas CIty, MO, 64105

**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   |
|:---|:---|:---|:---|:---|
| SS&C GIDS, Inc.                       | 09/05/1973                | Co-shareholder                           | B                | Yes              |
| West Side Investment Management, Inc. | 03/30/2017                | Co-shareholder                           | E                | Yes              |
| Timothy William Bahr                  | 03/30/2017                | Director & Assistant Treasurer           | NA               | Yes              |
| SS&C Technologies Holdings, Inc.      | 04/16/2018                | Indirect Owner                           | E                | Yes              |
| Patrick J. Pedonti                    | 04/16/2018                | Vice President, Treasurer and Director   | NA               | Yes              |
| Adam Girard                           | 04/16/2018                | Tax Officer                              | NA               |  |
| SS&C Technologies, Inc.               | 04/16/2018                | Indirect Owner                           | E                | Yes              |
| Nicole Greene                         | 09/05/2022                | Head of Global Investor & Dist Solutions | 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:** 01/24/2023

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