# EDGAR Filing Document

**Accession Number:** 0000868275
**File Stem:** 0000868275-25-000008
**Filing Date:** 2025-9
**Character Count:** 6375
**Document Hash:** 7d9026b94b436f72573629b9c0ebe405
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000868275-25-000008.hdr.sgml**: 20250915

**ACCESSION NUMBER**: 0000868275-25-000008

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20250905

**DATE AS OF CHANGE**: 20250915

**EFFECTIVENESS DATE**: 20250915

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SATURNA CAPITAL CORP /WA/ /TA
- **CENTRAL INDEX KEY:** 0000868275

**ORGANIZATION NAME:**
- **EIN:** 911454817
- **STATE OF INCORPORATION:** WA
- **FISCAL YEAR END:** 0630

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-01873
- **FILM NUMBER:** 251313838

**BUSINESS ADDRESS:**
- **STREET 1:** 1300 N. STATE ST.
- **CITY:** BELLINGHAM
- **STATE:** WA
- **ZIP:** 98225
- **BUSINESS PHONE:** 360-734-9900

**MAIL ADDRESS:**
- **STREET 1:** 1300 N. STATE ST.
- **CITY:** BELLINGHAM
- **STATE:** WA
- **ZIP:** 98225

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** SATURNA CAPITAL CORP /WA/                               /TA
- **DATE OF NAME CHANGE:** 19900925

### 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:** SATURNA CAPITAL CORP /WA/ /TA

**FINS Number:** 432922

**Address of principal office where transfer agent activities are performed:** 1300 N. State St., Bellingham, WA, 98225

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

**Telephone Number:** (360)734-9900

**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   |
|:---|:---|:---|:---|:---|:---|
| Jane K. Carten                                                               | 02/14/2001                | Chair, Director, President          | D                | Yes              |  |
| Christopher R. Fankhauser                                                    | 01/17/2006                | Director, COO                       | NA               | Yes              |  |
| Nicholas F. Kaiser                                                           | 08/01/1989                | Global Strategist                   | C                | Yes              | 07/25/2025              |
| Michael E. Lewis                                                             | 09/17/2012                | Chief Compliance Officer            | NA               |  |  |
| Phelps McIlvaine                                                             | 08/16/1994                | Director                            | NA               |  |  |
| Monem A. Salam                                                               | 06/23/2005                | Director, Executive Vice President  | NA               | Yes              |  |
| Dennis R. Murphy                                                             | 04/23/2013                | Independent Director                | NA               |  |  |
| Kalen M. Hanna                                                               | 08/20/2009                | Director, CFO, Treasurer            | NA               | Yes              |  |
| Elliot S. Cohen                                                              | 07/05/2022                | CLO, Secretary                      | NA               | Yes              |  |
| Robert F. Kaiser                                                             | 08/09/2022                | Director, VP of Institutional Sales | NA               | Yes              |  |
| Michael K. Morse                                                             | 02/06/2024                | Independent Director                | NA               |  |  |
| Nicholas Ferguson Kaiser Revocable Trust, Trusteed by Deborah Russell Kaiser | 07/25/2025                | Owner                               | C                | 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:** Jane K. Carten

**Title:** President

**Date:** 09/05/2025

**Phone Number:** 360-734-9900