# EDGAR Filing Document

**Accession Number:** 0000027048
**File Stem:** 0000027048-26-000002
**Filing Date:** 2026-4
**Character Count:** 10432
**Document Hash:** 685a4f7ee7a8ed364325637275b13907
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000027048-26-000002.hdr.sgml**: 20260507

**ACCESSION NUMBER**: 0000027048-26-000002

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20260420

**DATE AS OF CHANGE**: 20260507

**EFFECTIVENESS DATE**: 20260430

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SS&C GIDS, Inc.
- **CENTRAL INDEX KEY:** 0000027048

**ORGANIZATION NAME:**
- **EIN:** 431581814

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-00448
- **FILM NUMBER:** 26951257

**BUSINESS ADDRESS:**
- **STREET 1:** 1055 BROADWAY, 7TH FL
- **CITY:** KANSAS CITY
- **STATE:** MO
- **ZIP:** 64105
- **BUSINESS PHONE:** 8164351000

**MAIL ADDRESS:**
- **STREET 1:** 1055 BROADWAY ST. 7TH FL
- **STREET 2:** ATTN LEGAL DEPT
- **CITY:** KANSAS CITY
- **STATE:** MO
- **ZIP:** 64105

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** DST SYSTEMS INC /TA
- **DATE OF NAME CHANGE:** 20220218

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** DST SYSTEMS INC                                         /TA
- **DATE OF NAME CHANGE:** 20000101

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** DST INC
- **DATE OF NAME CHANGE:** 19841016

### 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:** SS&C GIDS, Inc.

**FINS Number:** 401588

**Address of principal office where transfer agent activities are performed:** 1055 Broadway St, Kansas City, MO, 64105

**Is mailing address different from principal office address?:** Yes

**Mailing Address:** 1055 Broadway St, 7th FL, ATTN LEGAL DEPT, KANSAS CITY, MO, 64105

**Telephone Number:** 816-435-1000

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

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

**Other Business Location Address 2:** 801 Pennsylvania Ave, Kansas City, MO, 64105-1307

**Other Business Location Address 3:** 30 Braintree Hill Office Park, Ste 400, Braintree, MA, 02184

**Other Business Location Address 4:** 1290 Broadway, Suite 1000, Denver, CO, 80203

**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:** Thrivent Financial Investor Services, Inc.

- **File Number:** 084-01547

- **Address:** 4321 N Ballard Rd, Appleton, WI, 54919

**Service Company Arrangement 2:**

- **Name:** State Street Bank & Trust Company

- **File Number:** 085-05003

- **Address:** One Lincoln Street, Boston, MA, 02111-2900

**Service Company Arrangement 3:**

- **Name:** DWS Service Co.

- **File Number:** 084-01713

- **Address:** 222 South Riverside Plaza, Chicago, IL, 60606

**Service Company Arrangement 4:**

- **Name:** Transamerica Fund Services, Inc.

- **File Number:** 084-06130

- **Address:** 1801 California St, Suite 5200, Denver, CO, 80202

**Service Company Arrangement 5:**

- **Name:** American Century Services, LLC

- **File Number:** 084-01406

- **Address:** 4500 Main Street, Kansas City, MO, 64111

**Service Company Arrangement 6:**

- **Name:** Goldman Sachs & Co. LLC

- **File Number:** 084-01100

- **Address:** 71 South Wacker Drive, Suite 1200, Chicago, IL, 60606

**Service Company Arrangement 7:**

- **Name:** Fidelity Investments Institutional Operations Co., LLC

- **File Number:** 084-01839

- **Address:** 245 Summer St, Boston, MA, 02210

**Service Company Arrangement 8:**

- **Name:** NYLIM Service Company LLC

- **File Number:** 084-05844

- **Address:** 30 Hudson Street, Jersey City, NJ, 07302

**Service Company Arrangement 9:**

- **Name:** Columbia Management Investment Services Corp.

- **File Number:** 084-05685

- **Address:** 290 Congress Street, Boston, MA, 02110

**Service Company Arrangement 10:**

- **Name:** Principal Shareholder Services, Inc.

- **File Number:** 084-05657

- **Address:** 801 Grand Ave, Des Moines, IA, 50392

**Service Company Arrangement 11:**

- **Name:** MFS Service Center, Inc.

- **File Number:** 084-01316

- **Address:** 111 Huntington Ave, Boston, MA, 02199

**Service Company Arrangement 12:**

- **Name:** John Hancock Signature Services, Inc.

- **File Number:** 084-01885

- **Address:** 200 Berkeley St, Boston, MA, 02116

**Service Company Arrangement 13:**

- **Name:** Hartford Administrative Services Company

- **File Number:** 084-00353

- **Address:** 690 Lee Road, Wayne, PA, 19087

**Service Company Arrangement 14:**

- **Name:** Russell Investments Fund Services, LLC

- **File Number:** 084-06276

- **Address:** 1301 Second Avenue, 18th Floor, Seattle, WA, 98101

**Service Company Arrangement 15:**

- **Name:** Prudential Mutual Fund Services, LLC.

- **File Number:** 084-05681

- **Address:** 655 Broad Street, Prudential Tower, 17th Floor, Newark, NJ, 07102

**Service Company Arrangement 16:**

- **Name:** T. Rowe Price Retirement Plan Services, Inc.

- **File Number:** 084-01917

- **Address:** 4515 Painters Mills Road, Owings Mills, MD, 21117

**Service Company Arrangement 17:**

- **Name:** T. Rowe Price Services Inc.

- **File Number:** 084-01079

- **Address:** 4515 Painters Mill Road, Owings Mills, MD, 21117

**Service Company Arrangement 18:**

- **Name:** US Bancorp Fund Services, LLC

- **File Number:** 085-11357

- **Address:** 615 E Michigan St, Milwaukee, WI, 53202

### 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 Technologies Holdings, Inc. | 04/16/2018                | Indirect Owner                           | E                | Yes              |
| Adam Girard                      | 04/16/2018                | Tax Officer                              | NA               | Yes              |
| William C. Stone                 | 04/16/2018                | Director                                 | NA               | Yes              |
| SS&C Technologies, Inc.          | 04/16/2018                | Direct Owner                             | E                | Yes              |
| Nick Wright                      | 12/23/2021                | President                                | NA               | Yes              |
| Nicole Greene                    | 09/05/2022                | Head of Global Investor & Dist. Solution | NA               | Yes              |
| Brian Schell                     | 12/04/2023                | Executive VP, Treasurer                  | 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?:** Yes

  - **Details #1:**

    - **Entity Name:** DST Asset Manager Solutions, Inc.

    - **Action Title:** Order Instituting Administrative and Cease and Desist Proceedings File No. 3-21565 Release No. 98153

    - **Action Date:** 08/17/2023

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

    - **Action Description:** The SEC alleged that DST Asset Manager Solutions, Inc. ("DST AMS"), who is an SEC registered transfer agent, violated Exchange Act Rule 17Ad-17 related to searching for lost securityholders, by requiring a database search match to the lost securityholders name in addition to social security number as a condition to sending outreach letters to potentially better mailing addresses in an attempt to locate lost securityholders.

    - **Disposition:** Pursuant to the Order, in addition to a $500,000 civil monetary penalty and a censure, DST AMS agreed to undertake to (a) take reasonable steps to locate lost securityholders to whom it did not send outreach letters after receiving an SSN match after database searches and who experienced escheatment during the period covered by the investigation, (b) request its mutual fund clients to periodically send out notifications to their shareholders informing them of the risk of escheatment, and (c) provide written certification annually for five years that its written policies and procedures have complied with the requirements of Rule 17Ad-17 and that it has followed those written policies and procedures in practice.

- **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:** 04/17/2026

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