# EDGAR Filing Document

**Accession Number:** 0000005076
**File Stem:** 0000005076-23-000002
**Filing Date:** 2023-2
**Character Count:** 7078
**Document Hash:** e6146bcd7a4dbfabb5941da1cb84c11f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000005076-23-000002.hdr.sgml**: 20230222

**ACCESSION NUMBER**: 0000005076-23-000002

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230216

**DATE AS OF CHANGE**: 20230222

**EFFECTIVENESS DATE**: 20230226

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** AMERICAN FUNDS SERVICE Co
- **CENTRAL INDEX KEY:** 0000005076
- **IRS NUMBER:** 952566717

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-00316
- **FILM NUMBER:** 23652577

**BUSINESS ADDRESS:**
- **STREET 1:** 6455 IRVINE CENTER DRIVE
- **CITY:** IRVINE
- **STATE:** CA
- **ZIP:** 92618-4518
- **BUSINESS PHONE:** 9499755000

**MAIL ADDRESS:**
- **STREET 1:** 6455 IRVINE CENTER DRIVE
- **CITY:** IRVINE
- **STATE:** CA
- **ZIP:** 92618-4518

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AMERICAN FUNDS SERVICE CO /TA
- **DATE OF NAME CHANGE:** 20130802

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AMERICAN FUNDS SERVICE CO                               /TA
- **DATE OF NAME CHANGE:** 20000101

### 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:** AMERICAN FUNDS SERVICE Co

**FINS Number:** 403444

**Address of principal office where transfer agent activities are performed:** 6455 Irvine Center Drive, Irvine, CA, 92618

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

**Mailing Address:** P.O. Box 7118, Indianapolis, IN, 46206-7118

**Telephone Number:** 949-975-5000

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

**Other Business Location Address 1:** 3500 Wiseman Blvd., San Antonio, TX, 78251-4321

**Other Business Location Address 2:** 5300 Robin Hood Road, Norfolk, VA, 23513-2430

**Other Business Location Address 3:** 12711 N. Meridian Street, Carmel, IN, 46032

**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   | Relationship End Date   |
|:---|:---|:---|:---|:---|:---|
| Capital Research and Management Company | 07/01/1985                | Stockholder          | E                | Yes              |  |
| Kenneth R. Gorvetzian                   | 09/01/2001                | Director             | NA               | Yes              | 01/04/2023              |
| Richard P. Prior                        | 11/20/2019                | President & Director | NA               | Yes              |  |
| Steven Guida                            | 11/20/2019                | Director & Senior VP | NA               | Yes              |  |
| Dana C. McCollum                        | 11/20/2019                | Director & Senior VP | NA               | Yes              |  |
| Canise M. Arredondo                     | 11/20/2019                | Director             | NA               | Yes              |  |
| Paul T. Godby                           | 08/14/2020                | Treasurer            | NA               |  | 02/08/2023              |
| Timothy W. McHale                       | 07/01/2022                | Director & Chairman  | NA               | Yes              |  |
| Stephanie D.S. McNeely                  | 11/01/2022                | Secretary            | NA               |  |  |
| Susi Michele Silverman                  | 02/08/2023                | Treasurer            | NA               |  |  |

### Disciplinary History

- **Convicted/plead guilty to any felony or investment-related misdemeanor?:** No

- **Convicted/plead guilty to any other felony?:** Yes

  - **Details #1:**

    - **Entity Name:** Capital International, Inc.

    - **Action Title:** Section 6(A)(2) Import and Export Ordinance Violation

    - **Action Date:** 11/22/2021

    - **Court/Body Name and Location:** WEST KOWLOON MAGISTRATES' COURT, KOWLOON, HONG KONG

    - **Action Description:** ON NOVEMBER 22, 2021 CAPITAL INTERNATIONAL, INC ("CIINC") PLEADED GUILTY TO THREE CHARGES OF IMPORTING INTERNET ROUTERS INTO HONG KONG WITHOUT AN IMPORT LICENSE IN VIOLATION OF SECTION 6(A)(2) OF THE IMPORT AND EXPORT ORDINANCE, CAP.60, UNDER THE LAWS OF THE HONG KONG SPECIAL ADMINISTRATIVE REGION. HONG KONG LAW DOES NOT DISTINGUISH BETWEEN FELONIES AND MISDEMEANORS. THE CHARGES AROSE FROM SHIPMENTS MADE IN APRIL 2020 TO SUPPORT THE WORK-FROM-HOME EFFORTS OF CIINC EMPLOYEES IN RESPONSE TO THE COVID-19 PANDEMIC AND ASSOCIATED GOVERNMENT LOCKDOWNS. CIINC FAILED TO TIMELY COMPLETE APPLICABLE IMPORT PAPERWORK IN CONNECTION WITH THE SHIPMENTS. THE WEST KOWLOON MAGISTRATES' COURT ORDERED CIINC TO PAY A FINE OF HK$40,000 (APPROXIMATELY USD 5,150).

    - **Disposition:** CAPITAL INTERNATIONAL, INC. ENTERED A GUILTY PLEA ON NOVEMBER 22, 2021 AND PAID A FINE OF HK$40,000 (APPROXIMATELY USD 5,150) ON NOVEMBER 25, 2021

- **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:** Stephanie D.S. McNeely

**Title:** Secretary

**Date:** 02/16/2023

**Phone Number:** 3177065856