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Form TA-2 Annual Report Of Transfer Agent Activities (SEC2113) TA-2 - Official Federal Forms
| Form TA-2 Annual Report Of Transfer Agent Activities (SEC2113) Form. This is a national form and can be used in Securities And Exchange Commission . |
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You may not send a completed printout of this form to the SEC to satisfy a filing obligation. You can only satisfy an SEC filing obligation by submitting the information required by this form to the SEC in electronic format online at https://www.onlineforms.edgarfiling.sec.gov. L OMB Approval OMB Number: 3235-0337 Expires: May 31, 2015 File Number: Estimated average burden hours per response ..................... 6.00 For the reporting UNITED STATES Estimated average burden period SECURITIES AND hours per intermediate ended December EXCHANGE response... 1.50 31, COMMISSION Estimated average burden Washington, D.C. 20549 hours per minimum response......... .50 FORM TA-2 FORM FOR REPORTING ACTIVITIES OF TRANSFER AGENTS REGISTERED PURSUANT TO SECTION 17A OF THE SECURITIES EXCHANGE ACT OF 1934 ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) Check to show blank form for printing FForm Version: 1.0.0 1(a).Filer CIK: 1(b).Filer CCC: 1(c). Live/Test Live Test Filing? 1(d). Return Copy Yes 1(e). Is this filing an amendment to a Yes previous filing? The registrant may provide a single e-mail address for contact purposes. 1(f)(i). Contact Name: 1(f)(ii). Contact Phone 1(f)(iii). Contact E-mail Number: Address: The registrant may provide additional e-mail addresses for those persons the filer would like to receive notification e-mails regarding the filing. 1(g). Notification E-mail Address: SEC 2113 (8-12) Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. American LegalNet, Inc. www.FormsWorkFlow.com 1(h).Full Name of Registrant as stated in Question 3 of Form TA-1: 2(a). During the reporting period, has the Registrant engaged a service company to perform any of its transfer agent functions? All Some None 2(b). If the answer to subsection (a) is all or some, provide the name(s) and transfer agent file number(s) of all service company(ies) engaged: Name of Transfer Agent(s): File Number: 2(c). During the reporting period, has the Registrant been engaged as a service company by a named transfer agent to perform transfer agent functions? Yes No 2(d). If the answer to subsection (c) is yes, provide the name(s) and file number(s) of the named transfer agent(s) for which the Registrant has been engaged as a service company to perform transfer agent functions: Name of Transfer Agent(s): File Number: 3(a). Registrant's appropriate regulatory agency (ARA): 3(b). During the reporting period, has the Registrant amended Form TA-1 within 60 calendar days following the date on which information reported therein became inaccurate, incomplete, or misleading? Yes, filed amendment(s) 2 American LegalNet, Inc. www.FormsWorkFlow.com No, failed to file amendment(s) Not applicable 3(c). If the answer to subsection (b) is no, provide an explanation: If the response to any of questions 4-11 below is none or zero, enter "0." 4(a). Number of items received for transfer during the reporting period: 4(b). Number of individual securityholder accounts for which the TA maintained master securityholder files: 5(a). Total number of individual securityholder accounts, including accounts in the Direct Registration System (DRS), dividend reinvestment plans and/or direct purchase plans as of December 31: 5(b). Number of individual securityholder dividend reinvestment plan and/or direct purchase plan accounts as of December 31: 5(c). Number of individual securityholder DRS accounts as of December 31: 5(d). Approximate percentage of individual securityholder accounts from subsection (a) in the following categories as of December 31: 5(d)(iii) 5(d)(v) 5(d)(i) 5(d)(iv) 5(d)(vi) Open-End Municipal Corporate 5(d)(ii)Corporate Limited Other Investment Debt Equity Partnership Debt Securities Securities Company Securities Securities Securities Securities 6. Number of securities issues for which Registrant acted in the following capacities, as of December 31: Corporate Open-End Limited Municipal Other Securities Investment Partnership Debt Securities Company Securities Securities Equity Debt Securities 6(a)(i) 6(a)(ii) 6(a)(iii) 6(a)(iv) 6(a)(v) 6(a)(vi) 6(a). Receives items for transfer and maintains the master securityholder files: 3 American LegalNet, Inc. www.FormsWorkFlow.com 6(b)(i) 6(b). Receives items for transfer but does not maintain the master securityholder files: 6(c). Does not receive 6(c)(i) items for transfer but maintains the master securityholder files: 6(b)(ii) 6(b)(iii) 6(b)(iv) 6(b)(v) 6(b)(vi) 6(c)(ii) 6(c)(iii) 6(c)(iv) 6(c)(v) 6(c)(vi) 7. Scope of certain additional types of activities performed: 7(a). Number of issues for which dividend reinvestment plan and/or direct purchase plan services were provided, as of December 31: 7(b). Number of issues for which DRS services were provided, as of December 31: 7(c). Dividend disbursement and interest paying agent activities conducted during the reporting period: 7(c)(i). number of issues 7(c)(ii). amount (in dollars) 8(a). Number and aggregate market value of securities aged record differences, existing for more than 30 days, as of December 31: Prior Transfer Current Agent(s) Transfer Agent (If applicable) 8(a)(i). Number of issues 8(a)(ii). Market value (in dollars) 8(b). Number of quarterly reports regarding buy-ins filed by the registrant with its ARA (including the SEC) during the reporting period pursuant to Rule 17Ad-11(c)(2) of the Act: 8(c). During the reporting period, did the Registrant file all quarterly reports regarding buy-ins with its ARA (including the SEC) required by Rule 17Ad11(c)(2) of the Act? Yes No Not Applicable 8(d). If the answers to subsection (c) is no, provide an explanation for each failure 4 American LegalNet, Inc. www.FormsWorkFlow.com to file: 9(a). During the reporting period, has the Registrant always been in compliance with the turnaround time for routine items as set forth in Rule 17Ad-2 of the Act? Yes No Not Applicable If the answer to subsection (a) is no, complete subsections (i) through (ii). 9(a)(i). Provide the number of months during the reporting period in which the Registrant was not in compliance with the turnaround time for routine items according to Rule 17Ad-2 of the Act: 9(a)(ii). Provide the number of written notices Registrant filed during the reporting period with the SEC and with its ARA that reported its
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