Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 73
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100it following the steps described on the DTC Web site ( ).
3. State in Question 3.c. the full address of the registrant's principal office where transfer
agent activities are, or will be, performed; a post office box number is not acceptable.
State in response to Question 3.d. the registrant's mailing address if different from the
response to Question 3.c. You may provide a post office box number in response to
Question 3.d.
4. For the purpose of answering Question 5, a transfer agent is an affiliate of, or
affiliated with, a person, if the transfer agent directly, or indirectly through one or
more intermediaries, controls, or is controlled by, or is under common control with,
that person.
5. In answering Questions 6 and 7, a “named transfer agent” is a transfer agent engaged
by the issuer to perform transfer agent functions for an issue of securities. There may
be more than one named transfer agent for a given security issue (e.g., principal
transfer agent, co-transfer agent or outside registrar).
D. Questions 8 through 10. Only independent, non-issuer registrants are required to
complete Questions 8 through 10.
E. Execution of Form TA-1 and Amendments Thereto. A duly authorized official or a
principal of the registrant must execute Form TA-1 and any amendments thereto on
behalf of that registrant. For a corporate registrant, the term official includes the chairman
or vice-chairman of the board of directors, the chairman of the executive committee, or
any officer of the corporation who is authorized by the corporation to sign Form TA-1 on
its behalf. For a non-corporate registrant, duly authorized principal means a principal of
the registrant who is authorized to sign Form TA-1 on its behalf. The official or principal
of the registrant shall execute Form TA-1 by providing an electronic signature pursuant
73
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