Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 98
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100e. The contact e-mail address for the transfer agent; and
f. The notification e-mail address(es) for the transfer agent regarding the status of
the submission.
For more information regarding the above requirements see the EDGAR Filer Manual,
Volume I (General Requirements). A transfer agent that is granted a continuing hardship
exemption pursuant to Rule 202 of Regulation S-T, 17 CFR 232.202, need only provide
its CIK.
2. Indicate the calendar year for which Form TA-2 is filed. A transfer agent registered
on December 31 shall file Form TA-2 by the following March 31 even if the transfer
agent conducted business for less than the entire reporting period.
3. In answering Question 4.a., indicate the number of items received for transfer during
the reporting period. Omit the purchase and redemption of open-end investment
company shares. Report those items in response to Question 10.
4. In answering Questions 5 and 6, include closed-end investment company securities in
the corporate equity securities category.
a. In answering Question 5.a., include Direct Registration System, dividend
reinvestment plan and/or direct purchase plan accounts in the total number of
individual securityholder accounts maintained.
b. In answering Question 5.b., include dividend reinvestment plan and/or direct
purchase plan accounts only.
c. In answering Question 5.c., include Direct Registration System accounts only.
d. In answering Question 5.d., include American Depositary Receipts (ADRs) in the
corporate equity or corporate debt category, as appropriate, and include dividend
reinvestment plan and/or direct purchase plan accounts in the corporate equity or
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