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Odyssey Transfer & Trust Co. – ‘TA-2/A’ for 12/31/23

On: Friday, 3/29/24, at 7:35pm ET · As of: 4/1/24 · Effective: 4/1/24 · For: 12/31/23 · Accession #: 1998958-24-2 · File #: 84-06899

  As Of               Filer                 Filing    For·On·As Docs:Size

 4/01/24  Odyssey Transfer & Trust Co.      TA-2/A     12/31/23    1:6K

Amendment to Annual Report of Activity by a Transfer Agent — Form TA-2

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: TA-2/A      Amendment to Annual Report of Activity by a         HTML      6K 
                Transfer Agent -- primary_doc.xml/6.6

This ‘TA-2/A’ Document is an XML Data File that may be rendered in various formats:

Form TA-2 – Plain Text – SEC Website – EDGAR System – XML Data – <?xml?> File

SEC Info℠ rendering: Amendment to Annual Report of Activity by a Transfer Agent

TA-2/A: Filer Information

1(a). Filer CIK:

0001998958

1(b). Filer CCC:

**********

File Number:

084-06899

For the reporting period ending December 31,

12/31/23

1(c). Is this a LIVE or TEST Filing?

LIVE

TEST

1(d). Would you like a Return Copy?

1(e). Is this filing an amendment to a previous filing?

Submission Contact Information

The registrant may provide a single e-mail address for contact purposes.

1(f)(i). Contact Name:

1(f)(ii). Contact Phone Number:

1(f)(iii). Contact E-Mail Address:

Notification Information

Notification will automatically be sent to the Login CIK, Submission Contact and Primary Registrants.

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:

1(h). Full Name of Registrant as stated in Question 3 of Form TA-1:

Odyssey Transfer & Trust Co

TA-2/A: Service Company Information

2(a). During the reporting period, has a 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:
Odyssey Trust Co	084-06568

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

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:
Odyssey Transfer US Inc.	084-06874
Odyssey Trust Co	084-06568

TA-2/A: Registration Information

3(a). Registrant's appropriate regulatory agency (ARA):

Securities and Exchange Commission

3(b). During the reporting period, has the Registrant amended for TA-1 within 60 calendar days following the date on which information reported therein became inaccurate, incomplete or misleading?

Yes, filed amendment(s)
Radio button not checked

No, failed to file amendment(s)
Radio button not checked

Not applicable

3(c). If the answer to subsection (b) is no, provide an explanation:

TA-2/A: Annual Report Information

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:

571

4(b). Number of individual securityholder accounts for which the TA maintained master securityholder files:

26,970

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:

26,974

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:

7,313

5(d). Approximate percentage of individual securityholder accounts from subsection (a) in the following categories as of December 31:

5(d)(i). Corporate Equity Securities	5(d)(ii). Corporate Debt Securities	5(d)(iii). Open-End Investment Company Securities	5(d)(iv). Limited Partnership Securities	5(d)(v). Municipal Debt Securities	5(d)(vi). Other Securities
99.99	0.00	0.00	0.01	0.00	0.00

6. Number of securities issues for which Registrant acted in the following capacities, as of December 31:

	Corporate Securities		Open-End Investment Company Securities	Limited Partnership Securities	Municipal Debt Securities	Other Securities
	Equity	Debt	Open-End Investment Company Securities	Limited Partnership Securities	Municipal Debt Securities	Other Securities
6(a). Receives items for transfer and maintains the master securityholder files:	6(a)(i). 26	6(a)(ii).	6(a)(iii).	6(a)(iv). 2	6(a)(v).	6(a)(vi).
6(b). Receives items for transfer but does not maintain the master securityholder files:	6(b)(i). 3	6(b)(ii).	6(b)(iii).	6(b)(iv).	6(b)(v).	6(b)(vi).
6(c). Does not receive items for transfer but maintains the master securityholder files:	6(c)(i). 15	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:	16

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)

$ 183,890,566.68

8(a). Number and aggregate market value of securities aged record differences, existing for more than 30 days, as of December 31:

	Prior Transfer Agent(s) (If applicable)	Current Transfer Agent
8(a)(i). Number of issues:	1
8(a)(ii). Market value (in dollars):	$ 4,347	$

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):

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 17Ad-11(c)(2)?

Yes

Not Applicable

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?

Yes

Not Applicable

If the answer to subsection (a) is no, complete subsections (i) through (ii)

10. Number of open-end investment company securities purchases and redemptions (transactions) excluding dividend, interest and distribution postings, and address changes processed during the reporting period:

10(a). Total number of transactions processed:

10(b). Number of transactions processed on a date other than date of receipt of order (as ofs):

11(a). During the reporting period, provide the date of all database searches conducted for lost securityholder accounts listed on the transfer agent's master securityholder files, the number of lost securityholder accounts for which a database search has been conducted, and the number of lost securityholder accounts for which a different address has been obtained as a result of a database search:

11(a)(i). Date of Database Search	11(a)(ii). Number of Lost Securityholder Accounts Submitted for Database Search	11(a)(iii). Addresses Obtained from Database Search
12/29/23

11(b). Number of lost securityholder accounts that have been remitted to the states during the reporting period:

TA-2/A: Signature

SIGNATURE: The Registrant submitting this Form, and the person signing the Form, hereby represent that all the information contained in the Form is true, correct, and complete.

12(a). Signature of Official responsible for Form:

Angela L Ponte

12(b). Telephone Number:

6512190381

12(c). Title of Signing Officer:

Vice President, CCO

12(d). Date Signed (Month/Day/Year):

3/28/24

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Filing Submission 0001998958-24-000002 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)