SEC Info℠  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Corporate Stock Transfer Inc/TA – ‘TA-2/A’ for 12/31/14

On:  Wednesday, 3/4/15, at 1:32pm ET   ·   Effective:  3/4/15   ·   For:  12/31/14   ·   Accession #:  783027-15-3   ·   File #:  84-01356

Previous ‘TA-2’:  ‘TA-2’ on 2/25/15 for 12/31/14   ·   Next:  ‘TA-2’ on 2/8/16 for 12/31/15   ·   Latest:  ‘TA-2’ on 4/1/21 for 12/31/20

Find Words in Filings emoji
 		  in    Show  and   ↓Hints

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

 3/04/15  Corporate Stock Transfer Inc/TA   TA-2/A     12/31/14    1:5K

Amendment to Annual Report of Transfer Agent Activities   —   Form TA-2
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: TA-2/A      Amendment to Annual Report of Transfer Agent        HTML      6K 
                          Activities -- primary_doc.xml/5.5


        

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
 
 
EDGAR System rendering:  Amendment to Annual Report of Activity by a Transfer Agent
 
File Number:
084-01356
For the reporting period 
ending 2014-12-31
 
 
 
 
 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
FORM TA-2
OMB Approval
OMB Number: 3235-0337
Estimated average burden hours per response …... 6.00
Estimated average burden hours per intermediate response……………………… 1.50
Estimated average burden hours per minimum response………………………. .50
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)
 
Form Version 5.2.0
1(a).Filer CIK:
0000783027
1(c). Live/Test Filing? Live                  Test             
1(e). Is this filing an amendment to a previous filing? Yes
1(h).Full Name of Registrant as stated in Question 3 of Form TA-1:
Corporate Stock Transfer, Inc
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(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    
3(a). Registrant's appropriate regulatory agency (ARA):
        SEC
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)                 
No, failed to file amendment(s)             
Not applicable
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: . . . . . . . .
12319
4(b). Number of individual securityholder accounts for which the TA maintained master securityholder files: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
249804
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:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
249804
5(b). Number of individual securityholder dividend reinvestment plan and/or direct purchase plan accounts as of December 31:. . . . . . . . . . . . . . . . . . . . . . . . .
0
5(c). Number of individual securityholder DRS accounts as of December 31: . . . . .
66
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
100
0
0
0
0
0
 
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
6(a). Receives items for transfer and maintains the master securityholder files:
6(a)(i)
 
889
6(a)(ii)
 
0
6(a)(iii)
 
0
6(a)(iv)
 
0
6(a)(v)
 
0
6(a)(vi)
 
0
6(b). Receives items for transfer but does not maintain the master securityholder files:
6(b)(i)
 
0
6(b)(ii)
 
0
6(b)(iii)
 
0
6(b)(iv)
 
0
6(b)(v)
 
0
6(b)(vi)
 
0
6(c). Does not receive items for transfer but maintains the master securityholder files:
6(c)(i)
 
0
6(c)(ii)
 
0
6(c)(iii)
 
0
6(c)(iv)
 
0
6(c)(v)
 
0
6(c)(vi)
 
0
 
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: . . . . . . . . . . . . . . .
0
7(b). Number of issues for which DRS services were provided, as of December 31:
30
7(c). Dividend disbursement and interest paying agent activities conducted during the reporting period:
              7(c)(i).  number of issues. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
14
              7(c)(ii).  amount (in dollars) . . . . . . . . . . . . . . . . . . . . . . . .
20154610.74
 
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 . . . . . . . .
0
0
              8(a)(ii).  Market value (in dollars) . . .
0
0
 
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):. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
0
 
 
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    No     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    No     Not Applicable    
 
 
 
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:. . . . . . . . . . . . . . . . . . . . . . . .
0
10(b). Number of transactions processed on a date other than date of receipt of order (as ofs):. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9605
 
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
2014-07-22
967
518
2015-01-05
963
395
 
11(b). Number of lost securityholder accounts that have been remitted to states during the reporting period: …………………………………………………………………………
0
 
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:
Carylyn K Bell
12(b).Telephone number:
303-282-4800
12(c).Title of Signing Officer:
President
12(d).Date signed (Month/Day/Year):
2015-03-04
 

↑Top
Filing Submission 0000783027-15-000003   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help — Mon., May 6, 5:11:35.2pm ET