UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM TA-1

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UNIFORM FORM FOR REGISTRATION AS A TRANSFER AGENT AND FOR AMENDMENT
TO REGISTRATION PURSUANT TO SECTION 17A OF THE
SECURITIES EXCHANGE ACT OF 1934
GENERAL:
Form TA-1 is to be used to register or amend registration as a transfer agent with the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation or the Securities and Exchange Commission pursuant to Section 17A of the Securities Exchange Act of 1934.
Read all instructions before completing this form. Please print or type all responses.
Form Version 3.2.0
1(a). Filer CIK:
0001288763
1(c). Live/Test Filing? x Live o Test
1(e). Is this filing an amendment to a previous filing? x Yes
1(e)(i). File Number: 084-06111
2. Appropriate regulatory agency (check one) :
x Securities and Exchange Commission
o Board of Governors of the Federal Reserve System
o Federal Deposit Insurance Corporation
o Comptroller of the Currency
o Office of Thrift Supervision
3(a). Full Name of Registrant:
Computershare Investor Services Inc.
3(a)(i). Previous name, if being amended:
3(b). Financial Industry Number Standard (FINS) number:
289645
3(c). Address of principal office where transfer agent activities are, or will be, performed:
3(c)(i). Address 1
100 University Avenue
3(c)(ii). Address 2
9th Floor
3(c)(iii). City
Toronto
3(c)(iv). State or Country
A6
ONTARIO, CANADA
3(c)(v). Postal Code
M5J 2Y1
3(d). Is Mailing address different from response to Question 3c?
If "yes," provide address(es):
Yes No
o x
3(e). Telephone Number
(Include Area Code)
416-263-9200
4. Does registrant conduct, or will it conduct, transfer agent activities at any location other than that given in question 3c above?
If "yes," provide address(es):
Yes No
x o
4(a)(i). Address 1
Purdy's Wharf, Tower 2
4(a)(ii). Address 2
1969 Upper Water St. Suite 2008
4(a)(iii). City
Halifax
4(a)(iv). State or Country
A5
NOVA SCOTIA, CANADA
4(a)(v). Postal Code
B3J 3R7
4(a)(i). Address 1
1500 University Street
4(a)(ii). Address 2
Suite 700
4(a)(iii). City
Montreal
4(a)(iv). State or Country
A8
QUEBEC, CANADA
4(a)(v). Postal Code
H3A 3S8
4(a)(i). Address 1
530 - 8th Avenue SW
4(a)(ii). Address 2
Suite 600
4(a)(iii). City
Calgary
4(a)(iv). State or Country
A0
ALBERTA, CANADA
4(a)(v). Postal Code
T2P 3S8
4(a)(i). Address 1
510 Burrard Street
4(a)(ii). Address 2
2nd Floor
4(a)(iii). City
Vancouver
4(a)(iv). State or Country
A1
BRITISH COLUMBIA, CANADA
4(a)(v). Postal Code
V6C 3B9
5. Does registrant act, or will it act, as a transfer agent solely for its own securities and/or securities of an affiliate(s)?
Yes No
o x
6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions?
Yes No
x o
If "yes," provide the name(s) and address(es) of all service companies engaged, or that will be engaged, by the registrant to perform its transfer agent functions:
6(a). Name:
Computershare Trust Company of Canada
6(b). File Number: 084-06112
6(c)(i). Address 1
100 University Avenue
6(c)(ii). Address 2
9th Floor
6(c)(iii). City
Toronto
6(c)(iv). State or Country
A6
6(c)(v). Postal Code
M5J 2Y1
6(a). Name:
Computershare Inc.
6(b). File Number: 084-05925
6(c)(i). Address 1
250 Royall Street
6(c)(ii). Address 2
6(c)(iii). City
Canton
6(c)(iv). State or Country
MA
6(c)(v). Postal Code
02021
6(a). Name:
Computershare Trust Company, N.A.
6(b). File Number: 085-11340
6(c)(i). Address 1
250 Royall Street
6(c)(ii). Address 2
6(c)(iii). City
Canton
6(c)(iv). State or Country
MA
6(c)(v). Postal Code
02021
7. Has registrant been engaged, or will it be engaged, as a service company by a named transfer agent to perform transfer agent functions?
Yes No
x o
If "yes," provide the name(s) and File Number(s) of the named transfer agent(s) for which the registrant has been engaged, or will be engaged, as a service company to perform transfer agent functions:
7(a). Name
Computershare Trust Company of Canada
7(b). File Number: 084-06112
7(c)(i). Address 1
100 University Avenue
7(c)(ii). Address 2
9th Floor
7(c)(iii). City
Toronto
7(c)(iv). State or Country
A6
7(c)(v). Postal Code
M5J 2Y1
7(a). Name
Computershare Inc.
7(b). File Number: 084-05925
7(c)(i). Address 1
250 Royall Street
7(c)(ii). Address 2
7(c)(iii). City
Canton
7(c)(iv). State or Country
MA
7(c)(v). Postal Code
02021
7(a). Name
Computershare Trust Company, N.A.
7(b). File Number: 085-11340
7(c)(i). Address 1
250 Royall Street
7(c)(ii). Address 2
7(c)(iii). City
Canton
7(c)(iv). State or Country
MA
7(c)(v). Postal Code
02021
Completion of Question 8 on this form is required by all independent, non-issuer registrants whose appropriate regulatory authority is the Securities and Exchange Commission. Those registrants who are not required to complete Question 8 should select "Not Applicable".
8. Is registrant a: Corporation
Section for Initial Registration and for Amendments Reporting Additional Persons.
8(a)(i). Full Name
Wayne Noel Newling
8(a) (ii). Relationship Start Date
2006-05-10
8(a) (iii). Title or Status
CEO, President and Director
8(a) (iv). Ownership Code
NA - 0 to 5%
8(a) (v). Control Person
x
8(a) (vi). Relationship End Date
8(a)(i). Full Name
Lindsay Ann Horwood
8(a) (ii). Relationship Start Date
2002-12-06
8(a) (iii). Title or Status
CLO,CCO and Director
8(a) (iv). Ownership Code
NA - 0 to 5%
8(a) (v). Control Person
x
8(a) (vi). Relationship End Date
8(a)(i). Full Name
Matthew John Cox
8(a) (ii). Relationship Start Date
2008-07-23
8(a) (iii). Title or Status
Chief Financial Officer
8(a) (iv). Ownership Code
NA - 0 to 5%
8(a) (v). Control Person
x
8(a) (vi). Relationship End Date
8(a)(i). Full Name
Computershare Canada Inc.
8(a) (ii). Relationship Start Date
2002-12-06
8(a) (iii). Title or Status
Parent Company
8(a) (iv). Ownership Code
E - 75% up to 100%
8(a) (v). Control Person
x
8(a) (vi). Relationship End Date
8(a)(i). Full Name
Computershare Investments (UK) (No.2) Limited
8(a) (ii). Relationship Start Date
2002-12-06
8(a) (iii). Title or Status
Parent Company (Indirect)
8(a) (iv). Ownership Code
E - 75% up to 100%
8(a) (v). Control Person
x
8(a) (vi). Relationship End Date
2012-10-22
8(a)(i). Full Name
ACN 081 035 752 Pty. Ltd.
8(a) (ii). Relationship Start Date
2004-02-27
8(a) (iii). Title or Status
Parent Company (Indirect)
8(a) (iv). Ownership Code
E - 75% up to 100%
8(a) (v). Control Person
x
8(a) (vi). Relationship End Date
8(a)(i). Full Name
Computershare Limited
8(a) (ii). Relationship Start Date
1997-12-11
8(a) (iii). Title or Status
Parent Company (Indirect)
8(a) (iv). Ownership Code
E - 75% up to 100%
8(a) (v). Control Person
x
8(a) (vi). Relationship End Date
8(a)(i). Full Name
Stuart Swartz
8(a) (ii). Relationship Start Date
2008-11-18
8(a) (iii). Title or Status
Senior Vice President
8(a) (iv). Ownership Code
NA - 0 to 5%
8(a) (v). Control Person
x
8(a) (vi). Relationship End Date
8(a)(i). Full Name
Margot Jordan
8(a) (ii). Relationship Start Date
2008-11-18
8(a) (iii). Title or Status
Senior Vice President
8(a) (iv). Ownership Code
NA - 0 to 5%
8(a) (v). Control Person
x
8(a) (vi). Relationship End Date
8(a)(i). Full Name
David Nugent
8(a) (ii). Relationship Start Date
2008-11-18
8(a) (iii). Title or Status
Senior Vice President
8(a) (iv). Ownership Code
NA - 0 to 5%
8(a) (v). Control Person
x
8(a) (vi). Relationship End Date
8(a)(i). Full Name
Dennis Massicotte
8(a) (ii). Relationship Start Date
2008-11-18
8(a) (iii). Title or Status
Vice President
8(a) (iv). Ownership Code
NA - 0 to 5%
8(a) (v). Control Person
x
8(a) (vi). Relationship End Date
8(a)(i). Full Name
Mark Jacobs
8(a) (ii). Relationship Start Date
2008-11-18
8(a) (iii). Title or Status
Vice President
8(a) (iv). Ownership Code
NA - 0 to 5%
8(a) (v). Control Person
x
8(a) (vi). Relationship End Date
8(a)(i). Full Name
Jason Murray
8(a) (ii). Relationship Start Date
2010-07-01
8(a) (iii). Title or Status
Vice President
8(a) (iv). Ownership Code
NA - 0 to 5%
8(a) (v). Control Person
x
8(a) (vi). Relationship End Date
8(a)(i). Full Name
Stuart Irving
8(a) (ii). Relationship Start Date
2005-11-08
8(a) (iii). Title or Status
Chief Information Officer
8(a) (iv). Ownership Code
NA - 0 to 5%
8(a) (v). Control Person
x
8(a) (vi). Relationship End Date
9. Does any person or entity not named in the answer to Question 8:
9(a). directly or indirectly, through agreement or otherwise exercise or have the power to exercise control over the management or policies of applicant; or . . . .
Yes No o x
9(b). wholly or partially finance the business of applicant, directly or indirectly, in any manner other than by a public offering of securities made pursuant to the Securities Act of 1933 or by credit extended in the ordinary course of business by suppliers, banks and others ? . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
o x
10. Applicant and Control Affiliate Disciplinary History:
The following definitions apply for purposes of answering this Question 10
Control affiliate
- An individual or firm that directly or indirectly controls, is under common control with, or is controlled by applicant. Included are any employees identified in 8(a), 8(b), 8(c) of this form as exercising control. Excluded are any employees who perform solely clerical, administrative support of similar functions, or who, regardless of title, perform no executive duties or have no senior policy making authority.
Investment or investment related
- Pertaining to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with a broker-dealer, investment company, investment adviser, futures sponsor, bank, or savings and loan association).
Involved
- Doing an act of aiding, abetting, counseling, commanding, inducing, conspiring with or failing reasonably to supervise another in doing an act.
10(a). In the past ten years has the applicant or a control affiliate been convicted of or plead guilty or nolo contender ("no contest") to:
10(a)(1). a felony or misdemeanor involving: investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, or bribery, forgery, counterfeiting or extortion? . . . . . . . . . . . .
Yes No
o x
10(a)(2). any other felony? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
o x
10(b). Has any court in the past ten years:
10(b)(1). enjoined the applicant or a control affiliate in connection with any investment-related activity? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
o x
10(b)(2). found that the applicant or a control affiliate was involved in a violation of investment-related statutes or regulations? . . . . .
Yes No
o x
10(c). Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
10(c)(1). found the applicant or a control affiliate to have made a false statement or omission? . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
o x
10(c)(2). found the applicant or a control affiliate to have been involved in a violation of its regulations or statutes? . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
x o
10(c)(2) (i). The individuals named in the Action
Georgeson Shareholder Securities Corporation ("GSSC")
10(c)(2) (ii). Title of Action
N/A
10(c)(2) (iii). Date of Action
2004-02-27
10(c)(2) (iv). The Court or body taking the Action and its location
SEC
10(c)(2) (v). Description of the Action
The SEC Northeast Regional Office, 233 Broadway, New York, NY, has asked GSSC for a letter detailing the procedures in place to safeguard against further infractions of these rules.
10(c)(2) (vi). The disposition of the proceeding
Violation of Rules 17a-3(1) and(a)(2) and (a)(11); and Rule 17a-5(a)(2)
10(c)(2) (i). The individuals named in the Action
Computershare Trust Company of Canada ("CTCC")
10(c)(2) (ii). Title of Action
Administrative Proceeding 3-12265, Securities Exchange Act Rel...
10(c)(2) (iii). Date of Action
2006-04-18
10(c)(2) (iv). The Court or body taking the Action and its location
SEC
10(c)(2) (v). Description of the Action
Ordered to cease-and-desist from violations of Sections 15(b) and 17A(c ) of the Securities Exchange Act of 1934.
10(c)(2) (vi). The disposition of the proceeding
Without admitting or denying the findings, on April 18, 2006, CTCC a control affiliate of the registrant, agreed to settle an administrative action by the SEC. See attachment for full description.
10(c)(3). found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
o x
10(c)(4). entered an order denying, suspending or revoking the applicant's or a control affiliate's registration or otherwise disciplined it by restricting its activities? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
o x
10(d). Has any other Federal regulatory agency or any state regulatory agency:
10(d)(1). ever found the applicant or a control affiliate to have made a false statement or omission or to have been dishonest, unfair, or unethical? . . . . . .
Yes No
o x
10(d)(2). ever found the applicant or a control affiliate to have been involved in a violation of investment-related regulations or statutes? . . . . . . . . . . . . . . . . .
Yes No
o x
10(d)(3). ever found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
o x
10(d)(4). in the past ten years entered an order against the applicant or a control affiliate in connection with investment-related activity? . . . . . . . . . .
Yes No
o x
10(d)(5). ever denied, suspended, or revoked the applicant's or a control affiliate's registration or license, or prevented it from associating with an investment-related business, or otherwise disciplined it by restricting its activities? . . . . . .
Yes No
x o
10(d)(5) (i). The individuals named in the Action
Georgeson Sharholder Securities Corporation ("GSSC")
10(d)(5) (ii). Title of Action
N/A
10(d)(5) (iii). Date of Action
1999-12-06
10(d)(5) (iv). The Court or body taking the Action and its location
Minnesota Department of Commerce
10(d)(5) (v). Description of the Action
Withdrawal of broker-dealer application.
10(d)(5) (vi). The disposition of the proceeding
Ordered pursuant to State Statute Section 80A.05 subd.1 (1994) that GSSCs application for broker-dealer be withdrawn since the application was pending with the department with no activity for 120 days.
10(d)(6). ever revoked or suspended the applicant's or a control affiliate's license as an attorney or accountant? . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
o x
10(e). Has any self-regulatory organization or commodities exchange ever:
10(e)(1). found the applicant or a control affiliate to have made a false statement or omission? . . . . . . . . . . . . . . . . . .
Yes No
o x
10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
o x
10(e)(3). found the applicant or a control affiliate to have been the cause of an investment-related business losing its authorization to do business? . . . . . . . .
Yes No
o x
10(e)(4). disciplined the applicant or a control affiliate by expelling or suspending it from membership, by barring or suspending its association with other members, or by otherwise restricting its activities? . . . . . . . . . . . . . . . .
Yes No
o x
10(f). Has any foreign government, court, regulatory agency, or exchange ever entered an order against the applicant or a control affiliate related to investments or fraud? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
o x
10(g). Is the applicant or a control affiliate now the subject of any proceeding that could result in a yes answer to questions 10(a) - 10(F)?
Yes No
o x
10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
o x
10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
o x
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT
CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)
SIGNATURE: The registrant submitting this form, and as required, the SEC supplement and Schedules A-D,
And the executing official hereby represent that all the information contained herein is true, correct and complete.
11(a). Signature of Official responsible for Form:
Lindsay Horwood
11(b). Telephone number:
416-263-9206
11(c). Title of Signing Officer:
Chief Compliance Officer
11(d). Date signed (Month/Day/Year):
2013-05-16
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