TA-1/A : Filer Information

Form Version X0405

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

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:

TA-1/A : Registrant Information

3(c). Address of principal office where transfer agent activities are, or will be, performed:

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:

Engaged sevice company information Related to item 6 Record: 1
6(a). Name
Computershare Trust Company of Canada
6(b). File Number
6(c)(i). Address 1
100 University Avenue, 11th Floor
6(c)(ii). Address 2
6(c)(iii). City
Toronto
6(c)(iv). State or Country
ONTARIO, CANADA
6(c)(v). Postal Code
M5J 2Y1
7. Has registrant been engaged, or will it be engaged as a service company by a named transfer agent to perform transfer agent functions? radio button checked  Yes  radio button unchecked  No

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:

Engaged transfer agent company information Related to item 7 Record: 1
7(a). Name
Citibank, N.A.
7(b). File Number
7(c)(i). Address 1
111 Wall Street
7(c)(ii). Address 2
7(c)(iii). City
New York
7(c)(iv). State or Country
NEW YORK
7(c)(v). Postal Code
10043

Engaged transfer agent company information Related to item 7 Record: 2
7(a). Name
Computershare Trust Company, N.A.
7(b). File Number
7(c)(i). Address 1
150 Royall Street
7(c)(ii). Address 2
7(c)(iii). City
Canton
7(c)(iv). State or Country
MASSACHUSETTS
7(c)(v). Postal Code
02021-1011

Engaged transfer agent company information Related to item 7 Record: 3
7(a). Name
Computershare Trust Company of Canada
7(b). File Number
7(c)(i). Address 1
100 University Avenue, 11th Floor
7(c)(ii). Address 2
7(c)(iii). City
Toronto
7(c)(iv). State or Country
ONTARIO, CANADA
7(c)(v). Postal Code
M5J 2Y1

Engaged transfer agent company information Related to item 7 Record: 4
7(a). Name
Computershare Investor Services Inc.
7(b). File Number
7(c)(i). Address 1
100 University Avenue, 11th Floor
7(c)(ii). Address 2
7(c)(iii). City
Toronto
7(c)(iv). State or Country
ONTARIO, CANADA
7(c)(v). Postal Code
M5J 2Y1

Engaged transfer agent company information Related to item 7 Record: 5
7(a). Name
The Bank of New York Mellon
7(b). File Number
7(c)(i). Address 1
101 Barclay Street
7(c)(ii). Address 2
7(c)(iii). City
New York
7(c)(iv). State or Country
NEW YORK
7(c)(v). Postal Code
10286

Engaged transfer agent company information Related to item 7 Record: 6
7(a). Name
Computershare Investor Services Ltd.
7(b). File Number
7(c)(i). Address 1
46 Floor Hopewell Centre
7(c)(ii). Address 2
183 Queen's Road East Wanchai K3
7(c)(iii). City
Hong Kong
7(c)(iv). State or Country
HONG KONG
7(c)(v). Postal Code
00000

Engaged transfer agent company information Related to item 7 Record: 7
7(a). Name
Computershare Delaware Trust Company
7(b). File Number
7(c)(i). Address 1
919 North Market Street, Suite 1600
7(c)(ii). Address 2
7(c)(iii). City
Wilmington
7(c)(iv). State or Country
DELAWARE
7(c)(v). Postal Code
19801

TA-1/A : Independent, Non-Issuer Registrant Information

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".

Section for Initial Registration and for Amendments Reporting Additional Persons.

corporation or partner information Related to item 8 Record: 1
8(a)(i). Full Name
Computershare US Inc.
8(a)(ii). Relationship Start Date
06/27/2005
8(a)(iii). Title or Status
Indirect Owner
8(a)(iv). Ownership Code
E
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 2
8(a)(i). Full Name
Computershare Limited
8(a)(ii). Relationship Start Date
06/27/2005
8(a)(iii). Title or Status
Indirect Owner
8(a)(iv). Ownership Code
E
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 3
8(a)(i). Full Name
Richard L. Johnson, Jr.
8(a)(ii). Relationship Start Date
11/09/2001
8(a)(iii). Title or Status
Chief Compliance Officer
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date
06/28/2024

corporation or partner information Related to item 8 Record: 4
8(a)(i). Full Name
Computershare US Services Inc.
8(a)(ii). Relationship Start Date
03/14/2007
8(a)(iii). Title or Status
Indirect Owner
8(a)(iv). Ownership Code
E
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 5
8(a)(i). Full Name
Steven R. Rothbloom
8(a)(ii). Relationship Start Date
10/04/2007
8(a)(iii). Title or Status
Director
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 6
8(a)(i). Full Name
ACN 081 035 752 Pty Ltd
8(a)(ii). Relationship Start Date
05/19/2010
8(a)(iii). Title or Status
Indirect Owner
8(a)(iv). Ownership Code
E
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 7
8(a)(i). Full Name
Computershare Investments (UK)(No. 8) Limited
8(a)(ii). Relationship Start Date
01/01/2012
8(a)(iii). Title or Status
Direct Owner
8(a)(iv). Ownership Code
E
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date
06/14/2024

corporation or partner information Related to item 8 Record: 8
8(a)(i). Full Name
Computershare Holdings Inc.
8(a)(ii). Relationship Start Date
01/01/2012
8(a)(iii). Title or Status
Indirect Owner
8(a)(iv). Ownership Code
E
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 9
8(a)(i). Full Name
Kevin M. Brennan
8(a)(ii). Relationship Start Date
07/01/2013
8(a)(iii). Title or Status
Head of Equity Sales + Strategic Clients
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 10
8(a)(i). Full Name
Nicholas S. R. Oldfield
8(a)(ii). Relationship Start Date
07/01/2014
8(a)(iii). Title or Status
CFO, Treasurer, and Director
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 11
8(a)(i). Full Name
Mark L. McDougall
8(a)(ii). Relationship Start Date
07/01/2014
8(a)(iii). Title or Status
Global Chief Information Officer
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 12
8(a)(i). Full Name
Robert M. Fromberg
8(a)(ii). Relationship Start Date
02/01/2016
8(a)(iii). Title or Status
Secretary
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 13
8(a)(i). Full Name
Sheila M. Frierson
8(a)(ii). Relationship Start Date
07/01/2016
8(a)(iii). Title or Status
President, US Plan Managers
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 14
8(a)(i). Full Name
Marc J. Winters
8(a)(ii). Relationship Start Date
12/06/2021
8(a)(iii). Title or Status
Head of Global Core Operations
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 15
8(a)(i). Full Name
Ann M. Bowering
8(a)(ii). Relationship Start Date
07/11/2022
8(a)(iii). Title or Status
President and CEO, US Issuer Services
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 16
8(a)(i). Full Name
Lara K. Daly-Sims
8(a)(ii). Relationship Start Date
01/01/2024
8(a)(iii). Title or Status
Head of Corp. Regulatory Services (US)
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 17
8(a)(i). Full Name
Ben Klingenstein
8(a)(ii). Relationship Start Date
11/01/2021
8(a)(iii). Title or Status
Head of Risk and Compliance
8(a)(iv). Ownership Code
NA
8(a)(v). Control Person checkbox checked  Yes 
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;…. radio button unchecked  Yes  radio button checked  No
9(b). wholly or partially finance the business of the 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?….. radio button unchecked  Yes  radio button checked  No

TA-1/A : 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 contendere ("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? radio button unchecked  Yes  radio button checked  No
10(a)(2). any other felony? radio button unchecked  Yes  radio button checked  No
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? radio button unchecked  Yes  radio button checked  No
10(b)(2). found that the applicant or control affiliate was involved in a violation of investment-related statutes or regulations? radio button unchecked  Yes  radio button checked  No
10 (c). Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
10(c)(1). found the applicant or control affiliate to have made a false statement or omission? radio button unchecked  Yes  radio button checked  No
10(c)(2). found the applicant or control affiliate to have been involved in a violation of its regulation or statutes? radio button checked  Yes  radio button unchecked  No

Entity information Related to item 10(c)(2) Record: 1

10(c)(2)(i). The individuals named in the Action
Computershare Trust Company of Canada, Inc.
10(c)(2)(ii). Title of Action
In the Matter of Computershare Trust Company of Canada Inc.
10(c)(2)(iii). Date of Action
04/18/2006
10(c)(2)(iv). The Court or body taking the Action and its location
U.S. Securities and Exchange Commission
10(c)(2)(v). Description of the Action
Without admitting or denying the findings, on April 18, 2006 Computershare Trust Company of Canada, Inc. (CTCC), agreed to settle an administrative action by the SEC in which it was ordered to cease-and-desist from violations of Sections 15(b) and 17A(c) of the Securities Exchange Act of 1934. See, In the Matter of Computershare Trust Company of Canada Inc., Administrative Proceeding 3-12265, Securities Exchange Act Release No. 53668 (April 18, 2006). The proceedings related to CTCC's failure to register with the SEC as a U.S. transfer agent and a U.S. broker-dealer. As part of the settlement, CTCC was ordered to disgorge profits, including prejudgment interest, of $601,868.71 attributable to certain of its services associated with the U.S. during the period from June 2000 to April 2004 when it became registered as a U.S. Transfer Agent, as well as a fine in the amount of $500,000. At the same time, the SEC issued a conditional exemption to permit CTCC and its affiliate, Computershare Investor Services, LLC, to continue to provide plan services to U.S. residents without registering as a U.S. broker-dealer in accordance with Section 15(b). Exchange Act Release No. 53667 (April 18, 2006).
10(c)(2)(vi). The disposition of the proceeding
See above.

Entity information Related to item 10(c)(2) Record: 2

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
02/27/2004
10(c)(2)(iv). The Court or body taking the Action and its location
U.S. Securities and Exchange Commission
10(c)(2)(v). Description of the Action
Violation of Rules 17a-3(1) and (a)(2) and (a)(11); and Rule 17a-5(a)(2).
10(c)(2)(vi). The disposition of the proceeding
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)(3). found the applicant or control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted? radio button unchecked  Yes  radio button checked  No
10(c)(4). entered an order denying, suspending or revoking the applicant’s or control affiliate’s registration or otherwise disciplined it by restricting its activities? radio button checked  Yes  radio button unchecked  No

Entity information Related to item 10(c)(4) Record: 1

10(c)(4)(i). The individuals named in the Action
Registrar and Transfer Company and Thomas L. Montrone
10(c)(4)(ii). Title of Action
In the Matter of Registrar and Transfer Company and Thomas L. Montrone.
10(c)(4)(iii). Date of Action
09/23/2014
10(c)(4)(iv). The Court or body taking the Action and its location
U.S. Securities and Exchange Commission
10(c)(4)(v). Description of the Action
Administrative Proceeding File No. 3-16157: In this matter, Registrar and Transfer Company ("R&T") and certain of its employees violated Section 5 of the Securities Act; its CEO Thomas L. Montrone ("Montrone") caused R&T's violation of Section 5; and R&T and Montrone failed reasonably to supervise certain R&T employees with respect to their violations of Section 5 in connection with 54 unregistered issuances of purportedly unrestricted shares. Respondents were ordered to cease and desist from committing or causing any violations and any future violations of Sections 5(a) and 5(c) of the Securities Act. R&T has been censured. Montrone has been suspended from association in a supervisory capacity with any transfer agent, broker, dealer, investment advisor, municipal security dealer, municipal advisor or nationally recognized statistically rating organization for a period of twelve months, effective on the second Monday following the entry of the Order.
10(c)(4)(vi). The disposition of the proceeding
R&T will pay the SEC disgorgement, interest, and penalties of $127,667.64; Montrone $25,000. R&T will engage an independent consultant to review and recommend corrective measures of R&T's policies and procedures to prevent future violations of Section 5.
10(d). Has any other Federal regulatory agency or any state regulatory agency :
10(d)(1). ever found the applicant or control affiliate to have made a false statement or omission or to have been dishonest, unfair, or unethical? radio button unchecked  Yes  radio button checked  No
10(d)(2). ever found the applicant or control affiliate to have been involved in a violation of investment-related regulations or statutes? radio button unchecked  Yes  radio button checked  No
10(d)(3). ever found the applicant or control affiliate to have been a cause of an investment-related business having its authorization to do business Denied, suspended, revoked or restricted? radio button unchecked  Yes  radio button checked  No
10(d)(4). in the past ten years entered an order against the applicant or control affiliate in connection with investment-related activity? radio button unchecked  Yes  radio button checked  No
10(d)(5). ever denied, suspended, or revoked applicant’s or control affiliate’s registration or license, or prevented it from associating with an investment-related business, or otherwise disciplined it by restricting its activities? radio button checked  Yes  radio button unchecked  No

Entity information Related to item 10(d)(5) Record: 1

10(d)(5)(i). The individuals named in the Action
Georgeson Shareholder Securities Corporation (GSSC)
10(d)(5)(ii). Title of Action
N/A
10(d)(5)(iii). Date of Action
12/06/1999
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 GSSC's 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? radio button unchecked  Yes  radio button checked  No

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? radio button unchecked  Yes  radio button checked  No
10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules? radio button checked  Yes  radio button unchecked  No

Entity information Related to item 10(e)(2) Record: 1

10(e)(2)(i). The individuals named in the Action
Computershare Securities Corporation
10(e)(2)(ii). Title of Action
Letter of Acceptance, Waiver, and Consent (AWC)
10(e)(2)(iii). Date of Action
02/13/2006
10(e)(2)(iv). The Court or body taking the Action and its location
National Association of Securities Dealers Regulation, Inc.
10(e)(2)(v). Description of the Action
Computershare Securities Corporation (CRD 107023, Chicago, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $60,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it executed securities transactions while failing to maintain its minimum required net capital. The findings stated that the firm failed to comply with SEC Rule 17a-3(a) in that it prepared inaccurate trial balances and net capital computations for numerous months. The findings also stated that the firm failed to comply with SEC Rule 17a-5 in that it filed inaccurate NASD Financial Operational Combined Uniform Single (FOCUS) Part IIA Reports for several months. (NASD Case E8A2005005301)
10(e)(2)(vi). The disposition of the proceeding
See Above.

Entity information Related to item 10(e)(2) Record: 2

10(e)(2)(i). The individuals named in the Action
Georgeson Securities Corporation
10(e)(2)(ii). Title of Action
CRD 46749, New York, New York NASD Case 2006004077101
10(e)(2)(iii). Date of Action
07/10/2007
10(e)(2)(iv). The Court or body taking the Action and its location
National Association of Securities Dealers
10(e)(2)(v). Description of the Action
Georgeson Securities Corporation (CRD 46749, New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $30,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it failed to maintain and preserve all of its electronic communications as required by SEC Rule 17a-4. The findings stated that the firm electronically backed-up electronic communications at the end of each day, but failed to capture, maintain and preserve any electronic communication deleted from a user's deleted items folder during the day.
10(e)(2)(vi). The disposition of the proceeding
See Above.

Entity information Related to item 10(e)(2) Record: 3

10(e)(2)(i). The individuals named in the Action
Georgeson Securities Corporation
10(e)(2)(ii). Title of Action
CRD 46749, New York, New York FINRA Case 2009016205701
10(e)(2)(iii). Date of Action
01/21/2011
10(e)(2)(iv). The Court or body taking the Action and its location
Financial Industry Regulatory Authority
10(e)(2)(v). Description of the Action
Georgeson Securities Corporation (CRD 46749, New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $10,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it failed to adequately ensure that it maintained a complete record of all free-credits due to customers. The findings stated that this caused the firm's customer reserve computation and books and record to be inaccurate. The findings also stated that the firm failed to include in its customer reserve computation $134,715.60 of customer checks it received on a specific day, thereby miscalculating its customer reserve. The findings also included that instead, the firm relied on a bank statement to determine the credit amounts to include in its reserve formula; the bank statement did not reflect checks that the firm received on the date of the bank statement.
10(e)(2)(vi). The disposition of the proceeding
See Above.

Entity information Related to item 10(e)(2) Record: 4

10(e)(2)(i). The individuals named in the Action
Georgeson Securities Corporation
10(e)(2)(ii). Title of Action
CRD 46749, New York, New York FINRA Case 2016050194001
10(e)(2)(iii). Date of Action
12/21/2016
10(e)(2)(iv). The Court or body taking the Action and its location
Financial Industry Regulatory Authority
10(e)(2)(v). Description of the Action
Georgeson Securities Corporation (CRD #46749) was found to have violated Exchange Act Rule 17a-4, NASD Rules 3110 and 2110, and FINRA Rules 4511 and 2010. The Firm failed to: maintain electronic records in the write once read many ("WORM") format; provide a 90-day notice to its designated examination authority prior to using electronic storage media; implement an audit system regarding the inputting of records in electronic storage media; obtain an attestation from its third-party vendor; and the firm's supervisory system for records storage was deemed not reasonably designed.
10(e)(2)(vi). The disposition of the proceeding
Disposition of the action or the claim: Without admitting or denying the factual allegations, the Firm submitted a Letter of Acceptance, Waiver and Consent in which the Firm was censured and fined $650,000.
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? radio button unchecked  Yes  radio button checked  No
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? radio button unchecked  Yes  radio button checked  No
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? radio button unchecked  Yes  radio button checked  No
10(g). Is the applicant or a control affiliate now the subject of a proceeding that could result in a yes answer for questions 10(a) – 10(f) ? radio button checked  Yes  radio button unchecked  No

Entity information Related to item 10(g) Record: 1

10(g)(i). The individuals named in the Action
Georgeson LLC (GLLC)
10(g)(ii). Title of Action
U.S. District Court of Massachusetts Docket Number 17CR-10367
10(g)(iii). Date of Action
11/30/2017
10(g)(iv). The Court or body taking the Action and its location
U.S. District Court of Massachusetts
10(g)(v). Description of the Action
In connection with a Deferred Prosecution Agreement ("DPA"), an information containing a single felony count of conspiracy was filed against GLLC. The information states that, in or about and between September 2007 and March 2012, GLLC and others conspired to commit: (1) wire fraud and honest services wire fraud by engaging in a scheme to defraud Institutional Shareholder Services ("ISS") of confidential client voting information regarding whether and how ISS's clients had voted on particular shareholder proposals and of the honest and faithful services of an employee, by providing that employee with tickets to concerts and sporting events; and (2) wire fraud by engaging in a scheme to defraud clients of GLLC by sending them invoices for at least a portion of the cost of the tickets provided to the ISS employee, which falsely described those charges as legitimate expenses that were properly passed on to the clients. The DPA term expired on November 30, 2020. The court dismissed the criminal information on January 4, 2021.
10(g)(vi). The disposition of the proceeding
A DPA was entered on November 30, 2017. A fine of $4.5 million was paid on December 4, 2017. The DPA provides that, if GLLC fully complies with all of its obligations under the DPA, the U.S. Attorney's Office will dismiss the information with prejudice.
10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate? radio button unchecked  Yes  radio button checked  No
10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it? radio button unchecked  Yes  radio button checked  No

TA-1/A : Signature

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.