X0405 TA-1/A 0000005876 XXXXXXXX 084-00416 LIVE SEC Equiniti Trust Company, LLC /TA 404194 48 Wall Street 23rd Floor New York NY 10005 N 347-860-5212 Y 1110 Centre Pointe Curve Suite 101 Mendota Heights MN 55120 11200 W Parkland Avenue 1st Floor Milwaukee WI 53224 55 Challenger Road 2nd Floor Ridgefield Park NJ 07660 N Y Equiniti India Pvt Ltd. 084-06598 DLF IT Park, Block 10, 8th Floor, 1/124 Mt Poonamalle High Road, Ramapuram Chennai K7 600 089 Equiniti India Pvt Ltd. 084-06598 Gold Hill Supreme Software Park, 7th Fl West Tower, Electronic City Phase - II Bangalore K7 560 100 Equiniti India Pvt Ltd. 084-06598 2nd Floor Hardy Tower, TRIL Inforpark Ramanujan Intellion Park-SEZ, Taramani Chennai K7 600 113 Y JP Morgan Chase Bank NA 085-11399 1111 Polaris Parkway Columbus OH 43240-2050 Ultimus Fund Solutions LLC/TA 084-05829 225 Pictoria Drive Suite 450 Cincinnati OH 45246 Deutsche Bank Trust Co Americas/TA 085-05212 1 Columbus Circle New York NY 10019-8735 TSX Trust Company (Canada) 084-06506 100 Adelaide Street West Suite 300 Toronto A6 M5H 1S3 Other Paul Lynam 12/13/2021 Director N/A Andrew Peeler 12/13/2021 Director N/A Martin Flanigan 05/22/2018 Chief Executive Officer, Director N/A 10/01/2024 Steven Fradkin 04/30/2014 Director N/A Sarah Kavanaugh 11/18/2011 Director N/A 06/30/2023 Armando Falcon 04/23/2014 Director N/A 06/30/2023 Brett Weinblatt 01/02/2019 Chief Financial Officer, Director N/A 06/30/2023 Asher Richelli 12/18/2014 General Counsel N/A 03/30/2023 James Gillis 06/30/2023 Director N/A Anthony Horton 06/30/2023 Director N/A William Lasky 06/30/2023 Director N/A David Chitty 06/12/2017 US Chief Risk Officer, Head of Grp Risk N/A John Meakin 06/30/2023 Chief Information Security Officer N/A Mark Fields 06/30/2023 Finance Director N/A David L. Becker 03/30/2023 General Counsel N/A Thomas Cortese 10/19/2015 Chief Compliance Officer N/A 06/30/2023 Simon Wadey 06/30/2023 Group Compliance Director, CCO N/A Robert M. Carney, Sr. 02/27/2012 President, Issuer & Investor Services N/A 09/26/2023 Joanne Palmer 10/01/2024 President and CEO N/A Limited Liability Trust Co. N N N N N N N Y Equiniti Trust Company, LLC f/k/a American Stock Transfer & Trust Company, LLC In the Matter of Equiniti Trust Company, LLC (see attachment) 08/20/2024 SECURITIES AND EXCHANGE COMMISSION Without admitting or denying the findings, on August 20, 2024, Equiniti Trust Company, LLC ("EQTC"), f/k/a American Stock Transfer & Trust Company, LLC ("AST"), agreed to settle an administrative action by the SEC in which it was ordered to cease-and-desist from violations of Sections 17A(d) and 17Ad-12 of the Securities Exchange Act of 1934. The proceedings related to AST's failure to assure that all securities in its custody or possession related to its transfer agent activities were held in safekeeping and were handled, in light of all facts and circumstances, in a manner reasonably free from risk of theft, loss or destruction, and all funds in its custody or possession related to its transfer agent activities were protected, in light of all facts and circumstances, against misuse. In determining to accept the settlement, the SEC considered the cooperation afforded the SEC staff and the remedial measures promptly undertaken by EQTC. EQTC was censured and ordered to pay a fine in the amount of $850,000. See above N N N N N N N N N N N N N N N N /s/ Thomas Cortese 347-860-5212 BSA Officer, Senior Director Compliance (US) 10/17/2024