Form TA-1 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM TA-1/A	OMB APPROVAL
FORM TA-1/A		OMB Number:   3235-0084 Estimated average burden hours per response: 1.5

TA-1/A : Filer Information

Form Version X0405

1(a). Filer CIK:	0000862124
1(b). Filer CCC:	********
1(c). Is this a LIVE or TEST submission?	Live   Test
1(d). Would you like a Return Copy?	Yes
1(e). Is this filing an amendment to a previous filing?	Yes
1(e)(i). File Number:	084-01839

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

2. Appropriate regulatory agency (check one):

Securities and Exchange Commission     Federal Deposit Insurance Corporation     Comptroller of the Currency

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

3(c)(i). Address 1	245 Summer Street
3(c)(ii). Address 2
3(c)(iii). City	Boston
3(c)(iv). State or Country	MASSACHUSETTS
3(c)(v). Postal Code	02210
3(d). Is Mailing address different from response to Question 3c? If "yes" provide address(es):	Yes   No
3(d)(i). Address 1	245 Summer Street
3(d)(ii). Address 2	Mail Zone V1B Attn: TA Compliance
3(d)(iii). City	Boston
3(d)(iv). State or Country	MASSACHUSETTS
3(d)(v). Postal Code	02210
3(e). Telephone Number (Include Area Code)	201-915-7348
4. Does Registrant conduct, or will it conduct, transfer agent activities at any location other than that given in Questions 3(c) above? If "Yes" provide address (es):	Yes   No
Other Business Location Record: 1
4(a)(i). Address 1	100 Crosby Parkway
4(a)(ii). Address 2
4(a)(iii). City	Covington
4(a)(iv). State or Country	KENTUCKY
4(a)(v). Postal Code	41015
Other Business Location Record: 2
4(a)(i). Address 1	100 Magellan Drive
4(a)(ii). Address 2
4(a)(iii). City	Covington
4(a)(iv). State or Country	KENTUCKY
4(a)(v). Postal Code	41015
Other Business Location Record: 3
4(a)(i). Address 1	One Spartan Way
4(a)(ii). Address 2
4(a)(iii). City	Merrimack
4(a)(iv). State or Country	NEW HAMPSHIRE
4(a)(v). Postal Code	03054
Other Business Location Record: 4
4(a)(i). Address 1	Two Contra Way
4(a)(ii). Address 2
4(a)(iii). City	Merrimack
4(a)(iv). State or Country	NEW HAMPSHIRE
4(a)(v). Postal Code	03054
Other Business Location Record: 5
4(a)(i). Address 1	100 Salem Street
4(a)(ii). Address 2
4(a)(iii). City	Smithfield
4(a)(iv). State or Country	RHODE ISLAND
4(a)(v). Postal Code	02917
Other Business Location Record: 6
4(a)(i). Address 1	One Destiny Way
4(a)(ii). Address 2
4(a)(iii). City	Westlake
4(a)(iv). State or Country	TEXAS
4(a)(v). Postal Code	76262
Other Business Location Record: 7
4(a)(i). Address 1	100 Howe Drive
4(a)(ii). Address 2
4(a)(iii). City	Covington
4(a)(iv). State or Country	KENTUCKY
4(a)(v). Postal Code	41015
Other Business Location Record: 8
4(a)(i). Address 1	49 North 400 West
4(a)(ii). Address 2
4(a)(iii). City	Salt Lake City
4(a)(iv). State or Country	UTAH
4(a)(v). Postal Code	84101
Other Business Location Record: 9
4(a)(i). Address 1	Two Destiny Way
4(a)(ii). Address 2
4(a)(iii). City	Westlake
4(a)(iv). State or Country	TEXAS
4(a)(v). Postal Code	76262
Other Business Location Record: 10
4(a)(i). Address 1	100 New Millennium Way
4(a)(ii). Address 2
4(a)(iii). City	Durham
4(a)(iv). State or Country	NORTH CAROLINA
4(a)(v). Postal Code	27709
Other Business Location Record: 11
4(a)(i). Address 1	5401 Watson Drive SE
4(a)(ii). Address 2
4(a)(iii). City	Albuquerque
4(a)(iv). State or Country	NEW MEXICO
4(a)(v). Postal Code	87106
Other Business Location Record: 12
4(a)(i). Address 1	5300 Kings Island Drive
4(a)(ii). Address 2
4(a)(iii). City	Mason
4(a)(iv). State or Country	OHIO
4(a)(v). Postal Code	45040
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
6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions?	Yes   No

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

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.

8(a)(i). Full Name	FMR Corp
8(a)(ii). Relationship Start Date	07/01/1978
8(a)(iii). Title or Status	Shareholder
8(a)(iv). Ownership Code	E
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	09/30/2007

8(a)(i). Full Name	Susan Sturdy
8(a)(ii). Relationship Start Date	06/28/2006
8(a)(iii). Title or Status	Secretary
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	08/01/2008

8(a)(i). Full Name	Timothy F. Hayes
8(a)(ii). Relationship Start Date	06/28/2006
8(a)(iii). Title or Status	President & Director
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	06/14/2007

8(a)(i). Full Name	Jeffrey Carney
8(a)(ii). Relationship Start Date	06/28/2006
8(a)(iii). Title or Status	Executive Vice President
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	06/14/2007

8(a)(i). Full Name	Laura B. Cronin
8(a)(ii). Relationship Start Date	06/28/2006
8(a)(iii). Title or Status	Executive Operating Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	10/03/2007

8(a)(i). Full Name	Robert A. Dwight
8(a)(ii). Relationship Start Date	07/03/2003
8(a)(iii). Title or Status	Executive Operating Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	06/30/2013

8(a)(i). Full Name	Joseph P. LoRusso
8(a)(ii). Relationship Start Date	07/03/2003
8(a)(iii). Title or Status	Director
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	06/14/2007

8(a)(i). Full Name	Stephen E. Tibbets
8(a)(ii). Relationship Start Date	08/01/1994
8(a)(iii). Title or Status	Treasurer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	06/14/2007

8(a)(i). Full Name	J. Gregory Wass
8(a)(ii). Relationship Start Date	06/28/2006
8(a)(iii). Title or Status	Assitant Treasurer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	07/31/2011

8(a)(i). Full Name	John J. Hitt
8(a)(ii). Relationship Start Date	06/28/2006
8(a)(iii). Title or Status	Assistant Secretary
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	08/01/2008

8(a)(i). Full Name	Richard Siegelman
8(a)(ii). Relationship Start Date	06/14/2007
8(a)(iii). Title or Status	Chief Compliance Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	05/01/2009

8(a)(i). Full Name	Anmarie Ciccolo
8(a)(ii). Relationship Start Date	06/14/2007
8(a)(iii). Title or Status	Chief Compliance Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	07/01/2017

8(a)(i). Full Name	Joseph Hollis
8(a)(ii). Relationship Start Date	06/14/2007
8(a)(iii). Title or Status	Executive Operating Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	08/01/2008

8(a)(i). Full Name	Terence Sanz
8(a)(ii). Relationship Start Date	06/14/2007
8(a)(iii). Title or Status	Treasurer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	12/01/2008

8(a)(i). Full Name	FMR LLC
8(a)(ii). Relationship Start Date	10/01/2007
8(a)(iii). Title or Status	Shareholder
8(a)(iv). Ownership Code	E
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	09/30/2010

8(a)(i). Full Name	Robert Donelan
8(a)(ii). Relationship Start Date	06/14/2007
8(a)(iii). Title or Status	President & Director
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	07/26/2010

8(a)(i). Full Name	Raymond Marcinowski
8(a)(ii). Relationship Start Date	06/14/2007
8(a)(iii). Title or Status	President & Director
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	02/29/2008

8(a)(i). Full Name	Barbara March
8(a)(ii). Relationship Start Date	02/11/2008
8(a)(iii). Title or Status	Executive Operating Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	02/01/2010

8(a)(i). Full Name	Dub Nelson
8(a)(ii). Relationship Start Date	09/15/2008
8(a)(iii). Title or Status	Executive Operating Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	12/01/2008

8(a)(i). Full Name	Christine Reynolds
8(a)(ii). Relationship Start Date	08/01/2008
8(a)(iii). Title or Status	Executive Operating Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	07/31/2014

8(a)(i). Full Name	Mary Brady
8(a)(ii). Relationship Start Date	08/01/2008
8(a)(iii). Title or Status	Secretary
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	02/26/2010

8(a)(i). Full Name	Peter D. Stahl
8(a)(ii). Relationship Start Date	08/01/2008
8(a)(iii). Title or Status	Secretary
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	01/01/2020

8(a)(i). Full Name	Gerard McGraw
8(a)(ii). Relationship Start Date	09/04/2007
8(a)(iii). Title or Status	Executive Operating Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	09/10/2009

8(a)(i). Full Name	Marvin Adams
8(a)(ii). Relationship Start Date	09/15/2008
8(a)(iii). Title or Status	Director
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	08/20/2009

8(a)(i). Full Name	Richard Dobbs
8(a)(ii). Relationship Start Date	09/15/2008
8(a)(iii). Title or Status	Director
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	10/09/2009

8(a)(i). Full Name	Phillip Guarino
8(a)(ii). Relationship Start Date	12/01/2008
8(a)(iii). Title or Status	Treasurer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	05/31/2010

8(a)(i). Full Name	Robert J. Adams
8(a)(ii). Relationship Start Date	09/10/2009
8(a)(iii). Title or Status	President Shareholder Division
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Timothy J. Barrett
8(a)(ii). Relationship Start Date	08/20/2009
8(a)(iii). Title or Status	Asssitant Treasurer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	10/15/2010

8(a)(i). Full Name	Michael Doorley
8(a)(ii). Relationship Start Date	10/01/2009
8(a)(iii). Title or Status	Director
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	04/01/2010

8(a)(i). Full Name	Sharon Brovelli
8(a)(ii). Relationship Start Date	02/01/2010
8(a)(iii). Title or Status	Executive Operating Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	07/26/2010

8(a)(i). Full Name	Robert Biemer
8(a)(ii). Relationship Start Date	02/11/2010
8(a)(iii). Title or Status	Chief Legal Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	10/30/2017

8(a)(i). Full Name	Gerard McGraw
8(a)(ii). Relationship Start Date	07/26/2010
8(a)(iii). Title or Status	Director
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	10/27/2014

8(a)(i). Full Name	James Michael MacDonald
8(a)(ii). Relationship Start Date	07/26/2010
8(a)(iii). Title or Status	Director
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	10/27/2014

8(a)(i). Full Name	Michael Engber Wilens
8(a)(ii). Relationship Start Date	07/26/2010
8(a)(iii). Title or Status	Director
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	02/15/2011

8(a)(i). Full Name	Scott Morgan Gygi
8(a)(ii). Relationship Start Date	07/26/2010
8(a)(iii). Title or Status	Executive Operating Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	09/27/2013

8(a)(i). Full Name	Christopher A. Hock
8(a)(ii). Relationship Start Date	07/26/2010
8(a)(iii). Title or Status	President - Retirement Division
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	07/18/2018

8(a)(i). Full Name	Harris Gregg Komishane
8(a)(ii). Relationship Start Date	07/26/2010
8(a)(iii). Title or Status	Treasurer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	10/27/2014

8(a)(i). Full Name	Susan Sturdy
8(a)(ii). Relationship Start Date	07/26/2010
8(a)(iii). Title or Status	Secretary
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	06/18/2013

8(a)(i). Full Name	Fidelity Workplace Services LLC
8(a)(ii). Relationship Start Date	09/30/2010
8(a)(iii). Title or Status	Shareholder
8(a)(iv). Ownership Code	E
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Charles M. Morgan
8(a)(ii). Relationship Start Date	08/01/2011
8(a)(iii). Title or Status	Assistant Treasurer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	01/31/2014

8(a)(i). Full Name	Michael Bull
8(a)(ii). Relationship Start Date	09/27/2013
8(a)(iii). Title or Status	Executive Operating Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	10/27/2014

8(a)(i). Full Name	Michael J. Kearney
8(a)(ii). Relationship Start Date	09/27/2013
8(a)(iii). Title or Status	Assistant Treasurer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Thomas Restivo
8(a)(ii). Relationship Start Date	09/27/2013
8(a)(iii). Title or Status	Sr. Vice President Shareholder Division
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	12/31/2017

8(a)(i). Full Name	Brian C. McLain
8(a)(ii). Relationship Start Date	09/27/2013
8(a)(iii). Title or Status	Assistant Secretary
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Howard J. Galligan III
8(a)(ii). Relationship Start Date	07/31/2014
8(a)(iii). Title or Status	Exec Vice President Shareholder Division
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	07/31/2018

8(a)(i). Full Name	Mark Katzelnick
8(a)(ii). Relationship Start Date	10/27/2014
8(a)(iii). Title or Status	Director
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	01/01/2020

8(a)(i). Full Name	G. Michael Slovak
8(a)(ii). Relationship Start Date	10/27/2014
8(a)(iii). Title or Status	Director
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	07/01/2017

8(a)(i). Full Name	Allyn Jones
8(a)(ii). Relationship Start Date	10/27/2014
8(a)(iii). Title or Status	Sr. Vice President Shareholder Division
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Carlos PiSierra
8(a)(ii). Relationship Start Date	10/27/2014
8(a)(iii). Title or Status	Treasurer Shareholder Division
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	01/29/2018

8(a)(i). Full Name	David Morse
8(a)(ii). Relationship Start Date	10/27/2014
8(a)(iii). Title or Status	Chief Risk Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	10/30/2017

8(a)(i). Full Name	Glenn Brack
8(a)(ii). Relationship Start Date	10/27/2014
8(a)(iii). Title or Status	Treasurer Retirement Division
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	07/18/2018

8(a)(i). Full Name	Steven F. Schiffman
8(a)(ii). Relationship Start Date	10/27/2014
8(a)(iii). Title or Status	Assistant Treasurer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	07/01/2017

8(a)(i). Full Name	Kevin M. Barry
8(a)(ii). Relationship Start Date	07/01/2017
8(a)(iii). Title or Status	Director
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Ronald DePoalo
8(a)(ii). Relationship Start Date	07/01/2017
8(a)(iii). Title or Status	Director
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Eric C. Green
8(a)(ii). Relationship Start Date	07/01/2017
8(a)(iii). Title or Status	Assistant Treasurer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Robert J. Biemer, Jr
8(a)(ii). Relationship Start Date	10/30/2017
8(a)(iii). Title or Status	Chief Compliance Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	06/30/2021

8(a)(i). Full Name	David Carter
8(a)(ii). Relationship Start Date	10/30/2017
8(a)(iii). Title or Status	Chief Legal Officer Shareholder Division
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Michael O'Reilly
8(a)(ii). Relationship Start Date	10/30/2017
8(a)(iii). Title or Status	Chief Risk Officer Shareholder Division
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	07/31/2018

8(a)(i). Full Name	Cliff Poirier
8(a)(ii). Relationship Start Date	02/01/2018
8(a)(iii). Title or Status	Sr. Vice President Shareholder Division
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	06/30/2021

8(a)(i). Full Name	Sharon Brovelli
8(a)(ii). Relationship Start Date	07/18/2018
8(a)(iii). Title or Status	President - Retirement Division
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Michael Bull
8(a)(ii). Relationship Start Date	07/18/2018
8(a)(iii). Title or Status	Senior Vice President - Shareholder Divi
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Christine Selmi
8(a)(ii). Relationship Start Date	07/18/2018
8(a)(iii). Title or Status	Senior Vice President - Shareholder Divi
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Matthew DePiero
8(a)(ii). Relationship Start Date	07/18/2018
8(a)(iii). Title or Status	Treasurer - Shareholder Division
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Michael Doherty
8(a)(ii). Relationship Start Date	07/18/2018
8(a)(iii). Title or Status	Treasurer - Retirement Division
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	04/03/2020

8(a)(i). Full Name	John J. Burke
8(a)(ii). Relationship Start Date	02/25/2019
8(a)(iii). Title or Status	Executive Vice President - Shareholder D
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Steven D'Agati
8(a)(ii). Relationship Start Date	02/25/2019
8(a)(iii). Title or Status	Senior Vice President - Shareholder Divi
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	04/30/2020

8(a)(i). Full Name	Eric Bocan
8(a)(ii). Relationship Start Date	02/25/2019
8(a)(iii). Title or Status	Chief Risk Officer - Shareholder Divisio
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	John J. Burke
8(a)(ii). Relationship Start Date	01/01/2020
8(a)(iii). Title or Status	Director
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Lisa D. Krieser
8(a)(ii). Relationship Start Date	01/01/2020
8(a)(iii). Title or Status	Secretary
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Kevin M. McLaughlin
8(a)(ii). Relationship Start Date	04/03/2020
8(a)(iii). Title or Status	Treasurer - Retirement Division
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

8(a)(i). Full Name	Lisa Goulemas
8(a)(ii). Relationship Start Date	05/20/2021
8(a)(iii). Title or Status	Sr Vice President - Shareholder Division
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	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;….

Yes   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?…..

Yes   No

TA-1/A : 10. Applicant and Control Affiliate Disciplinary History

The following definitions apply for purposes of answering this Question 10

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?

Yes   No

10(a)(2). any other felony?

Yes   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?	Yes   No

10(b)(2). found that the applicant or control affiliate was involved in a violation of investment-related statutes or regulations?

Yes   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?	Yes   No

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

10(c)(2). found the applicant or control affiliate to have been involved in a violation of its regulation or statutes?

Yes   No

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

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

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

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

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?

Yes   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?

Yes   No

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?	Yes   No

10(d)(2). ever found the applicant or control affiliate to have been involved in a violation of investment-related regulations or statutes?

Yes   No

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

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

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

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

Entity information Related to item 10(d)(2) Record: 5

Entity information Related to item 10(d)(2) Record: 6

Entity information Related to item 10(d)(2) Record: 7

Entity information Related to item 10(d)(2) Record: 8

Entity information Related to item 10(d)(2) Record: 9

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?

Yes   No

10(d)(4). in the past ten years entered an order against the applicant or control affiliate in connection with investment-related activity?

Yes   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?

Yes   No

10(d)(6). ever revoked or suspended the applicant’s or a control affiliate’s license as an attorney or accountant?

Yes   No

10(e)(1). found the applicant or a control affiliate to have made a false statement or omission?

Yes   No

10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules?

Yes   No

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

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

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

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

Entity information Related to item 10(e)(2) Record: 5

Entity information Related to item 10(e)(2) Record: 6

Entity information Related to item 10(e)(2) Record: 7

Entity information Related to item 10(e)(2) Record: 8

Entity information Related to item 10(e)(2) Record: 9

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

Entity information Related to item 10(e)(2) Record: 11

Entity information Related to item 10(e)(2) Record: 12

Entity information Related to item 10(e)(2) Record: 13

Entity information Related to item 10(e)(2) Record: 14

Entity information Related to item 10(e)(2) Record: 15

Entity information Related to item 10(e)(2) Record: 16

Entity information Related to item 10(e)(2) Record: 17

Entity information Related to item 10(e)(2) Record: 18

Entity information Related to item 10(e)(2) Record: 19

Entity information Related to item 10(e)(2) Record: 20

Entity information Related to item 10(e)(2) Record: 21

Entity information Related to item 10(e)(2) Record: 22

Entity information Related to item 10(e)(2) Record: 23

Entity information Related to item 10(e)(2) Record: 24

Entity information Related to item 10(e)(2) Record: 25

Entity information Related to item 10(e)(2) Record: 26

Entity information Related to item 10(e)(2) Record: 27

Entity information Related to item 10(e)(2) Record: 28

Entity information Related to item 10(e)(2) Record: 29

Entity information Related to item 10(e)(2) Record: 30

Entity information Related to item 10(e)(2) Record: 31

Entity information Related to item 10(e)(2) Record: 32

Entity information Related to item 10(e)(2) Record: 33

Entity information Related to item 10(e)(2) Record: 34

Entity information Related to item 10(e)(2) Record: 35

Entity information Related to item 10(e)(2) Record: 36

Entity information Related to item 10(e)(2) Record: 37

Entity information Related to item 10(e)(2) Record: 38

Entity information Related to item 10(e)(2) Record: 39

Entity information Related to item 10(e)(2) Record: 40

Entity information Related to item 10(e)(2) Record: 41

Entity information Related to item 10(e)(2) Record: 42

Entity information Related to item 10(e)(2) Record: 43

Entity information Related to item 10(e)(2) Record: 44

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

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

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

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

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

Entity information Related to item 10(f) Record: 3

Entity information Related to item 10(f) Record: 4

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) ?

Yes   No

10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate?

Yes   No

10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it?

Yes   No

TA-1/A : Signature