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: 1(b). Filer CCC: 1(c). Is this a LIVE or TEST submission? Live Test 1(d). Would you like a Return Copy? Yes 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(a). Full Name of Registrant: ALPS FUND SERVICES, INC. 3(a)(i). Previous name, if being amended: ALPS FUNDS SERVICES INC /CO/ /TA 3(b). Financial Industry Number (FINS) number: 3(c). Address of principal office where transfer agent activities are, or will be, performed: 3(c)(i). Address 1 1290 Broadway, Suite 1000 3(c)(ii). Address 2 3(c)(iii). City Denver 3(c)(iv). State or Country COLORADO 3(c)(v). Postal Code 3(d). Is Mailing address different from response to Question 3c? If "yes" provide address(es): Yes No 3(e). Telephone Number (Include Area Code) 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 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". 8. Is registrant a: Corporation Section for Initial Registration and for Amendments Reporting Additional Persons. corporation or partner information Related to item 8 Record: 18(a)(i). Full Name Sean R. McLean 8(a)(ii). Relationship Start Date 8(a)(iii). Title or Status SVP, Director of Fund Accounting 8(a)(iv). Ownership Code NA 8(a)(v). Control Person Yes 8(a)(vi). Relationship End Date corporation or partner information Related to item 8 Record: 28(a)(i). Full Name Patricia P. Lobato 8(a)(ii). Relationship Start Date 8(a)(iii). Title or Status SVP, Director of Creative Services 8(a)(iv). Ownership Code NA 8(a)(v). Control Person Yes 8(a)(vi). Relationship End Date corporation or partner information Related to item 8 Record: 38(a)(i). Full Name Richard Noyes 8(a)(ii). Relationship Start Date 8(a)(iii). Title or Status SVP, General Counsel 8(a)(iv). Ownership Code NA 8(a)(v). Control Person Yes 8(a)(vi). Relationship End Date corporation or partner information Related to item 8 Record: 48(a)(i). Full Name Patrick J. Pedonti 8(a)(ii). Relationship Start Date 8(a)(iii). Title or Status VP, Treasurer and Asst. Secretary 8(a)(iv). Ownership Code NA 8(a)(v). Control Person Yes 8(a)(vi). Relationship End Date corporation or partner information Related to item 8 Record: 58(a)(i). Full Name Eric T. Parsons 8(a)(ii). Relationship Start Date 8(a)(iii). Title or Status VP, Controller and Asst. Treasurer 8(a)(iv). Ownership Code NA 8(a)(v). Control Person Yes 8(a)(vi).