Form TA-1 Filer Information | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM TA-1/A | OMB APPROVAL |
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TA-1/A : Filer Information
Form Version X0405 |
1(a). Filer CIK: | 0001295361 |
1(b). Filer CCC: | ******** |
1(c). Is this a LIVE or TEST submission? | ![]() ![]() |
1(d). Would you like a Return Copy? | ![]() |
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): | ![]() ![]() ![]() |
3(a). Full Name of Registrant: | Capital Transfer Agency, Inc. |
3(a)(i). Previous name, if being amended: | capital transfer agency inc |
3(b). Financial Industry Number (FINS) number: | 292110 |
3(c). Address of principal office where transfer agent activities are, or will be, performed:
3(c)(i). Address 1 | 121 RICHMOND STREET W |
3(c)(ii). Address 2 | SUITE 401 |
3(c)(iii). City | TORONTO |
3(c)(iv). State or Country | ONTARIO, CANADA |
3(c)(v). Postal Code | M5H 2K1 |
3(d). Is Mailing address different from response to Question 3c? If "yes" provide address(es): | ![]() ![]() |
3(e). Telephone Number (Include Area Code) | 416-350-5007 |
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): | ![]() ![]() |
5. Does registrant act, or will it act, as a transfer agent solely for its own securities, and/or securities of an affiliate(s)? | ![]() ![]() |
6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions? | ![]() ![]() |
6(a). Name | PACIFIC STOCK TRANSFER COMPANY |
6(b). File Number | |
6(c)(i). Address 1 | 6725 VIA AUSTI PARKWAY |
6(c)(ii). Address 2 | SUITE 300 |
6(c)(iii). City | LAS VEGAS |
6(c)(iv). State or Country | NEVADA |
6(c)(v). Postal Code | 89118 |
7. Has registrant been engaged, or will it be engaged as a service company by a named transfer agent to perform transfer agent functions? | ![]() ![]() |
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 | Kevin J. Kopaunik |
8(a)(ii). Relationship Start Date | 06/02/2017 |
8(a)(iii). Title or Status | CEO, Pacific Services Group, Ltd. |
8(a)(iv). Ownership Code | NA |
8(a)(v). Control Person | ![]() |
8(a)(vi). Relationship End Date |
8(a)(i). Full Name | Jacqueline Anne Bogle Meuse |
8(a)(ii). Relationship Start Date | 11/09/2011 |
8(a)(iii). Title or Status | Director, PSG,Ltd. TTEE, PSG Voting TRU |
8(a)(iv). Ownership Code | NA |
8(a)(v). Control Person | ![]() |
8(a)(vi). Relationship End Date |
8(a)(i). Full Name | Pacific Services Group, Ltd. |
8(a)(ii). Relationship Start Date | 01/28/2014 |
8(a)(iii). Title or Status | Owner Parent |
8(a)(iv). Ownership Code | E |
8(a)(v). Control Person | ![]() |
8(a)(vi). Relationship End Date |
8(a)(i). Full Name | Jessica K. Burleson |
8(a)(ii). Relationship Start Date | 06/01/2016 |
8(a)(iii). Title or Status | Director PSG, Ltd. |
8(a)(iv). Ownership Code | NA |
8(a)(v). Control Person | ![]() |
8(a)(vi). Relationship End Date |
8(a)(i). Full Name | William D. Miller |
8(a)(ii). Relationship Start Date | 01/14/2016 |
8(a)(iii). Title or Status | PSG Corporate Secretary, Director of Bus |
8(a)(iv). Ownership Code | NA |
8(a)(v). Control Person | ![]() |
8(a)(vi). Relationship End Date |
8(a)(i). Full Name | Sarah Morrison |
8(a)(ii). Relationship Start Date | 08/14/2017 |
8(a)(iii). Title or Status | Managing Director |
8(a)(iv). Ownership Code | NA |
8(a)(v). Control Person | ![]() |
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;…. | ![]() ![]() |
9(a)(i). Exact name of each person or entity: | Pacific Services Group Voting Trust |
9(a)(ii). Description of the Agreement or other basis: | The PSG Voting Trust owns a controlling interest in the equity of Pacific Services Group, Ltd. Its Trustee, Jacqueline Ann Bogle Meuse serves as a member of the Board of Managers of Pacific Services Group, Ltd. Pacific Services Group, Ltd owns 100% of the equity of Capital Transfer Agency. |
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?….. | ![]() ![]() |
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? | ![]() ![]() |
10(a)(2). any other felony? | ![]() ![]() |
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? | ![]() ![]() |
10(b)(2). found that the applicant or control affiliate was involved in a violation of investment-related statutes or regulations? | ![]() ![]() |
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? | ![]() ![]() |
10(c)(2). found the applicant or control affiliate to have been involved in a violation of its regulation or statutes? | ![]() ![]() |
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? | ![]() ![]() |
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? | ![]() ![]() |
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? | ![]() ![]() |
10(d)(2). ever found the applicant or control affiliate to have been involved in a violation of investment-related regulations or statutes? | ![]() ![]() |
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? | ![]() ![]() |
10(d)(4). in the past ten years entered an order against the applicant or control affiliate in connection with investment-related activity? | ![]() ![]() |
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? | ![]() ![]() |
10(d)(6). ever revoked or suspended the applicant’s or a control affiliate’s license as an attorney or accountant? | ![]() ![]() |
10(e)(1). found the applicant or a control affiliate to have made a false statement or omission? | ![]() ![]() |
10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules? | ![]() ![]() |
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? | ![]() ![]() |
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? | ![]() ![]() |
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? | ![]() ![]() |
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) ? | ![]() ![]() |
10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate? | ![]() ![]() |
10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it? | ![]() ![]() |
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.11(a). Signature of Official responsible for Form: | KEVIN KOPAUNIK |
11(b). Telephone Number: | 702-361-3033 |
11(c). Title of Signing Officer: | C.E.O. |
11(d). Date Signed (Month/Day/Year): | 09/19/2017 |