American Stock Transfer & Trust TA-1/A Registration as a transfer agent (amended)

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:	0000005876
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:	AMERICAN STOCK TRANSFER & TRUST CO, LLC /TA
3(a)(i). Previous name, if being amended:
3(b). Financial Industry Number (FINS) number:	404194

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

3(c)(i). Address 1	Operations Center
3(c)(ii). Address 2	6201 15th Avenue
3(c)(iii). City	Brooklyn
3(c)(iv). State or Country	NEW YORK
3(c)(v). Postal Code	11219
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)	718-921-8200
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

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	Ulitmus Fund Solutions LLC/TA
6(b). File Number	084-05829
6(c)(i). Address 1	225 PICTORIA DR, STE 450
6(c)(ii). Address 2	Suite 450
6(c)(iii). City	CINCINNATI
6(c)(iv). State or Country	OHIO
6(c)(v). Postal Code	45246

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

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	Deutsche Bank Trust Co Americas/TA
7(b). File Number	085-05212
7(c)(i). Address 1	60 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	10005

Engaged transfer agent company information Related to item 7 Record: 2

7(a). Name	TSX Trust Company (Canada)
7(b). File Number	084-06506
7(c)(i). Address 1	100 Adelaide Street West
7(c)(ii). Address 2	Suite 300
7(c)(iii). City	Toronto
7(c)(iv). State or Country	ONTARIO, CANADA
7(c)(v). Postal Code	M5H1S3

Engaged transfer agent company information Related to item 7 Record: 3

7(a). Name	Ulitmus Fund Solutions LLC/TA
7(b). File Number	084-05829
7(c)(i). Address 1	225 PICTORIA DR, STE 450
7(c)(ii). Address 2	Suite 450
7(c)(iii). City	CINCINNATI
7(c)(iv). State or Country	OHIO
7(c)(v). Postal Code	45246

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: Other Limited Liability Trust Co.

Section for Initial Registration and for Amendments Reporting Additional Persons.

Proprietor or other entity information Related to item 8 Record: 1

8(a)(i). Full Name	Armor Holdings II LLC
8(a)(ii). Relationship Start Date	05/23/2008
8(a)(iii). Title or Status	Shareholder
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 2

8(a)(i). Full Name	Armor Intermediate Company, LLC
8(a)(ii). Relationship Start Date	06/22/2020
8(a)(iii). Title or Status	Shareholder
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 3

8(a)(i). Full Name	Robert M. Carney, Sr.
8(a)(ii). Relationship Start Date	02/27/2012
8(a)(iii). Title or Status	President, Issuer & Investor Services
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 4

8(a)(i). Full Name	Sarah Kavanagh
8(a)(ii). Relationship Start Date	11/18/2011
8(a)(iii). Title or Status	Director
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 5

8(a)(i). Full Name	Steven Fradkin
8(a)(ii). Relationship Start Date	04/30/2014
8(a)(iii). Title or Status	Director
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 6

8(a)(i). Full Name	Armando Falcon
8(a)(ii). Relationship Start Date	04/23/2014
8(a)(iii). Title or Status	Director
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 7

8(a)(i). Full Name	Simon Pillar
8(a)(ii). Relationship Start Date	01/28/2015
8(a)(iii). Title or Status	Director
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date	12/13/2021

Proprietor or other entity information Related to item 8 Record: 8

8(a)(i). Full Name	Jacob Haines
8(a)(ii). Relationship Start Date	03/24/2010
8(a)(iii). Title or Status	Director
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date	12/13/2021

Proprietor or other entity information Related to item 8 Record: 9

8(a)(i). Full Name	Martin Flanigan
8(a)(ii). Relationship Start Date	09/05/2012
8(a)(iii). Title or Status	Chief Financial Officer and Director
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date	01/02/2019

Proprietor or other entity information Related to item 8 Record: 10

8(a)(i). Full Name	Thomas Cortese
8(a)(ii). Relationship Start Date	10/19/2015
8(a)(iii). Title or Status	Chief Compliance Officer
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 11

8(a)(i). Full Name	Asher Richelli
8(a)(ii). Relationship Start Date	12/18/2014
8(a)(iii). Title or Status	General Counsel
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date	03/10/2023

Proprietor or other entity information Related to item 8 Record: 12

8(a)(i). Full Name	David Chitty
8(a)(ii). Relationship Start Date	06/12/2017
8(a)(iii). Title or Status	EVP Compliance, Risk & Corp. Security
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 13

8(a)(i). Full Name	Martin Flanigan
8(a)(ii). Relationship Start Date	05/22/2018
8(a)(iii). Title or Status	President, CEO & Director
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 14

8(a)(i). Full Name	Brett Weinblatt
8(a)(ii). Relationship Start Date	01/02/2019
8(a)(iii). Title or Status	Chief Financial Officer & Director
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 15

8(a)(i). Full Name	Jeffrey Fitts
8(a)(ii). Relationship Start Date	09/04/2020
8(a)(iii). Title or Status	Director
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date	12/13/2021

Proprietor or other entity information Related to item 8 Record: 16

8(a)(i). Full Name	Mark Rubenstein
8(a)(ii). Relationship Start Date	09/04/2020
8(a)(iii). Title or Status	Director
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date	08/16/2021

Proprietor or other entity information Related to item 8 Record: 17

8(a)(i). Full Name	Rohan Wolfer
8(a)(ii). Relationship Start Date	09/17/2019
8(a)(iii). Title or Status	Director
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date	12/13/2021

Proprietor or other entity information Related to item 8 Record: 18

8(a)(i). Full Name	Praneet Kandula
8(a)(ii). Relationship Start Date	08/16/2021
8(a)(iii). Title or Status	Director
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date	12/13/2021

Proprietor or other entity information Related to item 8 Record: 19

8(a)(i). Full Name	Paul Lynam
8(a)(ii). Relationship Start Date	12/13/2021
8(a)(iii). Title or Status	Director
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 20

8(a)(i). Full Name	Andrew Peeler
8(a)(ii). Relationship Start Date	12/13/2021
8(a)(iii). Title or Status	Director
8(a)(iv). Description of Authority	N/A
8(a)(v). Relationship End Date

Proprietor or other entity information Related to item 8 Record: 21

8(a)(i). Full Name	David L. Becker
8(a)(ii). Relationship Start Date	03/30/2023
8(a)(iii). Title or Status	General Counsel
8(a)(iv). Description of Authority	N/A
8(a)(v). 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

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?  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

10(c)(2). found the applicant or control affiliate to have been involved in a violation of its regulation or statutes?  Yes   No

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

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). 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?  Yes   No

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

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

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

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:	Thomas Cortese
11(b). Telephone Number:	718-921-8295
11(c). Title of Signing Officer:	Chief Compliance Officer
11(d). Date Signed (Month/Day/Year):	04/27/2023