Transfer Agent Reporting Activities (ta-2)
February 25 2020 - 5:22PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM TA-2
OMB APPROVAL |
FORM TA-2
| OMB Number: 3235-0337
Estimated average burden hours per response: 6.0
Estimated average burden hours per intermediate response: 1.50
Estimated average burden hours per minimum response: 0.50 |
TA-2: Filer Information
| 1(a). Filer CIK: | 0001727770 |
| 1(b). Filer CCC: |
**********
|
| File Number: | 085-05569 |
| For the reporting period ending December 31, | 2019-12-31 |
| 1(c). Is this a LIVE or TEST Filing? | X
LIVE
TEST
|
| 1(d). Would you like a Return Copy? | X |
| 1(e). Is this filing an amendment to a previous filing? | |
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
|
Notification will automatically be sent to the Login CIK, Submission Contact and Primary Registrants.
|
|
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:
| |
| 1(h). Full Name of Registrant as stated in Question 3 of
Form TA-1:
| Merchants Financial Group, Inc. |
TA-2: Service Company Information
| 2(a). During the reporting period, has a Registrant engaged a service company to perform any of its transfer agent functions:
| All
Some
X None
|
| 2(b). If the answer to subsection (a) is all or some, provide the name(s)
and transfer agent file number(s) of all service company(ies)
engaged:
|
| 2(c). During the reporting period, has the Registrant been engaged as a service company by a named transfer agent to perform transfer agent functions? |
Yes
X
No
|
| 2(d). If the answer to subsection (c) is yes, provide the name(s) and file number(s)
of the named transfer agent(s) for which the Registrant has been engaged
as a service company to perform transfer agent functions:
|
TA-2: Registration Information
| 3(a). Registrant's appropriate regulatory agency (ARA):
| Board of Governors of the Federal Reserve System |
| 3(b). During the reporting period, has the Registrant
amended for TA-1 within 60 calendar days following the date on
which information reported therein became inaccurate, incomplete
or
misleading?
| Yes, filed amendment(s)
No, failed to file amendment(s)
X Not applicable
|
| 3(c). If the answer to subsection (b) is no, provide an explanation:
| |
TA-2: Annual Report Information
If the response to any of questions 4-11 below is none or zero, enter "0."
| 4(a). Number of items received for transfer during the reporting period:
| 71 |
| 4(b). Number of individual securityholder accounts for which the TA maintained master securityholder files:
| 306 |
| 5(a). Total number of individual securityholder accounts, including
accounts in the Direct Registration System (DRS), dividend reinvestment
plans and/or direct purchase plans as of December 31:
| 307 |
| 5(b). Number of individual securityholder dividend reinvestment plan
and/or direct purchase plan accounts as of December 31:
| 0 |
| 5(c). Number of individual securityholder DRS accounts as of December 31:
| 307 |
5(d). Approximate percentage of individual securityholder accounts from
subsection (a) in the following categories as of December 31:
| 5(d)(i). Corporate Equity Securities
| 100.00 | 5(d)(ii). Corporate Debt Securities
| 0.00 |
| 5(d)(iii). Open-End Investment Company Securities
| 0.00 | 5(d)(iv). Limited Partnership Securities
| 0.00 |
| 5(d)(v). Municipal Debt Securities
| 0.00 | 5(d)(vi). Other Securities
| 0.00 |
6. Number of securities issues for which Registrant acted in the following capacities, as of December 31:
6(a). Receives items for transfer and maintains the master securityholder files:
| 6(a)(i). Corporate Equity Securities
| 1 | 6(a)(ii). Corporate Debt Securities
| |
| 6(a)(iii). Open-End Investment Company Securities
| | 6(a)(iv). Limited Partnership Securities
| |
| 6(a)(v). Municipal Debt Securities
| | 6(a)(vi). Other Securities
| |
6(b). Receives items for transfer but does not maintain the master securityholder files:
| 6(b)(i). Corporate Equity Securities
| | 6(b)(ii). Corporate Debt Securities
| |
| 6(b)(iii). Open-End Investment Company Securities
| | 6(b)(iv). Limited Partnership Securities
| |
| 6(b)(v). Municipal Debt Securities
| | 6(b)(vi). Other Securities
| |
6(c). Does not receive items for transfer but does maintain the master securityholder files:
| 6(c)(i). Corporate Equity Securities
| | 6(c)(ii). Corporate Debt Securities
| |
| 6(c)(iii). Open-End Investment Company Securities
| | 6(c)(iv). Limited Partnership Securities
| |
| 6(c)(v). Municipal Debt Securities
| | 6(c)(vi). Other Securities
| |
7. Scope of certain additional types of activities performed:
| 7(a). Number of issues for which dividend reinvestment plan and/or direct
purchase plan services were provided, as of December 31:
| 0 |
| 7(b). Number of issues for which DRS services were provided, as of December 31:
| 1 |
7(c). Dividend disbursement and interest paying agent activities conducted during the reporting period:
| 7(c)(i). number of issues
| 1 | 7(c)(ii). amount (in dollars)
| 3953058.15 |
8(a)
.Number and aggregate market value of securities aged record
differences, existing for more than 30 days, as of December 31:
| 8(a)(i). Number of Issues Prior Transfer Agent(s) (If applicable)
| | 8(a)(ii). Market value (in dollars) Prior Transfer Agent(s) (If applicable)
| |
| 8(a)(i). Number of Issues Current Transfer Agent
| | 8(a)(ii). Market value (in dollars) Current Transfer Agent
| |
| 8(b). Number of quarterly reports regarding buy-ins filed by the registrant
with its ARA (including the SEC) during the reporting period pursuant
to Rule 17Ad-11(c)(2):
| 0 |
| 8(c). During the reporting period, did the Registrant file all quarterly
reports regarding buy-ins with its ARA (including the SEC) required by
Rule 17Ad-11(c)(2)?
|
Yes
No
Not Applicable
|
| 9(a). During the reporting period has the Registrant always been in
compliance with the turnaround time for routine items as set forth in
Rule 17Ad-2?
| X
Yes
No
Not Applicable
|
If the answer to subsection (a) is no, complete subsections (i) through (ii)
10. Number of open-end investment company securities purchases and
redemptions (transactions) excluding dividend, interest and
distribution postings, and address changes processed during the
reporting period:
| 10(a). Total number of transactions processed:
| 0 |
| 10(b). Number of transactions processed on a date other than date of receipt of order (as ofs):
| 0 |
11(a).
During the reporting period, provide the date of all database searches
conducted for lost securityholder accounts listed on the transfer
agent's master securityholder files, the number of lost securityholder
accounts for which a database search has been conducted, and the
number of lost securityholder accounts for which a different address
has been obtained as a result of a database search:
Database Search Record:
1
| 11(a)(i). Date of Database Search
| 12/30/2019 |
| 11(a)(ii). Number of Lost Securityholder Accounts Submitted for Database Search
| 4 |
| 11(a)(iii). Addressed Obtained from Database Search
| 4 |
| 11(b). Number of lost securityholder accounts that have been remitted to the states during the reporting period:
| 0 |
TA-2: Signature
SIGNATURE: The Registrant submitting this Form, and the person signing the Form, hereby represent that all the information contained in the
Form is true, correct, and complete.
| 12(a). Signature of Official responsible for Form:
| SUSAN M SAVAT |
| 12(b). Telephone Number:
| 507-457-1135 |
| 12(c). Title of Signing Officer:
| CFO |
12(d). Date Signed (Month/Day/Year):
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