Forms TA-1, TA-2 and TA-W: transfer agents

XML as filed: TA-1_sampleXML_1.xml

<?xml version="1.0" encoding="UTF-8"?>
<edgarSubmission xmlns="http://www.sec.gov/edgar/ta/taonefiler" 
xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:schemaLocation="http://www.sec.gov/edgar/ta/taonefiler eis_TA_1_Filer.xsd">
<!-- DISCLAIMER:  This is a sample XML submission document for demonstration purposes only and should not be copied verbatim as part of a submission. -->  
<!-- Please refer to the EDGAR TA XML Technical Specification and the related EDGAR TA Schemas for complete filer-constructed submission information.-->
<!-- Please be aware that these schema locations are for informational purposes only and should not be considered as required items in the EDGAR TA Schema. -->
<!-- If a reference to a style sheet is included the submission will be suspended by EDGAR.  Please do not include any references to style sheets.-->
  <headerData>
    <submissionType>TA-1</submissionType>
    <filerInfo>
      <filer>
        <filerCredentials>
          <cik>0001314613</cik>
          <ccc>XXXXXXXX</ccc>
        </filerCredentials>
      </filer>
      <flags>
        <returnCopyFlag>true</returnCopyFlag>
      </flags>
      <contact>
        <contactName>SEC Contact Officer</contactName>
        <contactPhoneNumber>3011111234</contactPhoneNumber>
        <contactEmailAddress>[email protected]</contactEmailAddress>
      </contact>
      <notifications>
        <internetNotificationAddress>[email protected]</internetNotificationAddress>
      </notifications>
      <liveTestFlag>LIVE</liveTestFlag>
    </filerInfo>
  </headerData>
  <formData>
    <registrant>
      <regulatoryAgency>SEC</regulatoryAgency>
      <entityName>FUND TRUST CO</entityName>
      <previousEntityName>BIG'S FUND TRUST INC</previousEntityName>
      <finsNumber>123456</finsNumber>
      <principalOfficeAddress>
        <street1>Principal Main Address1 - 111</street1>
        <street2>Princpal Main Address2 - 111</street2>
        <city>ARLINGTON</city>
        <stateOrCountry>VA</stateOrCountry>
        <zipCode>220042</zipCode>
      </principalOfficeAddress>
      <differentMailingAddress>Y</differentMailingAddress>
      <mailingAddress>
        <street1>125</street1>
        <city>ALEXANDRIA</city>
        <stateOrCountry>VA</stateOrCountry>
        <zipCode>220042</zipCode>
      </mailingAddress>
      <telephoneNumber>1234567890</telephoneNumber>
      <conductBusinessInOtherLocations>Y</conductBusinessInOtherLocations>
      <otherBusinessLocation>
        <street1>Other Business Location Address1 - 111-1</street1>
        <street2>Other Business Location Address2 - 111-1</street2>
        <city>Leesburg</city>
        <stateOrCountry>ID</stateOrCountry>
        <zipCode>12345</zipCode>
      </otherBusinessLocation>
      <otherBusinessLocation>
        <street1>Other Business Location Address1 - 111-2</street1>
        <street2>Other Business Location Address2 - 111-2</street2>
        <city>Sanjose</city>
        <stateOrCountry>CA</stateOrCountry>
        <zipCode>33456</zipCode>
      </otherBusinessLocation>
      <selfTransferAgent>N</selfTransferAgent>
      <engagedServiceCompany>Y</engagedServiceCompany>
      <serviceCompany>
        <entityName>Engaged Service Company 111-1</entityName>
        <fileNumber>084-11109</fileNumber>
        <serviceCompanyAddress>
          <street1>Engaged Service Company Address1 - 111-1</street1>
          <street2>Engaged Service Company Address2 - 111-1</street2>
          <city>PHOENIX</city>
          <stateOrCountry>AZ</stateOrCountry>
          <zipCode>45678</zipCode>
        </serviceCompanyAddress>
      </serviceCompany>
      <serviceCompany>
        <entityName>Engaged Service Company 111-2</entityName>
        <fileNumber>085-11102</fileNumber>
        <serviceCompanyAddress>
          <street1>Engaged Service Company Address1 - 111-2</street1>
          <street2>Engaged Service Company Address2 - 111-2</street2>
          <city>Tampa</city>
          <stateOrCountry>FL</stateOrCountry>
          <zipCode>98909</zipCode>
        </serviceCompanyAddress>
      </serviceCompany>
      <engagedAsServiceCompany>Y</engagedAsServiceCompany>
      <asServiceCompany>
        <entityName>Engaged Transfer Agent 111-1</entityName>
        <fileNumber>084-11101</fileNumber>
        <asServiceCompanyAddress>
          <street1>Engaged Transfer Agent Address1 - 111-1</street1>
          <street2>Engaged Transfer Agent Address2 - 111-1</street2>
          <city>Jersey City</city>
          <stateOrCountry>NJ</stateOrCountry>
          <zipCode>34534</zipCode>
        </asServiceCompanyAddress>
      </asServiceCompany>
      <asServiceCompany>
        <entityName>Engaged Transfer Agent 111-2</entityName>
        <fileNumber>085-11102</fileNumber>
        <asServiceCompanyAddress>
          <street1>Engaged Transfer Agent Address1 - 111-2</street1>
          <street2>Engaged Transfer Agent Address2 - 111-2</street2>
          <city>Detroit</city>
          <stateOrCountry>MI</stateOrCountry>
          <zipCode>98234</zipCode>
        </asServiceCompanyAddress>
      </asServiceCompany>
    </registrant>
    <independentRegistrant>
      <registrantType>Sole Proprietorship</registrantType>
      <soleProprietorshipOtherData>
        <entityName>Sole Proprietorship 111-1</entityName>
        <relationshipStartDate>12/12/2016</relationshipStartDate>
        <titleOrStatus>Managing Director 111-1</titleOrStatus>
        <authorityDescription>Executive Operations 111-1</authorityDescription>
      </soleProprietorshipOtherData>
      <soleProprietorshipOtherData>
        <entityName>Sole Proprietorship 111-2</entityName>
        <relationshipStartDate>01/02/2015</relationshipStartDate>
        <titleOrStatus>CTO 111-2</titleOrStatus>
        <authorityDescription>Finance Director 111-2</authorityDescription>
      </soleProprietorshipOtherData>
      <otherControlManagement>
        <otherEntity>Y</otherEntity>
        <otherControlManagementDetails>
          <entityName>Entity Board Member 111-1</entityName>
          <agreementDescription>Entity Board Member has power to exercise control over the management 111-1</agreementDescription>
        </otherControlManagementDetails>
        <otherControlManagementDetails>
          <entityName>Entity Board Member 111-2</entityName>
          <agreementDescription>Entity Board Member has power to exercise control over the management 111-2</agreementDescription>
        </otherControlManagementDetails>
      </otherControlManagement>
      <otherControlFinance>
        <otherEntity>Y</otherEntity>
        <otherControlFinanceDetails>
          <entityName>Supplier Entity 9(b) 111-1</entityName>
          <agreementDescription>Supplier Entity 9(b) has extended credit to the applicant 111-1</agreementDescription>
        </otherControlFinanceDetails>
        <otherControlFinanceDetails>
          <entityName>Supplier Entity 9(b) 111-2</entityName>
          <agreementDescription>Supplier Entity 9(b) has extended credit to the applicant 111-2</agreementDescription>
        </otherControlFinanceDetails>
      </otherControlFinance>
    </independentRegistrant>
    <disciplinaryHistory>
      <felonyOrMisdemeanor>
        <involved>Y</involved>
        <felonyOrMisdemeanorDetails>
          <entityName>Individual Name 10(a)(1) - 111-1</entityName>
          <actionTitle>Bribery 10(a)(1) - 111-1</actionTitle>
          <actionDate>12/01/2016</actionDate>
          <courtOrBodyNameAndLocation>Court 10(a)(1) - 111-1</courtOrBodyNameAndLocation>
          <actionDescription>Bribery charges for 10(a)(1) - 111-1</actionDescription>

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JSON from the API (format=json)

{
  "#order": [
    "headerData",
    "formData"
  ],
  "@xsi:schemaLocation": "http://www.sec.gov/edgar/ta/taonefiler eis_TA_1_Filer.xsd",
  "formData": {
    "#order": [
      "registrant",
      "independentRegistrant",
      "disciplinaryHistory",
      "signature"
    ],
    "disciplinaryHistory": {
      "#order": [
        "felonyOrMisdemeanor",
        "otherFelony",
        "enjoinedInvestmentRelatedActivity",
        "violationOfInvestmentRelatedRegulation",
        "falseStatementOrOmission",
        "violationOfRegulations",
        "authorizationDeniedOrSuspended",
        "registrationDeniedOrSuspended",
        "federalOrStateRegulatoryAgency",
        "selfRegulatoryAgency",
        "foreignAgency",
        "subjectOfProceedings",
        "revokedBond",
        "unsatisfiedJudgementsOrLiens"
      ],
      "authorizationDeniedOrSuspended": {
        "#order": [
          "involved",
          "authorizationDeniedOrSuspendedDetails",
          "authorizationDeniedOrSuspendedDetails"
        ],
        "authorizationDeniedOrSuspendedDetails": [
          {
            "#order": [
              "entityName",
              "actionTitle",
              "actionDate",
              "courtOrBodyNameAndLocation",
              "actionDescription",
              "dispositionOfProceeding"
            ],
            "actionDate": "11/01/2016",
            "actionDescription": "Description of the Action related to the Commodity Futures Trading Authorization of Business Denied 10(c)(2) - 111-1",
            "actionTitle": "Commodity Futures Trading Authorization of Business Denied 10(c)(2) - 111-1",
            "courtOrBodyNameAndLocation": "Court 10(c)(3) - 111-1",
            "dispositionOfProceeding": "Disposition of the proceedings related to the Commodity Futures Trading Authorization of Business Denied 10(c)(2) - 111-1",
            "entityName": "Individual Name 10(c)(3) - 111-1"
          },
          {
            "#order": [
              "entityName",
              "actionTitle",
              "actionDate",
              "courtOrBodyNameAndLocation",
              "actionDescription",
              "dispositionOfProceeding"
            ],
            "actionDate": "11/02/2016",
            "actionDescription": "Description of the Action related to the Commodity Futures Trading Authorization of Business Denied 10(c)(2) - 111-2",
            "actionTitle": "Commodity Futures Trading Authorization of Business Denied 10(c)(2) - 111-2",
            "courtOrBodyNameAndLocation": "Court 10(c)(3) - 111-2",
            "dispositionOfProceeding": "Disposition of the proceedings related to the Commodity Futures Trading Authorization of Business Denied 10(c)(2) - 111-2",
            "entityName": "Individual Name 10(c)(3) - 111-2"
          }
        ],
        "involved": "Y"
      },
      "enjoinedInvestmentRelatedActivity": {
        "#order": [
          "involved",
          "enjoinedInvestmentRelatedActivityDetails",
          "enjoinedInvestmentRelatedActivityDetails"
        ],
        "enjoinedInvestmentRelatedActivityDetails": [
          {
            "#order": [
              "entityName",
              "actionTitle",
              "actionDate",
              "courtOrBodyNameAndLocation",
              "actionDescription",
              "dispositionOfProceeding"
            ],
            "actionDate": "12/06/2016",
            "actionDescription": "Bribery charges for 10(b)(1) - 111-1",
            "actionTitle": "Enjoined 10(b)(1) - 111-1",
            "courtOrBodyNameAndLocation": "Court 10(b)(1) - 111-1",
            "dispositionOfProceeding": "Bribery charges convicted for 10(b)(1) - 111-1",
            "entityName": "Individual Name 10(b)(1) - 111-1"
          },
          {
            "#order": [
              "entityName",
              "actionTitle",
              "actionDate",
              "courtOrBodyNameAndLocation",
              "actionDescription",
              "dispositionOfProceeding"
            ],
            "actionDate": "12/07/2016",
            "actionDescription": "Forgery charges for 10(b)(1) - 111-2",
            "actionTitle": "Enjoined 10(b)(1) - 111-2",
            "courtOrBodyNameAndLocation": "Court 10(b)(1) - 111-2",
            "dispositionOfProceeding": "Forgery charges convicted for 10(b)(1) - 111-2",
            "entityName": "Individual Name 10(b)(1) - 111-2"
          }
        ],
        "involved": "Y"
      },
      "falseStatementOrOmission": {
        "#order": [
          "involved",
          "falseStatementOrOmissionDetails",
          "falseStatementOrOmissionDetails"
        ],
        "falseStatementOrOmissionDetails": [
          {
            "#order": [
              "entityName",
              "actionTitle",
              "actionDate",
              "courtOrBodyNameAndLocation",
              "actionDescription",
              "dispositionOfProceeding"
            ],
            "actionDate": "12/10/2016",
            "actionDescription": "Description of the Action related to the Commodity Futures Trading False Statement 10(c)(1) - 111-1",
            "actionTitle": "Commodity Futures Trading False Statement 10(c)(1) - 111-1",
            "courtOrBodyNameAndLocation": "Court 10(c)(1) - 111-1",
            "dispositionOfProceeding": "Disposition of the proceedings related to the Commodity Futures Trading False Statement 10(c)(1) - 111-1",
            "entityName": "Individual Name 10(c)(1) - 111-1"
          },
          {
            "#order": [
              "entityName",
              "actionTitle",
              "actionDate",
              "courtOrBodyNameAndLocation",
              "actionDescription",
              "dispositionOfProceeding"
            ],
            "actionDate": "12/11/2016",
            "actionDescription": "Description of the Action related to the Commodity Futures Trading False Statement 10(c)(1) - 111-2",
            "actionTitle": "Commodity Futures Trading False Statement 10(c)(1) - 111-2",
            "courtOrBodyNameAndLocation": "Court 10(c)(1) - 111-2",
            "dispositionOfProceeding": "Disposition of the proceedings related to the Commodity Futures Trading False Statement 10(c)(1) - 111-2",
            "entityName": "Individual Name 10(c)(1) - 111-2"
          }
        ],
        "involved": "Y"
      },
      "federalOrStateRegulatoryAgency": {
        "#order": [
          "fsrFalseStatementOrOmission",
          "fsrViolationOfInvestmentRelatedRegulation",

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