TA-1/A
: Filer Information
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:
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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:
| PUBLIX SUPER MARKETS INC /TA |
3(a)(i).
Previous name, if being amended:
| PUBLIX SUPER MARKETS INC /TA |
3(b).
Financial Industry Number (FINS) number:
| 446328 |
3(c).
Address of principal office where transfer agent activities are, or
will be, performed:
3(c)(i).
Address 1
| 3300 Publix Corporate Parkway |
3(c)(ii).
Address 2
| |
3(c)(iii).
City
| Lakeland |
3(c)(iv).
State or Country
|
FLORIDA
|
3(c)(v).
Postal Code
| 33811-3311 |
3(d).
Is Mailing address different from response to Question 3c?
If "yes" provide address(es):
|
Yes
No
|
3(d)(i).
Address 1
| P.O. Box 32040 |
3(d)(ii).
Address 2
| |
3(d)(iii).
City
| Lakeland |
3(d)(iv).
State or Country
|
FLORIDA
|
3(d)(v).
Postal Code
| 33802-2040 |
3(e).
Telephone Number (Include Area Code)
| (863) 688-1188 |
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
|
Other Business Location Record:
1 | |
4(a)(i).
Address 1
| 3045 New Tampa Highway |
4(a)(ii).
Address 2
| Bldg. 17 |
4(a)(iii).
City
| Lakeland |
4(a)(iv).
State or Country
|
FLORIDA
|
4(a)(v).
Postal Code
| 33802-2040 |
Other Business Location Record:
2 | |
4(a)(i).
Address 1
| 1936 George Jenkins Blvd. |
4(a)(ii).
Address 2
| |
4(a)(iii).
City
| Lakeland |
4(a)(iv).
State or Country
|
FLORIDA
|
4(a)(v).
Postal Code
| 33815-3760 |
Other Business Location Record:
3 | |
4(a)(i).
Address 1
| 331 S. Florida Ave. |
4(a)(ii).
Address 2
| |
4(a)(iii).
City
| Lakeland |
4(a)(iv).
State or Country
|
FLORIDA
|
4(a)(v).
Postal Code
| 33801 |
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:
| Not Applicable |
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:
| /s/ Monica Allman |
11(b).
Telephone Number:
| (863) 688-1188x52168 |
11(c).
Title of Signing Officer:
| Vice President of Benefits Administration |
11(d).
Date Signed (Month/Day/Year):
| 06/17/2024 |