X0405 TA-1/A 0001073944 XXXXXXXX 084-05792 true LIVE SEC UMB FUND SERVICES INC 852947 235 W. Galena Street Milwaukee WI 53212 N 414-299-2000 Y 223 Wilmington West Chester Pike Suite 303 Chadds Ford PA 19317 2225 Washington Blvd. Suite 300 Ogden UT 84401 N N Y Hartford Administrative Services Company 084-00353 690 Lee Road Wayne PA 19087 Corporation UMB Financial Corporation 04/17/2011 Shareholder E true Maureen A. Quill 03/11/1996 EVP and Exec Director Registered Funds NA Jason D. Bartel 03/10/2023 Senior Vice President and Secretary NA false Terrance P. Gallagher 03/12/2007 EVP NA false 06/30/2026 Carla J. Green 01/25/2019 Treasurer NA false Jill S. Calton 01/23/2019 EVP, Dir of Alternative Investments NA Phillip J. Mason 05/04/2023 Director NA Timothy Bonin 01/30/2024 SVP NA Brittany Haiser 04/01/2025 SVP NA Scott Schulenburg 04/01/2025 SVP NA James Rine 07/28/2026 Director NA N N N N N N N Y UMB Bank, N.A. Investment Banking Division Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Se 09/30/2015 U. S. Securities and Exchange Commission This matter involves violations of an antifraud provision of the Federal Securities Laws in connection with UMB Bank, N.A. Investment Banking Division's ("Respondent") underwriting of certain municipal securities offerings. The Respondent is a Control Affiliate of the Registrant and Registrant was not a party to this action. Respondent conducted inadequate due diligence in certain offerings and as a result, failed to form a reasonable basis for believing the truthfulness of certain material representations in official statements issued in connection with those offerings. This resulted in respondent offering and selling municipal securities on the basis of materially misleading disclosure documents. Respondent self-reported these violations to the U. S. Securities and Exchange Commission ("SEC") pursuant to the municipalities continuing disclosure cooperation ("MCDC") initiative. Respondent voluntarily participated in the MCDC initiative and is one of at least 58 firms that entered into a settlement with the SEC regarding these issues. Respondent submitted an offer of settlement to the SEC, which the SEC determined to accept. Solely for the purpose of these proceedings and any other proceedings brought by or on behalf of the SEC, or to which the SEC is a party, and without admitting or denying the allegations. N N N N N N N N N N N N N N N N Jason Bartel 414-299-2200 Senior Vice President/Senior Counsel 08/20/2026