I. CONTRIBUTIONS made to issuer officials (listed by state)

Transcription

1 FORM G-37 Name of dealer: Loop Capital Markets, L.L.C. Report Period: Second Quarter of 2014 I. CONTRIBUTIONS made to issuer officials (listed by state) State Complete name, title (including any city/county/state or other political subdivision) of issuer official Contributions by each contributor category (i.e., dealer, dealer controlled PAC, municipal finance professional controlled PAC, municipal finance professionals and non-mfp executive officers). For each contribution, list contribution amount and contributor category (For example, $500 contribution by non-mfp executive officer) If any contribution is the subject of an automatic exemption pursuant to Rule G-37(j), list amount of contribution and date of such automatic exemption. II. PAYMENTS made to political parties of states or political subdivisions (listed by state) State Complete name (including any city/county/state or other political subdivision) of political party Payments by each contributor category (i.e., dealer, dealer controlled PAC, municipal finance professional controlled PAC, municipal finance professionals, and non-mfp executive officers). For each payment, list payment amount and contributor category (For example, $500 payment by non-mfp executive officer)

2 FORM G-37 III. CONTRIBUTIONS made to bond ballot campaigns (listed by state) Contribution State Reimbursement Official name of bond ballot campaign and jurisdiction (including city/county/state or other political subdivision) for which municipal securities would be issued and the name of the entity issuing the municipal securities Contributions, including the specific date the contributions were made, by each contributor category (i.e., dealer, dealer controlled PAC, municipal finance professional controlled PAC, municipal finance professionals and non-mfp executive officers). For each contribution, list contribution amount and contributor category (For example, $500 contribution by non-mfp executive officer) List below any payments or reimbursements, related to any disclosed bond ballot contribution, received by each broker, dealer or municipal securities dealer, municipal finance professional or non-mfp executive officer from any third party, including the amount paid and the name of the third party making such payments or reimbursements.

3 FORM G-37 IV. ISSUERS with which dealer has engaged in municipal securities business (listed by state) A. Municipal Securities Business State See Attachment Complete name of issuer and city/county Type of municipal securities business (negotiated underwriting, agency offering, financial advisor, or remarketing agent) B. Ballot-Approved Offerings Full issuer name and full issue description of any primary offering resulting from the bond ballot campaign to which each contributor category (i.e., dealer, dealer controlled PAC, municipal finance professional controlled PAC, municipal finance professionals and non-mfp executive officers) has made a contribution and the reportable date of selection on which the broker, dealer or municipal securities dealer was selected to engage in such municipal securities business. Full Issuer Name Full Issue Description Reportable Date of Selection

4 FORM G-37 Signature: electronic Date: Jul 23, 2014 Name: STEPHEN BERKELEY Address: 111 WEST JACKSON, CHICAGO, IL Phone: Submit two completed forms quarterly by due date (specified by the MSRB) to: Municipal Securities Rulemaking Board 1900 Duke Street Suite 600 Alexandria, Virginia 22314

5 Loop Capital Markets LLC 111 W. Jackson Boulevard, Suite 1901; Chicago, IL G37 2nd Quarter Deals - April June 2014 Sale Date Amount ($ '000) Issuer State Issue Description Role Louisiana Local Gov Environmental Facs & 02-Apr-14 $209, Comm Desv Auth LA Subordinate Lien Revenue Bonds 2014A 02-Apr-14 $264, San Diego Unifed School Dist. CA General Obligation Bonds Apr-14 $89, BOR of the Univ of Oklahoma OK General Revenue Refunding Bonds 2014C Selling Group 08-Apr-14 $201, Univ of Connecticut CT General Obligation Bonds 2014A/Refunding 2014A 09-Apr-14 $650, New York City Trans Finance Auth NY Future Tax Secured Sub Bonds 2014D-1 Co-Snr-Mgr 09-Apr-14 $103, City of San Antonio TX Water Syst. Junior Lien Revenue & Refunding Bonds 2014A 10-Apr-14 $100, North Texas Tollway Auth TX Syst. First Tier Variable Rate Revenue Refunding Bonds 2011A 11-Apr-14 $500, Metro Trans Auth NY Trans Revenue Bonds 2014B 16-Apr-14 $200, Massachusetts Bay Transportation Auth MA Senior Sales Tax Bonds 2014A 16-Apr-14 $203, New Jersey Educational Facs Auth NJ Revenue & Revenue Refunding Higher Ed Capital Improvement Fund 2014A-B-C-D 17-Apr-14 $8, City of Cincinnati OH Refunding Bonds 2014C 17-Apr-14 $118, City of Cincinnati OH Unlimited Tax Various Purpose General Obligation Bonds 2014A-B Turnpike Sub Revenue Bonds & Motor License Fund 23-Apr-14 $208, Pennsylvania Turnpike Commission PA Enhanced Turnpike Sub Special Revenue Bonds 2014A 23-Apr-14 $333, Ohio Water Development Auth OH Water Pollution Control Loan Fund Revenue Bonds Apr-14 $41, New York City Housing Dev Corp. NY Multi Family Housing Revenue Bonds 2014A/203F-1/2 24-Apr-14 $84, Denver Health & Hospital Auth CO Healthcare Revenue Bonds 2014A-B 25-Apr-14 $59, City of Long Beach CA Harbor Revenue Refunding Bonds 2014A-B 25-Apr-14 $74, City of Newark NJ Tax Aniticpation Notes 2014A Manager 25-Apr-14 $709, Texas Public Finance Auth TX Unemployment Compensation Obligation Assessment Revenue Refunding Bonds 2014A-B

6 Loop Capital Markets LLC 111 W. Jackson Boulevard, Suite 1901; Chicago, IL G37 2nd Quarter Deals - April June 2014 Sale Date Amount ($ '000) Issuer State Issue Description Role 07-May-14 $201, Miami Dade County FL Seaport Variable Rate Demand Revenue Bonds 2014B 09-May-14 $200, Metro Trans Auth of New York NY Trans Revenue Vraiable Rate Refunding Bonds 2002D-2 Manager 09-May-14 $96, Harris County Flood Control Dist. TX Refunding Bonds 2014 Co-Snr-Mgr 09-May-14 $50, Metro Trans Auth of New York NY Trans Revenue Bonds 2014A-2 Co-Snr-Mgr 09-May-14 $73, Harris County Flood Control Dist. TX Contract Tax Refunding Bonds 2014B Co-Snr-Mgr 14-May-14 $1,000, New Jersey Turnpike Auth NJ Turnpike Reveneu Bonds 2014A 14-May-14 $71, Fort Bend ISD TX Unlimited Tax Refunding Bonds May-14 $88, JEA FL St. John River Park Syst. Revenue Bonds May-14 $26, St. Louis Muni Finance Corp. MO City Parks Leashold Improvement Dedicated Revenue Bonds May-14 $421, Metro Washington Airports Auth WA Dulles Toll Road 2nd Senior Lien Revenue Refunding Bonds 2014A Co-Snr-Mgr 20-May-14 $157, Univ of Massachusetts Building Auth MA Refunding Revenue Bonds May-14 $67, Univ of Massachusetts Building Auth MA Refunidng Revenue Bonds May-14 $70, New York State Housing Finance Agency NY Maestro West Chelsea Housing Revenue Bonds 2014A Manager 21-May-14 $822, State of Connecticut CT General Obligation Refunding Bonds 2014C 21-May-14 $40, City of Tallahassee FL Capital Bonds 2014 Manager 21-May-14 $86, City of Memphis TN Electric Syst. Revenue Bonds 2014/Water Syst. Revenue Bonds May-14 $222, Cities of Dallas and Fort Worth TX International Airport Joint Revneue Improvement Bonds 2014B 22-May-14 $26, New York State Housing Finance Agency NY Affordable Housing Revenue Bonds 2014A 23-May-14 $230, Cuyahoga County OH Certificates of Participations 2014

7 Loop Capital Markets LLC 111 W. Jackson Boulevard, Suite 1901; Chicago, IL G37 2nd Quarter Deals - April June 2014 Sale Date Amount ($ '000) Issuer State Issue Description Role Harris County Cultural Education Facs Hospital Revenue Bonds 2014A (Memorial Herman Health 29-May-14 $145, Finance Corp. TX Syst. ) Dept. of Water & Power of the City of Los 29-May-14 $322, Angeles CA Power Syst. Revenue Bonds 2014B Midway Airport 2nd Senior Lien Revenue & Revenue 29-May-14 $771, City of Chicago IL Refunding Bonds 2014A-B Selling Group 30-May-14 $539, Metropolitian Washington Airport Auth WA Airport Syst. Revenue Refunding Bonds 2014A 04-Jun-14 $213, New York State Environmental Facs Corp. NY State Revolving Fund Revenue Bonds 2014B Co-Snr-Mgr 05-Jun-14 $63, JEA FL St. Johns Power Park Syst. Revenue Bonds Jun-14 $440, Regional Transportation Dist. CO Certificates of Participation 2014A 06-Jun-14 $105, City of Chicago IL Motor Fuel Tax Revenue Refunding Bonds 2013 (June 2014) Manager 12-Jun-14 $56, City of Newark in the County of Essex NJ General Improvement Bond Anticipation Notes 2014BC Sole Manager 12-Jun-14 $148, Massachusetts Housing Finance Agency MA Housing Bonds 2014ABC 12-Jun-14 $54, IPS Multi-School Corp. IN Unlimited Ad Valorem Property Tax First Mortgage Refunding Bonds Jun-14 $1,018, City of New York NY General Obligation Bonds 2014J-K 13-Jun-14 $109, Metro Gov of Nashiville & Davison County TN Electric Syst. Revenue Bonds 2014A 18-Jun-14 $158, City of New Orleans LA Sewerage Service Reveneu & Refunding Bonds Jun-14 $103, City of New Orleans LA Water Revenue & Refunding Bonds Jun-14 $127, New York State Housing Finance Agency NY Affordable Housing Revenue Bonds 2014B 19-Jun-14 $555, Chicago Transit Auth IL Sales Tax Receipts Revenue Bonds 2014 Manager 20-Jun-14 $500, Metro Trans Auth NY Transportation Revenue Bonds 2014C 25-Jun-14 $187, County of Allegheny PA General Obligation Refunding Bonds 2014C-73/74 Co-Manager 25-Jun-14 $76, Spring ISD (Harris County) TX Unlimited Tax Refunding Bonds 2014 Manager

8 Loop Capital Markets LLC 111 W. Jackson Boulevard, Suite 1901; Chicago, IL G37 2nd Quarter Deals - April June 2014 Sale Date Amount ($ '000) Issuer State Issue Description Role 26-Jun-14 $184, Michigan Finance Auth MI Local Gov Loan Program Revenue Bonds 2014B 26-Jun-14 $300, JEA FL Water & Sewer Syst. Revenue Bonds 2014A 26-Jun-14 $60, City of Miami Gardens FL General Obligation Bonds 2014 Manager 30-Jun-14 $125, State of Arkansas AR General Obligation Bonds 2014A-B