FORM G-37. Name of Regulated Entity: SAMCO CAPITAL MARKETS, INC. Report Period: Fourth Quarter of 2016

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1 Name of Regulated Entity: SAMCO CAPITAL MARKETS, INC. Report Period: Fourth Quarter of 2016 I. CONTRIBUTIONS made to officials of a municipal entity (list by state) Complete name, title (including any city/county/state or other political subdivision) of municipal entity official Contributions by each contributor category (i.e., for purposes of this form, dealer, dealer controlled PAC, municipal finance professional, municipal finance professional controlled PAC, non-mfp executive officer, municipal advisor, municipal advisor controlled PAC, municipal advisor professional, municipal advisor professional controlled PAC, and non-map executive officer). For each contribution, list contribution amount and contributor category (disclose all applicable categories for each contributor). (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 (list by state) Complete name (including any city/county/state or other political subdivision) of political party Payments by each contributor category

2 III. CONTRIBUTIONS made to bond ballot campaigns (list by state) A. Contributions 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 B. Reimbursement for Contributions List below any payments or reimbursements, related to any disclosed bond ballot contribution, received by each dealer, municipal finance professional, non-mfp executive officer, municipal advisor, municipal advisor professional, or non-map executive officer from any third party, including the amount paid and the name of the third party making such payments or reimbursements.

3 IV. MUNICIPAL ENTITIES with which the regulated entity has engaged in municipal securities business or municipal advisory business (list by state) A. Municipal Securities Business See Attachment Complete name of municipal entity and city/county Type of municipal securities business (negotiated underwriting, private placement, financial advisor, or remarketing agent) B. Municipal y Business See Attachment Complete name of municipal entity and city/county Type of municipal advisory business (advice or solicitation) (and in the case of municipal advisory business engaged in by a municipal advisor third-party solicitor, the name of the third party on behalf of which business was solicited and the nature of the business solicited (municipal securities business, municipal advisory business or investment advisory services)) C. Ballot-Approved Offerings Full name of the municipal entity and full issue description of any primary offering resulting from the bond ballot campaign to which each contributor category has made a contribution and the reportable date of selection on which the regulated entity was selected to engage in the municipal securities business or municipal advisory business. Full Name of Municipal Entity Full Issue Description Reportable Date of Selection

4 Signature: electronic Date: Jan 30, 2017 Name (must be officer of regulated entity): Lee Maverick Address: 6805 Capital of Texas Highway, Austin, Phone: Submit to the Municipal Securities Rulemaking Board a completed form quarterly by due date (specified by the MSRB)

5 SAMCO CAPITAL MARKETS, INC. - 4th QUARTER 2016 ISSUERS WITH WHICH DEALER WAS ENGAGED IN MUNICIPAL SECURITIES (LIST BY STATE) Settlement Date Par Amount Issuer Role Offering Type 11/1/2016 $ 7,970, Northeast Travis Cnty Util, Ult Tax Rfd CO-Manage 12/7/2016 $ 25,400, Texas Public Fin Auth, St of Texas GO Rfd Lead Manag

6 SAMCO CAPITAL MARKETS, INC. - 4th QUARTER 2016 ISSUERS WITH WHICH DEALER WAS ENGAGED IN MUNICIPAL ADVISORY (LIST BY STATE) Settlement Date Par Amount Issuer Role 10/4/2016 $ 18,200, Sulphur Springs, Combination Tax and Surplus Revenue Cos, Series /4/2016 Bexar County 10/5/2016 $ 1,000, Midlothian, Tax Notes, Series /12/2016 $13, $1,945,000 City of Nolanville GO RFDG Series /24/2016 Atascosa County 10/24/2016 Uvalde County 11/9/2016 $ 1,000, Medina County, Texas Tax Notes, Series /10/ ,440, Grand Prairie ISD Unlimited Tax Refunding Bonds 11/14/2016 Lamar County 11/14/2016 Mountain City, City of 11/15/ ,305, Longview ISD Unlimited Tax Refunding Bonds 11/16/2016 $ 43,670, Schertz-Seguin Local Government Corporation Re 11/16/2016 $ 22,830, Schertz-Seguin Local Government Corporation Board Partic Trophy Club Municipal Utility District No. 1, Water and 11/16/2016 $ 4,635, Sewer System Revenue Bonds, Series /17/2016 $12, $1,005,000 City Highland Haven GO RFDG Series /17/2016 1,700, Judson ISD Limited Maintenance Tax Notes, Series /29/2016 9,875, City of Olmos Park, Tx HEFC Rev Rfdg Bonds, Series /30/2016 $ 2,635, Hondo, City of General Obligation Refunding Bonds, Series 11/30/ ,660, Comal ISD U/Tax Refunding Bonds, Series /1/2016 $ 9,605, Uvalde County, Texas General Obligation Refunding Bonds 12/5/2016 Paris, City of 12/7/2016 $ 1,200, Selma, City of Combination Tax and Limited Pledge Revenu Offering Type

7 12/8/2016 $ 1,000, Karnes City, City of Combination Tax and Limited Pledge R 12/12/2016 Midlothian Development Authority 12/13/2016 1,100, Albany ISD Qualified Zone Academy Maintenance Tax Note 12/17/ ,300, Comal County Comb. Tax & Rev. C.O.s, Series 2016 Co- 12/20/ ,280, Bexar Co. Comb. Tax & Revenue C.O.s, Series 2016A Co- 12/20/ ,330, Bexar Co. Comb. Tax & Revenue C.O.s, Series 2016B 12/20/2016 Marble Falls Economic Development Corporation 12/27/ ,360, Melissa ISD Unlimited Tax School Building Bonds 12/28/ ,790, Frisco ISD Unlimited Tax School Building Bonds 12/29/ ,985, Judson ISD U/T Refunding Bonds, Series 2016A 12/29/2016 4,945, Judson ISD U/T School Bldg. Bonds, Series 2016B

FORM G-37. Name of Regulated Entity: SAMCO CAPITAL MARKETS, INC. Report Period: Third Quarter of 2016

FORM G-37. Name of Regulated Entity: SAMCO CAPITAL MARKETS, INC. Report Period: Third Quarter of 2016 Name of Regulated Entity: SAMCO CAPITAL MARKETS, INC. Report Period: Third Quarter of 2016 I. CONTRIBUTIONS made to officials of a municipal entity (listed by state) Complete name, title (including any