Name of Regulated Entity: The Williams Capital Group, L.P. Report Period: Second Quarter of 2017 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
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.
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 Advisory Business 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
Signature: electronic Date: Jul 31, 2017 Name (must be officer of regulated entity): MELISSA ROWE Address: 650 Fifth Avenue, New York, NY 10019 Phone: 212-373-4206 Submit to the Municipal Securities Rulemaking Board a completed form quarterly by due date (specified by the MSRB)
Name of dealer: THE WILLIAMS CAPITAL GROUP, L.P. MSRB Report period: 2 nd QUARTER 2017 I. CONTRIBUTIONS made to issuer officials (list by 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 (list by 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) 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 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)
B. Reimbursement for Contributions 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. IV. ISSUERS with which dealer has engaged in municipal securities business (list by state) A. Municipal Securities Business Complete name of issuer and city/county Type of municipal securities business (negotiated underwriting, agency offering, financial advisor, or remarketing agent) CA Engaged Los Angeles Dept of World Airports Revenue Bonds Bond Underwriting CA Engaged of California Bond Underwriting CA Engaged University of California Bond Underwriting CT Engaged Connecticut Housing Finance Auth. 2017C Selling Group CT Engaged of CT, Revolving Fund 2017 A and B Selling Group GA Engaged Residential Finance Authority, City of Atlanta, GA, Taxable (Housing Opportunity Program) 2017A Bond Underwriter IL Engaged City of Chicago Wastewater Revenue Bonds Bond Underwriting IL Engaged Cook County GO Bonds Bond Underwriting IL Engaged Illinois Finance Authority (SRF) Bond Underwriting MA Engaged MA Clean Water Trust, 2017 Green Bonds Selling Group MA Engaged MA GO Bonds 2017A, B, C Selling Group MO Engaged City of St. Louis, MO - St. Louis-Lambert International Airport Revenue Bonds Bond Underwriting NY Engaged Dormitory Authority (DASNY) School District Rev Bonds 2017ABCDE Bond Underwriting NY Engaged Dormitory Authority of the of NY PIT Bonds Bond Underwriting NY Engaged New York City, Hudson Yards Infrastructure Corporation Series 2017 Bond Underwriting NY Engaged NY City TFA Future Tax Secured Bonds Bond Underwriting NY Engaged NY MTA Dedicated Tax Green Bonds 2017B Bond Underwriting NY Engaged NY MTA Trans System Revenue Bonds Bond Underwriting NY Engaged NY Environmental Facilities Corp, NYC MWFA Projects 2017B Bond Underwriter NY Engaged NYC TFA Future Tax Secured Series E and 1999A (A-2) Reoffering Bond Underwriting OR Engaged Oregon Department of Transportation Bond Underwriting OR Engaged Oregon GO s (Higher Ed) Selling Group OR Engaged of Oregon Selling Group PA Engaged City of Philadelphia Water Revs Bond Underwriting
PA Engaged Philadelphia Municipal Authority Lease Revs 2017 Bond Underwriter WA Engaged Port of Seattle Bond Underwriting CA Seeking Amador Water Bond Underwriting CA Seeking California Department of Water Resources (DWR) Bond Underwriting CA Seeking California Infrastructure and Development Bank Bond Underwriting CA Seeking California University (CSU) Bond Underwriting CA Seeking City & County of San Francisco and PUC Bond Underwriting CA Seeking City and Port of Oakland Bond Underwriting CA Seeking City of Banning Bond Underwriting CA Seeking City of Los Angeles Bond Underwriting CA Seeking City of Sacramento Bond Underwriting CA Seeking Encore Charter School Bond Underwriting CA Seeking Los Angeles Community College District (LACCD) Bond Underwriting CA Seeking Los Angeles Department of Water & Power Bond Underwriting CA Seeking Los Angeles International Airport (LAWA) Bond Underwriting CA Seeking Los Angeles Unified School District Bond Underwriting CA Seeking Metropolitan Water District of Southern California (MWD) Bond Underwriting CA Seeking Oxford Preparatory Academy Note Placement CA Seeking San Bernardino Associated Governments (SANBAG) Bond Underwriting CA Seeking Stanford University Bond Underwriting CA Seeking of California Bond Underwriting CA Seeking University of California (UC) Bond Underwriting CA Seeking Harbor Springs Charter School Note Placement CO Seeking City and County of Denver (Denver Int l Airport) Bond Underwriting CT Seeking of Connecticut Bond Underwriting CT Seeking University of Connecticut Bond Underwriting GA Seeking City of Atlanta Bond Underwriting GA Seeking Georgia Investment Commission Bond Underwriting IL Seeking City of Chicago Bond Underwriting IL Seeking Illinois Finance Authority (Illinois SRF) Bond Underwriting IL Seeking Illinois University Bond Underwriting IL Seeking Northwestern University Revenue Bonds MA Seeking Commonwealth of Mass Bond Underwriting MD Seeking City of Baltimore Bond Underwriting MO Seeking City of Kansas City Bond Underwriting MO Seeking City of St. Louis Bond Underwriting MO Seeking Washington University in St. Louis Bond Underwriting OH Seeking City of Cleveland Ohio Bond Underwriting OK Seeking University of Oklahoma Bond Underwriting OR Seeking Bonneville Power Authority (BPA) Bond Underwriting OR Seeking Portland Tri-Met Bond Underwriting OR Seeking of Oregon Bond Underwriting
TN Seeking City of Memphis Bond Underwriting TN Seeking Memphis Gas and Electric Bond Underwriting TN Seeking Memphis -Shelby County Airport Authority Bond Underwriting TX Seeking City of Houston Bond Underwriting WA Seeking Port of Seattle Bond Underwriting WA Seeking Sound Transit Bond Underwriting B. Ballot-Approved Offerings Full issuer name and full description of any offering resulting from the bond ballot campaign to which each contributor category (i.e., 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 Signature Date: JuIV 31, 2017 (Must be officer of dealer) Name: DiAnne Calabrisotto. Vice President of Dealer's General Partner Address: The Williams Capital Group, L.P. 650 Fifth Avenue 9t'' Floor New York. New York 10019 Phone: 212 830-4559 Submit two completed forms quarterly by due date (specified by the MSRB) to: Municipal Securities Rulemaking Board 1300 I Street NW Suite 1000 Washington, DC 20005