Name of Regulated Entity: Capital Markets Advisors LLC Report Period: Third 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
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 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 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
Signature: electronic Date: May 9, 2017 Name (must be officer of regulated entity): Richard Ganci Address: 11 Grace Ave, Great Neck, NY 11021 Phone: 716-662-3910 Submit to the Municipal Securities Rulemaking Board a completed form quarterly by due date (specified by the MSRB)
3rd Quarter - 2016 (July - September) Issuer Type Business Type Par Amount Sale Date Closing Date NY North Hempstead Town Bonds Advice 48,046,322 20-Sep 29-Sep NY North Hempstead Town Bonds Advice 19,308,531 20-Sep 29-Sep NY North Hempstead Town BAN Advice 3,866,000 20-Sep 29-Sep NY Corning CSD BAN Advice 14,000,000 20-Sep 29-Sep NY Amityville UFSD TAN Advice 11,000,000 20-Sep 29-Sep NY Jericho UFSD TAN Advice 9,500,000 20-Sep 29-Sep NY Manhasset UFSD TAN Advice 7,600,000 20-Sep 28-Sep NY Erie County Water Authority Ref. Bonds Advice 30,725,000 Negotiated 29-Sep NY Ossining Village Bonds Advice 6,425,000 15-Sep 29-Sep NY Ossining Village BAN Advice 2,079,372 15-Sep 29-Sep NY Roslyn UFSD Bonds Advice 24,505,000 14-Sep 28-Sep NY Hauppauge UFSD TAN Advice 24,500,000 13-Sep 28-Sep NY Patchogue-Medford UFS TAN Advice 30,000,000 13-Sep 22-Sep NY Herricks UFSD TAN Advice 7,000,000 13-Sep 22-Sep NY New Paltz Village BAN Advice 2,688,680 8-Sep 21-Sep NY Elwood UFSD TAN Advice 14,000,000 8-Sep 20-Sep NY Long Beach City RAN Advice 9,250,000 8-Sep 16-Sep NY Long Beach City BAN Advice 8,124,370 8-Sep 16-Sep NY New Rochelle CSD BAN Advice 1,290,684 8-Sep 14-Sep NY New Rochelle CSD TAN Advice 12,000,000 8-Sep 14-Sep NY Kings Park CSD TAN Advice 15,750,000 7-Sep 20-Sep NY Amherst CSD BAN Advice 4,350,000 7-Sep 15-Sep NY Hendrick Hudson CSD BAN Advice 1,514,400 1-Sep 15-Sep NY Fishkill Village Bonds Advice 2,455,000 1-Sep 13-Sep NY East Quogue UFSD TAN Advice 6,500,000 31-Aug 15-Sep NY Bronxville UFSD BAN Advice 3,500,000 31-Aug 15-Sep NY Southampton UFSD TAN Advice 18,000,000 31-Aug 9-Sep NY Seaford UFSD TAN Advice 5,000,000 31-Aug 8-Sep NY Glen Cove City Bonds Advice 1,699,305 30-Aug 13-Sep NY Glen Cove City BAN Advice 7,930,361 30-Aug 13-Sep NY Copiague UFSD TAN Advice 18,500,000 25-Aug 8-Sep NY Amenia Town BAN Advice 1,111,000 25-Aug 8-Sep NY Evans-Brant CSD TAN Advice 1,400,000 24-Aug 8-Sep NY Harborfields CSD TAN Advice 18,000,000 23-Aug 7-Sep NY Harborfields CSD BAN Advice 4,600,000 23-Aug 7-Sep NY Lawrence UFSD TAN Advice 6,500,000 23-Aug 1-Sep NY Mamaroneck Village Bonds Advice 10,731,652 18-Aug 1-Sep NY Tonawanda Town BAN Advice 20,175,000 18-Aug 31-Aug NY Atlantic Beach Village Bonds Advice 4,000,000 18-Aug 30-Aug NY West Islip UFSD Ref. Bonds Advice 14,175,000 17-Aug 31-Aug NY West Islip UFSD Tax. Ref. Bonds Advice 3,695,000 17-Aug 31-Aug NY BOCES - Orange and Ulster Counties RAN Advice 5,000,000 17-Aug 31-Aug NY BOCES - Orange and Ulster Counties RAN Advice 11,000,000 17-Aug 31-Aug NY Sachem CSD TAN Advice 66,000,000 17-Aug 25-Aug NY East Hampton Town Ref. Bonds Advice 4,300,000 16-Aug 8-Sep NY East Hampton Town Bonds Advice 7,745,941 16-Aug 25-Aug NY East Hampton Town BAN Advice 11,056,899 16-Aug 25-Aug NY Tonawanda CSD Bonds Advice 9,620,000 16-Aug 31-Aug NY Eastport-South Manor CSD TAN Advice 20,250,000 16-Aug 25-Aug NY Oyster Bay-East Norwich CSD TAN Advice 5,200,000 16-Aug 25-Aug NY Walton CSD BAN Advice 93,692 16-Aug 24-Aug NY Mount Pleasant Town Ref. Bonds Advice 13,395,000 10-Aug 31-Aug NY Lakeland CSD Bonds Advice 10,000,000 10-Aug 25-Aug NY Lakeland CSD BAN Advice 2,706,744 10-Aug 25-Aug NY Mount Vernon CSD BAN Advice 17,060,000 10-Aug 18-Aug NY Stony Point Town BAN Advice 503,682 9-Aug 23-Aug
NY Chautauqua Lake CSD BAN Advice 3,675,000 4-Aug 17-Aug NY Ossining Town BAN Advice 2,469,396 4-Aug 18-Aug NY White Plains CSD Ref. Bonds Advice 47,765,000 3-Aug 24-Aug NY White Plains CSD Bonds Advice 41,602,335 3-Aug 24-Aug NY Rockville Centre UFSD Bonds Advice 10,925,000 3-Aug 15-Aug NY Rockville Centre UFSD TAN Advice 9,000,000 3-Aug 15-Aug NY Advice NY North Tonawanda City Ref. Bonds Advice 1,775,000 2-Aug 23-Aug NY Erie County Fiscal Stability Authority Ref. Bonds Advice 44,335,000 2-Aug 17-Aug NY Center Moriches UFSD TAN Advice 7,500,000 28-Jul 9-Aug NY Center Moriches UFSD BAN Advice 5,000,000 28-Jul 9-Aug NY Rochester City BAN Advice 32,000,000 28-Jul 9-Aug NY Port Washington UFSD TAN Advice 16,000,000 28-Jul 9-Aug NY Port Washington UFSD BAN Advice 12,500,000 28-Jul 9-Aug NY Spring Valley Village Bonds Advice 4,544,000 27-Jul 17-Aug NY Spring Valley Village Ref. Bonds Advice 1,210,000 27-Jul 17-Aug NY West Babylon UFSD TAN Advice 15,000,000 26-Jul 4-Aug NY West Babylon UFSD BAN Advice 9,500,000 26-Jul 4-Aug NY New Rochelle CSD BAN Advice 11,000,000 26-Jul 3-Aug NY Newburgh City BAN Advice 9,876,473 26-Jul 4-Aug NY Chautauqua Utility District BAN Advice 7,000,000 26-Jul 4-Aug NY Sag Harbor UFSD BAN Advice 3,300,000 26-Jul 4-Aug NY Eastchester Town BAN Advice 1,566,521 26-Jul 4-Aug NY Orchard Park CSD Bonds Advice 784,000 26-Jul 4-Aug NY Lockport CSD Bonds Advice 8,100,000 21-Jul 4-Aug NY Lockport CSD BAN Advice 18,630,000 21-Jul 4-Aug NY Ardsley Village BAN Advice 1,063,089 21-Jul 3-Aug NY Kenmore Village Bonds Advice 9,953,000 20-Jul 10-Aug NY Kenmore Village Ref. Bonds Advice 2,035,000 20-Jul 10-Aug NY Niagara County Bonds Advice 20,250,000 20-Jul 4-Aug NY Mahopac CSD BAN Advice 1,515,548 20-Jul 4-Aug NY Haldane CSD BAN Advice 970,000 20-Jul 3-Aug NY Mamaroneck No. 1 FD Bonds Advice 2,185,000 20-Jul 27-Jul NY Dobbs Ferry UFSD BAN Advice 7,500,000 19-Jul 28-Jul NY Lancaster Town Bonds Advice 8,215,000 19-Jul 27-Jul NY Lancaster Town BAN Advice 1,170,000 19-Jul 27-Jul NY Scarsdale Village Ref. Bonds Advice 6,295,000 14-Jul 3-Aug NY West Islip UFSD TAN Advice 25,000,000 14-Jul 26-Jul NY West Islip UFSD BAN Advice 6,000,000 14-Jul 26-Jul NY Rochester City Ref. Bonds Advice 20,200,000 13-Jul 4-Aug NY Rochester City BAN Advice 56,924,000 13-Jul 4-Aug NY Massapequa UFSD Ref. Bonds Advice 2,840,000 13-Jul 2-Aug NY Massapequa UFSD Bonds Advice 13,500,000 13-Jul 21-Jul NY Bronxville Village BAN Advice 4,025,000 13-Jul 27-Jul NY Erie 1 BOCES RAN Advice 4,500,000 13-Jul 22-Jul NY Cheektowaga-Sloan UFSD BAN Advice 12,000,000 13-Jul 21-Jul NY Bethlehem CSD BAN Advice 3,123,000 13-Jul 20-Jul NY Hempstead Village Ref. Bonds Advice 6,475,000 12-Jul 2-Aug NY Hempstead Village BAN Advice 2,875,000 12-Jul 21-Jul NY West Seneca Town Bonds Advice 4,770,000 12-Jul 27-Jul NY West Seneca Town BAN Advice 41,969,125 12-Jul 27-Jul NY Clarence Town BAN Advice 12,481,000 12-Jul 21-Jul NY Clarkstown CSD TAN Advice 10,000,000 12-Jul 21-Jul NY Kings Park CSD BAN Advice 10,500,000 7-Jul 19-Jul NY Edgemont UFSD Bonds Advice 2,800,000 7-Jul 19-Jul NY Sewanhaka CHSD Bonds Advice 62,506,701 6-Jul 15-Jul NY Brewster CSD BAN Advice 35,940,936 6-Jul 14-Jul NY Cheektowaga Town Bonds Advice 26,930,000 6-Jul 13-Jul NY Sachem CSD Ref. Bonds Advice 67,900,000 30-Jun 20-Jul
NY Freeport UFSD Ref. Bonds Advice 3,200,000 30-Jun 19-Jul NY Bedford CSD BAN Advice 31,655,434 30-Jun 14-Jul NY Bedford CSD BAN Advice 1,685,318 30-Jun 14-Jul NY Tarrytowns UFSD BAN Advice 8,845,000 30-Jun 12-Jul NY East Ramapo CSD TAN Advice 15,000,000 29-Jun 13-Jul NY West Seneca No. 2 FD BAN Advice 4,700,000 29-Jun 12-Jul NY Lackawanna CSD BAN Advice 1,700,000 28-Jun 12-Jul NY Oceanside UFSD Bonds Advice 10,500,000 28-Jun 7-Jul NY Oceanside UFSD TAN Advice 26,000,000 28-Jun 7-Jul NY Haldane CSD BAN Advice 772,800 23-Jun 14-Jul NY Rye CSD BAN Advice 1,800,000 Negotiated 7-Jul NY Hamburg Town BAN Advice 8,580,000 23-Jun 6-Jul NY Pleasantville UFSD Ref. Bonds Advice 31,230,000 22-Jun 12-Jul NY Hastings-on-Hudson UFSD Bonds Advice 8,150,701 21-Jun 12-Jul