Name of dealer: Prager & Co., LLC Report Period: Third Quarter of 2015 I. CONTRIBUTIONS made to issuer officials (listed 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 (listed 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 (listed by state) Contribution 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.
IV. ISSUERS with which dealer has engaged in municipal securities business (listed by state) A. Municipal Securities Business 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
Signature: electronic Date: Oct 30, 2015 Name: ALISA DAVIS Address: One Maritime Plaza, San Francisco, CA 94111 Phone: 415-403-1936 x136 Submit two completed forms quarterly by due date (specified by the MSRB) to: Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, VA 22314
Prager & Co., LLC Form G37 Item IV Issuers with which the dealer has engaged in Municipal Securities Business STATE ISSUER NAME / DESCRIPTION BORROWER OR ISSUER CITY/COUNTY MUNICIPAL SECURITIES BUSINESS TYPE CA CALIFORNIA INSTITUTE OF TECHNOLOGY (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR CA GIANT MAGELLAN TELESCOPE ORG (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR CA CALIFORNIA STATEWIDE COMMUNITIES DEVELOPMENT AUTHORITY SALK INSTITUTE FOR BIOLOGICAL FINANCIAL ADVISOR STUDIES CA CALIFORNIA MUNICIPAL FIN AUTH WHITTIER COLLEGE FINANCIAL ADVISOR CA CALIFORNIA INSTITUTE OF TECHNOLOGY (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR CA SCRIPPS RESEARCH INSTITUTE (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR CA CALIFORNIA INSTITUTE OF TECHNOLOGY FINANCIAL ADVISOR CA UNIVERSITY OF LA VERNE (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR CA CALIFORNIA STATE UNIV TRUSTEES CO-MANAGER CA CALIFORNIA STATE UNIV TRUSTEES CO-MANAGER CA CALIFORNIA CO-MANAGER CO DENVER UNIVERSITY (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR DC UNCF, INC (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR DC DC REVENUE BOND PROGRAM UNCF FINANCIAL ADVISOR GA EMORY UNIVERSITY (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR IL ART INSTITUTE OF CHICAGO (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR IL UNIVERSITY OF CHICAGO (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR IL UNIVERSITY OF CHICAGO (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR IL ART INST OF CHICAGO (ONGOING FINANCIAL ADVISORY) ART INST OF CHICAGO FINANCIAL ADVISOR IL ILLINOIS FINANCE AUTHORITY UNIVERSITY OF CHICAGO FINANCIAL ADVISOR MA MASSACHUSETTS DEV FINANCE AGCY CIL REALTY OF MA INC REMARKETING MD JOHNS HOPKINS UNIVERSITY (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR MO UNIVERSITY OF MISSOURI (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR MO UNIVERSITY OF MISSOURI CURATORS FINANCIAL ADVISOR NC DUKE UNIVERSITY (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR NC UNIVERSITY OF NORTH CAROLINA (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR NC WAKE FOREST UNIVERSITY (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR NC UNIV OF NORTH CAROLINA BD OF GOV (ONGOING FINANCIAL ADVISORY) UNC CHAPEL HILL FINANCIAL ADVISOR NJ DELBARTON SCHOOL (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR NJ DREW UNIVERSITY (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR NJ RUTGERS UNIVERSITY (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR NJ PEDDIE SCHOOL (FINANICAL ADVISORY) FINANCIAL ADVISOR NJ NEW JERSEY CITY UNIVERSITY (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR NJ THE ORDER OF ST. BENEDICT OF NJ (DELBARTON) (FINANCIAL ADVISORY) FINANCIAL ADVISOR NJ NEW JERSEY EDUC. FACS AUTHORITY NEW JERSEY CITY UNIV FINANCIAL ADVISOR NJ FAIRLEIGH DICKINSON UNIV (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR NJ NEW JERSEY INSTITUTE OF TECHNOLOGY (NJIT) FINANCIAL ADVISOR NJ NEW JERSEY EDUCATIONAL FACS AUTH RAMAPO COLLEGE FINANCIAL ADVISOR NJ NEW JERSEY EDUCATIONAL FACS AU KEAN UNIVERSITY FINANCIAL ADVISOR NY CHINA INSTITUTE (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR NY PACE UNIVERSITY (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR NY SARAH LAWRENCE COLLEGE (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR NY WILDLIFE CONSERVATION SOCIETY (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR NY YESHIVA UNIVERSITY (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR NY NY CONVENTION CENTER DEV CORP CO-MANAGER NY NYC TRANSITIONAL FINANCE AUTH CO-MANAGER NY BUILD NYC METROPOLITAN MONTESSORI SCHOOL FINANCIAL ADVISOR OR REED COLLEGE (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR WA GONZAGA UNIVERSITY (ONGOING FINANCIAL ADVISORY) FINANCIAL ADVISOR