FORM G-37. Name of Regulated Entity: Montague DeRose and Associates, LLC. Report Period: Third Quarter of 2017
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1 Name of Regulated Entity: Montague DeRose and Associates, LLC Report Period: Third 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
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 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
4 Signature: electronic Date: Oct 25, 2017 Name (must be officer of regulated entity): Kimberly Mcmanus Address: 2801 Townsgate Road, Westlake Village, CA Phone: Submit to the Municipal Securities Rulemaking Board a completed form quarterly by due date (specified by the MSRB)
5 Montague DeRose and Associates, LLC Client List (3 rd Quarter 2017) Complete Municipal Entity Name City County Business Type CA Acton-Agua Dulce Unified School District Acton Los Angeles Advice CA Alameda County Water District Fremont Alameda Advice CA Alameda Municipal Power Alameda Alameda Advice CA Alhambra Unified School District Alhambra Los Angeles Advice CA Baldwin Park Unified School District Baldwin Park Los Angeles Advice CA Baldwin Park USD Baldwin Park Los Angeles Advice CA Citrus Community College District Glendora Los Angeles Advice CA City of Long Beach Long Beach Los Angeles Advice CA City of Los Angeles Los Angeles Los Angeles Advice CA City of Montebello Montebello Los Angeles Advice CA City of Sacramento Sacramento Sacramento Advice CA City of San Diego San Diego San Diego Advice CA City of Turlock Turlock Stanislaus Advice CA Compton Community College District Compton Los Angeles Advice CA Contra Costa County Martinez Contra Costa Advice CA Contra Costa County Dept. of Conservation & Development Martinez Contra Costa Advice CA East Bay Municipal Utility District Oakland Alameda Advice CA El Camino Community College District Torrance Los Angeles Advice CA Fresno County Transportation Authority Fresno Fresno Advice CA Hacienda-La Puente Unified School District City of Industry Los Angeles Advice CA Hermosa Beach City School District Hermosa Beach Los Angeles Advice CA City of Imperial Beach Imperial Beach San Diego Advice CA Las Vegas Convention and Visitors Authority Las Vegas Clark Advice CA Los Angeles County - Treasurer's Office Los Angeles Los Angeles Advice CA Los Angeles County Metropolitan Transportation Authority Los Angeles Los Angeles Advice CA Los Angeles County Office of Education Los Angeles Los Angeles Advice CA Manhattan Beach Unified School District Manhattan Beach Los Angeles Advice CA Metropolitan Transportation Commission San Francisco San Francisco Advice CA M-S-R Public Power Agency Modesto Stanislaus Advice CA Placer County Water Agency Auburn Placer Advice 1
6 Montague DeRose and Associates, LLC Client List (3 rd Quarter 2017) Complete Municipal Entity Name City County Business Type CA Port of Hueneme Oxnard Ventura Advice CA Port of Los Angeles San Pedro Los Angeles Advice CA Port of Oakland Oakland Oakland Advice CA Sacramento Area Flood Control Agency Sacramento Sacramento Advice CA Sacramento Regional Sanitation District Sacramento Sacramento Advice CA San Bernardino County Transportation Authority San Bernardino San Bernardino Advice CA San Diego County Water Authority San Diego San Diego Advice CA San Francisco Public Utilities Commission San Francisco San Francisco Advice CA Sand City Sand City Monterey Advice CA Sanitation Districts of Los Angeles County Whittier Los Angeles Advice CA of California - California School Finance Authority Sacramento Sacramento Advice CA of California - Department of Water Resources Sacramento Sacramento Advice CA of California - Department of Water Resources (CERS) Sacramento Sacramento Advice CA of California - Treasurer's Office Sacramento Sacramento Advice CA City of Turlock Turlock Stanislaus Advice CA Walnut Valley Unified School District Walnut Los Angeles Advice CA Zone 7 Water Agency Livermore Alameda Advice OR Clean Water Services Hillsboro Washington Advice TX Lower Colorado River Authority Austin Travis Advice UT of Utah Treasurer s Office Salt Lake City Salt Lake Advice WA City of Tacoma Power Tacoma Pierce Advice WA City of Tacoma Water Tacoma Pierce Advice WA Sound Transit Seattle King Advice WA of Washington Office of the Treasurer Olympia Thurston Advice 2
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