FORM G-37. Name of Regulated Entity: L.J. Hart & Company. Report Period: First Quarter of 2018

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1 FORM G-37 Name of Regulated Entity: L.J. Hart & Company Report Period: First Quarter of 2018 I. CONTRIBUTIONS made to officials of a municipal entity (list by state) State None Complete name, title (including any city/county/state or other political subdivision) of municipal entity official s 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) State See Attachment Complete name (including any city/county/state or other political subdivision) of political party Payments by each contributor category

2 FORM G-37 III. CONTRIBUTIONS made to bond ballot campaigns (list by state) A. s State See Attachment Official name of bond ballot campaign and jurisdiction (including city/county/state or other political subdivision) for which municipal securities would be d and the name of the entity issuing the municipal securities s, including the specific date the contributions were made, by each contributor category B. Reimbursement for s 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. See Attachment

3 FORM G-37 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 State 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 State None 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 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 See Attachment Full Issue Description Reportable Date of Selection

4 FORM G-37 Signature: electronic Date: Apr 23, 2018 Name (must be officer of regulated entity): Larry Hart Address: Swingley Ridge Rd., Chesterfield, MO Phone: Submit to the Municipal Securities Rulemaking Board a completed form quarterly by due date (specified by the MSRB)

5 POLITICAL CONTRIBUTIONS SUMMARY TABLE TO AMOUNT CONTRIBUTOR DATE Nicole Galloway for Missouri Campaign $1, Larry J. Hart January 17, 2018 The Presidential Coaltition to Support Donald J. Trump $45.00 Larry J. Hart January 17, 2018 Josh Hawley for Senate Campaign $5, Larry J. Hart & Judith K. Hart February 25, 2018 Scott Sifton Campaign $1, Larry J. Hart February 26, 2018 College Republicans $ Larry J. Hart March 6, 2018 Missouri Republican Party $ Larry J. Hart March 28, 2018

6 MSRB G-37 BOND BALLOT CONTRIBUTION INFORMATION L.J. HART & COMPANY State Election Date Name of Entity Issuing the Municipal Securities Jurisdiction Name of Bond Ballot Initiative Campaign Date of Description Amount Contributor Category Reimbursed for Party Making Reimbursement Missouri April 3, 2018 Ash Grove R-IV School Greene County $800,000 General Obligation Bond 3/14/2018 List of voters Greene Co $21.15 $21.15 Ash Grove R-IV School Missouri April 3, 2018 Ash Grove R-IV School Greene County $800,000 General Obligation Bond 3/14/2018 Ash Grove R-IV School Missouri April 3, 2018 Bloomfield R-XIV School Stoddard County $1,350,000 General Obligation Bond 1/31/2018 List of voters Stoddard Co Bloomfield R-XIV School Missouri April 3, 2018 Bloomfield R-XIV School Stoddard County $1,350,000 General Obligation Bond 1/31/2018 $25.00 $25.00 Bloomfield R-XIV School Missouri April 3, 2018 Brookfield R-III School Linn County Cent Operating Levy Continuation List of voters Linn Co $30.00 $30.00 Brookfield R-III School Missouri April 3, 2018 Brookfield R-III School Linn County Cent Operating Levy Continuation Brookfield R-III School Missouri April 3, 2018 Clever R-V School Christian County $1,125,000 General Obligation Bond 2/10/2018 List of voters Christian Co $10.00 $10.00 Clever R-V School Missouri April 3, 2018 Clever R-V School Christian County $1,125,000 General Obligation Bond 2/10/2018 Clever R-V School Missouri April 3, 2018 Dixon R-I School Pulaski County $2,800,000 General Obligation Bond 1/11/2018 List of voters Pulaski Co $15.00 $15.00 Dixon R-I School Missouri April 3, 2018 Dixon R-I School Pulaski County $2,800,000 General Obligation Bond 1/11/2018 $56.25 $56.25 Dixon R-I School Missouri April 3, 2018 Elsberry R-II School Lincoln County $2,500,000 General Obligation Bond 1/29/2018 Elsberry R-II School Missouri April 3, 2018 Fairplay R-II School Polk County $1,600,000 General Obligation Bond 1/26/2018 Fairplay R-II School Missouri April 3, 2018 Fairfax R-III School Pulaski County 75 Cent Operating Levy Increase 1/11/2018 Fairfax R-III School Missouri April 3, 2018 Fayette R-III School Howard County $1,000,000 General Obligation Bond 1/31/2018 List of voters Boone Co $15.00 $15.00 Fayette R-III School Missouri April 3, 2018 Fayette R-III School Howard County $1,000,000 General Obligation Bond 1/31/2018 List of voters Howard Co $10.00 $10.00 Fayette R-III School Missouri April 3, 2018 Fayette R-III School Howard County $1,000,000 General Obligation Bond 1/31/2018 Fayette R-III School Missouri April 3, 2018 Harrisburg R-VIII School Howard County Missouri April 3, 2018 Harrisburg R-VIII School Howard County $2,250,000 General Obligation Bond $2,250,000 General Obligation Bond 2/5/2018 List of voters Howard Co $ /5/2018 List of voters Boone Co $15.00 $10.00 Harrisburg R-VIII School $15.00 Harrisburg R-VIII School Missouri April 3, 2018 Harrisburg R-VIII School Howard County $2,250,000 General Obligation Bond 2/5/2018 Harrisburg R-VIII School Page 1 of 3

7 MSRB G-37 BOND BALLOT CONTRIBUTION INFORMATION L.J. HART & COMPANY State Election Date Name of Entity Issuing the Municipal Securities Jurisdiction Name of Bond Ballot Initiative Campaign Date of Description Amount Contributor Category Reimbursed for Party Making Reimbursement Missouri April 3, 2018 Johnson Co. R-VII School Johnson County $2,000,000 General Obligation Bond 2/27/2018 Johnson Co. R-VII School Missouri April 3, 2018 La Monte R-IV School Pettis County $2,000,000 General Obligation Bond 1/2/2018 List of voters Pettis Co $30.00 $30.00 La Monte R-IV School Missouri April 3, 2018 La Monte R-IV School Pettis County $2,000,000 General Obligation Bond 1/2/2018 La Monte R-IV School Missouri April 3, 2018 Lakeland R-III School St. Clair County $2,500,000 General Obligation Bond List of voters Henry Co $25.00 $25.00 Lakeland R-III School Missouri April 3, 2018 Lakeland R-III School St. Clair County $2,500,000 General Obligation Bond Lakeland R-III School Missouri April 3, 2018 Liberal R-II School Barton County $3,000,000 General Obligation Bond 2/7/2018 Liberal R-II School Missouri April 3, 2018 Marceline R-V School Linn County $2,100,000 General Obligation Bond 1/11/2018 List of voters Linn Co $30.00 $30.00 Marceline R-V School Missouri April 3, 2018 Marceline R-V School Linn County $2,100,000 General Obligation Bond 1/11/2018 Marceline R-V School Missouri April 3, 2018 Marion Co. R-II School Marion County $850,000 General Obligation Bond $75.00 $75.00 Marion Co. R-II School Missouri April 3, 2018 Miami R-I School Bates County $826,000 General Obligation Bond List of voters Bates Co $10.00 $10.00 Miami R-I School Missouri April 3, 2018 Miami R-I School Bates County $826,000 General Obligation Bond Miami R-I School Missouri April 3, 2018 Midway R-I School Cass County $3,700,000 General Obligation Bond 1/26/2018 Midway R-I School Missouri April 3, 2018 Miller R-II School Lawrence County $826,000 General Obligation Bond Miller R-II School Missouri April 3, 2018 Nodaway-Holt R-VII School Nodaway County Missouri April 3, 2018 Nodaway-Holt R-VII School Nodaway County Missouri April 3, 2018 Northeast Randolph Co. R-IV School Randolph County Cent Operating Levy Continuation Cent Operating Levy Continuation $1,375,000 General Obligation Bond 1/26/2018 List of voters Nodaway Co $ /26/2018 $ /6/2018 List of voters Randolph Co $5.00 $15.00 $56.25 $5.00 Nodaway-Holt R-VII School Nodaway-Holt R-VII School Northeast Randolph Co. R-IV School Missouri April 3, 2018 Northeast Randolph Co. R-IV School Randolph County $1,375,000 General Obligation Bond 2/6/2018 Northeast Randolph Co. R-IV School Missouri April 3, 2018 Pemiscot County R-III School Pemiscot County $300,000 General Obligation Bond 3/20/2018 Pemiscot County R-III School Missouri April 3, 2018 Pemiscot County Special School Pemiscot County $1,100,000 General Obligation Bond 3/5/2018 List of voters Pemiscot Co $ $ Pemiscot County Special School Missouri April 3, 2018 Pemiscot County Special School Pemiscot County $1,100,000 General Obligation Bond 3/5/2018 Pemiscot County Special School Page 2 of 3

8 MSRB G-37 BOND BALLOT CONTRIBUTION INFORMATION L.J. HART & COMPANY State Election Date Name of Entity Issuing the Municipal Securities Jurisdiction Name of Bond Ballot Initiative Campaign Date of Description Amount Contributor Category Reimbursed for Party Making Reimbursement Missouri April 3, 2018 Pierce City R-VI School Lawrence County $2,400,000 General Obligation Bond 1/31/2018 $75.00 $75.00 Pierce City R-VI School Missouri April 3, 2018 Pike County R-III School Pike County Cent Operating Levy Transfer 1/31/2018 Pike County R-III School Missouri April 3, 2018 Pleasant Hill R-III School Cass County $13,000,000 General Obligation Bond 1/29/2018 Pleasant Hill R-III School Missouri April 3, 2018 Schuyler Co. R-I School Schuyler County $1,500,000 General Obligation Bond 1/16/2018 Missouri April 3, 2018 Scott County Central School Scott County 95 Cent Operating Levy Increase 1/29/2018 List of voters Scott Co $10.00 Missouri April 3, 2018 Scott County Central School Scott County 95 Cent Operating Levy Increase 1/29/2018 Schuyler Co. R-I School $10.00 Scott County Central School Scott County Central School Missouri April 3, 2018 Seneca R-VII School Newton County $4,000,000 General Obligation Bond Seneca R-VII School Missouri April 3, 2018 Slater School Saline County Missouri April 3, 2018 St. James R-I School Phelps County $2,000,000 General Obligation Bond $12,000,000 General Obligation Bond 2/6/2018 1/16/2018 Missouri April 3, 2018 Twin Rivers R-X School Butler County $1.15 operating levy increase 1/16/2018 Missouri April 3, 2018 Union R-XI School Franklin County Missouri April 3, 2018 Union R-XI School Franklin County $27,750,000 General Obligation Bond $27,750,000 General Obligation Bond 1/15/2018 List of voters Franklin Co $ /15/2018 Slater School St. James R-I School Twin Rivers R-X School $31.00 Union R-XI School Union R-XI School Page 3 of 3

9 MSRB G-37 ISSUER INFORMATION L.J. HART & COMPANY State Issuer Name Issuer City/County Municipal Securities Business Type CUSIP Sale Date Dated Date 1 Missouri Greenville R-II School Wayne County Negotiated Underwriting 39624P AA6 12/13/2017 1/10/ Missouri Madison C-3 School Monroe County Negotiated Underwriting 61072P AA7 1/10/2018 1/18/ Missouri Clever R-V School Christian County Negotiated Underwriting CG1 1/29/2018 2/21/ Missouri Greenville R-II School Wayne County Negotiated Underwriting CM7 2/2/2018 2/28/ Missouri Carl Junction R-I School Jasper County Negotiated Underwriting 14219A AU9 2/26/2018 3/6/ Missouri Bates County, Missouri Bates County Negotiated Underwriting BN5 2/13/2018 3/7/ Missouri Scotland County R-I School Scotland County Negotiated Underwriting AM3 3/8/2018 3/22/ Missouri Perry County 32 School Perry County Negotiated Underwriting 71459P AA9 3/8/2018 3/27/ Missouri Hardin-Central C-2 School Ray County Negotiated Underwriting 41181C AF5 3/12/2018 3/28/ Missouri Normandy Schools Collaborative St. Louis County Negotiated Underwriting 65621X AC3 3/19/2018 3/29/ Missouri Lincoln County R-III School Lincoln County Negotiated Underwriting LJ8 2/20/2018 4/3/ Missouri Putnam County Library, Missouri Putnam County Negotiated Underwriting 74659P AA1 3/29/2018 4/4/ Missouri Albany R-III School Gentry County Negotiated Underwriting 37245V BP2 3/19/2018 4/10/ Missouri Boonville R-I School Cooper County Negotiated Underwriting AR6 3/21/2018 4/12/ Missouri Windsor C-1 School Jefferson County Negotiated Underwriting GP4 3/28/2018 4/12/2018

10 MSRB G-37 BALLOT APPROVED OFFERINGS INFORMATION L.J. HART & COMPANY Full r name and full 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.* * L.J. Hart & Company was fully reimbursed by the campaign committee or the r for all of its in-kind contributions to each of these bond ballot measures. Full Issuer Name Full Issue Description Contributor Category Reportable Date of Selecton Dated Date 1 Perry County 32 School, Missouri $9,500,000 Lease Certificates of Participation, Series /14/2017 3/27/ Normandy Schools Collaborative of St. Louis County, Missouri $8,000,000 General Obligation Bonds, Series 2018 (Missouri Direct Deposit Program) 11/10/2016 3/29/2018