CITY OF HAWARDEN REGULAR CITY COUNCIL ...5/23/2018 51734 CITY OF HAWARDEN HITEC REFUNDS APPLIED $...

CITY OF HAWARDEN REGULAR CITY COUNCIL MEETING AGENDA

Hawarden City Hall – Council Chambers Room Wednesday, May 23, 2018 at 5:30 p.m.

Standard Agenda Items

1a. Approval of May 9, 2018 Council Meeting Minutes. 1b. Approval of May 23, 2018 Claims for Payment1c. Open business from the Community (limited to a maximum of 5 minutes per item). 2a. Mayor’s Report 2b. Council Comments 2c. Staff Reports/Discussion

Other Agenda Items

3. Quarterly Hospital Update – Jason Pullman

4. a. Public Hearing on vacating alley and authorizing the final disposition of real estate to Jon Coyle.b. Resolution 2018-17 vacating alley and authorizing the final disposition of real estate. (RC Vote)

5. a. Public Hearing for FY2017-2018 Budget Amendment.b. Resolution 2018-18 Approval of FY2017-2018 Budget Amendment. (RC Vote)

6. Approval of D.A. Davidson Municipal Advisor Services Agreement for the Waste Water Project.(Voice Vote)

7. Consent Agenda:a. Request from Brian Engleman, dba Sportsman’s Lanes & Lounge, for a Liquor License Transfer to Hawarden Community Center on Sat., June 2, 2018

8. Closed Session pursuant to Iowa Code Section 388.9 to discuss marketing, and pricing strategies and proprietary information where the competitive position would be harmed by public disclosures not required of competitors and no public purpose is served by disclosure.

9. Adjournment

Next regular council meeting June 13, 2018

UNAPPROVED MINUTES REGULAR CITY COUNCIL MEETING

HAWARDEN CITY HALL – COUNCIL CHAMBERS

Wednesday, May 9, 2018 at 5:30 p.m.

The Council Meeting was called to order at 5:30 p.m.

Present: Mayor Porter; Council Members: Kurth, Bergsma, Klocke, Feldhacker, Olson

Absent: None

Staff Present: Mike DeBruin, City Administrator/City Clerk; Tom Kane, Public Works Director;

Pam Wakeman, Finance Officer; Corey Utech, Chief of Police; Jim Pickner, City Attorney

Absent: None

Standard Agenda Items

1a. Approval of April 25, 2018 Regular Council Meeting Minutes.

Moved by Feldhacker/Bergsma to approve April 25, 2018 Regular Council Meeting Minutes.

Motion carried 5-0.

1b. Approval of Claims for Payment.

Moved by Kurth/Olson to approve the May 9, 2018 Claims for Payment. Motion carried 5-0.

1c. Open Business from the Community was held.

2a. Mayor’s Report was given.

2b. No Council Comments were given.

2c. Staff Reports were given.

Pam Wakeman left the meeting at 5:45 p.m.

Agenda Items

Item 3. Resolution 2018-16 A resolution proposing to vacate alley and thereafter sell the

vacated alley to Jon Coyle, directing publication of notice and setting date of hearing on

May 23, 2018 on proposal.

Moved by Feldhacker/Bergsma to approve.

Aye: Kurth, Klocke, Feldhacker, Bergsma, Olson Nay: None

Motion carried 5-0.

Item 4. Presentation of FY2018 Budget Amendment and Set Public Hearing on Budget

Amendment for May 23, 2018 and Publish Public Hearing Notice.

Moved by Olson/Kurth to approve.

Aye: Feldhacker, Olson, Bergsma, Klocke, Kurth Nay: None

Motion carried 5-0.

Item 5. Quote on replacing the sidewalks on the north and east side of the Old City Hall,

otherwise known as 725 Central Avenue.

Moved by Klocke/Kurth to approve.

Motion carried 5-0.

Item 6. Resolution 2018-17 A resolution obligating funds from the Urban Renewal Tax

Revenue Fund for appropriation to the payment of annual appropriation tax increment

financed obligations which shall come due in the next succeeding fiscal year.

Moved by Olson/Feldhacker to table this indefinitely.

Motion carried 5-0.

Item 7. Consent Agenda:

a. Request from Brian Engleman dba Sportsman’s Lanes & Lounge for a Liquor

License Transfer to Hawarden Community Center on Sat., May 19, 2018.

b. Request from Eagles Club #1865 for a Liquor License Transfer to Hawarden

Community Center on Sat., May 26, 2018.

c. Request from Brian Engleman dba Hawarden Golf Clubhouse for renewal of

Class C Liquor License with Outdoor Service & Sunday Sales, effective May 26,

2018 through May 25, 2019.

Moved by Feldhacker/Bergsma to approve.

Motion carried 5-0.

Item 8. Adjournment.

The next regular City Council Meeting will be Wednesday, May 23, 2018 @ 5:30 p.m.

Moved by Feldhacker/Kurth to adjourn the meeting.

Motion carried 5-0.

Meeting adjourned at 5:58 p.m.

___________________________

Ricard R. Porter, Mayor

ATTEST:

________________________________________

Michael DeBruin, City Administrator/City Clerk

CITY OF HAWARDEN

COUNCIL MEETING

MAY 23, 2018

CLAIMS REPORT

DATE CHECK VENDOR REFERENCE AMOUNT

5/23/2018 ACH CITY OF HAWARDEN PAYROLL 74,561.70$

5/8/2018 51711 INDEPENDENCE WASTE RESIDENTIAL COLLECTION 10,679.41$

5/8/2018 51712 UNITED PARCEL SERVICE SHIPPING 56.01$

5/8/2018 51713 VERIZON CELL SVC 230.22$

5/18/2018 51714 thru CITY OF HAWARDEN PAYROLL -$

5/18/2018 51718 CITY OF HAWARDEN PAYROLL -$

5/18/2018 51719 ICMA-RC 457- ICMA 2,000.00$

5/18/2018 51720 FLEX PLAN URM/FLEX PLAN 1,479.44$

5/18/2018 51721 WADDELL & REED 457- W&R 700.00$

5/18/2018 51722 CHILD SUPPORT PAYMENT CTR GARNISHMENTS 398.28$

5/18/2018 51723 AFSCME/IOWA COUNCIL 61 UNION DUES 376.60$

5/18/2018 51724 SIOUX COUNTY SHERIFF VOID -$

5/23/2018 51726 AIRGAS USA LLC OXYGEN 48.65$

5/23/2018 51727 ARTISAN PRESS ENVELOPES 447.50$

5/23/2018 51728 AUREON NETWORK SERVICES CALENA 111.72$

5/23/2018 51729 BOOTH PHARMACY INC SUPPLIES 57.55$

5/23/2018 51730 BORDER STATES ELEC SUPPLY SILICONE 69.27$

5/23/2018 51731 BOUND TREE MEDICAL LLC AIRWAY KIT 294.64$

5/23/2018 51732 RICK BRONKHORST JURY DUTY MILEAGE REIM 19.80$

5/23/2018 51733 CATALYST SOLUTIONS INC TECH SERVICES 2,073.20$

5/23/2018 51734 CITY OF HAWARDEN HITEC REFUNDS APPLIED 108.78$

5/23/2018 51735 CHARLES CLARK THERMOSTAT 25.00$

5/23/2018 51736 CONSORTIA CONSULTING SERVICES 2,812.50$

5/23/2018 51737 DATA TECHNOLOGIES INC BALANCING 8,141.25$

5/23/2018 51738 DGR ENGINEERING FACILITY PLANNING 7,538.05$

5/23/2018 51739 EF RECOVERY SERVICES 25.28$

5/23/2018 51740 ENGINEERED EQUIPMENT DEHUMIDIFIER 804.60$

5/23/2018 51741 ERICSON AUTO BODY SERVICES 46.00$

5/23/2018 51742 FLOWERS BY JAN PLANT 50.00$

5/23/2018 51743 JULIE FOX REFUND 73.20$

5/23/2018 51744 GERRITSON CONSTRUCTION LLC PUMP HOUSE REMODEL 8,925.00$

5/23/2018 51745 GRAINGER INC MOTOR 727.73$

5/23/2018 51746 HAWARDEN REGIONAL HEALTHCARE LOCAL OPTION SALES TAX 23,295.36$

5/23/2018 51747 HAWKINS INC CHEMICALS 5,622.18$

5/23/2018 51748 BRAD HOFLAND CC CLEANING 175.00$

5/23/2018 51749 MARY HULLEMAN RETIREMENT BENEFIT 488.68$

5/23/2018 51750 IOWA CITY/COUNTY MANAGEMENT MEMBERSHIP 120.00$

5/23/2018 51751 IOWA INFORMATION INC ADVERTISING 37.50$

5/23/2018 51752 IOWA ONE CALL EMAIL LOCATES 28.90$

5/23/2018 51753 STEVE LERDAL UTILITY REFUND 50.68$

5/23/2018 51754 L.G. EVERIST INC ROCK 2,248.97$

5/23/2018 51755 MANGOLD ENVIRONMENTAL LAB FEES 640.00$

5/23/2018 51756 MIDWEST ALARM COMPANY INC ALARM 309.75$

5/23/2018 51757 MOW & GLOW LAWN & FLOOR CARE SERVICES 1,142.00$

5/23/2018 51759 MUNICIPAL UTILITIES UTILITIES 7,166.45$

5/23/2018 51760 NEXSTAR BROADCASTING INC TV PROGRAMMING COST 4,282.20$

5/23/2018 51761 OLSONS PEST TECHNICIANS PEST CONTROL 218.33$

5/23/2018 51762 MISTI OSTERKAMP OVERPAYMENT 5.00$

5/23/2018 51763 PHYSICIANS CLAIMS COMPANY BILLING 786.57$

5/23/2018 51764 SHELL FUEL 2,504.30$

5/23/2018 51765 RIVERS EDGE BANK LOAN PYMTS 115,189.48$

5/23/2018 51766 ROOTX SUPPLIES 1,341.62$

5/23/2018 51767 ROVI GUIDES INC TV PROGRAMMING COST 573.84$

5/23/2018 51768 SCOTTS ELECTRIC PLUMBING SUPPLIES 4,516.94$

5/23/2018 51769 SD MYERS LLC TESTING 1,509.00$

5/23/2018 51770 THE SIOUX CITY JOURNAL RENEWAL 310.31$

5/23/2018 51771 SIOUXLAND DISTRICT HEALTH DEPT LAB FEES 52.00$

5/23/2018 51772 SIOUXLAND OUTDOOR POWER CO PARTS 239.99$

5/23/2018 51773 SMITH ELECTRIC SUPPLIES 97.59$

5/23/2018 51774 SPARTAN MOTORS USA INC REPAIRS 4,330.50$

5/23/2018 51775 SRC OVERHEAD DOORS REPAIR 45.00$

5/23/2018 51776 SUBSCRIBER TECHNOLOGIES INC TV PROGRAMMING COST 225.00$

5/23/2018 51777 TRANSOURCE PARTS SWEEPER 7,237.66$

5/23/2018 51778 UNITYPOINT CLINIC DRUG TESTING 168.00$

5/23/2018 51779 UNITED PARCEL SERVICE SHIPPING 12.27$

5/23/2018 51780 UTILITY EQUIPMENT COMPANY SUPPLIES 13.37$

5/23/2018 51781 WELLS FARGO VENDOR FIN SER LLC COPIER LEASE 233.86$

5/23/2018 51782 WESCO RECEIVABLES CORP CODE BOOK 374.20$

5/23/2018 51783 PRINTING ERROR VOID -$

5/23/2018 51784 OFFICE OF RURAL HEALTH / EMS AMB LICENSE 12.00$

5/23/2018 51785 JOHN DEERE FINANCIAL SUPPLIES 1,174.60$

5/18/2018 11140740 IPERS IPERS - CITY 14,689.33$

5/18/2018 11140741 WELLMARK GROUP 125 - FAM 29,443.58$

5/18/2018 11140742 AFLAC PRE TAX INS PRE 678.54$

5/18/2018 11140743 EFTPS FED/FICA TAX 11,566.02$

5/18/2018 11140744 IOWA DEPT OF REVENUE STATE TAX 4,031.00$

5/23/2018 11140745 CLAYTON ENERGY CORPORATION GAS PURCHASE 29,235.73$

5/23/2018 11140746 MISSOURI RIVER ENERGY SVCS PURCHASED POWER 66,028.22$

5/23/2018 11140747 TREASURER STATE OF IOWA SALES TAX 2,552.00$

5/23/2018 11140748 TREASURER STATE OF IOWA 720 EXCISE TAX 308.43$

5/23/2018 11140749 TREASURER STATE OF IOWA SALES TAX 10,005.00$

***** REPORT TOTAL ***** 478,198.33$

MONTH YEAR

ELECTRIC (security lights) NO. KWH DOLLARS TAXES TO DATE TO DATE

RESIDENTIAL 1,015 1,000,925 89,974.70$ 930.49$ 90,905.19$ 923,909.67$

*MISC CHARGES 1,230.00$ 84.00$ 1,314.00$ 13,181.45$

COMMERCIAL 186 402,187 39,121.84$ 2,556.84$ 41,678.68$ 437,377.88$

*MISC CHARGES 175.00$ 12.25$ 187.25$ 1,257.25$

INDUSTRIAL/INTERRUPTIBLE 15 280,609 26,804.62$ 1,074.62$ 27,879.24$ 343,761.40$

*MISC CHARGES -$ -$ -$ 53.50$

INTERDEPARTMENTAL 67 221,023 12,236.48$ -$ 12,236.48$ 129,245.16$

*MISC CHARGES -$ -$ -$ -$

PUBLIC AUTHORITY 9 90,261 8,088.18$ -$ 8,088.18$ 87,261.68$

PENALTY 196.97$ -$ 196.97$ 2,479.68$

MISC SALES -$ -$ -$ -$

WIND ENERGY 7 30.00$ 0.30$ 30.30$ 303.00$

TOTAL 1,299 1,995,005 177,857.79$ 4,658.50$ 182,516.29$ 1,938,830.67$

MONTH YEAR

GAS NO. CCF DOLLARS TAXES TO DATE TO DATE

RESIDENTIAL 870 81,036 69,511.01$ 698.15$ 70,209.16$ 604,875.85$

*MISC CHARGES -$ -$ -$ 26.75$

COMMERCIAL 114 21,153 17,609.55$ 1,232.73$ 18,842.28$ 167,118.60$


INDUSTRIAL/INTERRUPTIBLE 9 12,181 9,859.61$ 484.85$ 10,344.46$ 117,352.09$



PUBLIC AUTHORITY *** 6 6,473 5,252.53$ -$ 5,252.53$ 55,893.48$

PENALTY 121.60$ 121.60$ 617.71$

MISC SALES -$

TOTAL 1,014 128,382 108,494.41$ 2,415.73$ 110,910.14$ 1,005,997.20$

MONTH YEAR

WATER NO. CF DOLLARS TAXES TO DATE TO DATE

RESIDENTIAL 997 519,800 21,332.60$ 1,492.26$ 22,824.86$ 251,792.71$

COMMERCIAL 122 129,504 3,678.50$ 243.85$ 3,922.35$ 45,414.57$

INDUSTRIAL/INTERRUPTIBLE 8 32,500 660.96$ 46.27$ 707.23$ 10,493.10$

INTERDEPARTMENTAL 11 8,500 290.25$ 290.25$ 6,940.89$

PUBLIC AUTHORITY 6 13,700 345.33$ 345.33$ 7,589.97$

PENALTY 22.51$ 22.51$ 245.66$

MISC SALES -$ -$ -$

TOTAL 1,144 704,004 26,330.15$ 1,782.38$ 28,112.53$ 322,476.90$

BILLING REPORT

APRIL 2018

MONTH YEAR

SEWER RENTAL NO. DOLLARS TAXES TO DATE TO DATE

RESIDENTIAL 1,084 20,180.54$ -$ 20,180.54$ 210,302.90$

NON RESIDENTIAL 116 2,914.76$ 185.32$ 3,100.08$ 34,735.15$

CONTRACT -$ -$ -$ -$

PENALTY 21.41$ 21.41$ 229.56$

MISC SALES -$ -$

TOTAL 1,200 23,116.71$ 185.32$ 23,302.03$ 245,267.61$

MONTH YEAR

GARBAGE COLLECTIONS NO. DOLLARS TAXES TO DATE TO DATE

RESIDENTIAL 1,051 14,459.07$ -$ 14,459.07$ 144,726.43$


NON RESIDENTIAL 118 375.52$ 23.52$ 399.04$ 4,007.63$

PENALTY 26.80$ 26.80$ 282.14$

MISC SALES -$ -$ -$

TOTAL 1,169 14,861.39$ 23.52$ 14,884.91$ 149,016.20$

HITEC COMMUNICATIONS MONTH YEAR

PHONE NO. DOLLARS TAXES TO DATE TO DATE

RESIDENTIAL 352 15,053.50$ 15,053.50$ 112,036.08$

NON RESIDENTIAL 304 7,007.42$ 7,007.42$ 107,596.21$

HITEC LONG DISTANCE 326 2,499.25$ 2,499.25$ 24,831.11$

SPECIAL ADJUSTMENTS 848.25$ 848.25$ 7,369.65$

FEDERAL TAX -$ 453.14$ 453.14$ 4,636.56$

STATE SALES TAX -$ 1,168.43$ 1,168.43$ 11,903.89$


TOTAL 982 25,408.42$ 1,621.57$ 27,029.99$ 268,373.50$

CABS BILLED ----- 2,434.50$ 2,434.50$ 25,551.55$

CABS RECEIVED ----- 2,504.51$ 2,504.51$ 21,030.59$

MONTH YEAR

CABLE NO. DOLLARS TAXES TO DATE TO DATE

INTERNET 1163 43,948.19$ 43,948.19$ 423,902.25$

LOCAL PACKAGE 47 1,360.65$ 1,360.65$ 13,676.80$

BASIC SERVICE 647 37,370.06$ 37,370.06$ 332,890.91$

SHOWTIME PACKAGE 15 225.00$ 225.00$ 2,492.24$

MOVIE CHANNEL (CINAMAX) 9 90.00$ 90.00$ 935.80$

STARZ 6 90.00$ 90.00$ 900.00$

HBO 13 280.00$ 280.00$ 2,720.00$

CONVERTER BOX 1 4.00$ 4.00$ 40.00$

MISC REV (OTHER CHG & CR) 0 -$ -$ 50.00$

PAY-PER-VIEW 0 -$ -$ -$

FRANCHISE FEE 636 2,130.53$ 2,130.53$ 19,230.99$

EQUIPMENT REVENUE 62 930.29$ 930.29$ 9,621.96$

DIGITAL BASIC SERVICE 63 2,003.06$ 2,003.06$ 18,617.73$

DIGITAL SHOWTIME 4 60.00$ 60.00$ 659.03$

DIGITAL CINEMAX 3 30.00$ 30.00$ 300.00$

DIGITAL HBO 8 160.00$ 160.00$ 1,658.71$

STATE SALES TAX 2,982.22$ 2,982.22$ 26,919.45$

TOWER LEASE SPACE 650.00$ 650.00$ 6,000.00$

MISC SALES -$ -$ $0.00 -$

TOTAL 2677 89,331.78$ 2,982.22$ 92,314.00$ 860,615.87$

MONTH YEAR

NO. DOLLARS TAXES TO DATE TO DATE

MISC SALES -$ -$ -$

TOTAL 0 -$ -$ -$ -$

MONTH YEAR

MISCELLANEOUS CHARGES NO. DOLLARS TAXES TO DATE TO DATE

PS-PROJECT SHARE 4 27.00$ -$ 27.00$ 290.32$

PT-PET SERVICE 0 -$ -$ -$ -$

MISC -$ -$ -$ -$

TOTAL 27.00$ -$ 27.00$ 290.32$

GRAND TOTAL 467,862.15$ 13,669.24$ 481,531.39$ 4,816,419.82$

MONTH YEAR

ELECTRIC (security lights) NO. KWH DOLLARS TAXES TO DATE TO DATE

RESIDENTIAL 1,034 901,153 82,642.20$ 895.08$ 83,537.28$ 910,299.87$

*MISC CHARGES 1,480.00$ 103.60$ 1,583.60$ 14,384.05$

COMMERCIAL 182 419,743 40,087.92$ 2,678.03$ 42,765.95$ 453,073.90$

*MISC CHARGES 125.00$ 8.75$ 133.75$ 1,075.35$

INDUSTRIAL/INTERRUPTIBLE 14 377,967 33,171.89$ 1,106.48$ 34,278.37$ 387,043.37$

*MISC CHARGES -$ -$ -$ 26.75$


*MISC CHARGES -$ -$ -$ 27.52$

PUBLIC AUTHORITY 9 102,991 9,179.52$ -$ 9,179.52$ 97,320.01$

PENALTY 244.51$ -$ 244.51$ 2,486.66$


WIND ENERGY 7 0 30.00$ 0.30$ 30.30$ 311.08$

TOTAL 1,311 2,025,707 179,113.89$ 4,792.24$ 183,906.13$ 1,980,951.43$

MONTH YEAR

GAS NO. CCF DOLLARS TAXES TO DATE TO DATE

RESIDENTIAL 880 55,999 51,126.72$ 512.13$ 51,638.85$ 459,358.71$

*MISC CHARGES -$ -$ -$ 5.35$

COMMERCIAL 116 18,163 15,656.44$ 1,092.67$ 16,749.11$ 129,251.59$


INDUSTRIAL/INTERRUPTIBLE 9 10,910 9,167.04$ 388.55$ 9,555.59$ 83,075.45$



PUBLIC AUTHORITY *** 6 3,441 2,903.94$ -$ 2,903.94$ 32,262.27$

PENALTY 98.83$ 98.83$ 550.63$

MISC SALES -$

TOTAL 1,026 93,527 83,215.66$ 1,993.35$ 85,209.01$ 740,523.93$

MONTH YEAR

WATER NO. CF DOLLARS TAXES TO DATE TO DATE

RESIDENTIAL 1,004 528,200 21,500.45$ 1,503.12$ 23,003.57$ 256,425.90$

COMMERCIAL 122 145,300 4,000.36$ 270.93$ 4,271.29$ 50,105.03$

BULK WATER SALES 0 0 -$ -$ -$ 735.44$

INDUSTRIAL 8 46,600 967.14$ 67.70$ 1,034.84$ 13,739.51$

INTERDEPARTMENTAL 11 6,400 261.36$ 261.36$ 7,306.39$

PUBLIC AUTHORITY 6 68,200 1,375.38$ 1,375.38$ 18,658.35$

PENALTY 25.82$ 25.82$ 248.37$

MISC SALES -$

TOTAL 1,151 794,700 28,130.51$ 1,841.75$ 29,972.26$ 347,218.99$

BILLING REPORT

APRIL 2017

MONTH YEAR

SEWER RENTAL NO. DOLLARS TAXES TO DATE TO DATE

RESIDENTIAL 975 20,283.02$ -$ 20,283.02$ 211,862.34$

NON RESIDENTIAL 116 3,554.39$ 200.14$ 3,754.53$ 40,783.62$

CONTRACT -$ -$ -$ -$

PENALTY 24.12$ 24.12$ 214.79$

MISC SALES -$ -$

TOTAL 1,091 23,861.53$ 200.14$ 24,061.67$ 252,860.75$

MONTH YEAR

GARBAGE COLLECTIONS NO. DOLLARS TAXES TO DATE TO DATE

RESIDENTIAL 1,053 14,487.94$ -$ 14,487.94$ 145,499.03$


NON RESIDENTIAL 115 356.15$ 23.12$ 379.27$ 3,799.64$

PENALTY 25.00$ 25.00$ 186.91$

MISC SALES -$ -$ -$

TOTAL 1,168 14,869.09$ 23.12$ 14,892.21$ 149,485.58$

HITEC COMMUNICATIONS MONTH YEAR

PHONE NO. DOLLARS TAXES TO DATE TO DATE

RESIDENTIAL 382 10,192.01$ 10,192.01$ 94,307.33$

NON RESIDENTIAL 310 12,793.48$ 12,793.48$ 138,023.31$

HITEC LONG DISTANCE 348 2,658.03$ 2,658.03$ 25,401.50$

SPECIAL ADJUSTMENTS 604.42$ 604.42$ 3,131.36$

FEDERAL TAX -$ 484.48$ 484.48$ 4,896.62$

STATE SALES TAX -$ 1,241.64$ 1,241.64$ 12,405.61$

MISC SALES -$ -$ -$ 22,256.00$

TOTAL 1040 26,247.94$ 1,726.12$ 27,974.06$ 300,421.73$

CABS BILLED ----- 3,353.01$ 3,353.01$ 38,796.35$

CABS RECEIVED ----- 1,170.00$ 1,170.00$ 31,490.18$

MONTH YEAR

CABLE NO. DOLLARS TAXES TO DATE TO DATE

INTERNET 1168 42,150.25$ 42,150.25$ 413,991.32$

LOCAL PACKAGE 52 1,401.40$ 1,401.40$ 11,366.70$

BASIC SERVICE 630 34,013.36$ 34,013.36$ 295,652.97$

SHOWTIME PACKAGE 19 233.23$ 233.23$ 2,865.96$

MOVIE CHANNEL (CINAMAX) 10 100.00$ 100.00$ 1,094.67$

STARZ 6 90.00$ 90.00$ 1,009.82$

HBO 13 247.74$ 247.74$ 2,948.17$

CONVERTER BOX 1 4.00$ 4.00$ 40.00$

MISC REV (OTHER CHG & CR) 0 -$ -$ 50.00$

PAY-PER-VIEW 0 -$ -$ -$

FRANCHISE FEE 682 1,965.63$ 1,965.63$ 17,252.77$

EQUIPMENT REVENUE 67 998.64$ 998.64$ 9,959.19$

DIGITAL BASIC SERVICE 68 1,948.31$ 1,948.31$ 17,175.20$

DIGITAL SHOWTIME 5 75.00$ 75.00$ 933.32$

DIGITAL CINEMAX 3 30.00$ 30.00$ 300.00$

DIGITAL HBO 8 160.00$ 160.00$ 1,597.33$

STATE SALES TAX -$ 2,751.12$ 2,751.12$ 24,165.74$

TOWER LEASE SPACE 550.00$ 550.00$ 5,500.00$

MISC SALES -$ -$ $0.00 -$

TOTAL 2732 83,967.56$ 2,751.12$ 86,718.68$ 805,903.16$

MONTH YEAR

NO. DOLLARS TAXES TO DATE TO DATE

MISC SALES -$ -$ -$

TOTAL 0 -$ -$ -$ -$

MONTH YEAR

MISCELLANEOUS CHARGES NO. DOLLARS TAXES TO DATE TO DATE

PS-PROJECT SHARE 6 62.00$ -$ 62.00$ 670.00$

PT-PET SERVICE 0 -$ -$ -$ -$

MISC -$ -$ -$ -$

TOTAL 62.00$ -$ 62.00$ 670.00$

GRAND TOTAL 442,821.19$ 13,327.84$ 456,149.03$ 4,616,831.92$

RESOLUTION No. 2018-17

VACATING ALLEY AND AUTHORIZING THE FINAL DISPOSITION OF REAL ESTATE

Re: Re: That Portion of the Twenty-Five Foot (25’) Alley Running East and West and Lying South of and

Adjacent to LS 11 & 12 S 60’ BLK 26 WESTERN TOWN LOT COMPANY’S 2ND ADDITION and

North of and Adjacent to LS9&10 BLK 26 WESTERN TOWN LOT COMPANY'S 2ND now a part of the

Incorporated City of Hawarden, Iowa

WHEREAS, The City of Hawarden is the owner of the property legally described above and has

determined that ownership of this property is of no use to the public and the disposition of such property would

be in the best interest of the City and citizens of Hawarden; and,

WHEREAS, The City Council on May 09, 2018 adopted Resolution 2018-16 proposing to vacate and

sell this property to Jon Coyle upon the following proposed terms and conditions:

1. The property is sold by quit claim deed and no abstract shall be provided by the City of Hawarden;

2. The environmental condition of the site is unknown, and the property is being sold “AS IS” as vacant

property;

3. The price of the property is $1,050.00;

4. The purchaser of the property is responsible for all costs of advertising and all recording fees and

expenses associated with vacating the alley and conveying title;

WHEREAS, notice was published in the Hawarden Independent, a weekly newspaper published in

Hawarden, Iowa not less than four nor more than twenty days prior to the hearing date; and,

WHEREAS, at the public hearing on May 23, 2018 at 5:30 p.m. or shortly thereafter, in the Hawarden

City Council Chambers, the matter being considered and there being no objections, written or oral to the

vacation and sale and the Council having considered the proposal and the value and usefulness of the property

to the public, and having reviewed the quit deed prepared by the City Attorney finds that the property should be

vacated and that the vacation and sale is in the best interests of the City and the alley area is hereby vacated and

the sale is approved upon the terms proposed.

NOW, THEREFORE, BE IT RESOLVED by the City Council of Hawarden, Iowa that

the vacation of the property and its sale upon the terms presented is hereby approved and the

Mayor and City Administrator/Clerk are authorized and directed to execute and deliver any

documentation and take any other steps necessary to establish the public record vacating the

alley and to complete the sale.

Passed and approved this 23rd day of May 2018.

Attest:

_____________________________________ ______________________________

Michael DeBruin, City Administrator/ Clerk Ricard R. Porter, Mayor

Sioux County, IA

Developed byThe Schneider Corporation

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HAWARDEN

Alternate ID 026100Class RAcreage n/a

Owner Address COYLE, JON E. 1113 AVE I

HAWARDEN IA 51023

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515 East Locust Street, Suite 200 | Des Moines, Iowa 50309 | 515.471.2700 | 800.642.5082 | FAX 515.471.2702 davidsoncompanies.com/ficm

April 27, 2018 Mike DeBruin, City Administrator/Clerk City of Lehigh 241 Elm Street Hawarden, Iowa 50557 Re: Municipal Advisor Services Agreement

Dear Mr. DeBruin:

On behalf of D.A. Davidson & Co. (“we” or “D.A. Davidson”), we wish to thank you for the opportunity to serve as municipal advisor to the City of Hawarden, Iowa (“you” or “Client”), with respect to the financial analysis services relating to the Sewer Utility System (the “Loan”). Upon your acceptance, this engagement letter (the “Agreement”) will serve as our mutual agreement with respect to the terms and conditions of our engagement as your municipal advisor with respect to such services effective on the date this Agreement is executed by you (the “Effective Date”).

1. Scope of Municipal Advisor Services to be Provided by D.A. Davidson. (a) You hereby engage D.A. Davidson to serve as municipal advisor with respect to the proposed issuance of the Securities, and in such capacity D.A. Davidson agrees to provide advice as to the structure, timing, terms and other matters regarding the Financing, including the following services, if and as requested by you (the “Scope of Services”):

Item 1 – Identification of Project Goals

Identify objectives, issues and concerns of City. Discuss the overall goals and objectives of the engagement. Develop an outline of the objectives, timelines and deliverables. Discuss any other issues and concerns related to the engagement. Discuss and define City’s role and responsibilities.

Item 2 – Data Collection

Review and assess the City’s existing System’s data (including audited financial statements, budgets, capital improvement plan, statistical and customer data).

Work with Staff to articulate the data needed and review data as it becomes available. Review and assess data provided by the System for utilization in the engagement.

Item 3 – Review Existing Financial/Rate Setting Policies and Philosophies

Gather and review existing written or informal policies (minimum reserve levels, debt service coverage ratios, minimum funding for renewal and replacement).

Determine industry best practices based on “generally accepted” financial/rate policies and median statistical data from credit agencies for various financial policies and other benchmarks.

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Propose and recommend, as deemed appropriate, any suggested modifications to the existing policies or formalize existing policies where it is deemed appropriate.

Work with staff to articulate and determine appropriate financial policies for the Systems.

Articulate and outline new formal and informal financial and rate setting policies, philosophies and practices.

Item 4 – Financial Analysis

Gather and review existing financial data including audited financial statements and schedules, unaudited financial statements and schedules, and approved operating and capital improvement plan budgets.

Review existing and projected rates and charges for all user classes. Obtain and review the consumption by classification or category. Review outstanding debt of the System. Identify appropriate credit quantitative benchmarks such as debt service coverage ratio,

debt to plant, days cash on hand and operating ratio. Obtain debt schedules and loan documents for any revenue bonds. Obtain and review internal revenues and expense reports along with detailed cash

balances report. Review various sources of revenue and compare them to the application of funds

(expenses). Identify and articulate funding sources for the various capital projects either through

rates and revenues versus long‐term debt. Review and articulate the various long‐term debt options such as revenue bonds or SRF

loans. Provide required analysis to the Iowa Finance Authority for authorization of SRF loans.

Under Municipal Securities Rulemaking Board (“MSRB”) Rule G‐23, D.A. Davidson will not be able to serve as underwriter or placement agent for any notes, bonds or other securities to be issued and sold as part of the Financing. D.A. Davidson is registered as a municipal advisor with the Securities Exchange Commission and MSRB.

(b) The Scope of Services is subject to the following limitations:

(i) The Scope of Services is limited solely to the services described above and is subject to any limitations set forth within the description of the Scope of Services.

(ii) The Scope of Services does not include tax, legal, accounting or engineering advice with respect to the Financing or in connection with any opinion or certificate rendered by counsel or any other person at closing, and does not include review or advice on any feasibility study.

(c) Amendment to Scope of Services. The Scope of Services may be changed only by written amendment or supplement to the Scope of Services described herein. The parties agree to amend or supplement the Scope of Services described herein promptly to reflect any material changes or additions to the Scope of Services.

2. Municipal Advisor’s Regulatory Duties When Servicing You. MSRB Rule G‐42 requires that D.A. Davidson make a reasonable inquiry as to the facts that are relevant to your determination

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whether to proceed with a course of action with a course of action or that form the basis for and advice provided by D.A. Davidson to you. The rule also requires that D.A. Davidson undertake a reasonable investigation to determine that it is not basing any recommendation on materially inaccurate or incomplete information. D.A. Davidson is also required under the rule to use reasonable diligence to know the essential facts about Client and the authority of each person acting on your behalf.

You agree to cooperate, and to cause your agents to cooperate, with D.A. Davidson in carrying out these regulatory duties, including providing to D.A. Davisson accurate and complete information and reasonable access to relevant documents, other information and personnel needed to fulfill such duties. In addition, you agree that, to the extent you seeks to have D.A. Davidson provide advice with regard to any recommendation made by a third party, you will provide to D.A. Davidson written direction to do so as well as any information you have received from such third party relating to its recommendation.

3. Compensation. (a) For its Services, D.A. Davidson will charge a sum of eight thousand dollars ($8,000) without a written agreement signed by the parties. Such sums include travel related expenses which will not be billed to you separately. If additional services are requested by you, D.A. Davidson will prepare and submit to you an estimate of the total cost associated with such additional services. You will review and approve in writing such cost estimate for additional services and the total compensation and reimbursement to be paid by you to D.A. Davidson for such approved additional services shall not exceed the approved amount. D.A. Davidson’s fees for additional services shall be billed on an hourly basis at D.A. Davidson current standard rates, which will in no event exceed the amount approved by you in writing for such additional services. D.A. Davidson’s current hourly rates are $250 for a Senior Vice President.

(b) D.A. Davidson will submit bills to the Client for Services rendered upon completion of services rendered.

4. Out‐of‐Pocket Expenses. D.A. Davidson shall be responsible for any costs it may incur in the performance of its obligations under this Agreement unless otherwise provided herein

5. Term and Termination. The term of this Agreement shall extend from the Effective Date to October 27, 2018. Notwithstanding the forgoing, either party may terminate D.A. Davidson’s engagement at any time without liability or penalty upon at least 30 days’ prior written notice to the other party.

6. Limitation of Liability. In the absence of willful misconduct, bad faith, gross negligence or reckless disregard of obligations or duties hereunder on the part of D.A. Davidson or any of its associated persons, D.A. Davidson and its associated persons shall have no liability to you for any act or omission in the course of, or connected with, rendering services hereunder, or for any error of judgment or mistake of law, or for any loss arising out of any issuance of municipal securities, any municipal financial product or any other investment, or for any financial or other damages resulting from your election to act or not to act, as the case may be, contrary to any advice or recommendation provided by D.A. Davidson to you. No recourse shall be had against D.A. Davidson for loss, damage, liability, cost or expense (whether direct, indirect or consequential) of yours arising out of or in defending, prosecuting, negotiating or responding to any inquiry, questionnaire, audit, suit, action, or other proceeding brought or received from the Internal Revenue Service in connection with the Bonds or otherwise relating to the tax treatment of the Bonds, or in connection with any opinion or certificate rendered by counsel or any other party. Notwithstanding the foregoing, nothing contained in this paragraph or elsewhere in this Agreement shall constitute a waiver by you of any of your legal rights under applicable U.S. federal

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securities laws or any other laws whose applicability is not permitted to be contractually waived, nor shall it constitute a waiver or diminution of D.A. Davidson’s fiduciary duty to you under Section 15B(c)(1) of the Securities Exchange Act of 1934, as amended, and the rules thereunder.

7. Required Disclosures. MSRB Rule G‐42 requires that D.A. Davidson provide you with disclosures of material conflicts of interest and of information regarding certain legal events and disciplinary history. Such disclosures are provided in D. A. Davidson’s Municipal Advisor Disclosure Statement delivered to you together with this Agreement.

D.A. Davidson is registered as a municipal advisor with the U.S. Securities and Exchange Commission (“SEC”) and the MSRB, and is subject to the regulations and rules on municipal securities activities established by the SEC and MSRB. The website address for the MSRB is www.msrb.org. The MSRB website includes educational material about the municipal securities market, as well as a municipal advisory client brochure that describes the protections that may be provided by the MSRB rules and how to file a complaint against D.A. Davidson with the appropriate regulatory authority.

8. Waiver of Jury Trial. EACH PARTY AGREES TO WAIVE ANY RIGHT TO A TRIAL BY JURY WITH RESPECT TO ANY CLAIM, COUNTERCLAIM OR ACTION ARISING OUT OF OR IN CONNECTION WITH THIS AGREEMENT OR THE TRANSACTIONS CONTEMPLATED HEREBY OR THE RELATIONSHIP BETWEEN THE PARTIES. PARTIES AGREE TO WAIVE CONSEQUENTIAL AND PUNATIVE DAMAGES.

9. Choice of Law. This Agreement shall be construed and given effect in accordance with the laws of the state of Iowa.

10. Binding Effect; Assignment. This Agreement shall be binding upon and inure to the benefit of you and D.A. Davidson, our respective successors and permitted assigns; provided however, neither party may assign or transfer any of its rights or obligations hereunder without the prior written consent of the other party.

11. Entire Agreement. This instrument, including all appendices hereto, contains the entire agreement between the parties relating to the rights herein granted and obligations herein assumed. This Agreement may not be amended, supplemented or modified except by means of a written instrument executed by both parties.

12. Severability. If any provision of this Agreement is, or is held or deemed to be, invalid, inoperative or unenforceable as applied in any particular case in any jurisdiction or jurisdictions because it conflicts with any provisions of any constitution, statute, rule or public policy, or for any other reason, such circumstances shall not make the provision in question invalid, inoperative or unenforceable in any other case or circumstance, or make any other provision or provisions of this Agreement invalid, inoperative or unenforceable to any extent whatever.

13. No Third Party Beneficiary. This Agreement is made solely for the benefit of the parties and their respective successors and permitted assigns. Nothing in this Agreement, express or implied, is intended to confer on any person, other than the parties and their respective successors and permitted assigns, any rights, remedies, obligations or liabilities under or by reason of this Agreement.

14. Authority. The undersigned represents and warrants that he or she has full legal authority to execute this Agreement on behalf of Client. The following individuals have the authority to direct D.A. Davidson’s performance of its activities under this Agreement:

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Print Name Title Mike DeBruin City Administrator/Clerk

15. Counterparts. This Agreement may be executed in counterparts, each of which shall be an original, but which taken together, shall constitute one and the same instrument.

If there is any aspect of this Agreement that you believe requires further clarification, please do not hesitate to contact us. If the foregoing is consistent with your understanding of our engagement, please sign and return a copy of this letter.

Again, we thank you for the opportunity to assist you with the Financing and the confidence you have placed in us.

Very truly yours,

D.A.DAVIDSON & CO.

By: Name: Michael Maloney Title: Senior Vice President

This Agreement is hereby accepted for and on behalf of the City of Hawarden.

CITY OF HAWARDEN, IOWA

By: __________________________ Name: Title:

Dated:_________________, 2018

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DISCLOSURE STATEMENT OF D.A. DAVIDSON & CO. This letter is provided under Rule G-42 of the Municipal Securities Rulemaking Board (the “MSRB”) in connection with our current engagement as municipal advisor under the Agreement dated April 27, 2018 (the “Agreement”) between D.A. Davidson & Co. (“we” or “D.A. Davidson”) and the City of Hawarden, Iowa (“you” or “Client”). Rule G-42 requires that we provide you with written documentation of certain specific terms, disclosures and other items of information relating to our municipal advisory relationship with you. This letter is delivered to you in satisfaction of those requirements. 1. Scope of Services. (a) Services to be Provided. The Agreement describes our Scope of Services under our engagement with you.

(b) Limitations on Scope of Services. The Scope of Services is subject to the following limitations:

(i) The Scope of Services does not include tax, legal, accounting or engineering advice

with respect to the bonds, notes or securities (the “Securities”) covered by the Agreement or the project or facilities to be financed, or in connection with any opinion or certificate rendered by counsel or any other person at closing, and does not include review or advice on any feasibility study.

(ii) We are not responsible for preparing any preliminary or final official statement, or for

certifying as to the accuracy or completeness of any preliminary or final official statement, other than with respect to any information about D.A. Davidson provided by us for inclusion in such documents. (c) IRMA status. If Client has designated D. A. Davidson as its independent registered municipal

advisor (“IRMA”) for purposes of SEC Rule 15Ba1-1(d)(3)(vi) (the “IRMA exemption”), the Scope of Services is not deemed to be expanded to include all actual or potential issuances of municipal securities or municipal financial products merely because D. A. Davidson, as IRMA, reviews a third-party recommendation relating to a particular actual or potential issuance of municipal securities or municipal financial product not otherwise considered within the Scope of Services. D. A. Davidson is not responsible for verifying that it is “independent” (within the meaning of the IRMA exemption as interpreted by the SEC) from another party wishing to rely on the exemption from the definition of municipal advisor afforded under the IRMA exemption. D. A. Davidson requests that Client provide to it, for review, any written representation of Client contemplated under SEC Rule 15Ba1-1(d)(3)(vi)(B) that references D. A. Davidson, its personnel and its role as IRMA.

2. D. A. Davidson’s Regulatory Duties When Servicing Client. MSRB Rule G-42 requires that D. A. Davidson make a reasonable inquiry as to the facts that are relevant to Client’s determination whether to proceed with a course of action with a course of action or that form the basis for and advice provided by D. A. Davidson to Client. The rule also requires that D. A. Davidson undertake a reasonable investigation to determine that it is not basing any recommendation on materially inaccurate or incomplete information. D. A. Davidson is also required under the rule to use reasonable diligence to know the essential facts about Client and the authority of each person acting on Client’s behalf.

Accordingly, D. A. Davidson will seek Client’s assistance and cooperation, and the assistance and cooperation of Client’s agents, with the carrying out by D. A. Davidson of these regulatory duties, including providing to D. A. Davidson accurate and complete information and reasonable access to relevant documents, other information and personnel needed to fulfill such duties. In addition, to the extent Client seeks to have D. A. Davidson provide advice with regard to any recommendation made by a third party, D. A. Davidson requests that Client provide to D. A. Davidson written direction to do so as well as any information it has received from such third party relating to its recommendation.

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3. Required Disclosures. MSRB Rule G-42 requires that D. A. Davidson provide you with the following disclosures of material conflicts of interest and of information regarding certain legal events and disciplinary history.

(a) Disclosures of Conflicts of Interest. MSRB Rule G-42 requires that municipal advisors provide to their clients disclosures relating to any actual or potential material conflicts of interest, including certain categories of potential conflicts of interest identified in Rule G-42, if applicable.

Accordingly, we make the following disclosures with respect to material conflicts of interest in

connection with the Scope of Services under the Agreement, together with explanations of how we address or intend to manage or mitigate each conflict. With respect to all of the conflicts disclosed below, D. A. Davidson mitigates such conflicts through its adherence to its fiduciary duty to Client, which includes a duty of loyalty in performing all municipal advisory activities for you. This duty of loyalty obligates us to deal honestly and with the utmost good faith with you and to act in your best interests without regard to our financial or other interests. In addition, because we are a broker-dealer with significant capital due to the nature of its overall business, the success and profitability of D. A. Davidson is not dependent on maximizing short-term revenue generated from individualized recommendations to its clients but instead is dependent on long-term profitably built on a foundation of integrity, quality of service and strict adherence to our fiduciary duty. Furthermore, D. A. Davidson’s municipal advisory supervisory structure, leveraging our long-standing and comprehensive broker-dealer supervisory processes and practices, provides strong safeguards against individual representatives of D. A. Davidson potentially departing from their regulatory duties due to personal interests.

The disclosures below describe, as applicable, any additional mitigations that may be relevant

with respect to any specific conflict disclosed below. (i) Compensation-Based Conflicts. The fees due to D.A. Davidson under the Agreement

are in a fixed amount. The amount is based upon, among other things, the expected duration and complexity of the transaction and the Scope of Services to be performed by us. This form of compensation presents a potential conflict of interest because, if the transaction requires more work than originally contemplated, we may suffer a loss. This may create an incentive for us recommend less time-consuming alternatives or fail to do a thorough analysis of alternatives. In addition, the payment of our fees is contingent upon the closing of the Securities. While is customary in the municipal securities market, it may present a conflict because it could create an incentive for us to recommend financings that are unnecessary or disadvantageous to you. These conflicts are mitigated by the general mitigations described above.

(ii) Other Municipal Advisor or Underwriting Relationships. D. A. Davidson serves a wide

variety of other clients that may from time to time have interests that could have a direct or indirect impact on the interests of Client. For example, we serve as municipal advisor to other municipal advisory clients and, in such cases, owe a regulatory duty to our other clients just as we owe to you under the Agreement. These other clients may, from time to time and depending on the specific circumstances, have competing interests, such as accessing the new issue market with the most advantageous timing and with limited competition at the time of the offering. In acting in the interests of its various clients, we could potentially face a conflict of interest arising from these competing client interests. In other cases, as a broker-dealer that engages in underwritings of new issuances of municipal securities by other municipal entities, the interests of D. A. Davidson to achieve a successful and profitable underwriting for its municipal entity underwriting clients could potentially constitute a conflict of interest if, as in the example above, the municipal entities that D. A. Davidson serves as underwriter or municipal advisor have competing interests in seeking to access the new issue market with the most advantageous timing and with limited competition at the time of the offering. None of these other engagements or relationships would impair our ability to fulfill our regulatory duties to you.

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(iii) Broker-Dealer and Investment Advisory Business. D. A. Davidson is a broker-dealer and investment advisory firm that engages in a broad range of securities-related activities to service its clients, in addition to serving as a municipal advisor or underwriter. Such securities-related activities, which may include but are not limited to the buying and selling of new issue and outstanding securities and investment advice in connection with such securities, including securities issued by you, may be undertaken on behalf of, or as counterparty to, you, your personnel, and current or potential investors in the securities issued by you. These other clients may, from time to time and depending on the specific circumstances, have interests in conflict with your interests, such as when their buying or selling securities issued by you may have an adverse effect on the market for your securities, and the interests of such other clients could create the incentive for D. A. Davidson to make recommendations to you that could result in more advantageous pricing for the other clients. Any potential conflict arising from D. A. Davidson effecting or otherwise assisting such other clients in connection with such transactions is mitigated by the general mitigations described above.

(iv) Secondary Market Transactions in Client’s Securities. D. A. Davidson, in connection

with its sales and trading activities, may take a principal position in securities, including securities issued by you, and therefore we could have interests in conflict with your interests with respect to the value of your securities while held in inventory and the levels of mark-up or mark-down that may be available in connection with purchases and sales thereof. In particular, D. A. Davidson or its affiliates may submit orders for and acquire the Securities issued by you under the Agreement from members of the underwriting syndicate, either for our own account or for the accounts of our customers. This activity may result in a conflict of interest in that it could create the incentive for us to make recommendations to you that could result in more advantageous pricing of the Securities in the marketplace. Any such conflict is mitigated by the general mitigations described above.

(b) Disclosures of Information Regarding Legal Events and Disciplinary History. MSRB Rule G-

42 requires that municipal advisors provide to their clients certain disclosures of legal or disciplinary events material to its client’s evaluation of the municipal advisor or the integrity of the municipal advisor’s management or advisory personnel.

Accordingly, D. A. Davidson sets out below required disclosures and related information in

connection with such disclosures.

(i) D. A. Davidson discloses the following legal or disciplinary events that may be

material to your evaluation of D. A. Davidson or the integrity of our management or advisory personnel:

• A regulatory action disclosure filed on Form MA-I relates to the Securities and

Exchange Commission’s Order dated February 2, 2016 (SEC Admin Releases 33-10019; 34-77021) (the “MCDC Order”). The SEC MCDC Order was issued under the Division of Enforcement's Municipalities Continuing Disclosure Cooperation Initiative, and the violations referred to therein were self-reported by D.A. Davidson. Pursuant to the MCDC Order, the SEC deemed it appropriate and in the public interest that public administrative and cease-and-desist proceedings be instituted against D.A. Davidson arising for willfully violating Section 17(a)(2) of the Securities Act (an antifraud provision of the federal securities laws) in connection with Municipal Advisor’s underwriting of certain municipal securities offerings. The MCDC Order alleged that we (a) conducted inadequate due diligence in certain municipal securities offerings, (b) failed to form a reasonable basis for believing the truthfulness of certain material representations in official statements regarding compliance by issuers with their continuing disclosure undertakings, and (c) as a result, we offered and sold municipal securities on the basis of materially misleading disclosure documents. In connection with the MCDC order, we paid a $500,000 fine to the SEC. The

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MCDC Order is available at the SEC’s website https://www.sec.gov/litigation/admin/2016/33-10019.pdf.

(ii) How to Access Form MA and Form MA-I Filings. D. A. Davidson’s most recent Form

MA and each most recent Form MA-I filed with the SEC are available on the SEC’s EDGAR system at http://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=0000027182. The SEC permits certain items of information required on Form MA or MA-I to be provided by reference to such required information already filed by D. A. Davidson in its capacity as a broker-dealer on Form BD or Form U4 or as an investment adviser on Form ADV, as applicable. Information provided by D. A. Davidson on Form BD or Form U4 is publicly accessible through reports generated by BrokerCheck at http://brokercheck.finra.org, and D. A. Davidson’s most recent Form ADV is publicly accessible at the Investment Adviser Public Disclosure website at http://www.adviserinfo.sec.gov. For purposes of accessing such BrokerCheck reports or Form ADV, D. A. Davidson’s CRD number is 199.

(iii) The date of the last material change to a legal or disciplinary event disclosure on any

Form MA or Form MA-I filed by D. A. Davidson with the SEC is February 2, 2016, which change consists of the MCDC Order described above.

(c) Future Supplemental Disclosures. As required by MSRB Rule G-42, this Section 3 may be

supplemented or amended, from time to time as needed, to reflect changed circumstances resulting in new conflicts of interest or changes in the conflicts of interest described above, or to provide updated information with regard to any legal or disciplinary events of D. A. Davidson. We will provide you with any such supplement or amendment as it becomes available throughout the term of the Agreement.

Dated: April 27, 2018

D.A. Davidson & Co.

By: Title: Senior Vice President

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