0001017284-19-000007.txt : 20190312 0001017284-19-000007.hdr.sgml : 20190312 20190312164642 ACCESSION NUMBER: 0001017284-19-000007 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20190312 DATE AS OF CHANGE: 20190312 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SMITH MIDLAND CORP CENTRAL INDEX KEY: 0000924719 STANDARD INDUSTRIAL CLASSIFICATION: CONCRETE PRODUCTS, EXCEPT BLOCK & BRICK [3272] IRS NUMBER: 541727060 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60031 FILM NUMBER: 19675623 BUSINESS ADDRESS: STREET 1: ROUTE 28 STREET 2: P O BOX 300 CITY: MIDLAND STATE: VA ZIP: 22728 BUSINESS PHONE: 5404393266 MAIL ADDRESS: STREET 1: RT 28 STREET 2: PO BOX 300 CITY: MIDLAND STATE: VA ZIP: 22728 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: THOMPSON DAVIS & CO., INC. CENTRAL INDEX KEY: 0001017284 IRS NUMBER: 133848035 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 15 SOUTH 5TH STREET STREET 2: 16TH FLOOR CITY: RICHMOND STATE: VA ZIP: 23219 BUSINESS PHONE: 804-644-6380 MAIL ADDRESS: STREET 1: PO BOX 1854 STREET 2: 16TH FLOOR CITY: RICHMOND STATE: VA ZIP: 23218 FORMER COMPANY: FORMER CONFORMED NAME: NET SECURITIES CORP. DATE OF NAME CHANGE: 20020425 FORMER COMPANY: FORMER CONFORMED NAME: NET SECURITIES CORP DATE OF NAME CHANGE: 20020425 FORMER COMPANY: FORMER CONFORMED NAME: BLOOMBERG SECURITIES INC /BD DATE OF NAME CHANGE: 19961105 SC 13G/A 1 smithmidland.txt THOMPSON DAVIS & CO. SC 13G-A FILING SC 13G-A 1 smithmidland SECURITIES AND EXCHANGE COMMISSION Washing on, D.C. 20549 Schedule 13G-A Under the Securities Exchange Act of 1934 (New) Smith-Midland Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 832156103 (CUSIP Number) January 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 832156103 --------- ------------------------------------------------------------------------------ (1) Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Thompson Davis & Co., Inc., 13-3848035 ------------------------------------------------------------------------------ (2) Check the appropriate box if a member of a Group* (a) / / (b) / / ------------------------------------------------------------------------------ (3) SEC Use Only ------------------------------------------------------------------------------ (4) Citizenship or Place of Organization U.S.A. ------------------------------------------------------------------------------ Number of Shares (5) Sole Voting Power Beneficially Owned 525,033 by Each Reporting ------------------------------ Person With (6) Shared Voting Power - ------------------------------ (7) Sole Dispositive Power 525,033 ----------------------------- (8) Shared Dispositive Power - ------------------------------------------------------------------------------ (9) Aggregate Amount Beneficially Owned by Each Reporting Person 525,033 ------------------------------------------------------------------------------ (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* ------------------------------------------------------------------------------ (11) Percent of Class Represented by Amount in Row (9) 10.29% ------------------------------------------------------------------------------ (12) Type of Reporting Person* IA ------------------------------------------------------------------------------ ITEM 1(A). NAME OF ISSUER Smith-Midland Corporation ------------------------------------------------------------------------------ ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 5119 Catlett Road, PO Box 300, Midland, VA 22728 ------------------------------------------------------------------------------ ITEM 2(A). NAME OF PERSON(S) FILING Thompson Davis & Co., Inc. ------------------------------------------------------------------------------ ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE 15 S. 5th Street, Richmond, VA 23219 ------------------------------------------------------------------------------ ITEM 2(C). CITIZENSHIP U.S.A ------------------------------------------------------------------------------ ITEM 2(D). TITLE OF CLASS OF SECURITIES Common Stock ITEM 2(E). CUSIP NUMBER 832156103 ------------------------------------------------------------------------------ ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A (a) // Broker or Dealer registered under Section 15 of the Act(15 U.S.C. 78o). (b) // Bank as defined in section 3(a) (6) of the Act (15 U.S.C. 78c). (c) // Insurance Company as defined in section 3(a) (19) of the Act (15 U.S.C. 78c). (d) // Investment Company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) /X/ Investment Adviser in accordance with section 240.13d(b)(1)(ii)(E). (f) // Employee Benefit Plan or endowment fund in accordance with section 240.13d-1(b)(1)(ii)(F). (g) // Parent Holding Company or control person in accordance with section 240.13d-1(b)(1)(ii)(G). (h) // A savings association as defined in section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). (i) // A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15U.S.C. 80a-3). (j) // Non-U.S. institution, in accordance with section 240.13d-1(b)(1)(ii)(J) (k) // Group, in accordance with section 240.13d-1(b)(1)(ii)(K) ITEM 4. OWNERSHIP Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount Beneficially Owned: 525,033 ------------------------------------------------------------------------------ (b) Percent of Class: 10.29% ------------------------------------------------------------------------------ (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote 525,033 ---------------------------------------------------------------- (ii) shared power to vote or to direct the vote - ---------------------------------------------------------------- (iii) sole power to dispose or to direct the disposition of 525,033 ---------------------------------------------------------------- (iv) shared power to dispose or to direct the disposition of - ---------------------------------------------------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. // ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON Not applicable ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Not applicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not applicable ITEM 10. CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. By signing below, I further certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 1, 2019 --------------------------------------- Date --------------------------------------- Signature Peggy M. Walz CHIEF COMPLIANCE OFFICER --------------------------------------- Name/Title