FORM G-37. Name of Regulated Entity: UniBank Fiscal Advisory Services, Inc. Report Period: Third Quarter of 2016
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1 Name of Regulated Entity: UniBank Fiscal Advisory Services, Inc. Report Period: Third Quarter of 2016 I. CONTRIBUTIONS made to officials of a municipal entity (listed 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 officers, 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 (listed 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 (listed by state) A. Contribution 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 (listed by state) A. Municipal Securities Business and/or Municipal Advisory Business Municipal Securities Business Complete name of municipal entity and city/county Type of municipal securities business (negotiated underwriting, financial advisor, or remarketing agent) 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)) B. 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 31, 2016 Name: KIMBERLY MOOERS Address: 49 Church Street, Whitinsville, MA Phone: Submit to the Municipal Securities Rulemaking Board completed forms quarterly by due date (specified by the MSRB)
5 UniBank Fiscal Advisory Services, Inc. Client Activity for G 37 Reporting Period 8/17/16 9/30/16 Municipality City/County Activity Town of Dracut Middlesex MA Advice Town of Sunderland Franklin MA Advice Town of Weston Middlesex MA Advice Wilkinsonville Water District Worcester MA Advice Town of Pepperell Middlesex MA Advice Town of Mattapoisett Plymouth MA Advice Town of Georgetown Essex MA Advice Town of Georgetown Essex MA Advice Town of Barre Worcester MA Advice Town of Tisbury Dukes MA Advice Town of Great Barrington Berkshire MA Advice Town of Ashland Middlesex MA Advice Southeastern Regional Transit Authority New Bedford, Plymouth MA Advice Greater Attleboro-Taunton Regional Transit Authority Taunton, Bristol MA Advice Town of Townsend Middlesex MA Advice Pascoag Utility Department Providence RI Advice Town of Savoy Berkshire MA Advice Town of Rochester Plymouth MA Advice Town of Winchendon Worcester MA Advice Town of Millbury Worcester MA Advice Dalton Fire District Berkshire MA Advice Town of Rutland Worcester MA Advice Boston Water & Sewer Commission Boston, Suffolk MA Advice Freetown-Lakeville School District Lakeville, Plymouth MA Advice Town of Medway Norfolk MA Advice Town of Blackstone Worcester MA Advice Town of Medway Norfolk MA Advice Town of Norton Bristol MA Advice Town of Edgartown Dukes MA Advice City of Lewiston Androscoggin ME Advice Town of Sutton Worcester MA Advice Town of Alford Berkshire MA Advice Town of Auburn Worcester MA Advice Town of Lakeville Bristol MA Advice City of North Adams Berkshire MA Advice Town of Mansfield Bristol MA Advice Town of Lanesborough Berkshire MA Advice Town of Norfolk Norfolk MA Advice Town of New Salem Franklin MA Advice Town of Hopedale Worcester MA Advice Up-Island School District Dukes MA Advice City of Worcester Worcester MA Advice Town of Swansea Bristol MA Advice Town of Ludlow Hampden MA Advice Seekonk Water District Bristol MA Advice Town of Sunderland Franklin MA Advice
6 UniBank Fiscal Advisory Services, Inc. Client Activity for G 37 Reporting Period 8/17/16 9/30/16 Town of Middleborough Plymouth MA Advice Town of Middleborough Plymouth MA Advice Centerville-Osterville-Marstons Mills Fire District Barnstable MA Advice Town of Lanesborough Berkshire MA Advice Town of Deerfield Franklin MA Advice Blackstone Worcester MA Advice Thorndike Fire Water District Hampden MA Advice Dedham Westwood Water District Norfolk MA Advice Town of Wayland Middlesex MA New Customer
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