TCP CAP CORP

CUSIP: 87238QAB9 Class: NOTE 5.250%12/1

THOMPSON DAVIS & CO., INC.'s Holding History (CIK: 0001017284)

Note: Option positions (PUT/CALL) are excluded.

Q3 2017
Shares 4,000 Value ($000) $4 Avg Close — Range —
Q1 2017
Shares 2,000 Value ($000) $2 Avg Close — Range —
Q4 2016
Shares 2,104 Value ($000) $2 Avg Close — Range —