Online Prospectus Listing

Rules 172 and 173 promulgated by the Securities and Exchange Commission, pursuant to the Securities Act of 1933 as amended, set forth certain circumstances that exempt broker dealers from delivering hard copies of prospectuses. This exemption provides that the delivery of prospectuses to purchasers of securities in certain registered public offerings now may be fulfilled though the “access equals delivery” standard (AED). Under AED, customers are considered to have received delivery of the final prospectus if the following conditions are met: 1) the document is available on the SEC’s EDGAR website; and 2) the transaction confirmation sent to the client indicates that the sale was made “pursuant to a registration statement” or the transaction is such that delivery of a final prospectus would have been required.

Name CUSIPAvailable UntilProspectus
Abbott Labs002824Perpetual
Brookfield 4.625% Pfd11259P1097-15-21
Capital One 4.375% Pfd14040H7588-4-21
Carlyle 4.625% Pfd14314C1058-11-21
Charles Schwab 4.00% Pfd808513BK06-18-21
Citi 3.875% Pfd172967MV05-18-21
Citi Pfd Prospectus SupplementPerpetual
Comcast Corp20030NPerpetual20030N
Credit Suisse AG22548QPerpetual22548Q
DowDuPont Inc.26078JPerpetual26078J
Federated U.S. Treasury Cash Reserves Fund IS60934N682Perpetual60934N682
Ford Motor Credit34540TPerpetual34540T
General Dynamics Corp369550Perpetual369550
General Motors Financial37046APerpetual37046A
Gladstone 5.00% Pfd3765468006-2-21
Goldman Sachs Group38148TPerpetual38148T
JPMorgan Chase & Co.48128GPerpetual48128G
Microsoft 594918Perpetual594918
Mondelez International609207Perpetual609207
National Rural Utilities63743FPerpetual63743F
Philip Morris Intl718172Perpetual718172
Toronto Dominion 89114QPerpetual89114Q

Davenport has elected to post on its website electronic copies of the final prospectuses for certain registered public offerings, as described above, as a service to its clients. These documents have been filed with the SEC by the respective issuers and Davenport makes no representation or warranty that the information contained therein is accurate or complete. Please note that these prospectuses are valid only during the applicable required prospectus delivery period and may not reflect current information regarding the issuer or the securities offered. Davenport has no duty or obligation to update these prospectuses or any of the information contained therein.

The following link provides access the SEC’s EDGAR website where the above filings and additional public information on issuers may be found: