Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
- Peter Lynch
What is insider trading>>
SC 13D1 smithmidland SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. --)* (Name of Issuer) Smith-Midland Corporation ---------------------------------------------------------------------- (Title of Class of Securities) Common Stock ---------------------------------------------------------------------- (CUSIP Number) 832156103 ---------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Peggy M. Walz, 9030 Stony Point Parkway, Suite 100, Richmond, VA 23235 (804) 644-6382 ---------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) August 2, 2023 If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), Rule 13d-1(f) or Rule 13d -1(g), check the following box.[X] Note: Schedules filed in paper format shall include a signed original and five copies of the schedule,including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent. *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 cover 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 Thompson Davis & Co., Inc. ----------------------------------------------- ______________________________________________________________________________ (2) Check the appropriate box if a member of a group (see instructions) (a) ------------------------------------------------------------------------- (b) ------------------------------------------------------------------------- ______________________________________________________________________________ (3) SEC use only ------------------------------------------------------------- ______________________________________________________________________________ (4) Source of funds (see instructions) OO - RIA on behalf of clients --------------------------------------- ______________________________________________________________________________ (5) Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e) ------------------------------------------------------------- ______________________________________________________________________________ (6) Citizenship of place of organization New York ------------------------------------- ______________________________________________________________________________ Number of shares beneficially owned by each reporting person with: ------------------------------------------------------------------------ ______________________________________________________________________________ (7) Sole Voting Power 0 -------------------------------------------------------- ______________________________________________________________________________ (8) Shared Voting Power 0 ------------------------------------------------------ ______________________________________________________________________________ (9) Sole Dispositive Power 1,151,740 --------------------------------------------------- ______________________________________________________________________________ (10) Shared Dispositive Power 0 ------------------------------------------------ ______________________________________________________________________________ (11) Aggregate Amount Beneficially Owned by Each Reporting Person 1,151,740 ------------ ______________________________________________________________________________ (12) Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ______________________________________________________________________________ (13) Percent of Class Represented by Amount in Row (11) 21.52% ---------------------- ______________________________________________________________________________ (14) Type of Reporting Person (See Instructions) IA ----------------------------- ______________________________________________________________________________ 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. August 4, 2023 ------------------------------------------------------------------------------ Date ------------------------------------------------------------------------------ Signature Peggy M. Walz/Chief Compliance Officer ------------------------------------------------------------------------------ Name/Title