# EDGAR Filing Document

**Accession Number:** 0001017284
**File Stem:** 0001017284-23-000002
**Filing Date:** 2023-2
**Character Count:** 13913
**Document Hash:** 8b10f08ef366fb1404ac96d5107f0e44
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001017284-23-000002.hdr.sgml**: 20230206

**ACCESSION NUMBER**: 0001017284-23-000002

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230206

**DATE AS OF CHANGE**: 20230206

**EFFECTIVENESS DATE**: 20230206

**FILER**: 

**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:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-15833
- **FILM NUMBER:** 23591506

**BUSINESS ADDRESS:**
- **STREET 1:** 9030 STONY POINT PKWY, STE 100
- **STREET 2:** 16TH FLOOR
- **CITY:** RICHMOND
- **STATE:** VA
- **ZIP:** 23235
- **BUSINESS PHONE:** 804-644-6380

**MAIL ADDRESS:**
- **STREET 1:** 9030 STONY POINT PKWY, STE 100
- **STREET 2:** 16TH FLOOR
- **CITY:** RICHMOND
- **STATE:** VA
- **ZIP:** 23235

**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

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** THOMPSON DAVIS  CO. INC.<br>**Address:** 9030 STONY POINT PKWY STE 100<br>16TH FLOOR<br>RICHMOND, VA 23235

**Form 13F File Number:** 028-15833

**CRD Number (if applicable):** 000041353

**SEC File Number (if applicable):** 801-120472

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Peggy Myers Walz<br>**Title:** Chief Compliance Officer<br>**Phone:** 8046446382

**Signature, Place, and Date of Signing:**

Peggy Myers Walz  Richmond, VA  02-06-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 100

**Form 13F Information Table Value Total:** $70305034

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| FRONTLINE LTD | SHS NEW | G3682E192 |  | 309874 | 25525 | SH |  | SOLE |  | 0 | 0 | 25525 |
| ADT INC DEL | COM | 00090Q103 |  | 317450 | 35000 | SH |  | SOLE |  | 0 | 0 | 35000 |
| AEHR TEST SYS | COM | 00760J108 |  | 596367 | 29670 | SH |  | SOLE |  | 0 | 0 | 29670 |
| ADVANCED MICRO DEVICES INC | COM | 007903107 |  | 1457325 | 22500 | SH |  | SOLE |  | 0 | 0 | 22500 |
| ALPHABET INC | CAP STK CL A | 02079K305 |  | 325569 | 3690 | SH |  | SOLE |  | 0 | 0 | 3690 |
| AMAZON COM INC | COM | 023135106 |  | 363972 | 4333 | SH |  | SOLE |  | 0 | 0 | 4333 |
| APOLLO ENDOSURGERY INC | COM | 03767D108 |  | 269190 | 27000 | SH |  | SOLE |  | 0 | 0 | 27000 |
| APPLE INC | COM | 037833100 |  | 999681 | 7694 | SH |  | SOLE |  | 0 | 0 | 7694 |
| BWX TECHNOLOGIES INC | COM | 05605H100 |  | 246840 | 4250 | SH |  | SOLE |  | 0 | 0 | 4250 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 |  | 214686 | 695 | SH |  | SOLE |  | 0 | 0 | 695 |
| BOEING CO | COM | 097023105 |  | 271448 | 1425 | SH |  | SOLE |  | 0 | 0 | 1425 |
| CECO ENVIRONMENTAL CORP | COM | 125141101 |  | 125560 | 10750 | SH |  | SOLE |  | 0 | 0 | 10750 |
| COTERRA ENERGY INC | COM | 127097103 |  | 232187 | 9450 | SH |  | SOLE |  | 0 | 0 | 9450 |
| CARLISLE COS INC | COM | 142339100 |  | 4869472 | 20664 | SH |  | SOLE |  | 0 | 0 | 20664 |
| CEMEX SAB DE CV | SPON ADR NEW | 151290889 |  | 48600 | 12000 | SH |  | SOLE |  | 0 | 0 | 12000 |
| CHART INDS INC | COM | 16115Q308 |  | 270791 | 2350 | SH |  | SOLE |  | 0 | 0 | 2350 |
| CHENIERE ENERGY INC | COM NEW | 16411R208 |  | 434884 | 2900 | SH |  | SOLE |  | 0 | 0 | 2900 |
| COCA COLA CO | COM | 191216100 |  | 494886 | 7780 | SH |  | SOLE |  | 0 | 0 | 7780 |
| CORE MOLDING TECHNOLOGIES IN | COM | 218683100 |  | 164648 | 12675 | SH |  | SOLE |  | 0 | 0 | 12675 |
| COSTCO WHSL CORP NEW | COM | 22160K105 |  | 470195 | 1030 | SH |  | SOLE |  | 0 | 0 | 1030 |
| DISNEY WALT CO | COM | 254687106 |  | 234576 | 2700 | SH |  | SOLE |  | 0 | 0 | 2700 |
| DOLLAR GEN CORP NEW | COM | 256677105 |  | 272353 | 1106 | SH |  | SOLE |  | 0 | 0 | 1106 |
| DOMINION ENERGY INC | COM | 25746U109 |  | 219160 | 3574 | SH |  | SOLE |  | 0 | 0 | 3574 |
| DOVER CORP | COM | 260003108 |  | 2802987 | 20700 | SH |  | SOLE |  | 0 | 0 | 20700 |
| ENERGY SVCS ACQUISITION CORP | COM | 29271Q103 |  | 478845 | 186075 | SH |  | SOLE |  | 0 | 0 | 186075 |
| ENPHASE ENERGY INC | COM | 29355A107 |  | 231840 | 875 | SH |  | SOLE |  | 0 | 0 | 875 |
| EXTREME NETWORKS | COM | 30226D106 |  | 197748 | 10800 | SH |  | SOLE |  | 0 | 0 | 10800 |
| FORTRESS BIOTECH INC | COM | 34960Q109 |  | 8512 | 12996 | SH |  | SOLE |  | 0 | 0 | 12996 |
| GENERAL ELECTRIC CO | COM NEW | 369604301 |  | 278769 | 3327 | SH |  | SOLE |  | 0 | 0 | 3327 |
| GLIMPSE GROUP INC | COM | 37892C106 |  | 30300 | 10000 | SH |  | SOLE |  | 0 | 0 | 10000 |
| GOLD ROYALTY CORP | COMMON SHARES | 38071H106 |  | 72230 | 31000 | SH |  | SOLE |  | 0 | 0 | 31000 |
| HAEMONETICS CORP MASS | COM | 405024100 |  | 255613 | 3250 | SH |  | SOLE |  | 0 | 0 | 3250 |
| HALLIBURTON CO | COM | 406216101 |  | 336443 | 8550 | SH |  | SOLE |  | 0 | 0 | 8550 |
| HYCROFT MINING HOLDING CORP | *W EXP 05/29/202 | 44862P117 |  | 2988 | 40000 | SH |  | SOLE |  | 0 | 0 | 40000 |
| INNOVATOR ETFS TR | IBD 50 ETF | 45782C102 |  | 524771 | 24050 | SH |  | SOLE |  | 0 | 0 | 24050 |
| INTERNATIONAL TOWER HILL MIN | COM | 46050R102 |  | 21260 | 50000 | SH |  | SOLE |  | 0 | 0 | 50000 |
| INVESCO EXCHANGE TRADED FD T | S EQL WGT | 46137V357 |  | 222045 | 1572 | SH |  | SOLE |  | 0 | 0 | 1572 |
| INVESCO EXCH TRADED FD TR II | SOLAR ETF | 46138G706 |  | 265137 | 3635 | SH |  | SOLE |  | 0 | 0 | 3635 |
| IRON MTN INC DEL | COM | 46284V101 |  | 398800 | 8000 | SH |  | SOLE |  | 0 | 0 | 8000 |
| ISHARES TR | CORE US AGGBD ET | 464287226 |  | 243144 | 2507 | SH |  | SOLE |  | 0 | 0 | 2507 |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 |  | 610858 | 3503 | SH |  | SOLE |  | 0 | 0 | 3503 |
| ISHARES TR | MICRO-CAP ETF | 464288869 |  | 292651 | 2714 | SH |  | SOLE |  | 0 | 0 | 2714 |
| ISHARES TR | FLTG RATE NT ETF | 46429B655 |  | 368818 | 7328 | SH |  | SOLE |  | 0 | 0 | 7328 |
| ISHARES TR | CORE HIGH DV ETF | 46429B663 |  | 210773 | 2022 | SH |  | SOLE |  | 0 | 0 | 2022 |
| JPMORGAN CHASE  CO | COM | 46625H100 |  | 204100 | 1522 | SH |  | SOLE |  | 0 | 0 | 1522 |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHT MUNCPL | 46641Q654 |  | 650638 | 12875 | SH |  | SOLE |  | 0 | 0 | 12875 |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHRT INC | 46641Q837 |  | 266206 | 5310 | SH |  | SOLE |  | 0 | 0 | 5310 |
| JOHNSON  JOHNSON | COM | 478160104 |  | 700131 | 3963 | SH |  | SOLE |  | 0 | 0 | 3963 |
| KINSALE CAP GROUP INC | COM | 49714P108 |  | 666876 | 2550 | SH |  | SOLE |  | 0 | 0 | 2550 |
| LILLY ELI  CO | COM | 532457108 |  | 1371900 | 3750 | SH |  | SOLE |  | 0 | 0 | 3750 |
| EDGIO INC | COM | 53261M104 |  | 30510 | 27000 | SH |  | SOLE |  | 0 | 0 | 27000 |
| LUNA INNOVATIONS INC | COM | 550351100 |  | 274406 | 31218 | SH |  | SOLE |  | 0 | 0 | 31218 |
| MERCK  CO INC | COM | 58933Y105 |  | 513144 | 4625 | SH |  | SOLE |  | 0 | 0 | 4625 |
| MICROSOFT CORP | COM | 594918104 |  | 383930 | 1601 | SH |  | SOLE |  | 0 | 0 | 1601 |
| NORTHROP GRUMMAN CORP | COM | 666807102 |  | 249776 | 458 | SH |  | SOLE |  | 0 | 0 | 458 |
| NVIDIA CORPORATION | COM | 67066G104 |  | 730700 | 5000 | SH |  | SOLE |  | 0 | 0 | 5000 |
| OCCIDENTAL PETE CORP | COM | 674599105 |  | 737069 | 11701 | SH |  | SOLE |  | 0 | 0 | 11701 |
| PALO ALTO NETWORKS INC | COM | 697435105 |  | 362804 | 2600 | SH |  | SOLE |  | 0 | 0 | 2600 |
| PARAMOUNT GOLD NEV CORP | COM | 69924M109 |  | 13628 | 39500 | SH |  | SOLE |  | 0 | 0 | 39500 |
| PROCTER AND GAMBLE CO | COM | 742718109 |  | 1028301 | 6785 | SH |  | SOLE |  | 0 | 0 | 6785 |
| PROFIRE ENERGY INC | COM | 74316X101 |  | 53518 | 50489 | SH |  | SOLE |  | 0 | 0 | 50489 |
| PROFOUND MED CORP | COM NEW | 74319B502 |  | 776403 | 71295 | SH |  | SOLE |  | 0 | 0 | 71295 |
| QUIPT HOME MEDICAL CORP | COM | 74880P104 |  | 118810 | 25225 | SH |  | SOLE |  | 0 | 0 | 25225 |
| REEDS INC | COM | 758338107 |  | 30991 | 444000 | SH |  | SOLE |  | 0 | 0 | 444000 |
| SPDR S 500 ETF TR | TR UNIT | 78462F103 |  | 631253 | 1651 | SH |  | SOLE |  | 0 | 0 | 1651 |
| SPDR S MIDCAP 400 ETF TR | UTSER1 S | 78467Y107 |  | 518064 | 1170 | SH |  | SOLE |  | 0 | 0 | 1170 |
| S SEED CO | COM | 785135104 |  | 47829 | 32100 | SH |  | SOLE |  | 0 | 0 | 32100 |
| SCHLUMBERGER LTD | COM STK | 806857108 |  | 676269 | 12650 | SH |  | SOLE |  | 0 | 0 | 12650 |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 808524797 |  | 278473 | 3686 | SH |  | SOLE |  | 0 | 0 | 3686 |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 |  | 315851 | 2325 | SH |  | SOLE |  | 0 | 0 | 2325 |
| SELECT SECTOR SPDR TR | ENERGY | 81369Y506 |  | 1240015 | 14176 | SH |  | SOLE |  | 0 | 0 | 14176 |
| SENSUS HEALTHCARE INC | COM | 81728J109 |  | 107590 | 14500 | SH |  | SOLE |  | 0 | 0 | 14500 |
| SHERWIN WILLIAMS CO | COM | 824348106 |  | 1779975 | 7500 | SH |  | SOLE |  | 0 | 0 | 7500 |
| SHOALS TECHNOLOGIES GROUP IN | CL A | 82489W107 |  | 226347 | 9175 | SH |  | SOLE |  | 0 | 0 | 9175 |
| SKY HARBOUR GROUP CORPORATIO | *W EXP 10/21/202 | 83085C115 |  | 1985 | 10000 | SH |  | SOLE |  | 0 | 0 | 10000 |
| SMITH MIDLAND CORP | COM | 832156103 |  | 21944717 | 1070474 | SH |  | SOLE |  | 0 | 0 | 1070474 |
| SOTHERLY HOTELS INC | COM | 83600C103 |  | 2115246 | 1168644 | SH |  | SOLE |  | 0 | 0 | 1168644 |
| SPROTT PHYSICAL GOLD TR | UNIT | 85207H104 |  | 184710 | 13100 | SH |  | SOLE |  | 0 | 0 | 13100 |
| SPROTT PHYSICAL GOLD  SILVE | TR UNIT | 85208R101 |  | 224125 | 12500 | SH |  | SOLE |  | 0 | 0 | 12500 |
| STANDARD LITHIUM LTD | COM | 853606101 |  | 241679 | 81925 | SH |  | SOLE |  | 0 | 0 | 81925 |
| STREAMLINE HEALTH SOLUTIONS | COM | 86323X106 |  | 119132 | 75400 | SH |  | SOLE |  | 0 | 0 | 75400 |
| SUPERIOR DRILLING PRODS INC | COM | 868153107 |  | 13787 | 15000 | SH |  | SOLE |  | 0 | 0 | 15000 |
| TFF PHARMACEUTICALS INC | COM | 87241J104 |  | 10500 | 10000 | SH |  | SOLE |  | 0 | 0 | 10000 |
| T-MOBILE US INC | COM | 872590104 |  | 203000 | 1450 | SH |  | SOLE |  | 0 | 0 | 1450 |
| TESLA INC | COM | 88160R101 |  | 2176098 | 17666 | SH |  | SOLE |  | 0 | 0 | 17666 |
| VALERO ENERGY CORP | COM | 91913Y100 |  | 209319 | 1650 | SH |  | SOLE |  | 0 | 0 | 1650 |
| VANECK MERK GOLD TR | GOLD TRUST | 921078101 |  | 227582 | 12865 | SH |  | SOLE |  | 0 | 0 | 12865 |
| VANECK ETF TRUST | GOLD MINERS ETF | 92189F106 |  | 299497 | 10450 | SH |  | SOLE |  | 0 | 0 | 10450 |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 921908844 |  | 988562 | 6510 | SH |  | SOLE |  | 0 | 0 | 6510 |
| VANGUARD WORLD FD | ESG US STK ETF | 921910733 |  | 380737 | 5781 | SH |  | SOLE |  | 0 | 0 | 5781 |
| VANGUARD SCOTTSDALE FDS | VNG RUS1000VAL | 92206C714 |  | 270981 | 4070 | SH |  | SOLE |  | 0 | 0 | 4070 |
| VANGUARD INDEX FDS | S 500 ETF SHS | 922908363 |  | 1206562 | 3434 | SH |  | SOLE |  | 0 | 0 | 3434 |
| VANGUARD INDEX FDS | SM CP VAL ETF | 922908611 |  | 355871 | 2241 | SH |  | SOLE |  | 0 | 0 | 2241 |
| VANGUARD INDEX FDS | EXTEND MKT ETF | 922908652 |  | 205933 | 1550 | SH |  | SOLE |  | 0 | 0 | 1550 |
| VANGUARD INDEX FDS | GROWTH ETF | 922908736 |  | 526382 | 2470 | SH |  | SOLE |  | 0 | 0 | 2470 |
| VANGUARD INDEX FDS | VALUE ETF | 922908744 |  | 1351169 | 9626 | SH |  | SOLE |  | 0 | 0 | 9626 |
| VANGUARD INDEX FDS | SMALL CP ETF | 922908751 |  | 423060 | 2305 | SH |  | SOLE |  | 0 | 0 | 2305 |
| VISTA GOLD CORP | COM NEW | 927926303 |  | 44889 | 90667 | SH |  | SOLE |  | 0 | 0 | 90667 |
| VISA INC | COM CL A | 92826C839 |  | 250974 | 1208 | SH |  | SOLE |  | 0 | 0 | 1208 |
| WOLFSPEED INC | COM | 977852102 |  | 278784 | 4038 | SH |  | SOLE |  | 0 | 0 | 4038 |

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