Broker-Dealers on SEC Form D for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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Recipient	CRD	Primary Issuer	CIK	Filing Date	Form Type	Total Offering Amount	Total Amount Sold
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	HALCYON FUND LP	1214804	01/12/2015	D/A	Indefinite	$144,467,435
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	HALCYON FUND LP	1214804	01/12/2016	D/A	Indefinite	$144,467,435
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	HALCYON FUND LP	1214804	01/10/2014	D/A	Indefinite	$144,007,435
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	HALCYON FUND LP	1214804	01/10/2013	D/A	Indefinite	$143,549,856
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	IRONWOOD CAPITAL PARTNERS LP	1120213	03/13/2009	D/A	Indefinite	$143,311,247
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	IRONWOOD CAPITAL PARTNERS LP	1120213	08/12/2009	D/A	Indefinite	$143,311,247
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	CASTLEROCK FUND LTD	1461095	03/26/2014	D/A	Indefinite	$142,968,011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Tetragon Credit Income II L.P.	1657496	11/18/2015	D	Indefinite	$142,900,000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	KKR Asia IV Buyout Access Fund, L.P.	1836439	12/18/2020	D	$142,815,000	$142,815,000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Man FRM Event Equity & Distressed Strategies LLC	1460015	08/21/2015	D/A	Indefinite	$142,556,938