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	PERMAL INVESTMENT PARTNERS, L.P.	1232116	03/16/2015	D/A	Indefinite	$149,854,104
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Brevan Howard Multi-Strategy Participation Fund LLC	1535475	04/06/2021	D/A	Indefinite	$149,802,755
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Global Macro Opportunities Fund LLC	1515335	03/11/2014	D/A	Indefinite	$149,194,362
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	BlackRock Appreciation Fund IV (ERISA), Ltd.	1478205	12/08/2011	D/A	Indefinite	$149,000,000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Mesirow Equity Opportunity Fund II, L.P.	1456836	03/15/2013	D/A	Indefinite	$148,665,554
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Mesirow Equity Opportunity Fund II, L.P.	1456836	03/15/2012	D/A	Indefinite	$148,664,686
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Global Equity Absolute Return Investors (Cayman), Ltd.	1703689	07/06/2018	D/A	Indefinite	$148,519,612
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Beach Point Access LLC	1460049	03/14/2012	D/A	Indefinite	$148,072,312
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	ALPINE ASSOCIATES ACCESS LLC	1342223	03/13/2009	D/A	Indefinite	$147,489,129
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	IRONWOOD CAPITAL PARTNERS LP	1120213	09/10/2010	D/A	Indefinite	$147,437,186