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	BlackRock Health Sciences Access Ltd.	1466799	06/23/2010	D/A	Indefinite	$26,848,762
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	ESG Cross Border Equity Participation Fund Ltd.	1597199	02/01/2016	D/A	Indefinite	$25,951,413
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Marathon Access LLC	1518551	01/07/2013	D/A	Indefinite	$25,928,462
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Gotham Tax Enhanced Neutral Fund, LP	1746690	11/13/2019	D/A	Indefinite	$25,910,000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	ESG Cross Border Equity Participation Fund Ltd.	1597199	01/15/2015	D/A	Indefinite	$25,731,412
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	PINNACLE WEST CAPITAL CORP	764622	01/24/2019	D/A	Indefinite	$25,700,000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Man AHL FuturesAccess LLC	1498325	03/18/2014	D/A	Indefinite	$25,678,805
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Man AHL FuturesAccess LLC	1498325	03/18/2013	D/A	Indefinite	$25,615,030
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Nuveen Municipal Opportunities Fund LP	1779086	10/08/2019	D/A	Indefinite	$25,505,000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	GROSVENOR REGISTERED MULTI-STRATEGY FUND (TI 2), LLC	1475456	07/19/2012	D/A	Indefinite	$25,189,685