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	SCP Private Capital Fund III, L.P.	1669439	02/24/2017	D/A	Indefinite	$117,400,000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	ESG Cross Border Equity Participation Fund LLC	1569070	09/15/2014	D/A	Indefinite	$116,924,115
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	PERMAL INVESTMENT PARTNERS, L.P.	1232116	03/13/2014	D/A	Indefinite	$116,872,474
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	AQR DELPHI LONG-SHORT EQUITY OFFSHORE FUND, L.P.	1779468	08/11/2022	D/A	Indefinite	$116,640,220
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Magnetar Energy Participation Fund LLC	1575901	07/11/2018	D/A	Indefinite	$115,774,475
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Magnetar Energy Participation Fund LLC	1575901	07/11/2017	D/A	Indefinite	$115,674,475
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Permal Access LLC	1408382	03/11/2014	D/A	Indefinite	$115,630,335
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	CHILTON SMALL CAP ACCESS LTD	1300301	03/12/2013	D/A	Indefinite	$115,459,895
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Cyrus Access Ltd	1212954	03/12/2009	D/A	Indefinite	$115,392,361
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Renaissance Access IV LLC	1409486	03/11/2010	D/A	Indefinite	$115,302,181