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	Crescent VI Mezzanine Fund (Offshore), L.P.	1559383	01/28/2013	D	Indefinite	$44,565,000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	PERMAL PIH ACCESS LTD	1460183	03/12/2015	D/A	Indefinite	$44,490,905
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	GROSVENOR REGISTERED MULTI-STRATEGY FUND (TI 2), LLC	1475456	07/18/2013	D/A	Indefinite	$44,073,110
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	SEQUENTIAL BRANDS GROUP, INC.	791770	08/07/2013	D	$44,000,000	$44,000,000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Ascend Access Ltd.	1504731	09/15/2014	D/A	Indefinite	$43,973,905
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	SJC Offshore Capital Finance Fund II, L.P.	1565765	07/02/2013	D/A	Indefinite	$43,940,000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Relative Value Opportunities Fund LLC	1535136	01/17/2013	D/A	Indefinite	$43,895,825
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Torrey Asia Offshore Fund, Ltd.	1456600	03/16/2009	D	Indefinite	$43,833,974
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Torrey Asia Offshore Fund, Ltd.	1456600	03/16/2010	D/A	Indefinite	$43,833,974
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	AG Mortgage Value Participation Fund Ltd.	1571333	02/09/2017	D/A	Indefinite	$43,812,865