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	Capital Royalty Partners (Cayman) LP	1313465	02/11/2010	D/A	Indefinite	$24,000,000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Concourse Capital Partners Offshore Fund, Ltd.	1504158	04/28/2016	D/A	Indefinite	$23,900,500
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Man AHL FuturesAccess LLC	1498325	03/16/2012	D/A	Indefinite	$23,293,559
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	GSO Rescue II Finance Fund (Offshore), L.P.	1579142	06/19/2013	D	$23,275,000	$23,275,000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	GSO Rescue Finance II Fund (Offshore), L.P.	1579142	07/02/2013	D/A	$23,275,000	$23,275,000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	DCIC Capital Fund I Limited Partnership	1629502	12/31/2014	D	Indefinite	$23,125,000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Paulson Gold Participation Fund LTD.	1500835	09/08/2011	D/A	Indefinite	$22,902,196
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	Nuveen High Yield Municipal Opportunities Fund LP	1779083	07/18/2019	D/A	Indefinite	$22,643,000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	ML Transtrend DTP Enhanced FuturesAccess LLC	1399406	07/22/2009	D	Indefinite	$22,581,986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7691	KKR Global Infrastructure Offshore III LP	1745867	07/12/2018	D	Indefinite	$22,380,000