Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
NONE
NONE
MERRILL LYNCH, PIERCE, FENNER + SMITH INCORPORATED
000007691
NONE
NONE
MERRILL LYNCH, PIERCE, FENNER + SMITH INCORPORATED
000007691
NONE
NONE
MERRILL LYNCH, PIERCE, FENNER + SMITH
000007691
MERRILL LYNCH, PIERCE, FENNER + SMITH INCORPORATED
000007691
MERRILL LYNCH + CO.
NONE
NONE
NONE
MERRILL LYNCH, PIERCE, FENNER + SMITH INCORPORATED
000007691
NONE
NONE
MERRILL LYNCH, PIERCE, FENNER + SMITH INC.
000007691
NONE
NONE
MERRILL LYNCH, PIERCE, FENNER + SMITH INCORPORATED
000007691
MERRILL LYNCH, PIERCE, FENNER + SMITH INCORPORATED
000007691
NONE
NONE
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$279,232.00
Yes
$0.00
Yes
IF APPLICABLE, EMPLOYEES OF THE RECIPIENT LISTED IN ITEM 12, ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
D/A
$904,732.00
Yes
$0.00
Yes
IF APPLICABLE, EMPLOYEES OF THE RECIPIENT LISTED IN ITEM 12, ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
D/A
$113,456,463.00
Yes
$0.00
Yes
PLACEMENT AGENT FEES REFLECT AMOUNTS THAT MAY BE PAID IN CONNECTION WITH THE FUND AND AFFILIATED FUNDS IN THE OFFERING.
D/A
$0.00
No
$27,624,529.00
Yes
AMOUNTS INCLUDE PAYMENTS TO MERRILL LYNCH, PIERCE, FENNER + SMITH INCORPORATED WHOSE ENGAGEMENT HAS SINCE BEEN TERMINATED.
D/A
$0.00
No
$0.00
No
WE ARE NOT CURRENTLY USING PLACEMENT AGENTS AND NO MONIES HAVE BEEN PAID TO DATE.
D/A
$3,553.00
No
$0.00
No
WE ARE NOT CURRENTLY USING PLACEMENT AGENTS AND THE SALES COMMISSIONS REPRESENT CUMULATIVE AND HISTORIC PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.
D/A
$6,052,802.00
No
$0.00
No
WE ARE NOT CURRENTLY USING PLACEMENT AGENTS AND THE SALES COMMISSIONS REPRESENT CUMULATIVE AND HISTORIC PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.
D/A
$623,622.00
No
$0.00
No
WE ARE NOT CURRENTLY USING PLACEMENT AGENTS AND THE SALES COMMISSIONS REPRESENT CUMULATIVE AND HISTORIC PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.
D/A
$112,392,500.00
Yes
$0.00
Yes
PLACEMENT AGENT FEES REFLECT AMOUNTS THAT MAY BE PAID IN CONNECTION WITH THE FUND AND AFFILIATED FUNDS IN THE OFFERING.
D/A
$3,400,000.00
Yes
$0.00
No
ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.
D/A
$4,900,000.00
Yes
$0.00
No
ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENTS IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF FEES PAID TO THE IM (OR ITS AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT. OR THE NAV OF THE ISSUER.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$28,689.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM (OR ITS AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$5,049,551.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PORTION OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
D/A
$5,199,551.00
Yes
$0.00
Yes
#1 IS PAID AN AMOUNT = TO A % OF THE MANAGEMENT FEE PAID TO THE IM (OR ITS AFFILIATE) ATTRIBUTABLE TO ASSETS UNDER MANAGEMENT. #2 IS PAID A RETAINER AND AN AMOUNT = TO % OF THE MANAGEMENT FEE PAID TO THE IM ATTRIBUTABLE TO ASSETS UNDER MANAGEMENT.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENTS IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF FEES PAID TO THE IM (OR ITS AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT. OR THE NAV OF THE ISSUER.
D/A
$0.00
Yes
$0.00
Yes
RECIPIENTS IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF FEES PAID TO THE IM (OR ITS AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MGMT. OR THE NAV OF THE ISSUER.
D/A
$904,732.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM (OR ITS AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
D/A
$151,448.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM (OR ITS AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
D/A
$0.00
Yes
$0.00
Yes
THE FIRM LISTED IN ITEM 12 MAY RECEIVE SALES COMPENSATION FROM ITS CLIENTS THAT INVEST IN THE ISSUER, AND IT MAY RECEIVE A PORTION OF THE MANAGEMENT FEES REFERENCED IN ITEM 16 ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
D/A
$904,732.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM (OR ITS AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
D/A
$3,400,000.00
Yes
$0.00
No
ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.
D/A
$4,900,000.00
Yes
$0.00
No
ESTIMATE BASED ON COMPENSATION ARRANGEMENTS WITH ENTITIES IDENTIFIED IN ITEM 12.
D/A
$0.00
No
$27,058,105.00
Yes
AMOUNTS INCLUDE PAYMENTS TO MERRILL LYNCH, PIERCE, FENNER + SMITH INCORPORATED WHOSE ENGAGEMENT HAS SINCE BEEN TERMINATED.
D/A
$9,838,087.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM (OR ITS AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
D/A
$623,622.00
No
$0.00
No
WE ARE NOT CURRENTLY USING PLACEMENT AGENTS AND THE SALES COMMISSIONS REPRESENT CUMULATIVE AND HISTORIC PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.
D/A
$0.00
No
$0.00
No
WE ARE NOT CURRENTLY USING PLACEMENT AGENTS AND THE SALES COMMISSIONS REPRESENT CUMULATIVE AND HISTORIC PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.
D/A
$3,553.00
No
$0.00
No
WE ARE NOT CURRENTLY USING PLACEMENT AGENTS AND THE SALES COMMISSIONS REPRESENT CUMULATIVE AND HISTORIC PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.
D/A
$6,052,802.00
No
$0.00
No
WE ARE NOT CURRENTLY USING PLACEMENT AGENTS AND THE SALES COMMISSIONS REPRESENT CUMULATIVE AND HISTORIC PAYMENTS TO ALL PLACEMENT AGENTS LISTED IN THIS FORM D.
D/A
$151,448.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM (OR ITS AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
D/A
$28,689.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM (OR ITS AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PORTION OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENT LISTED IN ITEM 12 IS PAID AN AMOUNT EQUAL TO A PORTION OF THE MANAGEMENT FEE PAID TO THE INVESTMENT MANAGER (OR ITS AFFILIATE) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
D/A
$0.00
Yes
$0.00
Yes
THE FIRM LISTED IN ITEM 12 MAY RECEIVE SALES COMPENSATION FROM ITS CLIENTS THAT INVEST IN THE ISSUER, AND IT MAY RECEIVE A PORTION OF THE MANAGEMENT FEES REFERENCED IN ITEM 16 ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
D/A
$786,748.00
Yes
$0.00
Yes
RECIPIENTS LISTED IN ITEM 12 (EXCLUDING WFD, BUT INCLUDING, IF APPLICABLE, EMPLOYEES OF WFD) ARE PAID AN AMOUNT EQUAL TO A PERCENTAGE OF THE MANAGEMENT FEE PAID TO THE IM (OR ITS AFFILIATES) ATTRIBUTABLE TO CERTAIN ASSETS UNDER MANAGEMENT.
