Disclosure Quest - Search SEC Filings

Name	Type of Offering	Accepted Date
Blackspur Oil Corp. See All Filings	D	2014-03-12 00:00:00 UTC
Amount To Be Raised $350,606 Associated Brokers / Dealers Dundee Securities Inc. CIK Number 0001601751 Filed Document 0001601751-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D Industry Oil and Gas Principal Place of Business ALBERTA, CANADA Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Option To Acquire
White Oaks Wealth Advisors Alternative Strategies Fund LLC See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001299868 Filed Document 0001299868-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MINNESOTA Revenue or Assets Decline to Disclose Type of Security Equity
Clandestine Development, LLC See All Filings	D	2014-03-12 00:00:00 UTC
Amount To Be Raised $400,000 Associated Brokers / Dealers N/A CIK Number 0001602473 Filed Document 0001602473-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Debt
Ardsley Partners Fund II, L.P. See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0000836048 Filed Document 0000902664-14-001746 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
GLG European Long-Short Offshore Fund Ltd. See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Man Investments Inc., Barclays Capital Inc., CAIS Capital LLC, J.P. Morgan Securities LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated CIK Number 0001520116 Filed Document 0000902664-14-001791 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Equity
EACM Absolute Return Fund, Ltd. See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers MBSC Securities Corp. CIK Number 0001346146 Filed Document 0000902664-14-001760 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Kensho Technologies Inc. See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised $13,500,000 Associated Brokers / Dealers N/A CIK Number 0001592648 Filed Document 0001592648-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Other Technology Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Debt
Eos Partners, L.P. See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0000927020 Filed Document 0000902664-14-001727 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Dorset Opportunity Fund LP See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001555796 Filed Document 0001555796-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
ART COMMISSION, LLC See All Filings	D	2014-03-12 00:00:00 UTC
Amount To Be Raised $400,000 Associated Brokers / Dealers N/A CIK Number 0001565488 Filed Document 0000892712-14-000214 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D Industry Business Services Principal Place of Business WISCONSIN Revenue or Assets Decline to Disclose Type of Security Equity
Gruss Global Investors, Ltd. See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001277976 Filed Document 0000902664-14-001764 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
PM Manager Fund, SPC-Segregated Portfolio 34 See All Filings	D	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001602125 Filed Document 0001565908-14-000023 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Esatchester Partners LLC See All Filings	D	2014-03-12 00:00:00 UTC
Amount To Be Raised $1,260,000 Associated Brokers / Dealers N/A CIK Number 0001597985 Filed Document 0001580148-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D Industry Other Real Estate Principal Place of Business FLORIDA Revenue or Assets Decline to Disclose Type of Security Equity
P&A MULTI-SECTOR FUND II, L.P. See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Oppenheimer Asset Management, Summit Equities Inc., and NFP Securities Inc. CIK Number 0001334595 Filed Document 0000943663-14-000051 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
HQR Capital Partners, LLC See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001602455 Filed Document 0001602455-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business ILLINOIS Revenue or Assets Decline to Disclose Type of Security Equity
ENDOWMENT EXEMPT QP FUND II L P See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001287781 Filed Document 0001507943-14-000035 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
MKP OPPORTUNITY PARTNERS, L.P. See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Credit Suisse Securities (USA) LLC CIK Number 0001170874 Filed Document 0000902664-14-001738 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Partners Group Real Estate Secondary 2013 (USD) A, L.P. See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001571783 Filed Document 0001571783-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business Y7 Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Salem Global Opportunity Fund, L.P. See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001460137 Filed Document 0001460137-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
GENESIS EMERGING MARKETS OPPORTUNITIES FUND LTD III See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001424783 Filed Document 0001315863-14-000179 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
BRAHMAN INSTITUTIONAL PARTNERS, L.P. See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001187835 Filed Document 0000902664-14-001757 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Lazard AK Permanent Fund LP See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001363314 Filed Document 0001363314-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Numeric Socially Aware U.S. Core Fund L.P. See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001584232 Filed Document 0001584232-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MASSACHUSETTS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
NATIONWIDE PRIVATE PLACEMENT VARIABLE ACCOUNT See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised $7,589,922 Associated Brokers / Dealers Kenneth Dayton, Lou Jenkins, Eric Payne, Zane Brown, and Ronald Mencias CIK Number 0001135856 Filed Document 0001135856-14-000108 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Insurance Principal Place of Business OHIO Revenue or Assets $Not Applicable Type of Security Pooled Investment Fund
Petbrosia, Inc. See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised $1,250,000 Associated Brokers / Dealers N/A CIK Number 0001598958 Filed Document 0001598958-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Other Technology Principal Place of Business OHIO Revenue or Assets Decline to Disclose Type of Security Equity
NOWA TECHNOLOGY INC See All Filings	D	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001438491 Filed Document 0001438491-14-000004 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business KANSAS Revenue or Assets Decline to Disclose Type of Security Debt
Tenor Special Situations Fund, L.P. See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001544795 Filed Document 0000902664-14-001752 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Viking Global Equities LP See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001101785 Filed Document 0000902664-14-001733 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CONNECTICUT Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Gentry Technology Fund I LLC Series C-5 See All Filings	D	2014-03-12 00:00:00 UTC
Amount To Be Raised $100,000,000 Associated Brokers / Dealers Gentry Securities LLC CIK Number 0001598871 Filed Document 0001140361-14-012334 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D Industry Pooled Investment Fund Principal Place of Business ILLINOIS Revenue or Assets $No Revenues Type of Security Pooled Investment Fund
Midland U S Fund L P See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers AMD Capital, LLC and Morgan Keegan & Company Inc. CIK Number 0001379740 Filed Document 0001526359-14-000017 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business TENNESSEE Revenue or Assets $$50,000,001 - $100,000,000 Type of Security Pooled Investment Fund
SERA PROGNOSTICS, INC. See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised $4,500,000 Associated Brokers / Dealers N/A CIK Number 0001534969 Filed Document 0001534969-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Other Health Care Principal Place of Business UTAH Revenue or Assets Decline to Disclose Type of Security Debt
MKP CREDIT OFFSHORE, LTD. See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001170184 Filed Document 0000902664-14-001740 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business IRELAND Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
GSO Special Situations Fund LP See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Park Hill Group CIK Number 0001338240 Filed Document 0000902664-14-001721 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Lazard Alternative Emerging Markets Fund, L.P. See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001504133 Filed Document 0001504133-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
THIRD POINT PARTNERS L P See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0000946756 Filed Document 0000946756-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Equity
Golden Reign Resources Ltd. See All Filings	D	2014-03-12 00:00:00 UTC
Amount To Be Raised $30,542 Associated Brokers / Dealers N/A CIK Number 0001594364 Filed Document 0001594364-14-000001 Exclusions or Exemptions 506c Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D Industry Other Principal Place of Business BRITISH COLUMBIA, CANADA Revenue or Assets $No Revenues Type of Security Other
HRA Broderick Holdings, LP See All Filings	D	2014-03-12 00:00:00 UTC
Amount To Be Raised $4,200,038 Associated Brokers / Dealers N/A CIK Number 0001601661 Filed Document 0001601658-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D Industry Other Real Estate Principal Place of Business ARIZONA Revenue or Assets $$1 - $1,000,000 Type of Security Equity
Miami Industrial Portfolio Preferred Equities LLC See All Filings	D	2014-03-12 00:00:00 UTC
Amount To Be Raised $5,000,000 Associated Brokers / Dealers None CIK Number 0001602352 Filed Document 0001602352-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D Industry Commercial Principal Place of Business NEW YORK Revenue or Assets $$1,000,001 - $5,000,000 Type of Security Equity
Luminal, Inc. See All Filings	D	2014-03-12 00:00:00 UTC
Amount To Be Raised $5,028,531 Associated Brokers / Dealers N/A CIK Number 0001603449 Filed Document 0001603449-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Equity
SOMERSET SPECIAL OPPORTUNITIES OFFSHORE FUND LTD See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001423601 Filed Document 0001571888-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
CATALYSIS OFFSHORE LTD See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers George Robert Pidgeon, Jr. CIK Number 0001460539 Filed Document 0001144204-14-016314 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
AIP STRATEGIC OPPORTUNITIES FUND I (CAYMAN) LP See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers MORGAN STANLEY SMITH BARNEY LLC CIK Number 0001595724 Filed Document 0001602252-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business PENNSYLVANIA Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
Patch of Land, Inc. See All Filings	D	2014-03-12 00:00:00 UTC
Amount To Be Raised $421,000 Associated Brokers / Dealers N/A CIK Number 0001590209 Filed Document 0001590209-14-000003 Exclusions or Exemptions 506c Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D Industry Other Real Estate Principal Place of Business CALIFORNIA Revenue or Assets $$1 - $1,000,000 Type of Security Debt
FORT GLOBAL CONTRARIAN LP See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001258078 Filed Document 0001507943-14-000030 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business MARYLAND Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
VIOLET GREY INC See All Filings	D	2014-03-12 00:00:00 UTC
Amount To Be Raised $7,325,003 Associated Brokers / Dealers N/A CIK Number 0001593073 Filed Document 0001593073-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business CALIFORNIA Revenue or Assets Decline to Disclose Type of Security Equity
entegra technologies inc. See All Filings	D	2014-03-12 00:00:00 UTC
Amount To Be Raised $1,000,000 Associated Brokers / Dealers N/A CIK Number 0001582833 Filed Document 0001582833-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business TEXAS Revenue or Assets Decline to Disclose Type of Security Debt
Ceres Farms, LLC See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001463942 Filed Document 0001455244-14-000002 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Agriculture Principal Place of Business INDIANA Revenue or Assets $$5,000,001 - $25,000,000 Type of Security Equity
Cevian Capital II L.P. See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers N/A CIK Number 0001516117 Filed Document 0000902664-14-001719 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business CAYMAN ISLANDS Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund
LASER LIGHT ENGINES INC See All Filings	D	2014-03-12 00:00:00 UTC
Amount To Be Raised $350,000 Associated Brokers / Dealers N/A CIK Number 0001435834 Filed Document 0001435834-14-000003 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D Industry Other Technology Principal Place of Business NEW HAMPSHIRE Revenue or Assets Decline to Disclose Type of Security Debt
HALCYON ACCESS LLC See All Filings	D/A	2014-03-12 00:00:00 UTC
Amount To Be Raised Indefinite Associated Brokers / Dealers Merrill Lynch, Pierce, Fenner & Smith Incorporated CIK Number 0001337882 Filed Document 0001337882-14-000001 Exclusions or Exemptions 506b Accepted Date 2014-03-12 00:00:00 UTC Type of Offering D/A Industry Pooled Investment Fund Principal Place of Business NEW YORK Revenue or Assets Decline to Disclose Type of Security Pooled Investment Fund