FORM G-37 Name of dealer: Merrill Lynch, Pierce, Fenner Report Period: Second Quarter of 2016 I. CONTRIBUTIONS made to issuer officials (listed by state) State Complete name, title (including any city/county/state or other political subdivision) of issuer official Contributions by each contributor category (i.e., dealer, dealer controlled PAC, municipal finance professional controlled PAC, municipal finance professionals and non-mfp executive officers). For each contribution, list contribution amount and contributor category (For example, $500 contribution by non-mfp executive officer) If any contribution is the subject of an automatic exemption pursuant to Rule G-37(j), list amount of contribution and date of such automatic exemption. II. PAYMENTS made to political parties of states or political subdivisions (listed by state) State Complete name (including any city/county/state or other political subdivision) of political party Payments by each contributor category (i.e., dealer, dealer controlled PAC, municipal finance professional controlled PAC, municipal finance professionals, and non-mfp executive officers). For each payment, list payment amount and contributor category (For example, $500 payment by non-mfp executive officer)
FORM G-37 III. CONTRIBUTIONS made to bond ballot campaigns (listed by state) Contribution State Reimbursement Official name of bond ballot campaign and jurisdiction (including city/county/state or other political subdivision) for which municipal securities would be issued and the name of the entity issuing the municipal securities Contributions, including the specific date the contributions were made, by each contributor category (i.e., dealer, dealer controlled PAC, municipal finance professional controlled PAC, municipal finance professionals and non-mfp executive officers). For each contribution, list contribution amount and contributor category (For example, $500 contribution by non-mfp executive officer) List below any payments or reimbursements, related to any disclosed bond ballot contribution, received by each broker, dealer or municipal securities dealer, municipal finance professional or non-mfp executive officer from any third party, including the amount paid and the name of the third party making such payments or reimbursements.
FORM G-37 IV. ISSUERS with which dealer has engaged in municipal securities business (listed by state) A. Municipal Securities Business State See Attachment Complete name of issuer and city/county Type of municipal securities business (negotiated underwriting, agency offering, financial advisor, or remarketing agent) B. Ballot-Approved Offerings Full issuer name and full issue description of any primary offering resulting from the bond ballot campaign to which each contributor category (i.e., dealer, dealer controlled PAC, municipal finance professional controlled PAC, municipal finance professionals and non-mfp executive officers) has made a contribution and the reportable date of selection on which the broker, dealer or municipal securities dealer was selected to engage in such municipal securities business. Full Issuer Name Full Issue Description Reportable Date of Selection
FORM G-37 Signature: electronic Date: Jul 28, 2016 Name: LEONARD GICAS Address: One Bryant Park, New York, NY 10036 Phone: 212-670-3025 Submit two completed forms quarterly by due date (specified by the MSRB) to: Municipal Securities Rulemaking Board 1300 I Street NW, Suite 1000 Washington, DC 20005
Merrill Lynch, Pierce, Fenner & Smith Incorporated 04/01/2016 through 06/30/2016 State County Issuer Bid AK Juneau Alaska Municipal Bond Bank N AL Jefferson Birmingham Spec Care Facs Fin Au N AL Houston Houston Co Health Care Authority N AL Mobile Mobile Special Care Facs Fin Auth N AR Washington Springdale City Public Facs Board N CA Los Angeles Alameda Corridor Transport Auth N CA Sacramento California Educational Facs Auth N CA State Authority California Housing Finance Agcy N CA State Authority California Housing Finance Agcy N CA College or University California State Univ Trustees N CA College or University California State Univ Trustees N CA College or University California State Univ Trustees N CA College or University California State Univ Trustees N CA State Authority California Statewide CDA (CSCDA) N CA State Authority California Statewide CDA (CSCDA) N CA Kern Kern Co-California N CA Los Angeles Los Angeles Co (Walnut Valley) USD N CA Los Angeles Los Angeles Dept of Wtr & Power N CA Los Angeles Los Angeles Dept of Wtr & Power N CA Los Angeles Los Angeles Dept of Wtr & Power N CA Riverside Riverside Co-California N CA Sacramento Sacramento MUD (SMUD) N CA San Bernardino San Bernardino Co (Victor) ESD N CA San Diego San Diego Co Water Auth N CA San Diego San Diego Public Facs Fin Auth N CA Orange/Riverside/Venture/etals So California Metro Water Dt N CA Orange/Riverside/Venture/etals So California Metro Water Dt N CA Alameda Washington Twp Health Care Dt N CO State Authority Colorado Health Facilities Auth N CO State Authority Colorado Health Facilities Auth N CO State Authority Colorado Health Facilities Auth N CO State Authority Colorado Health Facilities Authority Remarketing CO State Authority Colorado Health Facilities Authority Remarketing CT State Connecticut N CT State Connecticut N CT State Connecticut N CT State Connecticut N CT Hartford Connecticut Hghr Ed Supp Loan Auth N CT State Authority Connecticut Housing Finance Auth N CT State Authority Connecticut Housing Finance Auth N CT State Authority Connecticut Housing Finance Auth N CT State Authority Connecticut Housing Finance Auth N CT State Authority Connecticut State G.O. Remarketing CT Tolland University of Connecticut N CT Tolland University of Connecticut N DC Arlington Metro Washington Airports Auth N DC Arlington Metro Washington Airports Auth N DC State Authority Washington Metro Area Transit Au N DE State Delaware N FL Duval Duval Co School Board N FL Pasco Florida Higher Ed Facs Fin Auth N FL State Authority Florida Housing Finance Corp N FL Hernando Hernando Co School Board N FL Duval Jacksonville City-Florida N FL Miami/Dade Miami-Dade Co-Florida N FL Orange/Osceola Reedy Creek Improvement Dt N GA De Kalb/Fulton Atlanta Development Authority N GA Polk Cedartown Polk Co Hospital Auth N GA Floyd Floyd Co Hospital Authority N GA State Authority Georgia Housing Finance Authority N GA State Authority Georgia Housing Finance Authority N GA Fulton Georgia Muni Electric Au (MEAG) N IA State Iowa N IA State Iowa N IL Cook/Du Page Chicago City-Illinois N
IL Cook/Du Page Chicago City-Illinois N IL Cook Greater Chicago Metro Wtr Rec Dt N IL Cook Greater Chicago Metro Wtr Rec Dt N IL Cook Greater Chicago Metro Wtr Rec Dt N IN Tippecanoe Purdue Univ Board of Trustees N IN Tippecanoe Purdue Univ Board of Trustees N IN Lake Whiting City-Indiana N KY Kenton Kenton Co Airport Board N MA Suffolk Massachusetts N MA Suffolk Massachusetts N MA Suffolk Massachusetts Dev Finance Agcy N MA State Authority Massachusetts Education Fin Auth N MA State Authority Massachusetts Water Resources Au N MA State Authority Massachusetts Water Resources Au N MD State Authority Maryland Stadium Authority N MD Montgomery Montgomery Co Hsg Opportunities Comm N MD Montgomery Montgomery Co Hsg Opportunities Comm N ME State Authority Maine Hlth & Hghr Ed Facs Auth N ME State Authority Maine Hlth & Hghr Ed Facs Auth N ME State Authority Maine Municipal Bond Bank N ME State Authority Maine Municipal Bond Bank N ME State Authority Maine State Housing Authority N MI Marquette Marquette Board of Power & Light N MI State Michigan N MI State Michigan N MI Ingham Michigan Finance Authority N MI Ingham Michigan Finance Authority N MI Ingham Michigan Finance Authority N MI Wayne Wayne Co-Michigan N MI College or University Wayne St Univ Bd of Governors N MI College or University Wayne St Univ Bd of Governors N MN Olmstead Rochester City-Minnesota N MN State Authority Rochester MN Hlth Mayo Foundation 2016 Remarketing MT Missoula Missoula Co-Montana N MT State Authority Montana Board of Housing N NC Mecklenburg Charlotte City-North Carolina N NC Mecklenburg Charlotte City-North Carolina N NC Guilford Guilford Co-North Carolina N NC State Authority North Carolina Medical Care Commiss N NC Wake Wake Co-North Carolina N NE Otoe Nebraska Pub Pwr Generation Agcy N NJ State Authority New Jersey Hghr Ed Stud Assis Au N NJ State Authority New Jersey Hlth Care Fac Fin Au N NJ State Authority New Jersey Hsg & Mtg Fin Agency N NJ State Authority New Jersey Hsg & Mtg Fin Agency N NJ State Authority New Jersey Hsg & Mtg Fin Agency N NM State Authority New Mexico Finance Auth (NMFA) N NY Dutchess Dutchess Co Local Dev Corp N NY Kings Metropolitan Transport Auth (MTA) N NY Kings Metropolitan Transport Auth (MTA) N NY Kings Metropolitan Transport Auth (MTA) N NY New York/Bronx/Kings New York City-New York N NY New York/Bronx/Kings New York Transportation Dev Corp N NY New York/Bronx/Kings NYC Housing Dev Corp N NY State Authority NYS Environmental Facs Corp N NY State Authority NYS Environmental Facs Corp N NY State NYS Housing Fin-Mortgage Agcy N NY State NYS Housing Fin-Mortgage Agcy N NY State Authority NYS Thruway Authority N NY State Authority Port Authority of NY & NJ N NY State Authority Port Authority of NY & NJ N
OH Frankin American Municipal Power Inc N OH Cuyahoga Cleveland City-Ohio N OH Montgomery Montgomery Co-Ohio N OH Cleveland Ohio Housing Finance Agency (OHFA) N OK College or University Oklahoma Agr Mech Coll Bd Rgt N OR State Authority OR St. Hsg. Single Family 2016B Remarketing OR State Authority OR St. Hsg. Single Family 2016C Remarketing OR State Authority Oregon Hsg & Comm Svcs Dept N OR State Authority Oregon Hsg & Comm Svcs Dept N OR State Authority Oregon Hsg & Comm Svcs Dept N OR Tillamook Pacific Communities Hospital Dt N OR Morrow Port of Morrow-Oregon N OR College or Univ University of Oregon N PA Allegheny Allegheny Co Higher Ed Bldg Auth N PA Centre Centre Co Hospital Authority N PA Lehigh Lehigh Co General Purpose Auth N PA Northampton Northampton Co Gen Purpose Auth N PA Dauphin Pennsylvania Capital Region Water N PA Dauphin Pennsylvania Capital Region Water N PA State Authority Pennsylvania Housing Fin Agency N PA College or University Pennsylvania State University N PA State Authority Pennsylvania Turnpike Commission N PA State Authority Philadelphia School District Remarketing PA State Authority Philadelphia School District of Philadelphia Remarketing PA Philadelphia Philadelphia SD N RI State Authority Rhode Island Commerce Corp N RI State Authority Rhode Island Hsg & Mtg Fin Corp N RI State Authority Rhode Island Hsg & Mtg Fin Corp N RI State Authority Rhode Island Infrastructure Bank N RI State Authority Rhode Island Student Loan Auth N SC Charleston Charleston City-South Carolina N SC Horry Horry Co SD N SC State Authority SC Pub Svc Au (Santee Cooper) N SC State Authority SC Pub Svc Au (Santee Cooper) N SC State Authority SC Pub Svc Au (Santee Cooper) N SC State Authority South Carolina St Hsg Fin Dev Au N SC State Authority South Carolina St Hsg Fin Dev Au N SD State Authority South Dakota Housing Dev Auth N SD State Authority South Dakota Housing Dev Auth N TN State Authority Metropolitan Government of Nashville and Davidson County, Tennessee Remarketing TN Montgomery Montgomery Co Ind Dev Board N TN State Authority Montgomery County Tennessee Indus Dev Board 2016A QIBs only Remarketing TN Nashville/Davidson Nashville-Davidson Metro H&E Bd N TX Bexar Alamo Regional Mobility Auth (RMA) N TX Collin/Denton Collin Co (Frisco) ISD N TX Travis Ctl Texas Reg Mobility Au (CTRMA) N TX Harris Harris Co (Klein) ISD N TX Harris Harris Co Cult Ed Facs Fin Corp N TX Harris Harris Co Cult Ed Facs Fin Corp N TX Jefferson Jefferson Co (Port Arthur) ISD N TX Johnson/Tarrant Johnson Co (Burleson) ISD N TX Travis Lower Colorado River Authority (LCRA) N TX Smith NE Texas Regional Mobility Au (NETRMA) N TX Bexar San Antonio City-Texas N TX Travis Southwest Higher Ed Auth N TX Travis Texas Transportation Commission N VA Arlington Arlington Co-Virginia N VA Stafford Stafford Co Eco Dev Auth N VA State Authority Virginia Housing Dev Auth (VHDA) N VA State Authority Virginia Housing Dev Auth (VHDA) N VT Chittenden Univ of Vermont St Agric College N VT State Authority Vermont Student Assist Corp N WI State Authority Wisconsin Health and Ed Fac Auth N
WI State Authority Wisconsin Hsg & Econ Dev Auth N WI Dane Wisconsin Public Finance Auth N WI Dane Wisconsin Public Finance Auth N WV State Authority West Virginia Hospital Fin Auth N