MERRILL LYNCH, PIERCE, FENNER & SMITH INC. — SEC Form 4 filings
SEC reporting owner CIK 728612. 95 Form 4 filings on record with FilingPulse; latest filed 2026-08-20.
Transaction summary — filings shown
Covers the 50 most recent of 95 filings on record, filed 2025-02-25 to 2026-08-20. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 138 legs across 48 filings — 191,662 shares, $1,909,283 total (shares × price as filed).
- Open-market sales (code S, non-derivative): 109 legs across 47 filings — 147,018 shares, $1,547,009 total (shares × price as filed).
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 1.
- Largest priced transaction: sale of 20,610 shares @ $9.13 ($188,169) in PIMCO MUNICIPAL INCOME FUND, filed 2025-02-25.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| PIMCO MUNICIPAL INCOME FUND (PMF) | 10% owner | 4 | 49 legs · 63,674 sh · $533,772 | 22 legs · 33,631 sh · $297,066 | — |
| BlackRock Municipal Credit Alpha Portfolio, Inc. (MUNEX) | 10% owner | 9 | 14 legs · 23,116 sh · $287,422 | 14 legs · 23,116 sh · $288,247 | — |
| Nuveen Municipal Credit Income Fund (NZF) | 10% owner | 8 | 13 legs · 19,074 sh · $237,262 | 10 legs · 19,074 sh · $235,657 | — |
| NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND (NMZ) | 10% owner | 7 | 12 legs · 18,462 sh · $195,629 | 12 legs · 18,462 sh · $195,418 | — |
| PIMCO MUNICIPAL INCOME FUND II (PML) | 10% owner | 5 | 21 legs · 31,404 sh · $233,863 | 17 legs · 19,164 sh · $142,142 | — |
| Invesco Advantage Municipal Income Trust II (VKI) | 10% owner | 2 | 2 legs · 11,890 sh · $106,658 | 2 legs · 11,890 sh · $105,935 | — |
| Nuveen Quality Municipal Income Fund (NAD) | 10% owner | 2 | 2 legs · 8,477 sh · $99,842 | 1 leg · 6,374 sh · $76,434 | 1 |
| HCA Healthcare, Inc. (HCA) | 10% owner | 1 | 13 legs · 3,436 sh · $88,208 | 17 legs · 3,178 sh · $79,816 | — |
| NUVEEN NEW YORK QUALITY MUNICIPAL INCOME FUND (NAN) | 10% owner | 2 | 2 legs · 4,000 sh · $45,370 | 2 legs · 4,000 sh · $45,580 | — |
| Nuveen Municipal Credit Opportunities Fund (NMCO) | 10% owner | 3 | 3 legs · 3,900 sh · $40,946 | 3 legs · 3,900 sh · $40,881 | — |
+7 more issuers among the filings shown — every filing appears in the table below.
Form 4 filings — MERRILL LYNCH, PIERCE, FENNER & SMITH INC.
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-08-20 | 4 | PIMCO MUNICIPAL INCOME FUND II (PML) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 100 @ $7.45 · Sale (S): 100 @ $7.36 | EDGAR |
| 2026-08-12 | 4 | BlackRock Municipal Credit Alpha Portfolio, Inc. (MUNEX) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 4,797 @ $12.29 · Purchase (P): 322 @ $12.29 · Purchase (P): 751 @ $12.29 · Purchase (P): 500 @ $12.29 · Purchase (P): 500 @ $12.29 · Purchase (P): 4,797 @ $12.29 · +10 more | EDGAR |
| 2026-08-06 | 4 | NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND (NMZ) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 1 @ $10.19 · Purchase (P): 1 @ $10.19 · Purchase (P): 1 @ $10.18 · Sale (S): 1 @ $10.24 · Sale (S): 1 @ $10.32 · Sale (S): 1 @ $10.23 | EDGAR |
| 2026-08-04 | 4 | NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND (NMZ) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 7 @ $10.20 · Purchase (P): 14 @ $10.21 · Purchase (P): 10 @ $10.21 · Purchase (P): 5 @ $10.22 · Sale (S): 7 @ $10.32 · Sale (S): 14 @ $10.24 · +2 more | EDGAR |
| 2026-07-28 | 4 | NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND (NMZ) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 9 @ $10.23 · Sale (S): 9 @ $10.18 | EDGAR |
| 2026-07-20 | 4 | PUTNAM MANAGED MUNICIPAL INCOME TRUST (PMM) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 437 @ $6.54 · Sale (S): 437 @ $6.54 | EDGAR |
| 2026-05-22 | 4 | PIMCO MUNICIPAL INCOME FUND II (PML) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 680 @ $7.36 · Sale (S): 680 @ $7.33 | EDGAR |
| 2026-05-22 | 4 | NEUBERGER MUNICIPAL FUND INC. (NBH) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 3,200 @ $10.26 · Sale (S): 2,000 @ $10.11 · Sale (S): 1,200 @ $10.11 | EDGAR |
| 2026-05-21 | 4 | NUVEEN NEW YORK QUALITY MUNICIPAL INCOME FUND (NAN) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 3,000 @ $11.28 · Sale (S): 3,000 @ $11.38 | EDGAR |
| 2026-05-20 | 4 | Nuveen Municipal Credit Opportunities Fund (NMCO) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 1,000 @ $10.61 · Sale (S): 1,000 @ $10.53 | EDGAR |
| 2026-05-18 | 4 | BlackRock Municipal Credit Alpha Portfolio, Inc. (MUNEX) jointly with BANK OF AMERICA CORP /DE/ | Sale (S): 407 @ $12.33 · Purchase (P): 407 @ $12.20 | EDGAR |
| 2026-05-12 | 4 | BlackRock Municipal Credit Alpha Portfolio, Inc. (MUNEX) jointly with BANK OF AMERICA CORP /DE/ | Sale (S): 407 @ $12.35 | EDGAR |
| 2026-05-04 | 4 | BlackRock Municipal Credit Alpha Portfolio, Inc. (MUNEX) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 407 @ $12.33 | EDGAR |
| 2026-04-06 | 4 | Invesco Advantage Municipal Income Trust II (VKI) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 3,359 @ $8.68 · Sale (S): 3,359 @ $8.68 | EDGAR |
| 2026-03-23 | 4 | PUTNAM MUNICIPAL OPPORTUNITIES TRUST (PMO) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 50 @ $10.57 · Sale (S): 50 @ $10.53 | EDGAR |
| 2026-03-17 | 4 | PIMCO MUNICIPAL INCOME FUND II (PML) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 65 @ $7.74 · Sale (S): 65 @ $7.63 | EDGAR |
| 2026-02-27 | 4 | Nuveen Municipal Credit Income Fund (NZF) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 8 @ $12.88 · Sale (S): 8 @ $12.96 | EDGAR |
| 2026-02-19 | 4 | Nuveen Municipal Credit Opportunities Fund (NMCO) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 1,400 @ $10.74 · Sale (S): 1,400 @ $10.74 | EDGAR |
| 2026-01-28 | 4 | Nuveen Municipal Credit Income Fund (NZF) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 343 @ $12.54 · Sale (S): 343 @ $12.25 | EDGAR |
| 2026-01-05 | 4 | Nuveen Quality Municipal Income Fund (NAD) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 6,374 @ $12.01 · Sale (S): 6,374 @ $11.99 | EDGAR |
| 2026-01-05 | 4 | Nuveen Municipal Credit Income Fund (NZF) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 6,075 @ $12.61 · Sale (S): 6,075 @ $12.52 | EDGAR |
| 2026-01-05 | 4 | Invesco Advantage Municipal Income Trust II (VKI) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 8,531 @ $9.08 · Sale (S): 8,531 @ $9 | EDGAR |
| 2025-12-30 | 4 | Nuveen Municipal Credit Opportunities Fund (NMCO) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 1,500 @ $10.20 · Sale (S): 1,500 @ $10.21 | EDGAR |
| 2025-12-22 | 4 | NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND (NMZ) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 1,000 @ $10.32 · Sale (S): 1,000 @ $10.54 | EDGAR |
| 2025-12-10 | 4 | NUVEEN NEW YORK QUALITY MUNICIPAL INCOME FUND (NAN) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 1,000 @ $11.53 · Sale (S): 1,000 @ $11.46 | EDGAR |
| 2025-11-12 | 4 | BlackRock Municipal Credit Alpha Portfolio, Inc. (MUNEX) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 1 @ $12.55 · Sale (S): 1 @ $12.54 | EDGAR |
| 2025-11-07 | 4 | BlackRock Municipal Credit Alpha Portfolio, Inc. (MUNEX) jointly with BANK OF AMERICA CORP /DE/ | Sale (S): 1 @ $12.54 | EDGAR |
| 2025-10-15 | 4 | BlackRock Municipal Credit Alpha Portfolio, Inc. (MUNEX) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 1 @ $12.48 | EDGAR |
| 2025-10-14 | 4 | NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND (NMZ) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 6,440 @ $10.56 · Sale (S): 6,440 @ $10.63 | EDGAR |
| 2025-10-10 | 4 | NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND (NMZ) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 190 @ $10.62 · Sale (S): 190 @ $10.62 | EDGAR |
| 2025-10-07 | 4 | Nuveen Municipal Credit Income Fund (NZF) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 817 @ $12.53 · Purchase (P): 750 @ $12.53 · Purchase (P): 683 @ $12.53 · Sale (S): 1,500 @ $12.57 · Sale (S): 750 @ $12.57 | EDGAR |
| 2025-10-06 | 4/A | BlackRock Municipal Credit Alpha Portfolio, Inc. (MUNEX) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 4,780 @ $12.64 · Sale (S): 4,780 @ $12.68 | EDGAR |
| 2025-10-01 | 4 | Nuveen Municipal Credit Income Fund (NZF) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 197 @ $12.40 · Sale (S): 197 @ $12.39 | EDGAR |
| 2025-09-29 | 4 | BlackRock Municipal Credit Alpha Portfolio, Inc. (MUNEX) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 4,780 @ $12.64 · Sale (S): 4,780 @ $12.68 | EDGAR |
| 2025-09-19 | 4 | NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND (NMZ) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 10,784 @ $10.64 · Sale (S): 10,784 @ $10.56 | EDGAR |
| 2025-08-21 | 4 | Nuveen Municipal Credit Income Fund (NZF) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 1,400 @ $11.81 · Purchase (P): 300 @ $11.80 · Purchase (P): 300 @ $11.80 · Purchase (P): 100 @ $11.80 · Sale (S): 2,100 @ $11.86 | EDGAR |
| 2025-08-13 | 4 | PIMCO CALIFORNIA MUNICIPAL INCOME FUND (PCQ) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 349 @ $8.22 · Sale (S): 349 @ $8.22 | EDGAR |
| 2025-08-13 | 4 | PIMCO NEW YORK MUNICIPAL INCOME FUND II (PNI) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 105 @ $6.52 · Sale (S): 105 @ $6.52 | EDGAR |
| 2025-07-07 | 4 | PIMCO MUNICIPAL INCOME FUND II (PML) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 111 @ $7.34 · Sale (S): 111 @ $7.46 | EDGAR |
| 2025-06-13 | 4 | PIMCO MUNICIPAL INCOME FUND (PMF) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 11,313 @ $7.96 · Purchase (P): 4,923 @ $7.96 · Purchase (P): 4,697 @ $7.96 · Purchase (P): 4,264 @ $7.96 · Purchase (P): 2,313 @ $7.96 · Purchase (P): 1,631 @ $7.96 · +24 more | EDGAR |
| 2025-06-13 | 4 | PIMCO MUNICIPAL INCOME FUND II (PML) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 9,390 @ $7.45 · Purchase (P): 3,911 @ $7.45 · Purchase (P): 3,686 @ $7.45 · Purchase (P): 3,345 @ $7.45 · Purchase (P): 1,894 @ $7.45 · Purchase (P): 1,354 @ $7.45 · +24 more | EDGAR |
| 2025-06-13 | 4 | PIMCO CALIFORNIA MUNICIPAL INCOME FUND II (PCK) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 75 @ $5.30 · Sale (S): 75 @ $5.30 | EDGAR |
| 2025-04-17 | 4 | Nuveen Quality Municipal Income Fund (NAD) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 2,103 @ $11.09 · Disposition to issuer (D): 2,103 @ $11.08 | EDGAR |
| 2025-04-11 | 4 | Federated Hermes Premier Municipal Income Fund (FMN) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 13 @ $10.85 · Sale (S): 12 @ $10.94 · Sale (S): 1 @ $10.29 | EDGAR |
| 2025-03-28 | 4 | HCA Healthcare, Inc. (HCA) jointly with BANK OF AMERICA CORP /DE/, BANK OF AMERICA NA | Purchase (P): 670 @ $27.97 · Sale (S): 477 @ $21.90 · Purchase (P): 477 @ $23.29 · Sale (S): 100 @ $26.58 · Purchase (P): 100 @ $26.58 · Sale (S): 100 @ $26.58 · +24 more | EDGAR |
| 2025-03-18 | 4 | Nuveen Municipal Credit Income Fund (NZF) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 8,100 @ $12.45 · Sale (S): 100 @ $12.30 · Sale (S): 8,000 @ $12.30 | EDGAR |
| 2025-03-13 | 4 | Nuveen Municipal Credit Income Fund (NZF) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 1 @ $12.43 · Sale (S): 1 @ $12.48 | EDGAR |
| 2025-02-28 | 4 | PIMCO MUNICIPAL INCOME FUND (PMF) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 8 @ $9.19 · Sale (S): 8 @ $9.06 | EDGAR |
| 2025-02-26 | 4 | PIMCO MUNICIPAL INCOME FUND (PMF) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 2 @ $9.08 · Purchase (P): 4 @ $9.08 · Purchase (P): 5 @ $9.08 · Purchase (P): 6 @ $9.08 · Purchase (P): 23 @ $9.08 · Purchase (P): 28 @ $9.08 · +13 more | EDGAR |
| 2025-02-25 | 4 | PIMCO MUNICIPAL INCOME FUND (PMF) jointly with BANK OF AMERICA CORP /DE/ | Purchase (P): 672 @ $9.02 · Purchase (P): 404 @ $9.02 · Purchase (P): 3,054 @ $9.02 · Purchase (P): 265 @ $9.02 · Purchase (P): 1,438 @ $9.02 · Purchase (P): 766 @ $9.02 · +14 more | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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