EFTA00236227.pdf

UBS Portfolio holdi ngs as of July 15 2014 Summary of Portfolio Holdings Consolidated report prepared for Ghislaine Maxwell Cost basis (5) Value on 07/15/2014 (5) Unrealized oainAoss (51 Unrealized gainAoss (%) Est. annual income (5) Current % of yield l%) portfolio A Cash 727,711.11 727,711.11 0.00 0.00% 0.00 0.00% 10.80% Cash 727,711.11 727,711.11 0.00 0.00% 0.00 0.00% 10.80% B Fixed Income 1,783,476.87 1,844,600.01 61,123.14 3.43% 91,726.09 4.97% 27.36% US 1,694,233.30 1,755,013.49 60,780.19 3.59% 89,724.69 5.11% 26.03% Global 49,538.92 50,113.38 574.46 1.16% 1,255.25 2.50% 0.74% International 39,704.65 39,473.14 -231.51 -0.58% 746.15 1.89% 0.59% C Equity 3,434,276.39 4,074,774.82 640,498.43 18.65% 110,067.61 2.70% 60.45% US 1,977,768.64 2,375,699.46 397,930.82 20.12% 56,193.50 2.37% 35.24% International 1,456,507.75 1,699,075.36 242,567.61 16.65% 53,874.11 3.17% 25.21% D Commodities 31,931.40 23,660.70 -8,270.70 -25.90% 0.00 0.00% 0.35% Commodities 31,931.40 23,660.70 -8,270.70 -25.90% 0.00 0.00% 0.35% E Non-Traditional 30,309.77 32,426.45 2,116.68 6.98% 514.19 1.59% 0.48% Non-Traditional 30,309.77 32,426.45 2,116.68 6.98% 514.19 1.59% 0.48% F Other 45,068.38 37,960.62 -7,107.77 -15.77% 0.00 0.00% 0.56% Other 45,068.38 37,960.62 -7,107.77 -15.77% 0.00 0.00% 0.56% Total Portfolio $6,052,773.92 $6,741,133.71 5688,359.79 11.37% $202,307.89 3.00% 100% Balanced mutual funds are allocated in the 'Other' category Report created on July 16. 2014 Page 1 " CONFIDENTIAL UBSTERRAMAR00000523 EFTA00236227 UBS Consolidated report prepared for Ghislaine Maxwell Portfolio holdings - as of July 15, 2014 (continued) Details of portfolio holdings Cost basis 5 Market value IS Unrealized gainAossrS, Unrealized gai Moss Est. annual inocme(S, Current yield C.%) % of asset class % of portfolio Total Portfolio $6,052,773.92 $6,741,133.71 $688,359.79 1137% $202,307.89 3.00% 100% 100% Purchase Price on Unrealized Cash price TV / Quantity Avg Price 07/15/2014 :Si Cost basis 15 Market value t S. Unrealized gaimlossrS, gaiMoss Est. annual inmate:Si Current yield :Ph) % of Cash % of portfolio Cash UBS BANK USA DEPOSIT ACCOUNT 9,481 35 1.00 1.00 9,481.35 9,481.35 0.00 0.00% 0.00 0.00% 1.30% 0.14% USD CASH 697.68 5.00 5.00 718,229.76 718,229.76 0.00 0.00% 0.00 0.00% 98.70% 10.65% Total Cash $727,711.11 $727,711.11 $0.00 0.00% $0.00 0.00% 100.00% 10.80% Total Cash $727,711.11 $727,711.11 $0.00 0.00% $0.00 0.00% 100.00% 10.80% Fixed Income Purchase price TV / Quantity Avg Price Price on 07/15/2014 V Cost basis (S: Market value Unrealized gainAoss !Si Unrealized gaiMoss Est. annual income (Si Current yield %> % of Fixed Income % of portfolio us AVENUE CREDIT STRATEGIES FUND 2,792.19 11.31 11.86 31.566.86 33,115.42 1,548.56 4.91% 1.044.28 3.15% 1.80% 0.49% CLASS INSTL Client investment: $30,896.00 Reinvested dividends: $670.86 Investment return: 12,219.42 :7.18% BANK OF AMER INTERNOTES 150,000.00 100.00 104.16 150,000.00 157,137.00 7,137.00 4.76% 5,400.00 3.46% 8.52% 2.33% 03.600% 111516 070110410 FC051511 NTS B/E BIM:MLLE TEX ISO U/T-07 BLD REF- 100,000.00 105.36 109.10 105,357.62 111,185.33 5,827.71 5.53% 5,000.00 4.58% 6.03% 1.65% 07 PSA B/E/IV 5.000 021529 DTD 011507 EILACKROCK HIGH MELD BOND I 7,459.57 8.12 8.40 60,602.06 62,660.39 2,058.33 3.40% 3,580.03 5.71% 3.40% 0.93% Client investment: $59,201.48 Reinvested dividends: 51,400.58 Investment return: 53,458.91 (5,84%) CITIGROUP CAPITAL XIII FXD/FLT 10,000 00 26.13 27.66 261,300 00 276,600 00 15.300 00 5.86% 19,687 50 7.12% 15.00% 4.10% TRUST PFD 7.875% DUE 10/30/2040 Report created on: July 16, 2014 Page 2 of 11 CONFIDENTIAL UBSTERRAMAR00000524 EFTA00236228 SUBS Portfolio holdings - as of July 15, 2014 (continued) Consolidated report prepared for Ghislaine Maxwell Fixed Income Purchase price (S)/ Quantity Avg Price Price on 07/15/2014 :S) Cost basis r5; Market value (5; Unrealized gainAoss 5) Unrealized gain4oss (%) Est. annual income (5) Current yield % of Fixed Income % of portfolio US COHEN & STEERS PREFERRED SEC & 4,607.73 13.44 13.77 61,946.93 63,448.44 1,501.51 2.42% 3,852.06 6.07% 3.44% 0.94% INC FUND I Client investment: 560,407.99 Reinvested dividends: 51,538.94 Investment return: 53,040.45 (5.03%) COUNTRYWIDE CAP V 7.000% DUE 4,200.00 23.52 26.02 98,778.96 109,284.00 10505.04 10.63% 7,350.00 6.73% 5.92% 1.62% 11/01/36 CALLABLE DOUBLE LINE TOTAL RETURN FUND 12,754.22 11.37 10.98 145,034.86 140,041.37 -4,993.49 -3.44% 7.158.33 5.11% 7.59% 2.08% INSTL Client investment: 5142,229.00 Reinvested dividends: 52,805.86 Investment return: 5-2.187.631-1.54%) EATON VANCE FLOATING RATE 7,665 50 11.18 11.15 85,696.21 85,470.29 -225.92 -0.26% 3,964.20 4.64% 4.63% 1 27% ADVANTAGE CL i Client investment: 584,120.00 Reinvested dividends: 51,576.21 investment return: 51,350.2911.61%; GENL ELEC CPTL CORP 00.423% 50,000.00 90.79 99.98 45,394.50 49,991.00 4,596.50 10.13% 211.68 0.42% 2.71% 0.74% 051116 DTD051107 FC081107 MED TERM N75 HARBOR HIGH VIEW BD FD 2,727.73 11.24 11.05 30,646.27 30,141.45 -504.82 -1.65% 1,720.52 5.71% 1.63% 0.45% INSTITUTIONAL CL Client investment: 529,905.78 Reinvested dividends. 5740.49 Investment return: 5235.67 :0.79%. HSBC FIN CORP NTS B/E 02.900% 100,000.00 100.00 101.71 100,000.00 102,432.00 2,432.00 2.43% 2,900.00 2.85% 5.55% 1.52% 101515 DTD101510 FC041511 1 P MORGAN CHASE & CO 150,000.00 105.27 111.13 157,909.17 166,687.50 8,778.33 5.56% 11,850.00 7.11% 9.04% 2.47% 07.900% 042949 DTD042308 FC 103008 NTS B/E 1PMORGAN CHASE CAP )00X 2,500.00 25.00 25.83 62,500.00 64,562.50 2,062.50 3.30% 4,187.50 6.49% 3.50% 0.96% 6.700% DUE 04102/40 MASSACHUSETTS ST HLTH & EOL 50,000.00 102.29 104.21 51,146.52 52,106.00 959.48 1.88% 2,500.00 4.80% 2.82% 0.77% FACS AU RV 8 8/E /Fr/ 5.000 071532 DTD 080305 METROPOUTAN WEST TOTAL 7,269.61 10.71 10.82 77,861.73 78,657.22 795.49 1.02% 2,093.54 2.66% 4.26% 1.17% RETURN BOND FUND CLASS I Client investment: 577.030.00 Reinvested dividends: 5831.73 Investment return: $1,627.22 (2.11%) MICHIGAN MUN BD AUTH RV 50,000.00 105.10 109.30 52,552.16 55,369.72 2,817.56 5.36% 2,500.00 4.57% 3.00% 0.82% BE/R/ 5.000 100126 DM 110206 Report created on: My 16, 2014 Page 3 of 11 CONFIDENTIAL UBSTERFtAMAR00000525 EFTA00236229 UBS Consolidated report prepared for Ghislaine Maxwell Portfolio holdings - as of July 15, 2014 (continued) Fixed Income Purchase price ($) / Quantity Avg Price Ftice on 07/15/2014 ($1 Cost basis(S) Market value i5. Unrealized gainrloss (5) Unrealized gain/loss t%) Est annual income Current yield J.%) % of Fixed Income % of portfolio US RIDGEWORTH SEIX FLOATING ftATEHIGH INCOME FUND CLASS I 6,614.81 9.04 9.06 59,800 08 59,930.15 130.07 0.22% 2,441.55 4.07% 3.25% 0.89% Client investment $58,784.00 Reinvested dividends: $1,016.08 Investment return: 51,146.15 (1.95%li T ROWE PRICE INSTITUTIONAL 5,466 31 10.27 10 28 56,139 37 56,193 70 54.33 0 10% 2283.51 4 06% 3 05% 0 83% FLOATING RATE F CLASS Client investment: $55397.00 Reinvested dividends: $742.37 Investment return: $796.70 (1.44% Total US $1,694,233.30 $1,755,013.49 $60,780.19 3.59% $89,724.69 5.11% 95.14% 26.03% Global 1P MORGAN MULTI-SECTOR 4,827.88 10.26 10.38 49.538.92 50,113.38 574.46 1 16% 1255.25 2.50% 2.72% 0.74% INCOME FUND SELECT SHS Client investment: 549,092.71 Reinvested dividends: $446.21 Investment return: $1,020.67 (2.08%) Total Global $49,538.92 $50,113.38 $574.46 1.16% $1,255.25 2.50% 2.72% 0.74% International HSBC TOTAL RETURN FUND CLASS I 3,858.57 10.29 10.23 39,704.65 39,473.14 -231.51 -0.58% 746.15 1.89% 2.14% 0.59% Client investment: 539,704.65 Reinvested dividends: $0.00 investment return: S-231.51 (-0.58%) Total International $39,704.65 $39,473.14 $-231.51 4.58% $746.15 1.89% 2.14% 0.59% Total Fixed Income 51,783,476.87 $1,844,600.01 $61,123.14 3.43% $91,726.09 4.97% 100.00% 27.36% Report created on July 16. 2014 Page 4 CONFIDENTIAL UBSTERRAMAR00000526 EFTA00236230 SUBS Portfolio holdings - as of July 15, 2014 (continued) Consolidated report prepared for Ghislaine Maxwell Equity Purchase pike (5)/ Quantity Avg Price Price on 07/15/2014 is) Cost basis <$; Market value (Si Unrealized gainAoss (Si Unrealized gai Moss (%, Est. annual inccrneiS) Current yield `.%) % of Equity % of portfolio US ANALOG DEVICES INC 1,751.00 41.99 53.73 73,523.89 94,081.23 20,557.34 27.96% 2,591.48 2.75% 2.31% 1.40% AUTOMATIC DATA PROCESSNG 1,272.00 59.99 80.34 76,310.18 102,192.48 25,882.30 33.92% 2,442.24 2.39% 2.51% 1.52% INC BANK OF AMER CORP 944.00 10.75 15.81 10,148.85 14,924.64 4,775.79 47.06% 37.76 0.25% 0.37% 0.22% BAXTER INTL INC 1,556.00 66.09 76.76 102,841.72 119,438.56 16.596.84 16.14% 3.236.48 2.71% 2.93% 1.77% fillACKROCK INC 372.00 235.22 323.74 87,501.00 120,431.28 32,930.28 37.63% 2,871.84 2.38% 2.96% 1.79% CATERPILLAR INC 1,110.00 82.82 109.85 91,931.25 121,933.50 30,002.25 32.64% 3,108.00 2.55% 2.99% 1.81% CMGROUP INC 358.00 39.24 49.29 14,048.52 17,645.82 3,597.30 25.61% 14.32 0.08% 0.43% 0.26% CLEARBRIDGE EQUITY INCOME 2,366.16 17.65 19.83 41,756.64 46,920.85 5,164.21 12.37% 825.46 1.76% 1.15% 0.70% FUND CLASS I Client investment: $41,251.00 Reinvested dividends: $505.64 Investment return: $5,669.85 1 3.74%. COLGATE PALMOUVE CO 1,508.00 54.30 69.66 81,883.80 105,047.28 23.163.48 28.29% 2,171.52 2.07% 2.58% 1.56% COLUMBIA CONVERTIBLE 2,026.03 18.37 19.53 37,211.36 39,568.37 2,357.01 6.33% 881.08 2.23% 0.97% 0.59% SECURITIES FUND CLASS Z Client investment: 536,465.00 Reinvested dividends: $746.36 Investment return: $3,103.37 i 8.51%) GENERAL MOTORS CO 1,373.00 36.42 37.58 50,000.00 51,597.34 1,597.34 3.19% 1,647.60 3.19% 1.27% 0.77% GENL MILLS INC 1,882.00 44.03 52.93 82.867.16 99,614.26 16.747.10 2021% 3.086.48 3.10% 2.44% 1.48% HARBOR CONVERTIBLE SECURITIES 2,850.75 10.34 11.45 29,469.31 32,641.05 3,171.74 10.76% 600.00 1.84% 0.80% 0.48% FUND CLASS I Client investment: 529,272.00 Reinvested dividends: $197.31 Investment return: $3,369.05 01.51%) JOHNSON & JOHNSON COM 1,066.00 74.87 103.28 79,807.38 110,096.48 30,289.10 37.95% 2,984.80 2.71% 2.70% 1.63% MCDONALDS CORP 1,018.00 94.27 100.30 95,966.16 102,105.40 6,139.24 6.40% 3,298.32 3.23% 2.51% 1.51% NEXTERA ENERGY INC COM 1,162.00 71.69 98.32 83,302.61 114,247.84 30,945.23 37.15% 3,369.80 2.95% 2.80% 1.69% OCCIDENTAL PETROLEUM CRP 969.00 93.69 99.52 90,782.97 96,434.88 5,651.91 6.23% 2,790.72 2.89% 2.37% 1.43% PEPSICO INC 1,154.00 74.10 90.34 85,508.36 104,252.36 18,744.00 21.92% 3,023.48 2.90% 2.56% 1.55% PROCTER & GAMBLE CO 1,134.00 72.51 81.26 82,228.14 92,148.84 9,920.70 12.06% 2,919.37 3.17% 2.26% 1.37% SCHLUMBERGER LTD 113.00 84.28 114.46 9,524.04 12,933.98 3,409.94 35.80% 180.80 1 40% 0.32% 0.19% NETHERLANDS ANTILLES SIT DIVIDEND GROWTH FUND 2,958.64 15.65 18.72 46,294.00 55,385.65 9,091.65 19.64% 752.91 1.36% 1.36% 0.82% CLASS I Client investment: 546,294.00 Reinvested dividends: $0 .00 Investment return: $9,091:65119.6M Report created on: July 16, 2014 Page 5 of 11 CONFI DENTIAL UBSTERFtAMAR00000527 EFTA00236231 *UBS Portfolio holdings - as of July 15, 2014 (continued) Consolidated report prepared for Ghislaine Maxwell Equity Purchase prke IS; / Quantily Avg Price Price on 07/15/2014 :S..; Cost basis (S. Market value IS; Unrealized gainAoss IS) Unrealized gainAoss (%) Est. annual income IS) Current yieldl%; % of Eguity % of portfolio US SPOR S&P 500 ETT TR 1,495.00 167.50 197.23 250,407.85 294,858.85 44,451.00 17.75% 5,351.35 1.81% 7.24% 4.37% Client investment: 5250.407.85 Reinwsted dividends: 50.00 Investment return: 544,451 00117.75%; TORTOISE MLP & PIPEUNE FUND 2,296.77 13.33 18.90 30,616.00 43,409.03 12,793.03 41.79% 544.14 1.25% 1.07% 0.64% CIASS INS% Client investment: 530,616.00 Reinvested dvidends: 50.00 Investment return: $12,793.03 (41.79%) TRAWLERS COS INC/THE 1,152.00 78.53 95.95 90,469 50 110,534.40 20,064.90 22.18% 2,534.40 2.29% 2.71% 1.64% PNITTER INC 2,000.00 45.16 37.88 90,320.00 75,760.00 -14,560.00 -16.12% 0.00 0.00% 1.86% 1.12% UNITED PARCEL SERVICE INC CL 8 1,061.00 92.25 104.29 97,876 80 110,651.69 12,774.89 13.05% 2,843.48 2.57% 2.72% 1.64% XIUNX INC 1,798.00 36.25 48.30 65,171.15 86,843.40 21,672.25 33.25% 2,085.68 2.40% 2.13% 1.29% Total U5 $1,977,768.64 $2,375,699.46 $397,930.82 20.12% 556,193.50 2.37% 58.30% 35.24% International ABB LTD SPON ADR 1,475.00 21.41 22.77 31,585.04 33,585.75 2.000.71 6 33% 1,133.76 3.38% 0.82% 0.50% ASTRAZENECA PLC SPON ADR 365.00 50.28 75.01 18,351.75 27,378.65 9,026.90 49.19% 1,022.00 3.73% 0.67% 0.41% BAE SYSTEMS PLC SPON APR 1.000.00 22.16 28.80 22,160.00 28,800.00 6,640.00 29.96% 1292.71 4.49% 0.71% 0.43% BAYER A G SPON ADR 245.00 99.96 137.33 24,491.20 33,645.85 9,154.65 37.38% 517.31 1.54% 0.83% 0.50% BNP BILUTON LTO SPON ADR 435.00 74.09 71 59 32,227.68 31,141.65 -1,086.03 -3.37% 1,026.60 3.30% 0.76% 0.46% BRMSH AMER TOBACCO PLC GB 590.00 105.16 120.61 62,046.30 71,159.90 9,113.60 14.69% 2,800.14 3.94% 1.75% 1.06% WON APR DEUTSCHE POST AG SPON APR 1,360.00 23.20 35.31 31.554 75 48,021 60 16,466.85 52.19% 1,451.61 3.02% 1.18% 0.71% DEUTSCHE TELEKOM AG DE SPON 4.270.00 13.80 16.50 58,928.15 70,455.00 11,526.85 19.56% 2,763.46 3.92% 1.73% 1.05% ADR GDF SUEZ SPON ADR 1,980.00 21.26 26.97 42,100.10 53,400.60 11,300.50 26.84% 2,758.26 5.17% 1.31% 0.79% GtAXO SMITHKUNE PLC ADR 1,015.00 47.70 53.32 48,412.36 54,119.80 5,707.44 11.79% 2,597.34 4.80% 1.33% 0.80% IMPERIAL TOBACCO GROUP PLC 515.00 70.43 89.34 36,270.85 46,010.10 9,739.25 26.85% 2,072.63 4.50% 1.13% 0.68% SPON APR .IP MORGAN INTREE%) EUROPEAN 875.28 23.21 27.22 20,316.00 23,825.20 3.509.20 17.27% 74.91 0.31% 0.58% 0.35% INST Client investment: 520,316.00 Reinvested cividends: 50.00 Investment return: 53,509.20 07.27%) MATTHEWS ASIA DIVIDEND FUND 2,661.93 14.90 16.67 39,658.96 44,374.29 4,715.33 11.89% 1294.60 2.92% 1.09% 0.66% INSTL Client investment: 539,286.00 Reinvested dividends: 5372.96 Investment return: 55,088.29112.95% Report aeated on: July 16, 2014 Page 6 of 11 CONFIDENTIAL UBSTERFtAMAR00000528 EFTA00236232 UBS Consolidated report prepared for Ghislaine Maxwell Portfolio holdings - as of July 15, 2014 (continued) Equity International Purchase price IS)/ Quantity Avg Price Price on 07/15/2014 :S. Cost basis !S; Market value (S; Unrealized gainAoss 3 Unrealized gai Moss :%, Est. annual inccrne 3 Current yield I%) % of Equity % of portfolio MTN GROUP LTD SPON ADR 2,625.00 19.04 20.92 49,970.21 54,915.00 4,944.79 9.90% 2,117.05 3.86% 1.35% 0.81% MUNICH RE GROUP ADR 2,610.00 18.65 22.00 48,665.02 57,420.00 8,754.98 17.99% 1,795.00 3.13% 1.41% 0.85% NESTLE S A SPONSORED ADR 1,055.00 69.59 76.69 73,413.83 80,902.68 7,488.85 10.20% 2,138.76 2.64% 1.99% 1.20% REPSTG REG SHS SWITZ ADR NIPPON TELEG & TEL CORP SPON 2,210.00 26.41 33.26 58.374.87 73,504.60 15,129.73 25.92% 1.653.36 2.25% 1.80% 1.09% ADR NOVARTIS AG WON ADR 975.00 69.85 90.14 68,101.01 87,886.50 19,785.49 29.05% 2,279.86 2.59% 2.16% 1.30% ORKLA ASA A SHS SPON ADR 4,115.00 7.91 9.03 32,560.21 37,154.34 4,594.13 14.11% 1,355.10 3.65% 0.91% 0.55% P.T. TELEKOMUNIKA9 INDONESIA 690.00 39.44 44.83 27,215.25 30,932.70 3,717.45 13.66% 804.45 2.60% 0.76% 0.46% WON ADR RECKITT BENCKISER PLC SPON ADR 3,540.00 13.77 17.24 48,749.99 61,029.60 12,279.61 25.19% 1,501.92 2.46% 1.50% 0.91% ROCHE HLOG LTD SPONS ADR 1,400.00 28.13 37.48 39,379.81 52,465.00 13,085.19 33.23% 1,281.19 2.44% 1.29% 0.78% SWITZ ADR ROYAL DUTCH SHELL PLC ADS 400.00 69.89 86.79 27,957.37 34,716.00 6,758.63 24.17% 1,504.00 4.33% 0.85% 0.51% REPSTG 2 CL 8 ORD SHS SPON ADR SANOR SPON ADR 1,195.00 50.27 51.43 60,068.51 61,458.85 1,390.34 2.31% 1,573.60 2.56% 1.51% 0.91% SIEMENS A G SPON ADR 500.00 105.83 125 34 52,917 17 62,670 00 9,752.83 18.43% 1,506.70 2 40% 1.54% 0.93% SINGAPORE TELECOM LTD NEW 1,765.00 28.99 31.38 51,172.92 55,385.70 4,212.78 8.23% 2,248.61 4.06% 1,36% 0.82% 2006 WON ADR SMITHS GROUP PLC WON ADR 1$75.00 19.53 21 42 30,754 80 33,736 50 2,981.70 9.70% 962.59 2.85% 0.83% 0.50% STATOIL ASA SPON ADR 1,450.00 24.81 30.19 35,974.62 43,775.50 7,800.88 21.68% 1,277.37 2.92% 1.07% 0.65% TAIWAN SEMICONDUCTOR MFG 830.00 17.82 22.47 14,793.04 18,650.10 3.857.06 26.07% 333.21 1 79% 0.46% 0.28% CO LTD APR TOTAL S.A. FRANCE WON ADR 1,070.00 50.51 67.88 54,046.70 72,631.60 18,584.90 34.39% 2,922.93 4.02% 1.78% 1.08% UNILEVER NV N Y SHS NEW 1,630.00 40.78 42.62 66,467.39 69,470.60 3,003.21 4.52% 2,052.50 2.95% 1.70% 1.03% NETHERLANDS SPON ADR UNTD OVERSEAS BK LTD SPONS 1,250.00 31.30 38.43 39,130.24 48,037.50 8,907.26 22.76% 1,388.48 2.89% 1.18% 0.71% ADR SINGAPORE ADR VODAFONE GROUP PLC SPON ADR 1.039.00 51.07 33.39 53,061.37 34,692.21 -18,369.16 -34.62% 2,372.07 6.84% 0.85% 0.51% ZURICH INS GROUP LTD SPON ADR 2.025.00 27.47 30.48 55,630.28 61,722.00 6,091.72 10.95% 0.00 0.00% 1.51% 0.92% Total International $1,456,507.75 $1,699,075.36 $242,567.61 16.65% $53,874.11 3.17% 41.70% 25.21% Total Equity $3,434,276.39 $4,074,774.82 $640,498.43 18.65% $110,067.61 2.70% 100.00% 60.45% Report created on: July 16, 2014 Page 7 of 11 CONFIDENTIAL UBSTERRAMAR00000529 EFTA00236233 UBS Consolidated report prepared for Ghislaine Maxwell Portfolio holdings - as of July 15, 2014 (continued) Purchase Price on Unrealized % of price (t)/ 07/15/2014 Unrealized gainAoss ht. annual CurrentCommoditi 56 of Commodities Quantity Avg Price (S) Cost basis (S) Market value (t) gain4oss (S) (%) income (S) yield (%) es portfolio Commodities SPQR GOLD TRUST 190.00 168.06 124.53 31,931.40 23,660.70 -8,270.70 -25.90% 0.00 0.00% 100.00% 0.35% Client investment: 531,931.40 Reinvested dividends: S0.00 Investment return: S-8.270.70,-25.9%1 Total Commodities $31,931.40 $23,660.70 5-8,270.70 -25.90% $0.00 0.00% 100.00% 0.35% Total Commodities $31,931.40 $23,660.70 5-8,270.70 -25.90% $0.00 0.00% 100.00% 0.35% Purchase Price on Unrealized % of pike (5)/ 07/15/2014 Unrealized gainAoss Est. annual Current Non- % of Non-Traditional Quantity Avg Price (5) Cost basis (5) Market value l$ gainhags (5) (%) income (S) yield (%) Traditional portfolio Non-Traditional GATEWAY FUND CLASS Y 1,098.46 27.59 29.52 30,309.77 32,426 45 2.116.68 6.98% 514.19 1.59% 100.00% 0.48% Client investment: 530,040.36 Reinvested dividends: $269.41 Investment return: 52,386.09 (7.94%) Total Non-Traditional $30,309.77 $32,426.45 $2,116.68 6.98% $514.19 1.59% 100.00% 0.48% Total Non-Traditional $30,309.77 $32,426.45 $2,116.68 6.98% $514.19 1.59% 100.00% 0.48% Purchase Price on Unrealized price (S)/ 07/15/2014 Unrealized gainloss Est annual Current % of % of Other Quantity Avg Price (5) Cost basis 5 Market value is; gainAoss (5) (%) income 5. yield :%s Other portfolio Other ETF METAL SECURITIES LTD ETFS 301 00 149.73 126.12 45,068 38 37,960 62 -7,107.77 -15.77% 0.00 0 00% 100 00% 0 56% PHYSICAL GOLD Client investment: 545e68.38 Reinvested dividends' 50.00 Investment return: 5-7.107.77 (-15.77%1 Total Other $45,068.38 $37,960.62 5-7,107.77 -15.77% 10.00 0.00% 100.00% 0.56% Total Other $45,068.38 $37,960.62 5-7,107.77 -15.77% 50.00 0.00% 100.00% 0.56% Report created on July 16. 201.: Page 8 o' CONFIDENTIAL UBSTERRAMAR00000530 EFTA00236234 UBS Consolidated report prepared for Ghislaine Maxwell Portfolio holdings - as of July 15, 2014 (continued) Total Portfolio Unrealized % of Unrealized gainAoss Est annual Current asset % of Cost basis Market value . S ciainAoss income yield % class portfolio $6,052,773.92 $6,741,133.71 $688,359.79 11.37% $202,307.89 3.00% 100% 100% Total accrued interest (included in market values): $1,030.56 Report created on July 16, 2014 Page 9 o' CONFIDENTIAL UBSTERRAMAR00000531 EFTA00236235 Disclosures applicable to accounts at UBS Financial Services Inc. This section contains important disclosures regarding the information and valuations presented here This report presents information since December 31, 2002. This report does not include complete account activity or performance of your accounts before this date All information presented is subject to change at any time and is provided only is Of the date indicated The informabon in this report is for informational purposes only and should not be relied upon as the basis of an nvestment or iquidation decision. 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As a result this information may not be accurate and is provided for informational purposes only Clients should not rely on this information in making purchase or sell decisions, for tax purposes or otherwise See you monthly statement for additions information. hieing: MI securities are priced using the dosing price reported on the last business day preceding the date of this report Every reasonable attempt has been made to accurately price securities however, we make no warranty with respect to any security's price Please refer to the back of the fist page of your MS FS accounts statement for important information regarding the pricing used for certain types of sect-cities, the sources of pricing data and other qualficatiOns concerning the pricing of securities To determine the value of securities in your account, we generally rely on third party quotation services If a price is unavailable or believed to be unreliable, we may determine the price in good faith and may use other sources such as the last recorded transaction when securities are held at another custodian or if you hold illiquid or restricted securities for which there is no published price, we MI generaly rely on the value provided by the custodian or issuer of that security Cash: Cash on deposit at UBS Bank USA is protected by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 in principal and accrued interest per depositor for each ownership type Deposits made in an indMdual's own name, joint name, or individual retirement account are each held in a separate type of ownership Such deposits are not guaranteed by l/85 FS. More information is available upon request. Margin: The quantity value may indicate that all or part of this position is held on margin or held in the short account. When an account holds a debit balance, this debit balance is incorporated into the accounts total market value and deducted from the total value. When calculating the percent of portfolio on each security, the percentage will be impacted by the total market value of the account. Therefore, if the account's market value is reduced by a debit value of a holding the percent of portfolio WI be greater and if the account's market value is increased by a holding then the percent of portfolio soil be less. Mutual Fund Asset Allocation: If the option to unbolt* balanced mutual funds is selected and if a fund's holdings data is available, mutual funds wit be classified by the asset class, subclass, and style breakdown of their underlying holdings. Where a mutual fund or FM contains equity holdngs from multiple equity sectors, this report will proportionately allocate the underlying holdings of the fund to those sectors measured as a percentage of the total funds asset value as of the date shown. This information is supplied by Morningstar, Inc. on a monthly basis to 1165 FS based on data supplied by the fund which may not be current. Mutual funds change their portfolio holdings on a regular :often daily' basis Meat:fright, any analysis that includes mutual funds may not accurately reflect the current composition of these funds. If a fund's underlying holding data is not available, it will be classified based on its corresponding overall Morningstar classification NI data is as of the date indicated in the report Equity Style: The Growth, Value and Core labels are determined by Standard and Poor's using a price-to. boot: ratio methodology. The Growth, Value and Core labels are based on how a comparry's price-to-book ratio compares to the median price-to-book ratio for its industry based on the company's assigned Industry Sector if the company's ratio is greater than or equal to the industry median, it is classified as a growth stock If the company's ratio is less than the industry medianl it is classified as a value stock If a security includes both growth and value attributes, it is classified as a core stock If pria-to-book is not available or the industry's median is not available, this item will be Unclassified Equity Capitallzatket Market Capitalization is defined as the number of shares outstanding times the market value Equity securities are classified as large Cap if they have a capitalization of 8 balion or above Securities with capitalization between 1 8 and 7 9 billion are classified as Mid Cap Securities with capitabzation below 1.79 baron are classified as Smal Cap Unclassified securities are those for which no capitalization is available or applicable Equity Sectors: The Equity sector analysis may indude a variety of account, each with different investment and risk parameters As a result, the over Bighting or underweighting in a particular sector or asset class should not be viewed as an isolated factor in making iwestmentthquidation decisions, but should be assessed on an account by account basis to determine the overall impact on the account's portfolio Classified Equity; Classified equities are defined as those equities for which the firm can confirm the specific industry and sector of the underlying equity instrument. Estimated Annual Income: The Estimated Annual income is the annualized year to date per share dividends paid and multiplied by the quantity of shares held in the selected amounts: Current Yield: Current Weld is defined es the estimated annual income divided by the total market value Credit/Event Risk Investments are subject torrent risk and changes in aedit quality of the issuer Issuers can experience economic situations that may have adverse effects on the market value of their securities. Interest Rate Risk Bonds are subject to market value fluctuations as interest rates rise and fall. If sold prier to maturity, the price teemed for an issue may be less than the original purchase price. Reinvestment Risk: Since most corporate issues pay interest sernannuSly. the coupon payments over the life of the bond can have a major impact on the bond's total 'then. Accrued Interest Interest that has accumulated between the most recent payment and the report date may be reflected in market values for interest bearing securities Gain/loss: The gaintloss information may include calculations based upon non-UBS FS cost basis information The Firm does not independently verify or guarantee the accuracy or validity of any information provided by sources other than UBS FS. In addition, if this report contains positions with unavailable cost basis, the gaiMlossl for these po9tions are excluded in the calculation for the GOV.Loss] As a result these figures may not be accurate and are provided for informational purposes only Clients should not rely on this information in make"; purchase or sell decisions, for tax purposes or otherwise Rely only on yearend tax forms when preparing your tax return See your monthly statement for additional information Account changes: At 1185, we are cornmitted to helping you work toward your financial goat So that we may continue providing you with financial advice that is consistent with you investment objectives, please consider the following two questions: 1: Have there been any changes to your financial situation or investment objectives? r Would you Ike to implement or modify arty restrictions regarding the management of your aCCOunt7 if the answer to either question is 'yes.' it is important that you contact your Financial Advisor as soon as possible to discuss these changes. For MAC advisory accounts, please contact your investment manager directly if you would like to impose or change any investment restrictions on your account ADV disclosure: A complimentary copy of our current Form ADV Disclosure Brochure that describes the Report created on: July 16, 2014 Page 10 of 11 CONFIDENTIAL UBSTERRAMAR00000532 EFTA00236236 UBS Disclosures applicable to accounts at UBS Financial Services Inc. (continued) advisory program and related fees is available through your Financial Advisor Please contact your Financial Advisor if you have any questions Important information for former Piper Jaffrey and McDonald Investments clients: As an accommodation to former hoer Jaffrey and McDonald Investments dents, these reports include performance history for their Piper Jaffrey accounts prior to August 12. 2006 and McDonald Investments accounts prior to February 9. 2007, ihe date the respective accounts were converted to UBS FS. 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For insurance, annuities. and 529 Parts, UBS FS relies on nformaton obtained from third party services it believes to be reiable UBS FS does not independently verify or guarantee the accuracy or validity of any information provided by third parties information for insurance, annui-ties. and 529 Plans that has been provided by a third party service may not reflect the quantity and market value as of the previous business day. when available. an 'as of date is inducted in the description irwestors outside the U S are subject to securities and tax regulations within their applicable junsdction that are not addressed in this report Nothing in this report shall be construed to be a solicitation to buy or offer to sell any security. product or service to any non4.1 S investor. nor shall any such security, product or service be sokited. offered or sold in any jurisdiction vihere such activity would be contrary to the securities laws or other local laws and regulations or would subject UBS to any registration requirement wither such juristiction UBS FS Al Rights Reused Member SIPC. Report created on: July 16, 2014 Page 11 of 11 CONFIDENTIAL UBSTERRAMAR00000533 EFTA00236237