EFTA00236238.pdf

UBS Realized gain/loss Year 2014 CUSP Symbol quantity Purchase date Purchase amount :S' Sale date Sale amount r Si Realized gainflos.0 iSi Percent igainloss)i*/& Term ALSTOM ADR 021244207 ALSMY 2,425.00 08/20/2013 8612.78 07/15/2014 8,584.31 -228.47 -2.59% S ALSTOM ADR 021244207 ALSMY 2,45000 08/21/2013 8,958.13 07/15/2014 8,672.81 -285.32 -3.19% 5 APACHE CORP 037411105 APA 30.00 05/17/2011 3,578.67 07/15/2014 2,943.74 -634.93 -17.74% L APACHE CORP 037411105 APA 32.00 06/21/2011 3,767.83 07/15/2014 3,139.99 -627.84 -16.66% L APACHE CORP 037411105 APA 33.00 08/02/2011 4,056.80 07/15/2014 3,238 11 -818.69 -20.18% I BNP PARIBAS SA ADR 05565A202 BNPQY 710.00 01/09/2014 28,402.76 07/192014 23,244.89 -5,157.87 -18.16% 5 BNP PARIBAS SA ADR 05565A202 BNPQY 485.00 01/13/2014 19,271.70 07/15/2014 15,878.55 -3,393.15 -17.61% S BOC HONG KONG HOLDINGS LTD SPON ADR 096813209 BHKLY 175.00 01/29/2013 12,169.48 07/15/2014 10,620.52 -1,548.96 -12.73% L BOC HONG KONG HOLDINGS LTD SPON ADR 096813209 BHKLY 220.00 04/22/2013 14,608.84 07/15/2014 13,351.50 -1,257.34 -8.61% L 80C HONG KONG HOLDINGS LTD SPON ADR 096813209 BHKLY 160.00 07/12/2013 10,043.20 07/15/2014 9,710.19 -333.01 -3.32% L CONOCOPHILLIPS 20825C104 COP 106.00 08/04/2011 5.523 58 07/15/2014 8,983.83 3460.25 62.65% L CONOCOPHIWPS 20825C104 COP 2.00 08/12/2011 102.87 07/15/2014 169.51 66.64 64.78% 1 CONOCOPHIWPS 20825C104 COP 13.00 05/08/2012 692.74 07/15/2014 1,101.79 409.05 59.05% I CONOCOPHIWPS 20825C104 COP 16.00 05/08/2012 854.40 07/15/2014 1,356.05 501.65 58.71% I CONOCOPHILLIPS 20825C104 COP 14.00 07/17/2012 783.17 07/15/2014 1,186.54 403.37 51.50% L CONOCOPHILLIPS 20825C104 COP 789.00 01/23/2013 47,19459 07/15/2014 66,870.22 19.675.63 41.69% L CONOCOPHIWPS 20825C104 COP 138.00 03/19/2013 8,160.98 07/15/2014 11,695.93 3.534.95 43.32% L CONOCOPHIWPS 20825C104 COP 402.00 04/22/2013 23,198.25 07/15/2014 34,070.76 10,872.51 46.87% L GERON CORP 374163103 GERN 1.000.00 11/29/2010 5.709 32 07/15/2014 2,882 94 -2.826 38 -49.50% L GERON CORP 374163103 GERN 2,000.00 12/06/2010 12420.00 07/15/2014 5,765.87 -6A54.13 -53.58% L HSBC HOLDINGS PLC NEW G8 SPON ADR 404280406 HSBC 570.00 01/292013 32,437.90 07/15/2014 29,275.75 -3,162.15 -9.75% I HSBC HOLDINGS PLC NEW GB SPON ADR 404280406 HSBC 430.00 04/22/2013 22,411.73 07/15/2014 22,085.21 -326.52 -1.46% L HSBC HOLDINGS PLC NEW GB SPON ADR 404280406 HSBC 145.00 07/12/2013 7,961.20 07/15/2014 7,447.34 -513.86 -6.45% L IWNCX5 TOOL WORKS INC 452308109 ITW 135.00 08/04/2011 6.362.35 07/15/2014 11,650.68 5,28633 83.12% L ILUNOIS TOOL WORKS INC 452308109 11W 3.00 08/12/2011 135.72 07/15/2014 258.90 123.18 90.76% L IWNOIS TOOL WORKS INC 452308109 EPN 706.00 01/23/2013 44,975.31 07/15/2014 60,928.72 15,953.41 35.47% L ILUNOIS TOOL WORKS INC 452308109 11W 327.00 04/22/2013 19,844 22 07/15/2014 28,220.52 8,376 30 42.21% L Report created on: July 16, 2014 Page 1 of 5 Consolidated report prepared for Ghislaine Maxwell CONFIDENTIAL UBSTERRAMAR00000534 EFTA00236238 UBS Consolidated report prepared for Ghislaine Maxwell Realized gain/loss - Year 2014 (continued) JP MORGAN NEW YORK MUNICIPAL MONEY MARKET FUND MORGAN KIRIN HOLDINGS LTD SPON ADR KIRIN HOLDINGS LTD WON ADR KIRIN HOLDINGS LTD SPON ADR KIRIN HOLDINGS LTD WON ADR KIRIN HOLDINGS LTD SPON ADR WKOIL OIL CO WON ADR (25 RUBLES) LUKOIL OIL CO SPON ADR 25 RUBLES: LUKOIL OIL CO SPON ADR (25 RU&ES) LUKOIL OIL CO SPON ADR 25 RUBLES: STAPLES INC STAPLES INC STAPLES INC STAPLES INC STAPLES INC STAPLES INC STAPLES INC STAPLES INC STAPLES INC STAPLES INC STAPLES INC STAPLES INC STAPLES INC STAPLES INC STAPLES INC STAPLES INC STAPLES INC CUSP Symbol quantity Purchase date Purchase amount :Si Sale date Sale amount i Si Realized gain/ loss. :Si Percent yew loss, *41 Term 481240813 MFV1VU 1.00 01/01/1111 0.00 06/09/2014 1.00 0.00 0.00% L 497350306 KNBWY 1,250.00 04/03/2013 20,221.50 07/15/2014 17,763.14 -2A58 36 -12.16% L 497350306 KNBWY 600.00 04/22/2013 9,792.00 07/15/2014 8,526.31 -1,265.69 -12.93% 1 497350306 KNBWY 325.00 07/12/2013 5,323.50 07/15/2014 4,618.42 -705.08 -13.24% L 497350306 KNBWY 400.00 08/05/2013 6,262.36 07/15/2014 5,684.21 -578.15 -9.23% S 497350306 KNBWY 435.00 08/06/2013 6,911.50 07/15/2014 6,181.57 -729.93 -10.56% S 677862104 LUKOY 410.00 0129/2013 27,482.30 07/15/2014 24,007.43 -3,474.87 -12.64% I. 677862104 LUKOY 35.00 02/13/2013 2,343 29 07/15/2014 2,049.41 -293.88 -12.54% I 677862104 LUKOY 435.00 04/22/2013 25,524.97 07/15/2014 25,471.30 -53.67 -0.21% L 677862104 LUKOY 155.00 07/12/2013 9,425 94 07/15/2014 9,075 98 -349.96 -3.71% l 855030102 SPIS 63.00 10/24,2012 712.74 07/15/2014 700.66 -12.08 -1.69% L 855030102 SPIS 1.00 10/24/2012 11.36 07/15/2014 11.12 -0.24 -2.11% L 855030102 SPIS 57.00 10/25/2012 649.29 07/15/2014 633.92 -15.37 -2.37% L 855030102 SPLS 46.00 10/292012 525.36 07/15/2014 511.59 -13.77 -2.62% L 855030102 SPLS 8.00 10/25/2012 91.44 07/15/2014 88.97 -2.47 -2.70% L 855030102 SPLS 51.00 10/26/2012 581 42 07/192014 567.20 -14.22 -245% L 855030102 SPIS 3.00 10/31/2012 34.70 07/15/2014 33.37 -1.33 -3.83% L 855030102 SPLS 12.00 10/31/2012 138.32 07/15/2014 133.45 -4.87 -3.52% L 855030102 SPLS 1.00 11/01/2012 11.60 07/15/2014 11.12 -0.48 -4.14% L 855030102 SPLS 33.00 11/01/2012 382.99 07/192014 367.01 •15.98 •4.17% L 855030102 SPLS 46.00 11/01/2012 537.17 07/15/2014 511.59 -25.58 -4.76% L 855030102 SPLS 7.00 11/01/2012 81.18 07/15/2014 77 85 -3.33 -4.10% L 855030102 SPLS 31.00 11/02/2012 358.12 07/15/2014 344.76 -13.36 -3.73% L 855030102 SAS 31.00 11/05/2012 355.43 07/15/2014 344.76 -10.67 -3.00% L 855030102 SPLS 7.00 11/05/2012 81.13 07/15/2014 77.86 -3.27 -4.03% L 855030102 SPIS 26.00 11/06/2012 307.13 OW 92014 289.16 -17.97 -5.85% L 855030102 SPIS 51.00 11/06/2012 602.87 07/15/2014 567.20 -35.67 -5.92% L Report created on: July 16, 2014 Page 2 of 5 CONFIDENTIAL UBSTERRAMAR00000535 EFTA00236239 * UBS Realized gain/loss - Year 2014 (continued) Consolidated report prepared for Ghislaine Maxwell CUSP Symbizi Quantity Purchase date Purchase amount :5) Sale date Sale amount i5i Realized gainfloss: :Si Percent gall/loss; ,% i Term STAPLES INC 855030102 SPLS 48.00 11/07/2012 556.70 07/15/2014 533.83 -22.87 -4.11% L STAPLES INC 855030102 SPLS 22.00 11/07/2012 254.82 07/15/2014 244.67 -10.15 -3.98% L STAPLES INC 855030102 SPLS 30.00 11/08/2012 350.16 07/15/2014 333.64 -16.52 -4.72% L STAPLES INC 855030102 SPLS 57.00 11/08/2012 652.43 07/192014 633.93 -18.50 -2.84% L STAPLES INC 855030102 SPLS 3.00 11/08/2012 35.00 07/15/2014 33.36 -1.64 -4.69% L STAPLES INC 855030102 SPLS 6.00 11/29/2012 70.59 07/15/2014 66.73 -3.86 -5.47% L STAPLES INC 855030102 SPLS 8.00 11/29/2012 94.23 07/15/2014 88.97 -5.26 -5.58% l STAPLES INC 855030102 SPLS 26.00 1129/2012 306.24 07/15/2014 289.16 -17.08 -5.58% I. STAPLES INC 855030102 SPIS 1.00 11/30/2012 11.75 07/15/2014 11.12 -0.63 -5.36% 1 STAPLES INC 855030102 SPLS 16.00 11/30/2012 186.84 07/15/2014 177.94 -8.90 -4.78% L. STAPLES INC 855030102 SPIS 11.00 11/30/2012 128.57 07/15/2014 122 34 -6.23 -4.85% L STAPLES INC 855030102 SPLS 37.00 11/30/2012 433.45 07/15/2014 411.50 -21.95 -5.06% L STAPLES INC 855030102 SPLS 3,076.00 01/23/2013 40,788 38 07/15/2014 34,209.70 -6,578.68 -16.13% L STAPLES INC 855030102 SPLS 399.00 03/07/2013 5,037.93 07/152014 4,437.48 -600.45 -11.92% L STAPLES INC 855030102 SPLS 1,918.00 04/22/2013 24,767.13 07/15/2014 21,331.01 -3.436.12 -13.87% 1 STAPLES INC 855030102 SPLS 181.00 08/26/2013 2.608.63 07/15/2014 2,012.99 -595.64 -22.83% 5 STAPLES INC 855030102 SPLS 203.00 08/26/2013 2,923.46 07/15/2014 2,257.66 -665.80 -22.77% 5 STAPLES INC 855030102 SPLS 253.00 0827/2013 3,568.74 07/192014 2,813.74 -755.00 -21.16% 5 TARGET CORP 87612E106 TGT 6.00 09/23/2013 386.43 07/15/2014 363 01 -23.42 -6.06% 5 TARGET CORP 87612E106 TGT 68.00 09/23/2013 4,378.59 07/15/2014 4,114.12 -264.47 -6.04% 5 TARGET CORP 87612E106 TGT 82.00 09/24/2013 5,258.97 07/15/2014 4,961.14 -297.83 -5.66% 5 TARGET CORP 87612E106 TGT 180.00 09/24/2013 11,519.91 07/15/2014 10,890.32 -629.59 -5.47% 5 TARGET CORP 87612E106 TGT 13.00 09/292013 827.06 07/192014 786.53 -40.53 -4.90% S TARGET CORP 87612E106 TGT 152.00 09/25/2013 9,643.85 07/15/2014 9,19026 447.59 -4.64% S TARGET CORP 87612E106 TGT 18.00 09/292013 1,147 23 07/15/2014 1,089.04 -58.19 -5.07% 5 TARGET CORP 87612E106 TGT 92.00 09/25/2013 5,851.05 07/15/2014 5,566.16 -284.89 -4.87% 5 TARGET CORP 87612E106 TGT 114.00 09/26/2013 7,231.76 07/15/2014 6,897 20 -334.56 -4.63% S Report created on: July 16, 2014 Page 3 of 5 CONFIDENTIAL UBSTERRAMAR00000536 EFTA00236240 UBS Consolidated report prepared for Ghizlaine Maxwell Realized gain/loss - Year 2014 (continued) CUSP Symbol quantity Purchase date Purchase amount :Si Sale date Sale amount [ Si ReSized aril/. loss .S Percent gaM loss/ %1 Term TARGET CORP 87612E106 TGT 193.00 09/27/2013 12,350.76 07/192014 11,676.84 .673.92 -5.46% S TARGET CORP 87612E106 TGT 51.00 09/30/2013 3,258.30 07/15/2014 3,085.59 -172.71 -5.30% 5 TARGET CORP 87612E106 TGT 104.00 09/30/2013 6,633.64 07/15/2014 6,292.18 -341.46 -5.15% S TARGET CORP 87612E106 TGT 27.00 09/30/2013 1,722.95 07/15/2014 1,633.55 -89.40 -5.19% 5 TARGET CORP 87612E106 TGT 38.00 10/01/2013 2,424.93 07/15/2014 2,299.07 -125.86 -5.19% S TARGET CORP 87612E106 TGT 38.00 10/01/2013 2,422.80 07/15/2014 2299.06 -123.74 -5.11% S TARGET CORP 87612E106 TGT 53.00 10/012013 3,384.40 07/192014 3,206.60 -177.80 -5.25% S TARGET CORP 87612E106 TGT 139.00 10/01/2013 8,875 42 07/15/2014 8,409.74 -465.68 -5.25% S TARGET CORP 87612E106 TGT 3.00 01/07/2014 188.59 07/15/2014 181.51 -7.08 -3.75% S TARGET CORP 87612E106 TGT 32.00 01/07/2014 2,016 15 07/15/2014 1,936 05 -80.10 -3.97% S TARGET CORP 87612E106 TGT 197.00 01/07/2014 12,389.28 07/15/2014 11,918.85 -470.43 -3.80% 5 TESCO PLC SPONS ADR UNITED KINGDOM 881575302 TSCDY 435.00 01/292013 7,486.35 07/15/2014 6,311.71 -1,174.64 -15.69% L TESCO PLC SPONS AOR UNITED KINGDOM 881575302 TSCDY 660.00 04/22/2013 11,160.60 07/15/2014 9,576.39 -1.584.21 -14.19% L TESCO PLC SPONS ADR UNITED KINGDOM 881575302 TSCDY 425.00 07/12/2013 6.809 78 07/15/2014 6,166 61 -643.17 -9.44% L VERIZON COMMUNICATIONS INC 92343V104 VZ 383.97 01/29/2013 17,993.39 07/15/2014 19,489.88 1,496.49 8.32% L VERIZON COMMUNICATIONS INC 92343V104 VZ 1 32 04/22/2013 61 62 07/15/2014 66.74 5.12 831% L VERIZON COMMUNICATIONS INC 92343V104 VZ 115.72 07/12/2013 5,422.64 07/192014 5,873.63 450.99 8.32% L TOTAL REAUZED GAIN/(LOSS): 704,809.63 716,283.08 11,47245 1.63% TOTAL GAINS: 70,617 87 TOTAL LOSSES: -59,145 42 SHORT TERM - TOTAL REAUZED GAIN/(LOSS): -17,498.58 LONG TERM - TOTAL REAUZED GAIN/(LOSS): 28,971 03 Report created on: July 16, 2014 Page 4 of 5 CONFIDENTIAL UBSTERRAMAR00000537 EFTA00236241 *UBS 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 as Of the date indicated The nformation in this report is for informal:nal purposes only and should not be relied upon as the basis of an nvestment or liquidation decision. UBS FS accants statement and official tax documents are the only official record of your accounts and are not replaced. amended Cr superseded by any of the information presented in these reports MS FS offers a number of investment advisory programs to dents. acting in our capacity as an investment adviser, induding fee-based financial planning. disaetionary account management. non-discretionary investment advisory programs, and advice on the selection of investment managers and mutual finds offered through our investment advisory programs When we act as your investment adviser, we will have a written agreement with you expressly acknowledging our investment advisory relationship with you and describing our obligations to you At the beginning of our advisory relationship, we will give you our Form ADV brochures: for the programs) you selected that provides detailed information about. among other things, the advisory services we provide, our fees, as personnel, our other business activities and financial industry affiliations and conflict between our interests and your interests. Please review the report content carefully arid contact your Financial Advisor with any questions. The account listing may or may not inducle al of your accounts with UBS FS. The accounts included in this report are fisted under the 'Accounts included in this review' shown on the first page or listed at the top of each page. Portfolio For purposes of this report 'portfolio" is defined as all of the accounts presented on the cover page or the header of this report and does not necessarily include a of the client's accounts held at UBS FS or elsewhere Pricing: 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 acarately price securities, however, we make no warranty with respect to any secwity's price. Please refer to the back of the first page of your IRS FS. accounts statement for important information regarding the pricing used la certan types of securities, the /MUM of pricing data and other qualifications 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 transactor, When securities are held at another custodian a if you hold illiquid or restricted securities for which there is no published price. we wit generally rely on the value provided by the custodian or issuer of that security Gain/Loss: The gainAoss information may include calculations based upon non-UBS FS cost basis information The Arm does not independently verify a guarantee the accuracy or validly of any information provided by sources other than UBS FS. In addition, if this report contains positions with unavailable cost basis. the gain, loss: for these positions are excluded in the cakulaton for the Gairie.Lose As a result these figures may not be accurate and re provided for informational purposes only C bent should not rely on this information in making purchase or sell decisions, for tax purposes or otherwise Rely only on year-end tax forms when preparing your tax return See your monthly statement for additional information. Gain/Loss reporting for Puerto Rico Income Tax Purposes: G n' Loss reporting mat be prepared solely for Puerto Rico income tax purposes only If you have received ganr.loss) reporting for Puerto Rico income tax purposes only and are NOT subject to Puerto Rico income taxes, you have received this reporting in error and you should contact your Financial Advisor immediately Pursuant to the Puerto Rico Internal Revenue Code (PMRC) long-term capital gains are derived from the safe or exchaige of capital assets held longer than six (6) months For the purposes of this report only, long term gains and losses are represented by asset held for a period of more than six (6' months Both the Frm and your Financial Advisor will rely solely upon your representations and wit not make the determination of whether you are subject to Puerto Rico income taxes if you have received this reporting and you are NOT subject to Puerto (boo income taxes, the information provided in this reporting is inaccurate and should not be abed upon by you or your advisers for purposes other than determining realized gaintloss for Puerto Rico income tax purposes. Neither UBS FS nor its employees provide tax or legal advice. You should consult with your tax and/or legal advisors regarding your personal circumstances Gain/Loss 60/40: Index options listed in this report may be subject to IRS Tax Code section 1256 categorizing them as broad-based index options If so, the index may be eligible to be treated as 60% long term and 40% short teams for tax purposes Please contact your tax professional to determine eligibility Account changes: At UBS, vie are committed to helping you work toward your financial goals So that we may continue providing you with financial advice that is consistent with your investment objectives, please consider the following two questions I I Have there been any changes to your financial situation a investment oil:actives? 2] Would you like to implement or modify any restrictions regarding the management O1 your account) 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 Foe MAC advisory accounts. please contact your investment manager directly if you would like to impose or change any investment restrictions on you account. ADV disdosuric A complimentary copy of our current Form ADV Disclosure Brochure that describes the advisory program and related fees is available through your Financial Advisor Please contact your Financial Advisor if you hate any questions Important information for former Piper Jaffrey and McDonald Investments clients: As an accommodation to lamer Piper )affray and McDonald Investments clients, these reports include performance history for their Piper Affray accounts prior to August 12. 2006 and McDonald Investments accounts prior to February 9, 2007, the date the respective accounts were converted to Ula FS. UBS FS has not independently verified this information nor do we make any representations or warranties as to the accuracy or completeness of that information and VA not be liable to you if any such information is unavailable, delayed or inaccurate For insurance, annuities, and 529 Plans, LAS FS relies on information obtained from Mid party services it believes to be reliable OAS FS does not independently verify or guarantee the accuracy or validity of any information provided by third parties information for insurance, annuities, 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 &rabble, an ' as of date is included in the description. Investors outside the U S are subject to securities and tax regulations within their applicable jurisdktion that are not addressed in this report. Nothing in this report shall be construed to be a sdicitation to buy or offer to sell any security, product or service to any non-U S inyeltot, nor shall any such security, product or service be sokited, offered or sold in any jurisdiction where such activity would be contrary to the secuntes laws or other local laws and regulations or would subject UBS to any registration requirement within such jurisdiction IRS FS Al Rights Reserved Member 51K. Report created on: July 16, 2014 Page 5 of 5 CONFIDENTIAL UBSTERFtAMAR00000538 EFTA00236242