EFTA00236389.pdf

UBS US$ Finanaal Services Inc. 299 Park Avenue 25th Floor New York NY 10171-0002 CNP7006552657 0914 XI2 VI 0 Account name: GHISLAINE MAXWELL Friendly account name: Cash/Savings Account number: Y1 23575 S5 Your Financial Advisor. Phone. Resource Management Account September 2014 GHISLAINE MAXWELL Questions about your statement? Value of your account Call your Financial Advisor or the RMA Resourceline at 800-RMA-1000, on August 29(S) on September 30 (5) account 029023575. Your assets 6,624,321.96 6,076,451.41 Visit our website: Your liabilities 0.00 0.00 www.ubs.corrVfinancialservices Value of your account $6,624,321.96 $6,076,451.41 Tracking the value of your account Thousands 6,624.3 6,076.5 Aug 2014 Sep 2014 Member SIPC Soirees of your account growth during 2014 Value of your account at year end 2013 50.00 Net deposits and withdrawals 56,075,829.53 Your investment return: Dividend and merest income 5621.88 Change in market value 50.00 Value of your account on Sep 30, 2014 $6.076.451.41 C NP700090O5552657 NP7000298W0 0C007 0914 030575004 Y I2 3575550 110000 Page 73 of 100 CONFIDENTIAL UBSTERRAMAR00000690 EFTA00236389 UBS Resource Management Account September 2014 Your account balance sheet Summary of your assets A value on September 30 (5) Percentage of your account Cash and money balances 0.00 0.00% B Cash alternatives 6,076,451.41 100.00% C Equities 0.00 0.00% D Fixed ilcome 0.00 0.00% E Non-traditional 0.00 0.00% F Commodities 0.00 0.00% G Other 0.00 0.00% Total assets 56,076,451 41 100.00% Account name: GHISLAINE MAXVVEU. Friendly account name Cash/Sayings Account number: Y1 23575 55 Value of your account $6,076,451.41 Your current asset allocation • B Eye on the markets Index Percentage change September 2014 Year to date S&P 500 -1.40% 834% Russell 3000 -2.08% 6.95% MSCI - Europe, Australia & Far East -3.81% -0.99% Barclays Capital U.S. Aggregate Bond Index -0.68% 4.10% Your Financial Advisor. Interest rates on September 30, 2014 3-month Treasury bills: 0.02% One-month LIBOR 0.16% CNP70309006552658 NP7000298800 00007 0914 030575004 Y123575550110000 Page 74 of 100 CONFIDENTIAL UBSTERRAMAR00000691 EFTA00236390 ICI UBS Resource Management Account September 2014 Change in the value of your account September 2014(5) Year to date (S) Opening account value $6,624,321.96 $0.00 Deposits, including investments transferred in 2,340.15 7,176,589.42 Withdrawals and fees, including investments transferred out -550,315.09 -1,100,759.89 Dividend and interest income 104.39 621.88 Closing account value 56,076,451.41 56,076,451.41 Account name: GHISLAINE MAXWELL Friendly account name: Cash/Savings Account number: Vi 23575 55 Dividend and interest income earned For purposes of this statement. taxability of interest and dMdend inaame ha been determined from a US tax reporting pefspective Based upon the residence of the account holder, account type, or product type. some interest and/or dividend payment may not be subject to United States (US) suitor Puerto Rko (PR) score taxes. The client monthly statement 4 not intended to be used and cannot be relied upon for tax purposes Giants should refer to the applicable tax reporting forms they receive from UBS annualy, such a the forms 1099 and the Forms 480, for tax reporting information his the practice of UBS to file the applicable tax reporting forms with the US Internal Revenue Service and PR Treasury Department, and such forms accurately classify dividends anclior interest a tax exempt or taxable income Please consult your individual talc prepaer. September 2014 (5) Year to date (S) Taxable dividends 104.39 620.18 Taxable interest 0.00 1.70 Total current year $104.39 5621.88 Total dividend & interest $104.39 5621.88 Cash activity summary Your Financial Advisor. SCOTT STACKMAWLYLE CASRIEL See Account activity this mond, for detais. Balances in your Sweep Options are included in the opening and dosing balances value. FDK insurance applies only to deposit at UBS Bank USA. not to deposits at UBS AG, Stamford Branch or bank deposits placed through the UBS International Deposit Account program SIPC protection applies to money market sweep fund holdings but not bank deposits See Important information about your statement on the last two pages of this document for details. September 2014 (5) Year to date (5) Opening balances 50.00 50.00 Additions Deposits and other funds credited 2,340.15 7,176,589.42 Dividend and interest income 104.39 621.88 Proceeds from investment transactions 550,315.09 1,110,440.06 Total additions $552,759.63 58,287,651.36 Subtractions Other funds debited -550,315.09 -1,100,759.89 Funds withdrawn for investments bought -2,444.54 -7,186,891.47 Total subtractions 4552,759.63 -$8,287,651.36 hosing balances $0.00 $0.00 Your investment objectives: You have identified the following investment objectives for this account. If you have questions about these objectives, disagree with them, or wish to change them, please contact your Financial Advisor or Branch Manager. You can find a full description of the alternative investment objectives in Important information about your statement at the end of this document Your return objective: Current income & capital appreciation Your risk profile: Primary - Moderate Investment eligibility consideration - None selected CNP70009006552659 NP700O298800 00007 0914 030575004 Y123575550 1 ICOX Page 75 f ' , CONFIDENTIAL UBSTERRAMAR00000692 EFTA00236391 UBS Resource Management Account September 2014 Your account instructions • Your account cost basis default closing method is FIFO, first In, First Out. Account name: GHISLAINE MAXWELL Friendly account name: Cash/Savings Account number: Y1 23575 55 Your Financial Advisor. SCOTT STACKMAN/LYLE CASRIEL CNP70009006552680 NP7000.298800 00007 0914 030575004 Y123575550110000 Page 76 of 10:: CONFIDENTIAL UBSTERRAMAR00000693 EFTA00236392 UBS Resource Management Account September 2014 Your assets Account name: GHISLAINE MAXWELL Friendly account name: Cash/Savings Account number: Y1 23575 55 Some prices. income and current values shown may be approximate As a result. gains and losses may not be acosately reflected. See important information about)ourstaternent at the end of this document for more information. Your Financial Advisor. SCOTT STACKMAN/LYLE CASRIEL Cash alternatives Money market funds Money market funds are neither insured nor guaranteed by the Federal Deposit Insurance Corporation or any other government agency. Although money market funds seek to preserve the value of your imestinem at SI CO per share, it is possible to lose money by investing in these funds. Total reinvested is the total of all reinvested dividends. it does not include any cash cfnidends it is not a tax lot for the purposes of determining holang periods or cost basis. The shares you receive each time you reinvest dividends become a separate tax lOt Cost basis is the total purchase cost of the security, inducing reinvested dividends The cost basis may need to be adjusted for retail of capital payments in order to determine the adjusted cost basis for tax reporting purposes Holding UBS SELECT PRIME INSTIRTRONAL FUND Purchase price/ Number Average price Client of shares per share (S) invesbnent IS) unrealized ftaxigain or kiss is the difference between the current value and the cost basis and would generally be your toad, gain or loos if the security was sold on this date. The unreaked :tax) gain or loss may need to be adjusted for return of capital payments in order to determine the leaked gain or loss for tax reporting purposes investment return is the current value minus the amount you invested It does not include shares that are not reflected on your statement, including shares that hae been realized as either a gain or a loss It also does not include cash dividends that were not reinvested Cost PrKe per share basis(S) en Sep 30(S) Value on Unrealized Sep 30 tS) gan or loss (S) Investment Holding return IS) period 6,076,451 410 1.000 6,076,451.41 6,076,451.41 1.000 6,076,451.41 EAI: 41,215 Current yield: 0.02% Your total assets Cash alternatives Total Money market funds Account activity this month Deposits and other funds credited Value on Sep 30 (5) Percentage of Cost your icemen basis(S) 6.076.451.41 100.00% 6,076,451.41 Estimated Untealsted annual income (SI gain a loss (5] 1,215.00 $6,076,451.41 Date Activity Description Sep 2 Transfer FM Y1 23572 5100 Sep 3 Transfer FM Y1 23571 7100 Sep 3 Transfer FM Y1 23570 9100 100.00% 36,076,451.41 $1,215.00 Amount IS> 1,376.93 38.59 57.80 continued next page CNP7030900655266i NP70002988C0 00007 0914 030575004 Y123575550110000 Page 77 of 100 CONFIDENTIAL UBSTERRAMAR00000694 EFTA00236393 S Resource Management Account September 2014 Account activity this month (continued) Date Activity Account name: GHISLAINE MAXVVEU. Friendly account name Cash/Savings Account number: Y1 23575 55 Your Financial Advisor. SCOTT STACKMAWLYLE CASRIEL Description Amount IS) Deposits and other funds credited (continued) Sep 4 Transfer FM Y1 23570 9100 155.96 Sep 4 Transfer FM Y1 23568 7100 710.87 Total deposits and other funds credited Date Activity Desmption $2,340.15 Amount (SI Dividend and interest income Taxable dividends Sep 30 Dividend UBS SELECT PRIME INSTITUTIONAL FUND 104.39 Total taxable dividends Total dividend and interest income Date Activity Sep 24 Transfer TO Y1 25339 1100 -400,000.00 Sep 26 Transfer JOURNAL TO Y1 23692 116 EAST 65TH STREET U.0 -150,000.00 Sep 29 Transfer TO Y1 23570 9200 -315.09 Total other funds debited $104.39 $104.39 Description Amount It Other funds debited Investment transactions For more liformation about the priceNalue shown for restricted securities, see important m formation about )dux statement at the end of this document Date Activity Description quantity Vela (51 Pria(SI Proceeds from investment tranactions (Si Raids withdrawn for Acaued investments bought (S) interest(SI Sep 2 Bought UBS SELECT PRIME INSITRMONAL FUND 1,376.930 -1,376.93 Sep 3 Bought UBS SELECT PRIME INSTITUTIONAL FUND 38.590 -38.59 Sep 4 Bought UBS SELECT PRIME INSTITUTIONAL FUND 924.630 -924.63 Sep 23 Sold UBS SELECT PRIME INSTITUTIONAL FUND -400,000.000 400,000.00 Sep 26 Sold UBS SELECT PRIME INSTITUTIONAL FUND -150,000.000 150,000.00 Sep 29 Sold UBS SELECT PRIME INSTITUTIONAL FUND -315.090 315.09 Sep 30 Reinvestment UBS SELECT PRIME INSTITUTIONAL RIND DIVIDEND REINVESTED AT 1.00 NAV ON 09/30/14 104.390 -104.39 Total $550,315.09 42,444.54 -$550,315.09 CNP70009006552662 NP7000298800 °Cal 0914 030575004 V123575550 11CCOO Page 78 of 10(: CONFIDENTIAL UBSTERRAMAR00000695 EFTA00236394 UBS Resource Management Account September 2014 Account activity this month (continued) Date Activity Desaiptiai Amount IS) Money balance activities Aug 29 Balance forward $0.00 Sep 4 Deposit UBS BANK LISA DEPOSE ACCOUNT 57.80 Sep 5 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 09/04/14 -57.80 Sep 24 Deposit UBS BANK USA DEPOSE ACCOUNT 250,000.00 Sep 25 1Mthdrawal UBS BANK USA DEPOSE ACCOUNT AS OF 09/24/14 -250,000.00 Sep 30 Closing UBS Bank USA Deposit Account $0.00 the UBS Bank USA Deposit Account is your primary mem option Aug 29 Balance forward $0.00 Sep 24 Deposit UBS AG DEPOSIT ACCOUNT 150,000.00 Sep 25 Withdrawal UBS AG DEPOSIT ACCOUNT AS OF 09/24/14 -150,000.00 Sep 30 Closing UBS AG Deposit Account $0.00 Account name: GHISLAINE MAXWELL Friendly account name: Cash/Savings Account number: Y1 23575 55 Your Financial Advisor. 50011 STACKMAWLYLE CASRIEL The UBS AG Deposit Account is your secondary sweep option. CNP70009006552663 NP7000298W0 00007 0914 030575O04 Y123575550 11 CCU: Page 79 ' , CONFIDENTIAL UBSTERRAMAR00000696 EFTA00236395 UBS Your notes CNP70009006552664 NP7C00298800 00307 0914030575004 P123575550 11C000 Page 80 of 10C End of statement for account number Vi 23575 S5 CONFIDENTIAL UBSTERRAMAR00000697 EFTA00236396 Important information about your statement IBS Enamel Services tic One fern a UM Hamel Servers), sane-ter of all peep& seturen carroodoly end Ways «hews UBS Frontal Senses and LAS Bank USA are ndorect subsckares of UM AG and affiliates of VAS Secuntes LLC the Fan's fnancel state-nerd emodern. teen ceded the Faris epaulet offNS are a MS Erotical Services Inc 1200 Hata Mutual Weehawken, NI 07086 rhos statement represents the only dime record of your UBS Fnancial Servicesaccount Other wads. reed official la. °moments. antanng *deicing data shad not be riled con I you televe there 6 an end Or om6sOn, please sepal t rewernalety n morns to the BranchManager d the dice servng your account Mbabane' figures Moan are Mended to be abide, stared data should not be used fa lb NocareS Rely Solar on year-end tax lardy° e.Fam 1099, Sat 10425, NC ) when adoreg pow tar return The Fan 6 required by law to repot to the RS al tarebb Godsend, repeciatre nor mode choiends and taxable nicest earned on secures held n der Masai, net dared on sale traniadae, aid cos bass od certain corned adobes Comenunkatioas with the arm • Pease reconfrmat oral COMINSIGSIPOIIS in arcing to hither protect your rights. onadng pat rights trek; the Sawa es nester NUM on Act (SPA) • if the Inannal neuron a' the lop ail of the front of the statement itrot (BS Snared Sarvces, UBS Enamel Sawn yams pia OCCOUll a <berg broker by arrarrearient yarn We (Geared institution We named you Of the relerenShO when you Ceded the account n the case. your funds and securities are breed al PBS f meek,' ServaS at not the ntreduCrig Order. and you must mate a report of any evor or condom to both fans. Al account statements Mal be deemed carp** and aconite rf not objected to on writing wain 60days • Pleat dreCt customer arrOlionts a attunes to tne Aria Caere Relatcre 06c 3fUnent a 205-352-1693 a tOlatree at 800354.9103. 8 CO A M to6 CO ET Mendel throoM friday. Or n *yang U3S Fawned Served re . Caere Beta OnS Department, Scor 766 Union City. NI 07087 • in case of erred a questions about an electronic lads transfer OA tat owned or as arnamiebe card transactcns. caileOD2621O00 or write to (I S Financial Services ex. TOCO Harbor Blot .6th Bar, Weehawken. NI 07066, atm FtNtel3SA Serval Call of Yee as SOCA aS you can, if you tarn yOa statement of raept 6 wrong greyest need hare yea matron Man a transfer an thestate/Imre or receipt The Fun a Card Mutt (as acithable) must hear from you no tarn than 60 days aft. the Fenn sent you the first stalemate on welch the error or waren appeared - Ronde tr:VI see andaccount ranbee (t any) - Oesorn the error or tie transfer you are untie abut. and endan as cleat aS you can why you beleve a Sah ena Cr why you need more Information - Ronde the dolt( abut of the kraated errs. The Fen a Cad ester wll nventgate your complaint end wecarat at ever proropily Please rake all drecie bard* to the Fan a the fnancel intention undated on the tent d the StallEfilEa Ii anS3f1 figtild, account fees, accounts nay be weed to reword-ore fare. Charges la de payment for secure/ea purehareS and Gorge, fa woad amounts nosh accounts Accounts that are transferred to alit rebtutions may be subject to Means* fee. USS Sweep Options UBS otters Wens for revere ash Winces, halunces to bark depouts at UBS Barn USA and U3S AG Stamford Gooch (Bank Sweep Procyon* troney market routed knds(MCney rads) ad the areernalcnal Depend Account (Ileke names with an wens coal Resoace Managernere ACLOCIII Trough the Os* Sweep Brogans. cash hatlinCtS are swept to Lin Bark USA up to an estate:bed km and then to UBS AG Stanford bard, or a Money Fund. Deposits at UBS Bank USA are FDC rimed n accordance with FCC WM Fa wore Womb on please apt wan fdoc gov Offenses UBS AG Stardord anch an:Ishame, money Fuxis are ma rowed by the MC throat the 04 available leach balances reswept to depart accounb a LOS AG nate York Broach and WS AG Cayman Stanch Rene deposit, are not rowed by the FDIC Balances held a the UBS AG CaymanBranchare temporal, moored to the sorecrem risk of the Capron band. and there bra guarantee a other Wigtonof OBS AG to repay the balances while on the UBS Cayman's Brach's books Deposits a UBS Bank USA and each LOS AG Brach are not protected by 9K Money Pad Shard are Protected by 9K See -1850-tancal Services account Protect or below UPOn par reardl. balances nth. Bank Sweep FnOgrams 0A may be wthdrean, ad shares of a Money Fad may be liquidated, and the Maeda returned to you or your Sautes account Father roldraten about araiabk sweep went'. rc1udn3 carent interest rates and yells, 6 arable at www dos anesennviattle. Iran your Carnal Admix a le eating 9:0.762.ICOO U.S Financial Services account protection The Fan ea a mernta et the Souks hyena Protect Corporation (SVC), who detests sent etre accounts of es reenters up lo SSW/Zed (mixing 5250000 la (tarns lo (aSh) the SPC abet protection Ines ably to al aakreS [het you hold in a particular catty The Fink together with rerun dila has alto purchased SuNderrental OrdeCton The manakin amount payable to al eegrble CintS. Collecredy under this ',credal is SS00 nylon aS d December 10.2013 Subject to the potty conditionsand Imitations. cash at We Fan 6 father pretectedfOr let to St 9 ninon n the for at yew' aCountS heel in a parted( capad llcop'y0 the ODIN wading s bade upon NINOy The SVC protection and the supplemental protection both CO not apply to • Certain financial abets careened by Card incbGed on ma accoad vakel but held away icon IRS Enamel Sends 9,Ceilan(B cab at UBS Bak to) cash a UBS AG Stanford branch. NS nsuranCe docked, nciang vat PI* aerobes. and fril Shen Of n.utual funds where Su0h shaysay reordered dredar on the name d the account holder a. fie looksrid wads d the JcplKabee issuer a Paler agent). • Certain investment canrama mestrnent regrets (t g. kneed panne-shire ad prorate oleo:dents) that are rot rairetamd under the Sauter} Act id 1933. and • Cannadtaes antiati g, foreign exChange and Naos metal conlhais), inckAng futures contracts and Yernnodtr Won corneas the SVC Roland, and the supple-rental protectiondo rot appal to these assets wen I they offerkwe appear cro you/ statements the SK protection and the daparrental boredom do rot protect aganst changes on the market vaka of year (henna(' (Metter as a result of modal rocnemere, ewer bankruptcy a ethernet) Mae oriormatcn 6araatle upon report Y0.1 may obtain rat nfamacn about SVC, ntherci the SVC Brochure, by contain; 9K at 202/371400 of by visaing the 9K websee at vanesipcsag Dividend Iteinvestarent Neurone NON The Pen .elected man average price You may obtain the actual (Nix from your Financial Adobe Only whole shoves are pechared under partoal shares woe be sold and the cash will be deposited n your accord The cludend rearmament price suppled by the sear may differ iron the made: Nee at whoch the petal shares are told Cadefolieu Only Mb* units may be head in you accoont d you are efeaktlt0 a panel unit 16 a result d a dividend payment a cthowse, the rem will ether sell partial urns at market Nee or accept an amount ckliannal by a regorned c kering agency. ad credit your account kroestment objectives Tee nuesiment CbjeCtires and rek Notre are SOK At to wah account and may vary between Pease advise the Fern Dromovy n riff en of ay significant change on your f nano& situation or amstrnent cloyeaws For each account held, you chooseoneof the tod0wrg nordnwe decrees • Pada. Current /acme in e stoner-es setting tar generale. of name only • scAttee faecal Appear...aeon restrenisseekng growth cr porcoal rater then ft ?Mgr atCn d MOTO • Proolta COtakvlifOl1of moms and Caforalappentorten when-rens seeking both the gestation of exam and 9f0fith 01 printed Overall risk profiles • coronae Seeks to fraintan nod PrrcCaa. wth tow risk and waled, to the account overall, even Asa means the account does not generate significant stone or returns and may not kat pace with Inflation • makyare Wiling to accept some sok tO yamiCOal and honoree some vagary to seek higher moans • awed's. Wiling so accept high rek Ripmarel ad high %oddly to seek hop leans ova I me StideineM •householdirkr We may ansoldate al related account Statements wth the same akkess in the stre invebte Accounts nib be related for th6 purpose beta se they have owners who also marten pre account rebtomhps sun other dents a the sane adores the practice 6 known as 'househding If )00 Prefer to Mahe ondrndual Statements nailed n Made envelopes — you may dec Inc bouseholcing by care year inarcol Advisor Friendly account name The friend) accent none reflects nionnalon that you entered on the Firms wane metes wet*te It 6 a aestomeabk 'nickname' chosen by you to assist you with year reCOrdlapn; h haS no legal effect on your account. You can change your Friendly account nano. troop Onlne Served a by contacting your Financial Advisor Account overview • Valt..? Ci >VW "CCOtroratioba Net ce assets aid tabard • Asters Nadel available cash balances. vibes for retraced "Kuril (ea). anal Gebel Time DePOSIS. unrealced maks to maid. and cenan assets not held by the Farm Dare not tab* °Weed sear( offiesseff a the end of the pond and Ghent statement peed, a private Restraints. Winded flak Were and Grenade Pak 0010re • Coheres roduclesalrel balaXeS.GAVardorg Inaba bans, credit kne, shod account batted. • Caywrooney batman Total of uninvested natal* cab balances, fall6 U3S Bank USAdepart balances. PBS AG Stamford Branchdepart tared and (More market mutual lund sweep batees, at the cbse of the statement peed Nonanynolty tee <win batted n your accent are not sectegated tram other Maces and the ram may use any of these funds on the adnay course of es boarress These fads Ye payable tern your demend The related n the need period deong value. Leading infante For detailed infornalcn on the Fans kndr0 practices and outlives, tern to your Caere Rebtonsho Agreemeot or Account agreement and the Cenral Terms and Con:leen LEIS Statement of Credit Practices available re Apreements and Oonnaes at www utocorrrearaccrabbra. Yow assets YOU, statement leffuteS securities and other assets held on the account at the end er tie statement tercel You may ad for delwery of fully ad sec unties al any tent You nay rand satiates used as law colateral doer papng arty balance dh, or, them Affi se<uites unletted to the Form ding the Slaernert petal are teed a rnrket value ad the end of the Marred Road • Cost basis. in &armory the cod basso d the returnee included n thiSSe1811011, wee indicated with toe nutter' I; OBS Fn/rail SIMMS PIM Itied On niar1J6C4Icalarecl Iran fasces other than UBS antacid Services, freldng nfaniai Iran maker form a that you may here fronded to your iota Advt.* The Frm does not rekreendcrely verify Cr guarantee the ,eouray or validity of any reawaken provided by Macre Other than UM hared Services n *Odeon. although MS Faired Service' generaly updates this geometer. as d is reCentet the Firm does not provide any murexes that the Nomad° under "Coen basis' and 'Unrealized gardoss" 6 accurate as d the date of the, statement. As such, clease donor eel/ on the infuriation to make purchase or sae clearenk kr la. Parperns or ahem*? Accounts transferred to the fern ray reflect Gary bss nfortnaton bay for the prod of tome they re held a theFilm More haloncal information Can be added by You Fnanc I Advoor • unrealized gabs/losses Wien dcla is avanibk. estimated cnreateed gam/loses are calculbed fa CONFIDENTIAL UBSTERRAMAR00000698 EFTA00236397 Important information about your statement .continued; ncledua smunty loss The ifirsactto data fa indite.* bts may a may not re( kW commatcri, Purges ands fecunly magnet on melt Oland and other temeStment btS and *sternal( Fuchs* WS we each cantata to display one abraded 101 The 'Trade dee COkenn Perkin tie CIKInal TrenkWICet trade date Callable setwitkis Bads aid preferred stock the the Sluff cats for early redempetan wit be sealed apart ally by tt from atm all auras ol that ewe ad in co natter in rata name fa of dentS CM teat* Carnation s °blared from thrd Pantes and eiaauraCY is not guaranteed Other call leases may tit whch cat affect yekl, complete Planation wit be traded pan rawest Gaff bates of *posit (CDs) CDs se f DC inbred up to 5750,000 n prince:a and accrued nterest per depositor and per depository rattan, in accordance with MC rubs • pricelvalue Pr onctffstal fa Houk(' aril other fteticas real be hires boa than the price that you ?rake actuaty recta in the market Prices are °Oared from mous third poly sources which we trawe to be rehab, tam do not 'pant* their accuracy - we general use the dart ace awn palate or a- wes, of the bd sidak truces la bled woo ties and Dada a ONy bd prices for OTC *cotes - Less Jarrett vadat scats may be aced sang a Mason model or the most recent ace we cleaned std myna rot reelect an actual mirtet ace a yaks Cent' Mon may taxer Mitt a at at vat show a' once was trot Wadable' d YR are unable to Mama price fa astern* - Depots of secat es damnable] in camps other that U S alias ire reflectedal theexchange rate ad the statement date - for oda secant uadng n noncialatring derannatons, pea and dusty ((se vaue) may have been apszed to faaeace soar valuate's To damn want pueblos, stun Pate. contact sow F • Private investmenb and structured peoducts. Ante mAstrueni x•Wilk5 (MEd rr) <ire(' 110110P,J1C0 wtcyan and real mite efiestrint Wad wearies) and structured products are generally Mabry:liquid Certain structured products have not been tegateed with the Seat/es and Exchange Campion a utter any ase securities loos she as de estimated alai to state investment sautes aid sow:bred occkos to infarradnal ate0SeS Only Accuracy is at gularilned - these values May deer sibs:arta* from eriCeS. d any, at whit]) a pwate ointment securty Oi structured Credal may be bought a sold and do not recess* (anent the yak* you mat rethe tea la:dalcm - Thad party (Almaksa value de as of a <man date and we supeled to UBS Financial Winces <net:NW bass tri an a:keen:kit valuation firm - Issuer: general partner a sparer estmated vats, if any, are supprod to the firm by the tut, general part or sponsa and may be (doubled based on different Canton from that used by thrd PactieS 10 dam their estrnated mkt - You can obtain additional infarreton rearatdrna to methodology Wed COdetente the estmate of value and the dace of the of otriaton twat s the bass to the eff 'gale by contacting tar Financial haw - Thrd party est mated rakes may be rehmileCI 45 'W Wed' in several Situdetc6 when an Mee:rodent cation fin has rot sated a 6 triable to Magn a yaks, when we become aware that a mate' event has occurred that may calla pree0uPy reported sake into questa, a whin a value route be hglat *scubas due tote nature of thewail - When ratilwr an unapt. refit partner or spaPOr est noted Yaks nor athrdpsty estimated value n carded. the Mc of the secure* ml be different from as paha* Me • 'Detrtugnt So dale' may cx Jude return of capital, Mane or both - 0f101 unit 5 Ce"tivesints the ntel offence ace • Restricted seeunties • -- Old leCuntingenWalif are : .7 . ...V.:. • ... aybk sale UBS Aliened Semen 001., 01 the unrestricted stock a the acne Pate a an reputed value (Cr therestricted stock for • Ect (ect.0,0tra) intorno, curt ent pride and rates. •••- • ; I 0. hettfOr • ' re 7116 i •rie • • a. ra., to cat noefl nsane are WI ovronteti - Emmett annual neonro and cabal Feld fa ratan hires of smurdes could clods a return of principal a <apedgam in retch case the eel neat brd current net would be overused - Estmated annual neat and swat yell and the actual care and peke maga be bow a hetet than the eavateo amount - sn estimate of actuate.] come edmao'd ands interest derided by the current rocket vaiddeetage bignCe 6 based on the tail divelead a ntenalt payrnint made try Me edger and assumes the *col etleposits Mill be held for re year horn the statement date a tiny "alum, Accuracy old sentnued yield ate nit guaranteed • Aga not held by COS FanenCial Senates. Celan assets are not held by the firm as not wan the f tits POSSESS*, a control The* asses we cletlenal on your statement lot nforsalyonal imposes only itsibons aid values presented are Oat ty the sang Inn PBS instal Services snot response* for trio Information and does rut guarantee b sassy these assets ate not wowed by SSC or the Pets sucletnental 91C cocas • Revenue shark* and additional cemperetatice. - In addition lo cowman, on sales aid 12b-1 fees mowed el canton with the dotrioution of cool Rids to our dents nit and'cr our Aisne Maine wens among paements from darbutas add fl ews ate mutual tot that we tel the,, stunts Si based on in-oddity-a components (V the snore a sat by ut a a pacts mutual fund land/ loam dents, and (6 We asset value of a watts mutual hat lama/ s dares herd at the (cm - We and as Snot, also receive nelsorkngamd onm bus processing fees in CridertOn fa tracer agent primesthat we provide 10 the mutualfads Wise feesgenet* nee paid from testa assets in the mutual fia] and seafood dollar amount based on the runt.: tf „xcounts al the If oke: dealer haling mural funds ol that fund lama - h side/oliocommissions received in coaxial wed the sae or destitution a enmity contras and tine ei.dbre.t trust vents toot <Wes, we andoe our Shia receve roars shaing aviation from many of le teat* companiesunder/Ong the annuity contracts, affiliatesa tre weuance companies or sponsors of the unit redamel mats we data - Our affiliates abo rearm trading commrsvons and ocher canvas on from mutual lunds and inane cans es ve110fe roasts we drabute - we receive at annual fee Iron WS Bank USA aid LBS AG StarnlOid atarth of up to 52S per account swerving to the banksurea the IBS Bank Sweep Brogans Activity infant on regarding commissars and otter thaws neared in connecter, with the Paulen of trades. ncluRN 00,0n 1,alca0tcrs has tea included am coolish:Mons . e , pm to am al MI bo provickd lo you Short selling 7 ILO+ me e1+760,0 ntiCet Ping a %curdy, you Ina/ yewa Chige dye 10 Certan tonywrig costs for that palter:3r sect* Open offers bcgsd mg coon a 'graddilltaelbd' orders that woe not miturred by the steteleent date. open toy and sell lop orders we refixed by the amount of drydends a eget*, an emclindends or map,. dart unless instructed othenvse by you You we res;cm tie for ceders that se et riled due la sow failure to canceler:sting open orders Tax svathheldlna en dbulbutions from WS Pinand•I Services IRAs Federal a law ream triaSSnmaal Semmes Myatt*, mane tar from new RA cletnbuto6. tut mime, elect not to haw roamed lax withheldor, nstead, you may elect to have lax wit held at a rye or in a feed amount as you choose Your election will reman in effect until rendad by you You may revoke your election a any tow by truing a new Salon Fyou do not ham encpa no:meta. withheld Ira 'OW dstnbutons, you may be ofCcifffffe foe the payment of tented tac Tad may mat CenateS if the ameba% rallenekl and yOur estimated tax eatmenbS are riot &pal to your lax ctligaton Privacy Tod:tan a copy of our current Clore Privacy Notte, please anlaci Mt &treat hoof Of vet at rotate at rem seCer montwartml VII5 enrol Services is nit a bilk the OS A. Elusness Sates Accord 85A and RMA nee twat/ye accost which provide access to banking saxes and products through arrargracebs with affiliated banks ad only/ third. party banks. and ,arias wows to astrance and annuity products read by unethical thirdparly rotate companies through tisane agency subtotal PBS triad Services roc titeStinent, inSuranCe, ao annuity inducts NM FCC rated • No bank (wont** May lose Yaks RMA Redact. Management Account, BuSeleiS Senses MCCAW BSA. RMA aid ntemt awl Rears Management Account a oegatered servo marks ol UBS runts' Somas bit e63 SighltWe defeat:Pied senile milk of Visa bitematonal kfft5m6a Signature credit cards ad bea5 Visa debit cards ate sated by WS Bank USA with pancsa from visa Li 5 A Porparated YBS Finandal Services Inc Rev 201437 CONFIDENTIAL UBSTERRAMAR00000699 EFTA00236398