EFTA00236399.pdf

UBS U8S Financial Services Inc. 299 Park Avenue 25th Floor New York NY 10171-0002 CNP7006552665 0914 X12 Y1 0 Account name: GHISLAINE MAXWELL Friendly account name: Indiv.Check/Car Account number: Y1 23576 S5 Your Financial Advisor. SCOTT STACKMANAYLE CASRIEL Phone: 212421-7000/800-308-3140 Resource Management Account September 2014 GHISLAINE MAXWELL 116 E 65TH STREET NEW YORK NY 10065-7007 Questions about your statement? Value of your account Call your Financial Advisor or the RMA Resourceline at 800-RMA-1000, on August 29 (1) on September 30 (5) account 029023576. Your assets 25,026.27 1324.10 visit our website: Your liabilities 0.00 0.00 VAVW ubs corrAnancialservices Value of your account $25026.27 $1,524.10 Tracking the value of your account Thousands 25.0 1.5 Aug 2014 Sep 2014 Soirees of your account growth during 2014 Value of your account at year end 2013 S0.00 Net deposits and withdrawals 51,519.09 Your investment return: Dividend and Merest inane S5.01 Change in market value S0.00 Value of your account on Sep 30, 2014 $1,524.10 Member SIPC CNP70009006552665 NP7000298800 00008 0914 030575004 Y123576550 110000 Page 81 cf 100 CONFIDENTIAL UBSTERRAMAR00000700 EFTA00236399 UBS Resource Management Account September 2014 Your account balance sheet Summary of your assets Value on September 30 (5) Percentage of your account A Cash and money balances 1,524.10 100.00% B Cash alternatives 0.00 0.00% C Equities 0.00 0.00% D Fixed ilcome 0.00 0.00% E Non-traditional 0.00 0.00% F Commodities G Other 0.00 51,524.10 51,524.10 0.00% Total assets Value of your account 100.00% Account name: GHISLAINE MAXWELL Friendly account name: Indiv.Check/Car Account number: Y1 23576 55 Your current asset allocation A Eye on the markets Index Your Financial Advisor: SCOW STACKMANAYLE CASRIEL 212-821-7000/800-308-3140 Cash and money balances may include available cash balances, U8S Bank USA deposit account balances, UBS AG Stamford Branch deposit account balances and money market mutual fund sweep balances. See the important information about your statement on the last two pages of this statement for details about those balances. S&P 500 Russell 3000 MSCI - Europe, Australia & Far East Barclays Capital U.S. Aggregate Bond Index Interest rates on September 30, 2014 3-month Treasury bills: 0.02% One-month LIBOR 0.16% Percentage change September 2014 Year to date -1.40% 834% -2.08% 6.95% -3.81% -0.99% -0.68% 4.10% CNP70009006552666 NP7000298800 00308 0914030575004 VI23576550 I 10000 Page 82 of 10C CONFIDENTIAL UBSTERRAMAR00000701 EFTA00236400 UBS Resource Management Account September 2014 Account name: GHISLAINE MAXWELL Friendly account name: Indiv.CheckKar Account number: Vi 23576 55 Change in the value of your account Cash activity summary September 2014(S) Year to date (S) Opening account value $25,026.27 $0.00 Deposits, including investments transferred in 0.00 132,350.36 Withdrawals and fees, including investments transferred out -23,503.17 -130,831.27 Dividend and interest income 1.00 5.01 Closing account value $1,524.10 51,524.10 Dividend and interest income earned For purposes of this statement. taxability of interest and dMdend income ha been determined from a US tax reporting perspective 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 (USI editor Puerto Rko (PR) acorn. taxes. The client monthly statement 4 not intended to be used and cannot be relied upon for tax purposes Client should refer to the applicable tax reporting forms they receive from WM annualy, such a tie forms 1099 mid the Forms 480, for tax reporting information his the practice of UBS to file the applicable tax reporting forms with the US Mental Revenue Service and PR Treasury Department, and such forms mcurately classify dividends anclior interest a tax exempt or taxable income Please consult your individual tax prepaer. September 2014 (S) Year to date (5) Taxable interest 1.00 5.01 Total current year $1.00 55.01 Total dividend & interest 51.00 55.01 Your Financial Advisor SCOTT STACKMAN&YLE CASRIEL 212.821.70001800.308.3140 See Account activity this month for detais. Balances in your Sweep Options are included in the opening and dosing balances value. FDK insurance applies only to deposit at U85 Bank USA. not to deposits at U85 AG, Stamford Branch or bank deposits placed through the UBS International Deposd Account program SIPC protection apples 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 (S) Year to date (S) Opening balances 525,026.27 $0.00 Additions Deposits and other funds credited 0.00 132,350.36 Dividend and interest income 1.00 5.01 Total additions 51.00 $132,355.37 Subtractions Checks and bill payments -23,355.49 -112,918.77 Cash/ATM transactions 0.00 -12,227.00 ATM fee rebates 0.00 27.00 Card payments -147.68 -1,390.06 Other funds debited 0.00 -4,322.44 Total subtractions 423,503.17 -$130,831.27 Net cash flow Closing balances -$23,502.17 51,524.10 51,524.10 $1,524.10 CNP70009006552667 NP7000298800 000080914 030575004 VI23576550 1100)3 Page 83 ::f CONFIDENTIAL uBSTERRAMAR00000702 EFTA00236401 UBS Resource Management Account September 2014 UBS Bank USA Deposit Account APY Interest period Aug 7 - Sep 7 Opening UBS Bank USA Deposit balance Aug 7 Account name: GHISLAINE MAXWELL Friendly account name: Indiv.Chedc/Car Account number: Y1 23576 55 $30,850.11 Closing UBS Bank USA Deposit balance Sep 7 $24,512.13 Number of days in interest period 32 Average daily balance $25,759.69 Interest earned $1.00 Annual percentage yield earned My Choice Rewards Points from UBS 0.04% Rewards points are reflected a of the 26th of the month or the prior business day if the 26th falls on a liwekencitiolidei Rewards point activity details can be found on September 2014 Year to date Opening balance 706 0 Points earned Closing balance 152 858 858 858 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 'our statement at the end of this document. Your Financial Advisor: SCOW STACKMANAYLE CASRIEL 212-821-7000/800-308-3140 Your return objective: Current income & capital appreciation Your risk profile: Primary - Aggressive Investment eligibility consideration - None selected Your account instructions • Your account is currently coded for margin. • Your account cost basis default closing method is FIFO, First In, First Out CNP70009006552668 NP7000298800 OCOD8 0911 030575004 Y123576550110000 Page 84 of ICC CONFIDENTIAL UBSTERRAMAR00000703 EFTA00236402 UBS Resource Management Account September 2014 Your assets Account name: GHISLAINE MAXWELL Friendly account name: Indiv.CheckKar Account number: Y1 23576 $5 Some prices, income and current values shown may be approximate As a result, gain and losses may not be accurately reflected See important mforrnabon about your sutement at the end of this document for mote nkirmabon. Cash Cash and money balances Cash and money balances may include available cash balances. UBS Bank USA deposit account balances, UBS AG Stamford Bianchi deposit account balances and money market mutual fund sweep balances MS Bank USA deposit account balances are inured by the FDIC within applicable limrts, but are not protected by 51PC. U85 AG Stamford Branch deposit account balances are not insured by FDIC and are not protected by SIPC. Money market sweep balances are protected by SIPC but are not insured by the FDIC. See the important informabon about your statement at the end of this document for details about those balances. Holding UBS BANK USA DO' ACCT Your total assets Opening balance CO UP 1(5) 25,026.27 Cask; balance onstp70(S) 1,524.10 Value on Sao 30 IS) Your Financial Advisor SCOTT STACKMAN&YLE CASRIEL 212.821.7000/800.308.3140 Price per share Average DividendAnterest Days in on Sep 301S) rm period period Cap moult (S) 250000.00 Unrealized gain or loss (5) Percentage of Cost Estimated your account basis (Si annual income (S) Cash Cash and money balances 1,524.10 100.00% 1,52410 Total $1,524.10 100.00% $1,524.10 Account activity this month Date Activity Description Amount (S) Dividend and interest income Taxable interest Sep 8 Interest UBS BANK USA DEPOSIT ACCOUNT AS OF 09/05/14 1.00 Total taxable interest $1.00 Total dividend and interest income $1.00 Check number Date Desambon Amount (5) Checks 001012 Sep 17 NY STATE INCOME TAX -5,000.00 001013 Sep 16 UNITED STATES TREASURY -15,000.00 001014 Sep 17 PURE CATERING -850.00 continued next page CNP70009006552669 NP7000298800 OCOOB 091a 030575004 Y123576550 110000 Page 85 of 100 CONFIDENTIAL UBSTERRAMAR00000704 EFTA00236403 UBS Resource Management Account September 2014 Account activity this month (continued) Check number Date Desaipbon ArncuM thedcs (continued) 001015 Sep 15 YASUKO 0 -325.00 001016 Sep 23 PURE CATERING -110.00 Total dudes Date Activity DesaiptMn 421A85.00 Amount (Si Bill payments Sep 3 Withdrawal ACH WITHDRAWAL GOLDEN RULE INS -473.13 Sep 3 Withdrawal ACH WITHDRAWAL GOLDEN RULE INS -42.01 Sep 9 Withdrawal ACH WITHDRAWAL AMEX EPayment -1,555.35 Total bill payments Da Description 42.070.49 Amount lit Card purchases (185 Vise debit XXXO 3536 G. MAXWELL Sep 22 NYC TAM 8P93 LONG ISLAND C NY 074266090368791718 S12.00 Sep 23 NYC- 8151 & 8152 LONG ISLAND C NY 484266263007260127 58.50 Sep 23 NYC TAM 9P21 NEW YORK NY 074266090741418013 517.00 Sep 23 NYC TAXI 1P35 GLEN RIDGE N1074266090885208634 514.50 Total charges $52.00 Account name: GHISLAINE MAXWELL Friendly account name: Indiv.Check/Car Account number: Y1 23576 55 Your Financial Advisor: SCOW STACKMANAYLE CASRIEL 212.821.70001800-308.3140 Date Description Arnount IS/ Sep 18 CREDIT CARD PAYMENT -95.68 Card payments Sep 29 DEBIT CARD ACTIVITY -52.00 Total card payments 4147.68 CNP7030900655.2670 NP7000298800 °C0DS 0914 030575004\923576550 IICC00 Page 86 of 10C CONFIDENTIAL UBSTERRAMAR00000705 EFTA00236404 UBS Resource Management Account September 2014 Account name: GHISLAINE MAXWELL Friendly account name: Indiv.ChecWCar Account number: Vi 23576 55 Your Financial Advisor SCOTT STACKMAN&YLE CASRIEL 212.821.70001800.308.3140 Minimum Payment Due Payment Due Date Credit lire Avant* Cre6t Line Outstanding bane UBS Visa Signature audit aird(s) payment information for October 23, 2014 515.00 Oct 23, 2014 535,000.00 534,753.78 5246.22 'discredit card is enrolled in UBS Pay Credit Card feature and will automaticaly be paid from your account Your payment is scheduled for October 18, 2014 We provide this information on your UBS Visa Signature credit cads solely as a courtesy to you The UBS Visa Signature creel card and account are issued by UBS Bank USA UBS Bank USA sends you the official statement for this account and you should make your payment according to their instructions We do not include your outstanding credit card baance in the value of your account with UBS Financial Services Inc Dale Activity Desaipticn Amount IS) Money balance activities Aug 29 Balance forward $25,026.27 Sep 4 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 09/03/14 -515.14 Sep 8 Deposit UBS BANK USA DEPOSIT ACCOUNT AS OF 09/05/14 1.00 Sep 10 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 09/09/14 -1,555.35 Sep 16 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 09/15/14 -325.00 Sep 17 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 09/16/14 -15,000.00 Sep 18 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 09/17/14 -5,850.00 Sep 19 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 09/18/14 -95.68 Sep 24 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 09/23/14 -110.00 Sep 30 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 09/29/14 -52.00 Sep 30 Closing UBS Bank USA Deposit Account 51,52410 The UBS Bank USA Deposit Account is your primary sweep option CNP70009006552671 NP7000298W0 00008 0914 030575004 Y123576550 I t COX Page 87 ,:f CONFIDENTIAL UBSTERRAMAR00000706 EFTA00236405 UBS Your notes CNP70009006552672 NP7CO0298800 00308 0914 030575004 Y123576550110000 Page 88 of 100 End of statement for account number Y1 23576 S5 CONFI DENTIAL UBSTERFtAMAR00000707 EFTA00236406 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. caileOD7621O00 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 UBSTERRAMAR00000708 EFTA00236407 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 CONFI DENTIAL UBSTERFtAMAR00000709 EFTA00236408