EFTA00237159.pdf

UBS Real i zed gain/loss Year 2015 CUSP Symbol Quantity Purchase date Purchase amount :Si Sale date Sale amount (5) Realized gain/1°55)(Si Percent g,antloss)(%) Term BAXALTA INC 07177M103 BXLT 17.00 06/20/2012 392.14 08/25/2015 592.61 200.47 51.12% L BAXALTA INC 07177M103 BXLT 30.00 06/20/2012 692.96 08/25/2015 1,045.78 352.82 50.91% L BAXALTA INC 07177M103 BXLT 7.00 06/21/2012 161.39 08/25/2015 244.01 82.62 51.19% L BAXALTA INC 07177M103 MT 5.00 0621/2012 116.89 08/25/2015 174.30 57.41 49.11% L BAXALTA INC 07177M103 BXLT 29.00 06/21/2012 676.13 08/25/2015 1,010.93 334.80 49.52% L BAXALTA INC 07177M103 BXLT 61.00 06222012 1,417.10 08/25/2015 2,126.43 709.33 50.06% L BAXALTA INC 07177M103 BXLT 768.00 01/23/2013 22,919.33 08/25/2015 2E772.06 3,852.73 16.81% L BAXALTA INC 07177M103 MIT 355.00 04/22/2013 11,016.95 08/25/2015 12,375.11 1358.16 12.33% L BAXALTA INC 07177M103 BXLT 6.00 09/19/2013 193.07 08/25/2015 209.16 16.09 8.33% 1 BAXALTA INC 07177M103 MIT 3.00 09/19/2013 96.54 08/25/2015 104.58 8.04 8.33% L BAXALTA INC 07177M103 BXLT 74.00 09/19/2013 2,390 83 08/25/2015 2,57960 188.77 7.90% 1 BAXALTA INC 07177M103 BXLT 47.00 0920/2013 1,514.74 08/25/2015 1,638.39 123.65 8.16% L BAXALTA INC 07177M103 BXLT 154.00 10/03/2013 4,453.92 08125/2015 5,368.36 914.44 20.53% L CAUFORNIA RESOURCES CORP 130570107 CRC 59.20 02/12/2014 475.39 08/25/2015 166.35 -309.04 -65.01% L CAUFORNIA RESOURCES CORP 130570107 CRC 46.80 02/12/2014 375.95 08/25/2015 131.51 -244.44 -65.02% L CAUFORNIA RESOURCES CORP 130570107 CRC 2.80 02/12/2014 22.46 08/25/2015 7.87 -14.59 -64.96% L CAUFORNIA RESOURCES CORP 130570107 CRC 12.20 02/12/2014 98.02 08/25/2015 34.28 -63.74 -6503% I CAUFORNIA RESOURCES CORP 130570107 CRC 44.00 02/13/2014 353.04 08/25/2015 123.64 -229.40 -64.98% L CAUFORNIA RESOURCES CORP 130570107 CRC 13.20 02/13/2014 105.30 08/25/2015 37.09 -68.21 -64.78% L CAUFORNIA RESOURCES CORP 130570107 CRC 27.20 02/13/2014 217.81 08/25/2015 76.44 -141.37 -64.91% L CALIFORNIA RESOURCES CORP 130570107 CRC 2.40 02/13/2014 19.16 08/25/2015 6.74 -12.42 -64.82% 1 CAUFORNIA RESOURCES CORP 13057Q107 CRC 133.60 02/14/2014 1,110.31 08/25/2015 375.41 -734.90 -66.19% L CAUFORNIA RESOURCES CORP 130570107 CRC 45.60 02/18/2014 381.49 08/25/2015 128.14 -253.35 -66.41% L CATERPILLAR INC 149123101 CAT 72.00 06/192013 6,099.75 0827/2015 5,410.43 -689.32 -11.30% L CATERFILIAR INC 149123101 CAT 78.00 06/20/2013 6,476 39 08127/2015 5,861.30 -615.09 -9.50% 1 CATERPILLAR INC 149123101 CAT 121.00 06/20/2013 10,060.15 08/27/2015 9,092.52 -967.63 -9.62% L CATERPILLAR INC 149123101 CAT 204.00 06/21/2013 16,912.44 0827/2015 15,329.54 -1,582.90 -9.36% L Report created on: September 09, 2015 Page 1 of 6 Consolidated report prepared for Ghislaine Maxwell Indw Ind Cah..Savng Inclw Indw Salyasny Inch)/ Inch,/ 'Mk* CONFIDENTIAL UBSTERRAMAR00001514 EFTA00237159 UBS Realized gain/loss - Year 2015 (continued) i . latdiv eared for Ghidslac inhesMaxwell Indiv Indw Salyasny Indw Indiv Indiv CUSP Symbol Quantity Purchase date Purchase amount :Si Sale date Sale amount z S/ Realized gainte. loss/ :Si Percent gain/loss/ t%/ Term CATERPILLAR INC 149123101 CAT 111.00 06/24/2013 9,048.46 08/27./2015 8,341.07 -707.39 -7.82% L CATERPILLAR INC 149123101 CAT 73.00 06/25/2013 6,011 86 08/27/2015 5,485.58 -526.28 -8.75% L CATERRLLAR INC 149123101 CAT 69.00 06/26/2013 5,675.90 08/27/2015 5,184.99 -490.91 -8.65% L CATERPILLAR INC 149123101 CAT 7.00 06/27/2013 580.48 08/27/2015 526.01 -54.47 -9.38% L CATERPILLAR INC 149123101 CAT 141.00 06/27/2013 11,696.12 08/27/2015 10,595.42 -1,100.70 -9.41% L CATERPILLAR INC 149123101 CAT 169.00 06/28/2013 13,988.92 08/27/2015 12,699.48 -1,289.44 -9.22% L CATERPILLAR INC 149123101 CAT 65.00 07/01/2013 5,380.78 08/27/2015 4,884.41 -496.37 -9.22% 1 CDK GLOBAL INC COM 12508E101 CDK 48.67 08/04/2011 894.45 09/02/2015 2,355 18 1,460.73 163.31% l CDK GLOBAL INC COM 12508E101 CDK 1.33 08/12/2011 23.70 09/02/2015 64.53 40.83 172.28% L CDK GLOBAL INC COM 12508E101 CDK 255.67 01/23/2013 5,806.16 09/02/2015 12,372 76 6,566 60 113.10% l CDK GLOBAL INC COM 12508E101 CDK 118.33 04/22/2013 2,921.03 09/02/2015 5,726.63 2,805.60 96.05% 1 INDIVIOR PLC SPON ADR 45579E105 INVVY 103.00 01/29/2013 957.97 09/02/2015 1,699.47 741.50 77.40% L 1NDIVIOR PLC SPON ADR 45579E105 INVVY 20.40 04/22/2013 200.93 09/02/2015 336.59 135.66 67.52% 1 INDIVOR PLC WON ADR 45579E105 INVVY 17.60 07/12/2013 173.00 09/02/2015 290.40 117.40 67.86% L JPMORGAN CHASE CAP =X 6.700% DUE 04/02/40 48125E207 2,500.00 03/25/2010 62,500.00 04/02/2015 62,500.00 0.00 0.00% L MASSACHUSETTS ST HLTH & EDL FACS AU RV B EVE /R/ 5.000 071532 DTD 080305 57586CFVVO 50,000.00 11/22/2011 50,000 00 07/15/2015 50,000.00 0.00 0.00% L MTN GROUP LTD WON ADR 62474M108 MTNOY 635.00 01/29/2013 12,433.30 09/02/2015 8,456.69 -3,976.61 -31.98% L MUNICH RE GROUP ADR 626188106 MURGY 1,650.00 01/29/2013 30,162.00 08/25/2015 30,181.10 19.10 0.06% L MUNICH RE GROUP ADR 626188106 MURGY 425.00 04/22/2013 8,306.29 08/25/2015 7,773.93 -532.36 -6.41% L MUNICH RE GROUPADR 626188106 MURGY 535.00 07/12/2013 10,196 73 08/25/2015 9,785.99 -410.74 -4.03% L ROCHE HLDG LID SPONS ADR SVOTZ ADR 771195104 RHHBY 1,100.00 01/29/2013 30,299.50 02/09/2015 36,373.06 6,073.56 20.05% L ROCHE HLDG LTD SPONS ADR SWITZ ADR 771195104 RHHBY 300.00 04/22/2013 9,080 31 02/09/2015 9,919.92 839.61 9.25% L ROYAL DUTCH SHELL PLC CL A SPON ADR 780259206 RDSA 0.02 06/22/2015 0.00 06/22/2015 1.40 0.00 0.00% S SANOFI SPON ADR 80105N105 SNY 195.00 01/2972013 9,507 2 I 09/02/2015 9,614.22 107.01 1.13% I SMITHS GROUP PLC SPON ADR 83238P203 SMGZY 1,245.00 01/29/2013 24,588.75 0826/2015 20,511.00 -4,077.75 -16.58% L SMITHS GROUP PLC SPON ADR 83238P203 SMGZY 330.00 04/22/2013 6,166.05 08/26/2015 5,436.65 -729.40 -11.83% L TOTAL S.A. FRANCE WON ADR 89151E109 TOT 460.00 01/29/2013 25,092.04 08/25/2015 19,686.49 -5,405.55 -21.54% L Report created on. September 09, 2015 Page 2 of 6 CONFIDENTIAL UBSTERRAMAR00001515 EFTA00237160 UBS Realized gain/loss - Year 2015 (continued) 1 11 ated re epared for Ghislaine Maxwell Indi Ind Canh..Savng Indi Indw Balyasny Ind, Indi Indi CUSP Syrnbc4 quantity Purchase date Purchase amount i 5 Sale date Sale amount t Si Realized gain/Joss; :Si Percent gairsdoss)(W Term TOTAL 5 A. FRANCE SPON ADR 89151E109 TOT 510.00 04/22/2013 23,908 70 08/25/2015 21,826 32 -2,082.38 -8.71% L TOTAL S.A. FRANCE WON ADR 89151E109 TOT 100.00 07/12/2013 5,045.96 0825/2015 4,279.67 -766.29 -15.19% L TOTAL S.A. FRANCE SPON ADR 89151E109 TOT 13.00 07/10/2015 645.57 08/25/2015 556.36 -89.21 -13.82% 5 UNITED PARCEL SERVICE INC CL 8 911312106 UPS 19.00 09/19/2013 1,740.88 01/28/2015 1,914.50 173.62 9.97% 1 UNITED PARCEL SERVICE INC CL B 911312106 UPS 82.00 09/190013 7,525.90 01/28/2015 8,262 57 736.67 9.79% L UNITED PARCEL SERVICE INC CL B 911312106 UPS 26.00 09/20/2013 2,387.71 01/28/2015 2,619.84 232.13 9.72% L UNITED PARCEL SERVICE INC CL B 911312106 UPS 107.00 09/20/2013 9.823 18 01/28/2015 10,781.65 958.47 9.76% L UNITED PARCEL SERVICE INC Cl 8 911312106 UPS 93.00 09/23/2013 8.467.59 01/28/2015 9,370.96 903.37 10.67% 1 UNITED PARCEL SERVICE INC CL B 911312106 UPS 93.00 09/24/2013 8,520.00 01/28/2015 9,370.96 850.96 9.99% L UNITED PARCEL SERVICE INC CL 8 911312106 UPS 41.00 09/24/2013 3.758.20 01/28/2015 4,131.29 373.09 9.93% L UNITED PARCEL SERVICE INC CI B 911312106 UPS 11.00 09/25/2013 1,001 99 01/28/2015 1,10840 106.41 10.62% I UNITED PARCEL SERVICE INC CL 8 911312106 UPS 62.00 09/25/2013 5,650.56 01/28/2015 6,247.31 596.75 10.56% L UNITED PARCEL SERVICE INC Cl 6 911312106 UPS 64.00 09/26/2013 5,855 30 01/28/2015 6,448 83 593.53 10.14% L UNITED PARCEL SERVICE INC CL B 911312106 UPS 54.00 09/27/2013 4,920.33 01/28/2015 5,441.21 520.88 10.59% L UNITED PARCEL SERVICE INC CL B 911312106 UPS 46.00 09/30/2013 4,207.86 01/28/2015 4,635.10 427.24 10.15% L UNITED PARCEL SERVICE INC CL B 911312106 UPS 6.00 10/01/2013 549.90 01/28/2015 604.58 54.68 9.94% L UNITED PARCEL SERVICE INC CL B 911312106 UPS 46.00 10/01/2013 4.216.73 01/28/2015 4,635 10 418.37 9.92% L UNITED PARCEL SERVICE INC CI 8 911312106 UPS 19.00 10/02/2013 1,730.29 01/28/2015 1,914.50 184.21 10.65% L UNITED PARCEL SERVICE INC CL B 911312106 UPS 61.00 10/02/2013 5.558 84 01/28/2015 6,146 54 587.70 10.57% L UNITED PARCEL SERVICE INC CL 8 911312106 UPS 55.00 10/03/2013 4,968.58 01/28/2015 5,541.97 573.39 11.54% L UNITED PARCEL SERVICE INC CL B 911312106 UPS 55.00 10/04/2013 4,985.96 01/28/2015 5,541.97 556.01 11.15% I UNITED PARCEL SERVICE INC CL 8 911312106 UPS 121.00 01/17/2014 12,007.00 01/2812015 12,192.33 185.33 1.54% L XIUNX INC 983919101 XLNX 5.00 09/07/2012 174.23 08/26/2015 199.25 25.02 14.36% L XILINX INC 983919101 XLNX 25.00 09/07/2012 869.27 0826/2015 996.23 126.96 14.61% 1 XIUNX INC 983919101 XLNX 3.00 09/10/2012 103.98 08/26/2015 119.55 15.57 14.97% L XIUNX INC 983919101 XLNX 37.00 09/10/2012 1,289.29 08/26/2015 1,474.42 185.13 14.36% L XILINX INC 983919101 XLNX 20.00 09/11/2012 697.06 08/26/2015 796.98 99.92 14.33% I Report created on: September 09, 2015 Page 3 of 6 CONFIDENTIAL UBSTERRAMAR00001516 EFTA00237161 *UBS Realized gain/loss - Year 2015 (continued) Consolidated report epared for Ghislaine Maxwell Indrv md Canh..Savng Inclw Indw Salyasny Indw Inch,/ Indiv CU9P Symbol quantity Purchase date Purchase amount :5 Sale date Sale amount .5. Realized gaintloss;:5; Percent gainkloss;.W Term XIUNX INC 983919101 XLNX 18.00 09/12/2012 630.11 08/26/2015 717.29 87.18 13.84% L XILINX INC 983919101 XLNX 21.00 09/13/2012 732.61 08/26/2015 836.84 104.23 14.23% L XILINX INC 983919101 XLNX 19.00 09/14/2012 675.19 08/26/2015 757.13 81.94 12.14% L XILINX INC 983919101 XLNX 7.00 09/17/2012 246.06 08/26/2015 278.95 32.89 13.37% L XIUNX INC 983919101 XINX 3.00 10/24/2012 97.57 08/26/2015 119.54 21.97 22.52% L XILINX INC 983919101 XLNX 5.00 10292012 162.61 08/26/2015 199.25 36.64 22.53% L XIUNX INC 983919101 XLNX 3.00 10/26.2012 98.33 08/26/2015 119.55 21.22 21.58% L XILINX INC 983919101 XLNX 1 00 10/31/2012 32.77 08/26/2015 39.85 7.08 21.61% I XILINX INC 983919101 XLNX 1.00 11/01/2012 33.53 08/26/2015 39.84 6.31 18.82% L XILINX INC 983919101 XLNX 1.00 11/01/2012 33.52 08/26/2015 39.85 6.33 1888% L XIUNX INC 983919101 XINX 2.00 11/01/2012 66.72 08/26/2015 79.70 12.98 19.45% L XILINX INC 983919101 XLNX 1.00 11/02/2012 33.55 08/26/2015 39.85 6.30 18.78% L XIUNX INC 983919101 XLNX 1.00 11/05/2012 33.19 08/26/2015 39.85 6.66 20.07% L XILINX INC 983919101 XLNX 3.00 11/06/2012 101 66 08/26/2015 119.55 17.89 17.60% L XILINX INC 983919101 XINX 1.00 11/07/2012 33.91 08/26/2015 39.85 5.94 17.52% L XILINX INC 983919101 XINX 2.00 11/07/2012 68.05 08/26/2015 79.70 11.65 17.12% L XIUNX INC 983919101 XLNX 4.00 11/08/2012 136.13 08/26/2015 159.39 23.26 17.09% L XILINX INC 983919101 XLNX 1.00 11/08/2012 33.86 08/26/2015 39.85 5.99 17.69% I XIUNX INC 983919101 XLNX 3.00 11/28/2012 103.23 08126/2015 119.55 16.32 15.81% L XIUNX INC 983919101 XLNX 4.00 11/28/2012 137.25 08/26/2015 159.40 22.15 16.14% L XIUNX INC 983919101 XLNX 3.00 11/29/2012 103.48 08/26/2015 119.55 16.07 15.53% I. XIUNX INC 983919101 XLNX 15.00 11/29/2012 518.75 08/26/2015 597.74 78.99 15.23% L XIUNX INC 983919101 XLNX 1,087.00 01/23/2013 40008.01 08/26/2015 43,316.15 3,308.14 8.27% L XILINX INC 983919101 XLNX 502.00 04/22/2013 17,917 23 08/26/2015 20,004.33 2,087 10 11.65% I TOTAL REALIZED GAIN/(.O55): 623,089.77 637,046.49 13,955.32 2.24% Report created on: September 09, 2015 Page 4 of 6 CONFIDENTIAL UBSTERRAMAR00001517 EFTA00237162 UBS Realized gain/loss - Year 2015 (continued) TOTAL GAINS: :2.617 57 TOTAL LOSSES: -28.662 25 SHORT TERM - TOTAL REALIZED GAIN/(LOSS): -89 21 LONG TERM • TOTAL REALIZED GAIN/(LOSS): 14.044 53 Consolidated report prepared for Ghislaine Maxwell ndw ind Ca Saving ndiv indw Balyasny ndw ndiv ndiv Report created on: September 09, 2015 Page S of 5 CONFIDENTIAL UBSTERFtAMAR00001518 EFTA00237163 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, 2W2 This report does not include complete account activity or performance of your accounts before this date All nformabon presented is subject to change at any time and is provided only as of the date indkated the information in this report is fa informational purposes only and should not be retied upon as the basis of an imestment or liquidation decision UBS FS account statements and official tax documents are the only official record of your accounts and are not replaced. amended or superseded by any of the information presented in these reports UBS FS offers a natter of vestment advisory programs to dents, acting in our capacity as an investment adviser, including fee-based financial planning. discretionary account management, non-discretionary vestment advisory programs, and advice on the selection of investment managers and mutual hinds offered through our investment advisory programs When we act as your investment adviser, we will have a written agreement with you expressly admowledging 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 program:3i you selected that provides detailed information about. among other things, the advisory services we provide, our fees, our personnel, our other business activities and financial industry affiliations and conflict between our interests and your interests Please review the report content carefully and contact your Financial Advisor with any questions. The account listing may or may not induce al of your accounts with (AS FS. The accounts included in this report are fisted under the 'Accounts included in this revktw' down on the tint 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 all of the client's accounts held at UBS FS or elsewhere Pricing: All 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 first page of your MS FS accounts statement for important information regarding the pricing used for eaten types of securities, the sources 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 transaction When securities are held at another custodian or if you hold illiquid or restricted securities fa which there is no published price, we vii generally rely on the value provided by the custodian or issuer of that security Gain/tees: The gainAoss 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 gaindossl for these positions are excluded in the calculation for the Gara.loss) As a result these figures may not be accurate and we provided for informational purposes only Clients 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 prepanng your tax return See your monthly statement for additional information Gain/loss reporting for Puerto Rico Income Tax Purpose= Gainr.Loss) reporting may be prepared solely fa Puerto Rico income tax purposes only If you have received gentloss) 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 (PRIRC) long-term capital gains are derived from the sale or exchange of capital assets held longer than six (6) months. For the purposes of this report only, long term gains and losses are represented by assets held fora period of more than six (6) months. Both the Arm and your Financial Advisor will rely solely upon your representations and will not make the determination of whether you are subject to Plaell0 Rico intone taxes If you have received this reporting and you we NOT subject to Puerto RiC0 income taxes, the information provided in this reporting is inaccurate and should not be relied upon by you or your advisers for purposes other than determining realized gainAoss fa Puerto Rico income tax purposes. Neither UBS FS nor its employees provide tax or legal advice. You should °omit 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 terms for tax purposes Please contact your tax Professional to determine eligibility. Account changes: At UM, we 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 oteectiws. please consider the follomrg two quesfions: 1: Have there been any changes to your financial situation a investment objectives? 2 Would you like to implement or modify any restrictions regarding the management of 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. For MAC advisory accounts, please contact your investment manager dreary A you would like to impose or change any investment restrictions on you account. ADV disclosure: A compinientary 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 have any questions Important information for former ►iper Jaffrey and McDonald Investments clients: As an accommodation to lamer Piper raffray and McDonald Investments dents, these reports include performance history for their Piper affray accounts price to August 12.2006 and McDonald Investments accounts prior to February 9, 2007, the date the respective accounts were converted to UBS 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 informaton and nil not be liable to you if any such information is unavailable, delayed or inaccurate. For insurance, enmities, and 529 Plans, UBS FS relies on information obtained from third party senates it believes to be reliable. UBS 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 raged the quantity and market value as of the previous business day When available, an • as of date is included in the description Irwestors outside the U S are subject tO securities and tax regulations within their applicable jurisdiction 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 non-U.S. investor, nor shall any such security, product or service be solicited, offered or sold in any jurisdiction where such activity would be contrary to the securities laws or other local laws and regulations or would subject UBS to any registration requirement within such jurisdiction t1B5 FS Al Rights Reserved Member 9K. Report created on: September 09, 2015 Page 6 of 5 CONFIDENTIAL UBSTERFtAMAR00001519 EFTA00237164