EFTA00238586.pdf

UBS Portfolio holdings as of April 26, 2017 Summary of Portfolio Holdings II I ' ated report prepared for Ghislaine Maxwell Ind.0 ashiSaying IMIllillennium Indiy Check/Car EU_MAX LLC Ind', IRA Indy ealyasny Cost basis (3) Value on 04/26/2017 (S) Unrealized gainAoss (5) Unrealized lain/low (%) Est. annual income (3) Current %of yield r%) portfolio A Cash 110,606.99 308,879.96 0.00 0.00% 1,526.70 0.49% 16.35% Cash 110,606.99 308,879.96 0.00 0.00% 1,526.70 0.49% 15.35% B Fixed Income 55,561.85 55,388.85 -173.00 -0.31% 1,019.95 1.84% 2.75% US 55,561.85 55,388.85 -173.00 -0.31% 1,019.95 1.84% 2.75% C Equity 0.00 0.00 0.00 0.00% 0.00 0.00% 0.00% D Commodities 0.00 0.00 0.00 0.00% 0.00 0.00% 0.00% E Non-Traditional 1,550,000.00 1,648,375.00 98,375.00 6.35% 0.00 0.00% 81.90% Non-Traditional 1550,000 00 1.648,375 00 98,375 00 6.35% 0.00 0.00% 81.90% F Other 0.00 0.00 0.00 0.00% 0.00 0.00% 0.00% Total Portfolio $1,716,168.84 $2,012,643.81 $98,202.00 5.72% $2,546.65 0.13% 100% Balanced mutual funds are allocated in the 'Other' category Report created on April 27, 2017 Page 1 n. CONFIDENTIAL UBSTERRAMAR00003207 EFTA00238586 UBS Portfolio holdings - as of April 26, 2017 (continued) Details of portfolio holdings Consolidated report prepared for Ghislaine Maxwell YXXX575 Ind.CasIvSaving YxXX776 WC 70376 IndyCheck/Car YX)C.,680 ELLmAx LiC YXXX697 Indiv IRA YX)0(339 Indiv ealyasny Unrealized % of Cost basis :S. Market value iS. Unrealized gainAoss gai Moss Est. annual income: 5 Current yield % asset class % of portfolio Total Portfolio 91,716,168.84 $2,012,643.81 $98,202.00 5.72% $2,546.65 0.13% 100% 100% Purchase price ($11 Price on 04/26/2017 Unrealized Unrealized gainAcea Est. annual Current % of % of Cash Quantity Avg Price :$) Cost basis (5) Market valueif) gainAoss (5) (94) inmate (5) yield (%) Cash portfolio Cash UBS BANK USA BUSINESS 61,541 35 1.00 1 00 61,541.35 61,541.35 0.00 0.00% 0.00 0 00% 19.92% 3.06% ACCOUNT UBS BANK USA DEPOSIT ACCOUNT 51,649 11 1.00 1.00 51,649.11 51,649.11 0.00 0.00% 0.00 0.00% 16.72% 2.57% UBS PRIME RESERVES FUND 198,272 97 0.00 1 00 0.00 198,272 97 0.00 0.00% 1,526.70 0.77% 64.19% 9.85% Client investment: 50.00 Reinvested dividends: $0.00 Investment return: $198,272 97 .0% USD CASH -2,583.47 1.00 1 00 -2583 47 -2583.47 0.00 0.00% 0.00 0.00% -0.84% -0.13% Total Cash $110,606.99 $308,879.96 $0.00 0.00% $1,526.70 0.49% 100.00% 1535% Total Cash 5110,606.99 1308,879.96 $0.00 0.00% $1,526.70 0.49% 100.00% 1535% Purchase price (5)/ Price on 04/26/2017 Unrealized Unrealized gainloss Est. annual Current % of Fixed % of Fixed Income Quantity Avg Price (5) Cost basis (S) Market value (5) gainfioss (5) (%) inccme(S) yield (%) Income portfolio us DOUBLE LINE TOTAL RETURN FUND 1,693.32 10.63 10.70 18,000.00 18,118.53 118.53 0.66% 672.98 3.71% 32.71% 0.90% INSTL Client investment: 518,000.00 Reinvested dividends: $0.00 Investment return: $118.53 (0.66W JP MORGAN SHORT DURATION 1,779.35 10.99 10.83 19.561.85 19,270.32 -291.53 -1.49% 177.40 0.92% 34.79% 0.96% BOND FUND CLASS I Client investment: $0.00 Reinvested dividends: $19,561.85 Investment retain: $19,270.32 (0%) PUTNAM SHORT DURATION 1,789.26 10.06 10.06 18,000 00 18,000 00 0.00 0.00% 169.57 0.94% 32.50% 0.89% INCOME FUND Y Client investment: 518,000.00 Reinvested dividends: $0.00 Investment return: $0.00 (0%) Report created on: April 27, 2017 Page 2 of 5 CONFIDENTIAL UBSTERRAMAR00003208 EFTA00238587 UBS Portfolio holdings - as of April 26, 2017 (continued) Consolidated report prepared for Ghislaine Maxwell YX XX575 Ind.CasIV5aving YX XX776 IMIffillenntum 10( )0(576 inkyCheck/Car •00C/6110 ELLMAXLLC YXXX697 Indy IRA YX);(339 indiv Balyasny Fixed Income us PurchaSe price IS)/ Quantity Avg Price Price on 04/26/2017 ;Si Cost basis ;5 Market value iSl Unrealized ainAoss 5 Unrealized gainAoss (%) Est. annual income ;Si Current yield ;%i % of Fixed Income % of portfolio Total US $55,561.85 $55,388.85 5-173.00 -0.31% $1,019.95 1.84% 100.00% 2.75% Total Fixed Income Non-Traditional Non-Traditional AlPHAKEYS MILLEN FND BROKERAGE A/003/31/17 ATLAS ENHANCED FUND LP NO 02/28/17 Purchase price IS)/ Quantity Avg Price Price on 04/26/2017 (Si 555,561.85 Cost basis .5 555,388.85 Market value • S 5-173.00 Unrealized gainAoss ;Si -0.31% ealized gainAoss oa $1,019.95 Est annual income 5 1.84% Current yield WO 100.00% % of Non- Traditional 2.75% % of portfolio 701,077.00 0.93 947,298 00 0 95 1.00 1 00 650,000.00 900,000 00 701,077.00 947,298 00 51,077.00 47,298.00 786% 5 26% 0.00 0.00 0.00% 0 00% 42.53% 57 A7% 34.83% 47.07% Total Non-Traditional 51,550,000.00 51,648,375.00 598,375.00 6.35% $0.00 0.00% 100.00% 81.90% Total Non-Traditional 51,550,000.00 Cost basis 51,648,375.00 Market value ($: 598,375.00 Unrealized qainttoss ;$ 6.35% Unrealized gaintloss t%) $0.00 Est. annual income/4) 0.00% Current yield 100.00% % of asset 81.90% % of portfolio dass Total Portfolio 51,716,168.84 52,012,643.81 $98,202.00 5.72% $2,546.65 0.13% 100% 100% Total accrued interest (included in market values): 50.00 Report created on April 27, 2017 Page 3 ol 7, CONFIDENTIAL UBSTERRAMAR00003209 EFTA00238588 t ips Disclosures applicable to accounts at UBS Financial Services Inc. This section contains important disclosures regarding the information and valuations presented here This retort 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 indkated The information in this report is fa informational purposes only and should not be retied upon as the basis of an Investment or liquidation decision UBS FS account statements and official tax documents are the only official record of your accounts and arena replaced. amended or superseded by any of the information presented in these reports UBS FS offers a number of imaistrnent advisory programs to clients, 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 funds offered through our investment advisory programs When we act as your investment adviser, we will have a widen agreement with you expressly admowledging ow 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's) 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 inducle al of your accares with UBS FS. The accounts included in this report are fisted under the 'Accounts included in this review' shows 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 at of the client's accounts held a UBS FS or elsewhere Percentage: Portfolio (in the '% Portfolio' cdurnn) includes all holdings held in the accounts) selected when this report was generated Bread asset dentin the '% broad asset class' column) includes all holdings held in that broad asset class in the accounts) selected when this report was generated. Tax lots: TM report displays security tar lots as either one line item e., lumped tax lots) or as separate tax lot level information If you choose to display security tax lots as one Ine item. the total cost equals the total value of all tar lots. The unit cost is an average of the total cost divided by the total number of shares. If the shares were purchased in different lots, the unit price listed does not represent the actual cost paid for each lot The unrealized gaiMoss value is calculated by combining the total value of all tax lots plus a minus the total market value of the security if you choose to display tax lot level information as separate ine items on the Portfolio Holdings report, the tax lot information may include information from sources other than U85 FS The Firm does not independently verify or guarantee the accuracy a validity of any information provided by sources other than UBS FS. As a result this information may not be accurate and is provided for inlamational purposes ovity Clients should not rely on this information in mating purchase or sell decisions, for tax purposes or otherwise See your monthly statement for additional information 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 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 UBS FS accounts statement for important information regarding the pricing used for certain 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, vie 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 a if you hold illiquid or restricted securities for which there is no published price, we MI generally rely on the value provided by the custodian or issuer of that security Cat Cash on deposit at UBS Bank USA is protected by the Federal Deposit Insurance Corporation ;FDIC) up to 5250,000 in principal and accrued interest per depositor for each ownership type Deposits made in an individual's own name, joint nine, or individual retirement account are each held in a separate type of ownership. Such deposits are not guaranteed by UBS FS. More informations available upon request Margin: The quantity value may indicate that all or part of this position is held on margin or held in the short account. When an account holds a debit balance, this debit balance is incorporated into the account's total market value and deducted from the total value. When calculating the percent of portfolio on each security, the percentage will be impacted by the total market value of the account Therefore, if the account's market value is reduced by a debit value of a holding the percent of portfolio viii be greater and if the account's market value is increased by a lidding then the percent of portfolio nil be less Mutual fund Asset Allocation: II the option to unbunde balanced mutual funds is selected and if a fund's holdings data is available, mutual funds wit be dassified by the asset class, subclass, and style breakdown of their underlying holdings. Where a mutual fund or ETF contains equity holdings from multiple equity sectors, this report will proportionately allocate the underlying holdings of the fund to those sectors measured as a percentage of the total fund's asset %rake as of the date shown This information is supplied by Morningstar. Inc on a monthly basis to UBS FS based on data supplied by the fund which may not be current Mutual funds change their portfolio holdings on a regular :often daily: basis. Accordnay. any analysis that includes mutual funds may not accurately reflect the current composition of these finds. If a fund's underlying holding data is not available, it will be classified based on its corresponding overall Morningsta classification MI data is as of the date indicated in the report Equity Style: The Growth, Value and Cae labels are determined by Standard and Poor's using a priceto- book ratio methodology. The Growth, Value and Core labels are based on how a company's price-to-book ratio compares to the median price-to-book ratio for its industry based on the company's assigned Industry Sector. If the company's ratio is greater than or equal to the industry median, it is classified as a growth stock. If the companys ratio is less than the industry median, it is classified as a value stock If a security includes both growth and value attributes, it is classified as a core stock If price-to-book is not available or the industry's median is not available, ff15 item will be Unclassified Equity Capitalization: Market Capitafization is defined as the number of shares outstanding times the market value Equity securities are classified as Lange Cap if they have a capitalization of 8 billion or above. Securities with capitalization between 1 8 and 7 9 billion are classified as Mid Cap. Securities with capitalization below 1.79 billion are classified as Smal Cap Unclassified securities are those for which no capitalization is available or appicalde Equity Sectors: The Equity sector analysis may include a variety of accounts, each with different investment and risk parameters. As a result, the ownwighting or underweiohting in a particular sector or asset class should not be viewed as an isolated factor in making iwestmenvbquidation decisions. but should be assessed on an account by account basis to determine the overall impact on the account's portfolio. Classified Equity Classified equities are defined as those equities for which the firm can confirm the specific industry and sector of the underlying equity instrument. Estimated Annual Income: The Estimated Annual ncome is the annualized year to date per share dividends paid and multiplied by the quantity of shares held in the selected accounts:, Current Yield: Current yield is defined as the estimated annual income divided by the total market value Credit/ Event Risk investments are subject to evert risk and changes in credit quality of the issuer. Issuers can experience economic situations that may have adverse effects on the market value of their securities. Interest Rate Risk Bonds are subject to market value fluctuations as interest rates rise and fall. If sold prior to maturity, the price received fa an issue may be less than the original purchase price. Reinvestment Risk: Since most corporate issues pay interest serri annuary. the coupon payments over the life of the bond can have a mayor impact on the bond's total return Accrued Interest: Interest that has accumulated between the most recent payment and the report date may be reflected in market values for interest bearing securities Gain/Loss: The gaiMoss information may include calculations based upon non-UBS FS cost basis nformation. The Frm does not independently verify or guarantee the accuracy or validity of any information provided by sources other than UEIS FS. In addition, if this report contains positions with unavailable cost basis, the gairvioss: for these positions are excluded in the calculation for the Gani Loss) As a result these lithos may not be accurate and are provided fa informational purposes only C bents 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 retum See yore monthly statement for additional information Account changes: At U85, we are committed to helpng 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 folloning two questions. 1: Have there been any changes to your financial situation or 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 Wants, please contact your investment manager Seedy if you would like to impose or change any investment restrictions on your account ADV disdoeurt 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 have any questions Report created on: April 27, 2017 Page 4 of 5 CONFIDENTIAL UBSTERRAMAR00003210 EFTA00238589 UBS Disclosures applicable to accounts at UBS Financial Services Inc. (continued) Important information for former Piper Jaffrey and McDonald Investments clients: As an accommodation to former Piper Jaffrey and McDonald Investments dents. 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 MS FS 1)85 FS has not independently verified this information nor do we make any representations or warrantes as to the accuracy or completeness of that informaton and will not be liable to you if any such nformaton is unavailable. delayed or inaccurate For insurance, annuities, and 529 Plan,1.165 FS relies on information obtained from Mid party services it believes to be resale. 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 Piero that has been prattled by a Mild party service may not reflect the quantity and market value as of the previous business day When wailed& an • a of date is included in the description investors outside the U S ate 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 senility, product or service to any non-U S imestor, nor shall any such security, product or service be sacited, offered or sold in anyjurisdiction inhere such activity mild be =tray to the securities laws or other local laws and regulations or would subject UBS to any registration requirement within such juriscrection UBS FS AI Rights Reserved Member 9K. Report created on April 27, 2017 Page S of 5 CONFIDENTIAL UBSTERRAMAR00003211 EFTA00238590