Text extracted via OCR from the original document. May contain errors from the scanning process.
*UBS
IRS Financial Services tic.
Private Wealth Management
299 Park Avenue
26th Floor
New York NY 10171.0002
ANP70036969670219 •
0
Account name: MAX FOUNDATION
Friendly account name: MAX FOUNDATION
Account number.
Your linens:WI Advisor-
SCOTT STACKMANitYLE CASK EL
Questions about your statement?
call y0ur fir-Jan:re' AdvJiOr Of ti e
Resourcetine at
account
VIsItour webs's.:
www.ubitOnYlinanCiakerviCeS
Items for your attention
Help protect ycJitelf lion, liaw and
review bank, credit card, and brokerage
statements regularly. Also, get your free
credit report annually from
?new. annuakreditrepottcom.
Value of your account
Business Services Account
February 2019
MAX FOUNDATION
BOSTON MA 02114-3252
Your assets
Your liabilities
Value of your account
on January 31 (3)
on February 28 (1)
977.23
977.53
0.00
0.00
$977.23
$977.53
Tracking the value of your account
7.238.2
5,238.2
Dec 2014
Dec 2015
Sources of your account growth
duriag 2019
Value of your account
at year end 2018
5976.91
Your nestment return
Dividend and
interest income
50.62
Change in
8239.2
market value
50.00
Value of yow account
1,2433 -
5761
977.7
977.5
on Feb 28., 2019
$977.53
•
•
•
ON
16
DeC 2017
OeC 2018
len 2019
Feb 2019
SDNY GM 00024992
Member SIPC
ANP700CQ0C0696967 NP7000064143 00001 0219 00CC00000
550000000
Pegs 1 of 6
CONFIDENTIAL
EFTA_0O1356 I 2
EFTA01277005
SUBS
Business Services Account
February 2019
Your account balance sheet
Summary of your assets
Value on
February 28 (1)
Percentage of
your aCC0Uat
A
Cash and money balances
977.53
100.00%
B
Cash alternatives
0.00
0.00%
C
Equities
0.00
0.00%
D
Fixed income
0.00
0.00%
E
Non-traditional
0.00
000%
F
Commodit ies
0.00
000%
G
Other
0.00
0.00%
Total assets
Value of your account
2977.53
$977.53
100.00%
Account name:
MA>. F0MDATICN
Friendly account n a 1.
11. 1.11O,:
Account number:
Your current asset allocation
A
Eye on the markets
Index
Percentage change
February 2019
Year to date
58,8 500
3.21%
11.48%
Russell 3000
3.52%
12.40%
MSC I - Europe, Australia & Far East
2.56%
9.32%
Barclays Capital U.S. Aggregate Bond Index
-0.06%
1.00%
Your ig Randal Advisor.
• Cash and money balances may include
available cash balances. 1-IBS Bank VSA deposit
account. VBS roc inured Deposit Program Bank
accounts, VBS AG Stamford Branch deposit
account balances and money market mutual fund
sweep balances See the important information
about tour statement on the last two pages of
this statement for detais about those balances.
Interest rates on February 28, 2019
3-month Treasury bills: 2.40%
One-month LIBOR: 2.49%
AnI000020006969681410003C64143 00231 02'9 00C030000'n 23661550030NY Gii000249089e 2 of 6
CONFIDENTIAL
EFTA_00135613
EFTA01277006
*UBS
Business Services Account
FA'
e 2.0*0
Change in the value of your account
Account name:
MAX FOUNDATION
Friendly account name:MAX FOUNDATION
Account number.
February 2019 (1)
Year to date (S)
Opening account value
$977.23
$976.91
Dividend aid interest income
dosing account value
0.30
0.62
$977.53
$977.53
Dividend and interest income earned
For purposes of INS statement, tenability of inkiest and dradend Income has been detemined f rem a US
tar reporting penpedise. Bared upon the residence of the account holder. account type, or product type,
some interest ancior dvidend payments may not be subject to United States (US) ardor Puerto Rico (PR)
Income teats The dent monthly( PaterneM is not intended lo be used and cannot be retkO upon for tat
purposes. Clients should refer to the applicade tar reporting forms they receive from UBS annual'', such as
the forms 1099 and the Parrs 493. for lac reporting information It is the practice of UBS to file the
apelicatie tac repOrling forms with the US inteml Revenue SemCe and PR Treasury Peoaement. and in
such forms accurately classify ctudenct anyce interest as tar eterrpt or tarts income. Pleae consult your
Ind vclual tax preparers
Cash activity summary
Your PI nandal Advisors
See /WOW,' activity the month for dela Is Balances In your Sweep Options are inducedin the openng and
closing balances vise. FDIC insurance *poet to deposits at UBS Bank USA and an banks participating in the
UBS FCC insured Deposit Frown. I does not apply to deposits at UBS AG. Parlous Barth. SrfC
Protection applies to money market sweep fund holdings but not bare deposits Soeimportant information
abou your statement on the tat two Pars ci this document for deals
February 2019(S)
Year to date (S)
Opening balances
$977.23
$976.91
Additions
Dividend aid interest income
0.30
0.62
Total additions
$0.30
$0.62
Net cash flow
Closing balances
$0.30
$0.62
$977.53
$977.53
UBS Bank USA Business Account APY
February 2019 (3)
Year to date (1)
Interest period !an 8 - Feb 6
Taxable interest
0.30
0.37
Opening UBS Bank USA Business balance Jan 8
Total currant year
$0.30
$0.37
Closing UBS Bank USA Business balance Feb 6
Prior year adjustment
0 00
0.25
Number of days in nterest period
Total dividend & interest
$0.30
$0.62
Average daily balance
Interest earned
Annual percentage yield earned
5977.23
5977.53
30
5977.23
$0.30
SDNY GM 00024994
0 37%
amP7C00?0C0696969 NP7003064I43 COCCI 02'9 COCO:00000 Y12366I 550000000
Page 3 of 6
CONFIDENTIAL
EFTA_00 I 356 14
EFTA01277007
SUBS
Business Services Account
February 2O19
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 yote
Friancial Advisor or Branch Manager. Youcan find a ful description of the altemanve
investment objectives in Important information about your statement at the end of this
document
Account name:
MAX FOUNDATION
Friendly account name:MAX
TION
Account number:
Your return objective:
Capital a pprox tion
Your risk profile:
Primary - Moderate
Investment eligibility consderation - None selected
Your account instructions
• Your account cost basis default closing method is FIFO, First In, First Out
Your Il Bendel Advisor.
ANP7C0020006)5970 NPVC0064I 43 COCO' 0219 COCO3C000
S50 COgfty_OM_000249tAge 4 of ti
CONFIDENTIAL
EFTA _0013561.5
EFTA01277008
*UBS
Business Services Account
February :0 0
Your assets
Account name:
MAX FOUNDATION
Friendly account n
•
ON
Account number.
Some pnces, income and current vdues ShOwn may be fppioxinme. AS a restet, gams at fosses mai iv'
be accurately refkcled. 54t Aporuntudosmafron Stour your statement a the end of ths dxurneM fOr
more informaton.
Cash
Cash and money balances
Cash and money balances may Mu* avalable cash balances, UBS Bank USA depost account balances,
UBS FDIC insured Rogan Balk &lances. UBS AG Stamford Branch ceposit account baances and rroney
market mut utf fund sweep balances.
See the Important information shout
or statement at the end of this document for detain about those
bedances
tscldng
uBS BABA USA BUS ACCT
Your total assets
Cash
°beano belernee
Cloung bderxe
on Feb I (6)
on Feb28 (3)
977.23
977.53
Yaw on Feb 28 (s)
Your financial Advisor.
UBS Bank USA and al UBS roc Insured Program Bank deposit acCOuNtafaXes are insured b7 the FDIC within
at:phut:dein% but ale not protected by 9FC. UBS AG Stanford Branch deport acc our* balances ale not insured
by FDIC and are not protected by 51K. Money market sweep 0...dances are protected by SIPC but at rot Insured by
the FDIC
Nice per shart
Average
°nit:fend Interest
Days n
on Feb 28 (t)
rate
period
period
cep row' (S)
250,000.00
Percentage of
Cost
Estimated
uniesired
your account
basis (S)
annual InCCme (51
oan or km (3)
Cash and money balances
977.53
100.00%
977.53
Total
3977.53
100.00%
3977.53
Account activity this month
For more information about the pricelvalue shown for restricted swuntres, see important Information about
your statement at the end of this Occurrent
Ode
A(Ilvity
Your
Comte)",
otgnplsOn
Menie (Ode
Fat vat*
Nicentalue (3)
Cash
amount
Cash and
money balance (5)
Jan 31
Cash and money balance
9077.23
Feb 7
Interest
'SS BANK USA BUSINESS ACCOUNT AS OF 0.210919
.30
977.53
Feb 28
Closing cash and money balance
5.977.53
SDNY GM 00024996
ANP7C0020C0696971 NP7003064I 43 COCCI U219 000:00000 Y123661S50000060
Page 5 of 6
CONFIDENTIAL
EFTA_00135616
EFTA01277009
*UBS
Business Services Account
February 2O19
Account activity this month (contrived)
Date
Money balance activities
Mn 31
Balance forward
$97723
Aanety
Account name:
MAX FOUNDATION
Friendly account name:MAX
TON
Account number:
Your lq nandal Advisor
r
Descrolico
Amount (S)
Feb 7
Deposit
UBS BANE USA BUSINESS ACCOUNT AS OF 02)0019
0.30
Feb 28
Closing UBS Bask USA Easiness Account
The UBS eau USA Business Ac mum Is you' pnmaty sweepoption
$977.53
ANP7C0020C06969,2 NP7000064143 COON 0219 DOC030000 Y1 2366i S50 ONMAYGM00024909e 6 i f 0
End of statement for account number -
CONFIDENTIAL
EFTA 001;5617
EFTA01277010
Important information about otti• statement
• ISS inertial Mikes Int (the fern of UBS Financiel
Sent«), k a mentor oil all principal acuity, commodity
and <poren exchanges. OBS Financial Soon°, and LBS
Bare USA are ndren subskkaries of 1.65 AG and
affiliates of LOS Setae:es LLC. The Ferns (Canna:
stamren is entitle upon n-quest Ire fern's sower«
offices an
,BS innel 5«wees
1200 Nita Boulevard
Weehawken. W 07086
NS Mennen: represents the on& official wad of your
le35 F runnel Services account Other raced,, &MP
offKd Me documents, contanng eating data should
not be relied upon II you besove then is In «ror or
Omaasaan plain report it immediately in wrung to the
Branch Manager of the office servilt rat account.
Athos). al f gores shown are intended to be actuate,
stateenrt tails thoutcl not be used for Ise imposes Rely
ode& on year'end ear lams, ti e , Form 1099. 5498.
10425.etc )when 00'Pr9 yea tao return The Fen 6
regured by Law totem to /rte RS altduble dradends
reportable nontauble dvickods and taxable inte«
caned on «mein held n you account net proceed,
on sae traneaction, and cost basis on mean corned
smear«
Carremiatioets with the Firm
• Please rooniem my oral («emendate:ins in wring
to further amid your rips, irading your nits
tuder the Steurdiat n estor Protection Act (SPA)
• If the ban ill reittution al Me top left of the Iran
of to slammed is not IS:Sinnin Strikes, LES
Financial Seniak con« your aeon as creanng
Mk« by artangnnl weh the iterated an
We :tamed yw d this relabonshi, kken you
<paned this ann. h ths case, you li ds and
stuees ae located at OBS I «uncut Seines and apt
the :talon; broker, and you mat mi • a repot
of ant enpr a omission to both finos
• As ~ad
n the account anseernents, ~must
readyusof any errors a fraud iiwoheig checks
reflected en yea sun« within 30 myr after e was
mailed or mele available.
• Please dew« customer complaints a
Fines C lent
X
or
at
8:00 A.M. to 6Ø P.M.
ET Monday throug r
. or in writing to LOS
Muncie' Stet« H., Clime Relations
Deprim
PP. Box 766 Lerion Cdr. NI 070e7
• All 51KentaftS shall be deemed cowl«. and accurate
not cbekted to n
tfiif
days
• the
at
or from anode
the LI
Cal
•
case of errors e< xxisi eons itxut an el«tronic
fund; trans'« (P1).
'
Visa•debit
cad Vernaceons, tall
or write to OBS
Pnancial Smite,
lad, 6th floor,
Wet-Kenton hu 07086, Attn ReAkt1SA antes
Cal a mite as con as you can, if you 'hit your
statement a ratite is wrong or 4 you need more
Sam-Mon above a transfer on the statenare or
receipt the Firm or Cod ewer (as speakable) mum
her Iran you ro later than 60 days alto the Fern
sent you the fist et atentent on which the trace or
Problem append.
- Provideyou- narre and accost renter X my>
— Desoke the WO' or the trader you se nure
about. and explain as clearly as you can why you
believe a is an ma a why you need non
infante kin.
— Provade the doter amount of the suspected era.
The Firm a Card bsuer vnl iwettgete you' candant
and val correct ay error prompt
For alleged «roes
nvolvn9 UBS Mra•debn cad transaction 4 we take
more than 10 bus nets days to di this, we will credit
you moss for the amount you thank is in error, so that
you wit hove the use d the money (bang Co tint n
takes us to ccennete as immegat
Please make all cheeks payable to the Fein or the
Mental finance, ticketed on Pe Moot el this
isimment In addition to regular sawn lees accounts
my be Wart to rnantonme feet charges for bee
paynn for securibas purchases and charges for aped
rants n cash accounts Accounts that are rendered
to other nsteuldni may be subta to a vendee lee.
UBS Sweep Options
UkS often options for tanking cash balances to bak
depose ascents at non-Sedated banks and aff 'bated
banks and nay ~et nuked lads (Money funds)
Depose account at UPS Bane USA and non.aff aired
barks pankinat rig
the ORS FlaCihated Deposit
Program are FDIC innured n accordance
FOK rules
For more slamalun, please visa mine f dope. Depose
mounts al LOS AG Slattern Branch and duns ol
Money Funds are roe Wind by the MC.
Rank deposits se not protected by WC Morey had
shoes are protened by SlfC. See CBS Fanal Senices
Accoint Nano' below,
tan yourrecant balances in the bark deposits may be
willtkawn, and shoes of a Money Fend may be
leducIded, and the proceeds teemed to you or your
wanes moist
Fadret irecnnxion about available sweep options,
reborn; oxen interest rates and yields. 5 available al
ventiVaincorrissattOyelcts, from your Franca) Advisor
cr by tarn° 8:P762.1003
UBS Fitanokel Serrekets an
protection
The Finn °member of the Searilit, Investor Protection
Corporation (SIP(), whch intern returtier customers
ol is morabars se to 16000RO (etbdirg 1250030 for
dams for rah) Ernlanatory brochure available upai
repot a al www Roc org the WC asset protection
lines apply to all accounts OW you hold n a panoular
capacty.
The Finn, together with mtan affiliates. Ito abe
Pinhead supplemental insisame. The marinm
ante payable to all elighle clients, collectively undo
the prolktion is $500 mdbon as of Decenter to, 2016
Subled to the policy catkin and melarens, cash at
the Fern is hither protected for up to Il 9 million in One
aggregatefor alyotr zooram herd ri a partKula
capacity. A lul ccpy of the poky wining is mailable
•pon request.
Reiter the StK votentonna the sinaereental
protection apay to:
• Cenan «uncial assets controlled by (and «bend en
your account value) but herd away Men LBS Finantal
Sown Fa ~reek certain (i) nsurarce Produces,
including valabb nab«. and (i0 shred of rredual
finds registered in the none of the aciant holds< on
the bode oe the barer or torn« 'mere/
• Inentment contacts or emmirreem entered, kg,
pannienhos and private placements) tral an
not registered under the Securities An of 1933;
• Corrrooddies corwacts (<9„ foreign excitor:as and
pactus metal contracts). nastng futs« enacts
and con nudity wilco contracts. and
• Deposit Ulocats Incept certificates of *mil) at LBS
Bat USA, WS AG U S. bathes and balm in the
FDIC Mured Deposit Program.
The SIP( protection and the Supplemental pretender do
not apply to these ails own if they otherwise appear
on rta-r statements the WC protection and the
supplemenalpeotection do not prole« >prat changes
en the market vat* of you investments (whether as a
emit of martet movement issuer bankluptcy or
Wien«
Dividend Reinvestment Progreso (DR P)
The price reflected is an average price. You may Man
the &dual price Iran your enamel Advises. Or. whore
taves so purchased under DRIP. pool Mires will be
sold and the cash wit be drnoeited res you amen The
dividend renvesOren price applied tyke ewer may
offer from the mark« price at Much One partial shoes
are sold
Cedeinlieu
On& whole urns maybe held in pa account. If you are
ernelled to a fend Ise as
of a Stand waxed
or oilstone, the rem yell either sell partial units et
madet price or accept an awn determined by •
registered dean, agency. rotcredit you accost
Investment objectives
rivestetert objectives and nsl. profile se 'pectic to
soh account and may vay between your acans.
Please advice the Finn promptly n writing of at,
Python thinp in yet fnacra siluabon
investment daedives For each mean hat you
choose ane of the I ollowng incimmtne dinners:
• Peodxe Current Oconee investments seeking the
generation of :tarn any
• Achieve CaetraMPOrMation. Peremnierds seekna
growth of priegal rarer than the generation tt
Mane.
• Podia Den ',anion of income and capes
Appreciation' Investments seekingboth the generation
ixona and Tomb of principal
Omni risk twoMa
• Conniw6w. Seeks to marten 'newt princpal, with
low nik and volalarly to the account overall, ~at if
that means the mount don not general* significant
CONFIDENTIAL
an
a roans and may not keep pace with
inflation
• moderate ailing to accept some risk to pincPal and
tolerate lane «toady to seek
returns
• Awroysne: Wiling to accept high udt to pencoal and
high volatility to seek high returns over time.
• Inwitment &Tern Consideration: I seamed a
portion of the ponfolb fa that «came may made
complex arameges, tinted liquidity and Tex«
%%Artie&
Statement shoutesholdiege
We IT2/ consolidate al re'sed accoutre statements with
the sane address in the same mrektoe, e g. beause
they have omtes who abo maintain prr, account
relations/in min other Pores a the sane ad&ess. d
you prefer to mere nolinduel statements mailed we
5.11.1/110 envelope., you may decline has eickIng by
calling your Financial Adieux
Friendly account name
eke Friendly account name is a cumartmek sniderume
chosen by you to assist you with your ncacenong
has no legal *fetal an you' account is nor intended to
reflect any strategy, pnxIstre<Onyhand1605.
immanent objective a ride profile notated rat your
moults ad es not a mom.* a guarantee that wenh
or any financial resullt can or vell be achieved. All
investments invoke the reek of lass nixing the riskot
loss of the ern ie investment. You can change your
Fiend/ account names through Ordne Services or by
contact rig 'oaf Kati& Adds«.
Account overview
• Vakte of your a«ountoportrolo. Net of assets aid
lie:Mthet
• Amts Includes available cash balances, valor for
restricted security (got ), and Global Time Deponiet,
inchied mores to rerak«, and mean moos not held
by the Fem. Does not male awed securdedassels
al Dete Ord of the prior and CuYallt smiernent paods, ce
prom iwestownis, tatted stock options and
ervercirsek nak options
• Liatiaides Includes debi[ balances, outserdna margin
loa-n. credit Ins shoe account balances.
• Casheeoneyealanm Total d uninvested sealable
cash balances, plus depose balances et affiliated and
nonieff dated Dale, end encnty make ~vat Mid
sweep batman at the close of tie statement period
Noncorremodity free crank balm« in you roost ae
not segregated Man ocher balances ad the Fart may
use any al those hits tithe Ordinary can dis
business These funds sur payable gaon your demand.
Ten total is nided in the carat prod closing vain
Lending information
For cleared nicanation on the Insis lendng procl GCS
ad Muhours, refer to you Clyne Retnionohni
Agreement cr Mon Maternent and the General
Tennis arid Conditions LES Stalmant of Credit Practices
atairdok flare., erO$ .0,40iX looney
at YØ (A pos./stn.',
SDNY_GM_00024998
EFTA 001;5618
EFTA01277011
I
m
p
o
r
t
a
n
t
informatimi about your statement (Continued)
Your assets
Your Itaterreni Monies recueibes and other ands held
n the account al the end of the Slaternent period YOU
may ask for delivery of folk Paid securities al ant tire.
You man remise mule's used as loan collateral alter
ming any balance do on them. Any securities
transterred to the Fm, ding the surimme pored are
laid at market value as of the end of the stamen
period
• Bost basis. In deteannirg the cost base of the
seamen included n this statement where indicated
will the number 'I,' URSFiurcial Services Ms relied
on information obtained from sources other than UBS
Snancial Sersices. kluding inIcernaticn horn nabs,.
Inm or that you man has:wooded. your Snacks&
Amato the Sim does nal indepeklently way o
guarantee the korai or vatcleyorary information
provided by sources other than U3S Financial Secede
addition, although LBSFnincial Semmes generalbi
updates the rdomatith as it is received, the f Pm
dos not monde any assurances Mr the infomarion
valet "Cott base ind "Urvealced ged loss" is
karate as or the date of this statement. As such.
please do not rely on this nlaroution to crake
prchase or sale decisions, for to pa-poses ce
otherwise. Accounts transferred to the Fern may
reflect
are
itormi kr+ only fox thy period or
tiro theyre held at the Fan More historical
ntimaticri can be added by you* Truncill Advisor.
• Unwanted gang/losses. Moen die ie availabki,
estmeted unit:Fired gansflosses are calculated for
ndvilial smarty lots the transaction data for
nOvidual lots may or manna reflect carmissions.
charges anchor secuity reorganized on canto
Diedend and other reinvestment lots and systernak
puts. lois re each combined to display cot
averaged lot 71-• 'Trade date colmn parents the
onginal transacoon trade dale.
• Callable securities Bonds and preferred stock that
the issuer cab Ins <ago rederrpton Pail be selected
erriertially by lot Iran among al hoarier of that
issue held in Our mow or in nornim maw Is, or
clients Call bare raomaten is obtained from third
parties
as accuracy is not gawked. Other call
leaves may nth which could riled yeld. complete
Mammon will be provided upon request
• Price/value Peres displayed for securities and other
products may be KOK or lowerthan the price that
you would actually remise in the market. Prkes
obtained from various dud party sources *Nth we
behew to be nab*, trd we do not guarantee this
accuracy
- We genera*, use the closing price when available or
to mean ol the bid and ask a ices for listed
maybes and options or ore/ bid pokes For OTC
washes
- Less actively traded seashis maybe priced thing a
valuation model or the most recent price we
cblaned and may not reflect an actual market price
a male.
▪ Cedar posithns may toper w thong a price and
willdeny as • prico was not available' it we are
triable to cbtan a peke Ins a sksity.
- Deposes a worries denomnaled n arrences
other than U S.
doles
re reflected at the exchange
rate as of the stammere date.
- For certain skunks racks; in non-ccolcemng
denomnatonk price ard wryly (lace oath may
have been adjusted to facilitate proper valuthth
To obtain anent guotthons. when avail:15k, contact
yes &uncut Ai:loser.
• Private investmante and structured products.
Private nwstmene warms (ix Ising them
PankiPal Ca program and real estate inmenent trust
seriaises) and strut tired prodths are generally highly
third Cerian 'buttered modris ham not teen
registered with the Somities and &charge
Commission or side, any state Securities laws. We
pow& evirnated values for ',note swesirram
wakes rod structured products for Mormal mud
Ferrous only Acoracy 6 not guaranteed
- Thew values may differ a/wantfay icon peon, it
any. at which a private .ristnie A security or
structured praise may be boodm or sold and do
rot rhwessiikr represent the yam you may rectae
goon liepidaten.
- Tied pry Monies of value re at ascertain
date and are supplied to UBS SnareSikes:ices on a
regular base by an independent valurion lima
- beat general partner or sponsor estmated vales,
any, re sswtied to the Fon by the issuer,
general pother or throw and may be calculated
based on deferent infarnation from tat used by
that parties to derive thee Monied vales.
— You can dour, additional Momurion regarding
the methodology used to determine the estimate of
value end the dale of the iliceniatiCel that is the
basis for the estimate by contacting your financial
Admix
- Wird patty estimated vales may be reflected as
• Not piked' in several student: Mien an
independent valuation torn has not suppled or
unable to /Mrs a vase, when we become aware
that a material event has occurred the, my calla
premousOr reported value it question, or Wen a
value would be highly speculative due to the nature
or the warty
— Men neither an ewer, general partner cr sponsor
estimated value nor a thethathy estimated vaLie 6
mended, the fake of the storey will bedeferent
from its pushes* price.
— • Dthrbutions to dre • may ruled ream of
capital, nccme or both.
- •Orogrul ant sae' represents the resat offering
pike pee rot and may not reflect misa cost bath
- DPP and whited RErt sec rcies are not listed on a
national securcen exchange. and re generally
amid and men A they can be sold the price
received may be less tan the per share estimated
value provided an the account statement.
• Reserided securities Restricted securities general"
re not <inertly ithgble for pubk sale. LBS Financial
Services uses the market price of the urresnxted stock
of the WOW issuer as an masted ale for the
restricted stock for purposes or the StOfteltat only. To
the extent the restricted mum ies are ebgble for sale,
he value removed may be abstantially less tun Ilse
awed value shown.
• Est. (estimated) income. current yields and rates
An est mak of imial more is bated on anent
chide. and Menem rates, assuning the triunes will
be held for one yea- from statement date or wail
mataity. The estimate is calf a guideline, accuracy
and cortriued norm are not guaranteed
— Estimated arrhul mom and curetl yield for
titan types of securities could include a met an of
princPal or capital gait in which case the est
income (rd current yielo) would be overstated.
— Estimated annual mom and orient yield and the
xeual income and yield mile be lower or thither
than the eshinged snorts
— An estimate of atnualizod income (denderd race
interest) dirded by the current market
elatef average balance a based on the last divdend
or fluent plyiVent made by the issuer and
mums toe seorneideposts will be hell for the
year from the statement date curia maturity.
Accuracy and continued mkt re not guaranteed
• AMU not held by WS Financial Services, Caters
itself are not held by the lion and not width the
Fin's possession or control. These assets are
clithlayed on war statement for nformational
purposes only. Posnons and values presented re
provided by the Muni; fern UBS rimincel Serves is
not responsible for this iternaion and don not
guarantee as accuracy These assets are not tweak:rid
by SK or to Fim's supplemental 51K coverage.
• Revenue aharkig and adckianal ocimpensthion.
- In xklitith to commisskris on lain and 12b1 Wes
receved in connection with the dosirbuten of mutual
fads to Oct dents we anchor or Millie mom*
ovine shying payments from deutuicri aril or
advisors of the mutual funds that se soli Theo
amounts re based on two different comprentsi (4
the imam of sales by LBS of a particulr rrutual
had family to our dem': and 60 the asset oaks of a
particular Mutual ford lanais 'hares held at the
Inn
- We and our affiliate also receive minding and
ornnbus proofs's-9 fees in considualco for transfer
agent services that we provide to the rnosual funds
These fees were*, re pad from investor rises n
the mutual fuNd and are a fired doll. amount based
on the meter of accounts at the broker-dealer
holing mutual funds of that fund family
- n addition to CCrnill6SkinS received in connector+
with the sake or datibuton of annuity contracts and
snit nvestment butt trots to or clients, we ado
or aft hate receive revenue shying corrpensaton
from Mr/ of the nsorance companies unckrwriting
the annuity contracts, affiliates of the (*nuance
corpthes or sponsors of the snit investment tants
we daring.
— in addrith to commissions received from the
pschase and sale of NeeShares kids, we ardor cur
If lute real,* an asset-based revenue sharing
payment from NentShares doubters. es well as
fading for technology development, training and
educal
— Our Alleles also receive tradng cormikkris and
other cansemalcn from mutual funds and awake
carper.; *two. product' we clittrbae
CONFIDENTIAL
— We grime <Ctliper6b1C41 heel WS BM. USA, CBS
AG Surrlond Branch and nonaffiliated bads
Moods our cash sweep laWaTh This
compensation may be
per account fee or
may be a percentage of aimage dab deposit
bermes
Activity
Information regasing commissions and other cargos
incurred n CCereCttOn well the exisoson of trades,
incluangopticn tram-actions has been minded on
carotin...ions previously furnished to you, ed wit be
Provided to you promptly on regime
Short sidling
II you are engaged n shot "Ong a unsay, you man
incur a charge doe to retain Ixeroving costs for the
pan Oita-security.
Orin orders
Regaidng open co tgoosaitcancellee orders that
were riot arieuted by the stamen date, open buy and
sel stop orders re reduced by the mom of divdervh
Or nyhtS on an roodoklerds or evirsthis date unless
othathect otherwise by you. You re tesponsble for
orders that re executed dr to your lalure to cancel
"ing open orders.
Privacy
To °Lean a copy of as current Client Privacy Nike,
',lean collect your froancialAthisor or viva as webs..
al Pawn ”htensurvivierregrt.
- LBS Financial Services ir not a bark. The RMA, Bennet"
Smokes Account BSA and IRMA ye brokerage
accounts oshch provide access to barking SerViCOS and
potluck Ihreuct alarigitMertS with affiliated banks
and other thiel.pany banks, and provides access to
issuance and army Products issued by unaftliaked
ihnd.party nsurake (=panes through inesake
agency elosigaries or LEES Financial Semen cox.
- Ynestniere, nes:anus, and annuity products,
— Not FDC insured • No bank guarantee. May lose val.
— tMA Resource Management Account. Busyness
Services Account BSA, IRMA and nteenational Resource
Management Account are registered service marks of
UPI Financial Services lx .
— vKA is a registered vacterrurk owned by Via
rrieroxional Service Association and used under
Icense llse LOBS Via credi crds and the IBS Visa
del. cads are mord by LBS Bank LISA with
permission from vise U S. A Incorporated Al other
trademarks. registered trademarks, stoke marks and
registered service muds ye of their respitee
convenes
MIS Flunk:al Services Inc
Rev. 701810
SDNY_GM_OOO24999
EFTA 001;5619
EFTA01277012
SUBS
1.185 Fnancial Services tic
Private Wealth Management
299 Park Avenue
26th Floor
New York NY 10171.0002
Business Services Account
March 2019
ANIP70010740750319 X151. 0
MAX FOUNDATION
Account name: MAX FOUNDATION
BOSTON MA 02114-3252
Friendly account name: MAX FOUNDATION
Account number:
Your Financial Advisor:
Phone
Questions about your statement?
Call your Firhanzia Admix: Of ft e
Value of your account
Fasourceline at
account
on February 28 (4)
on March 29(4)
Your assets
977 53
977.81
Visit our webslte:
www.ubscornifinancialservices
Your liabilities
0.00
0.00
Value of your account
$977.53
5977.81
Items for your attention
• Help protect yCJI!rt:1 horn haul and
review bank, credit card, and brokerage
statements regularly. Also, get your free
credit report annually from
kwewannuakreditrepockcom.
Tracking the value of your account
Sources of your account growth
during 2019
Value of your account
at year end 2018
$976.91
7,238.2
Your nvestmmt return
Dividend and
interest income
$0.90
5,2382
Change in
market value
99.00
3,239.2
Value of your account
on Pear 29.2019
9977.91
1,243.3 —
976.9
977.5
977.8
•
•
•
Dec 2014
Ott 2015
Ott 2016
Dee 2017
Dec 2019
Feb 2019
Mai 2019
SDNY GM 00025000
Member SIPC
ANP70360001074875 NP10501202134 00001 t019 006600000 Y123661550100010
Page 1 of 6
CONFIDENTIAL
EFTA_00135620
EFTA01277013
UBS
Business Services Account
Math 2079
Your account balance sheet
Summary of your assets
Value on
March 29 ($)
Account name:
Friendly account name:MAX FOUNDATION
Account number:
Percentage of
yOtif account
MIN
A
Cash and rrxmey balances
977.81
100.00%
Your current asset allocation
B
Cash alternatives
0.00
0.00%
Total assets
$977131
100.00%
Value of your account
5977.81
A
Eye on the markets
Index
Your lq Randal Advisor.
, Cash and money balances may include
available cash balances. UBS Bank VSA deposit
account. VBS roc inured Deposit Program Bank
accounts, UBS AG Stamford Branch deposit
account balances and money market mutual fund
sweep balances See the important in formation
about war statement on the last two pages of
this statement for detais about those balances.
S&P 500
Russell 3000
MSC I - Europe, Australia & Far East
Barclays Capital U.S. Aggregate Bond Index
Interest rates on March 29, 2019
3-month Treasury bills: 2.31%
One-month LIBOR: 2.49%
Percentage change
March 2019
Year to date
1.94%
13.65%
1.46%
14.04%
0.74%
10.13%
1.92%
2.94%
ANP70003001074876NM000120284 0003I 0319 000300000 Y123661S5010MiyGht000250tAge 2 of 6
CONFIDENTIAL
EFTA_00135621
EFTA01277014
SUBS
Business Services Account
March 2019
Change in the value of your account
Account name:
MAX FOUNDATION
Friendly account name:MAX FOUNDATION
Account number.
March 2019 (Sr
Year to date (S)
Opening account value
$977.53
$976.91
Dividend and interest income
dosing account value
0.28
0.90
$977.91
$977.91
Dividend and interest income earned
For purposes of Inks statement, undoity of inkiest and dividend income has been determined from a US
to eepating per:wine. Based upon the residence of the account holder, recount type, or product type,
some interest arena/ dyidend payments may not be subsea to United States (Us) ardor Puerto Rico (PR)
income tares The dent marshy( otaltrnent is not intended to be used and carrot be 'eked ucon for tar
purposes. Clients should refer to the angled:1e tax reporting forrns They receive from t65 annuals,* such as
the Forms 1093 and the soma 480, for lac reporting information It is the practice of UBS to file the
goggle tar reporting forms with the US intend Revenue Sem( t and PR Treasury Peon-wt and in
such forms accurately classify Ottoenct aid'sr interest as tar ererrpt or tarts* income. Plea. consult your
indsidual tax Prepare/
• MN
Cash activity summary
Your N mandril Advisor:
See Account activity the month ice dela Is Mance' in your Sweep Options are end uted In the openng and
closing balances whit. FDIC insurance moats to deposits at UBS Bank USA and an banks participating in the
UBS FCC insured Mixon rrogarn
does not mpty to deposits at 1)65 AG. garland Brecon 51K
Protection applies to mom market sweep ltold holdings but mt bank deposits See Important information
about your statement on the lat Mu pages cf this document for detals
Mardi 2019 IS)
Year to date (S)
Opening balances
Additions
Dividend and interest income
S977.53
$976.91
0.28
0.90
Total additions
$0.28
$0.90
Net cash flow
Closing balances
$0.29
$0.90
$977.81
$977.81
UBS Bank USA Business Account APY
March 2019 (5)
Year to date It/
Interest period Feb 7 - Mar 6
Taxable interest
0.28
0.65
Opening UBS Bank USA Business balance Feb 7
Total current year
$0.29
$0.65
Closing UBS Bank USA Business balance Mar 6
Prior year adjustment
0 00
0.25
Number of days in nterest period
Total dividend & interest
$0.28
$0.90
Average daily balance
Interest earned
Annual percentage yield earned
$977.53
8977.81
28
8977.53
$0.28
SDNY GM 00025002
0 37%
ANP70003001074877NP7003120294 00031 0319 03C030000 Y123661550100010
Page 3 of 6
CONFIDENTIAL
EFTA_00135622
EFTA01277015
*UBS
Business Services Account
March 2019
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
Fnancial Advisor or Branch Manager. Youcan find a ful description of the altemabve
investment objectives in Important information about your statement at the end of this
document
Account name:
Friendly account name:: —
.
Account number:
Your return objective:
Capita! appreciation
Your risk profile:
Primary - Moderate
Investment eligibility consderation - None selected
Your account instructions
• lois account cost basis default closing method is FIFO, First In, First Out
Your Financial Advisor:
nNP2tmaoOl 074878 NPVC0120284 C0031 0319 COCO3C000
23661550 IfyigalyGm 000250bsge 4 of 6
CONFIDENTIAL
EFTA_00135623
EFTA01277016
S UBS
Business Services Account
March 2019
Your assets
Account name:
MAX FOUNDATION
Friendly account name:MAX FOUNDATION
Account number.
ElI
Some prices, income and current values Shona May be EpprOxImale. AS a 'KA gam dad lOsses fn.* riot
be eccuralely reflected. See Aporwonfonnefron abour your statement a the end of tins document for
more Inform...ion.
Cash
Cash and money balances
Cash and money balances may incite.a avalable cash balances, UBS Sant USA depoat account balances,
UBS FDIC insured Rogan Eanl: Balances. UBS PG Stanford Branca deposit account balances andmoney
market mutual fund sweep balances.
See the important information *bout sox statement at the end of this document for detaits about those
balances.
wiring
Your total assets
Cash
openno baance
ClOung baence
on Mar I us
on Mar 29 (S)
977.53
97781
value on Ma 29 (5)
Your Nnandal Advisor:
UBS Balk USA and al UBS FDIC Inured Progam Balk depOSit icCOunt 'Menai are insured by the FDIC wllhin
Donut* 'mu, bul ale not protected by SIPC. UBS AG Stanford Branch deport account balances ate not insured
by roc and are not protected by 51K. Money market sweep balances are protected by 51K but at rot Insured by
the FDIC
Price Der share
Average
°Mcleod IntertSt
Dail WI
on Mar 29 (t)
rate
period
period
Cep anOunt (5)
250,000.00
Percentage of
Cost
Estimated
Unrealized
yOur account
basis (5)
annual inCtme (51
Llano( Ibis (S)
Cash and money balances
977.81
100.00%
977.81
Total
5977.81
100.00%
$977.81
Account activity this month
For more Information atom' the pike value shown for restricted SKuntleS, see important information about
your statement at tne end of this docurent
Date
Adisity
Your
Mandy
DeS(OpItOn
expense Code
face 'due
PaceiValue (3)
Cash
amount (5)
Cash and
money balance It)
Feb 28
Cash and money balance
$977.53
Mar 7
Interest
L8 S BANK USA BUSINESS ACCOUNT AS OF 03/0Ef 19
28
977.81
Mar 29
Closing cash and money balance
$97721
SDNY GM 00025004
ANP7C003001074879NP70:0120284 0003I 03'9 000000000 v12366I 550100010
Page 5 of 6
CONFIDENTIAL
EFTA_00135624
EFTA01277017
*UBS
Business Services Account
March 2019
Account activity this month (contrived)
Date
Money balance activities
Feb 28
Balance Forward
$977.53
Account name:
MAX FOUNDATION
Friendly account name:MAX FOUNDATION
Account number:
.
_.
Activity
Descry:Ilion
Your 16sandal Advisor:
Amount (3)
Mar 7
Deposit
UBS BANK USA BUSINESS ACCOUNT AS OF 03/061)9
0.28
Mar 29
Closing UBS Bank USA Business Account
The UBS Baru USA Business Account Is your p rnery sweep omen
6977.81
ANP7000300I074880NP7OCOI20284 00801 0319 000300000 V12366I S50 10My_Gki_000250ftge 6 A b
End of statement for account number
I
I
CONFIDENTIAL
EFTA G0135625
EFTA01277018
important information about \O111' statement
LISS Financial Snots Inc (the fern of UE6 Financial
Soran), k a mentor ol all Principal washy, commodity
and ants exchanges. UBS Financial SithA0.1 and UBS
Barr LISA se ndrect absitaries of IiirS AG and
affiliates of lib Senates LLC. The Fim's farinat
statement it amiable upon request. The Finks extort
offices at at
ISS fennel S«vices M.
1200 Harbor Boulevard
Weehawken. tel 07016
1114 Statnent «Pants the on,, official wad of yaw
U3S Franck:I knots account 01h« records, recept
otteal lav documents, contanng «enticing data should
not be retied LfOn II you beeeve Owe is n error
sodaion Pier. report t arneekaly n mitre; to the
Bunch Manager d the office serving you account.
Aleharin al f gems shown are Mended to be errs"
statement date bode' not be used for In pupates Rehr
soleg on yornind tax lams, (i e , Form 1099.549%
10425. f4<)whenDrePn9IrCer lav return The Frm 6
amend by law totem to the RS alluvia:de tyrants
reportable ncntabli arcends and taxable ant
earned on mantes held n you ant
net proceed,
on sorb trantachons, and cost basis onCater cowered
snomos
Communications with the Finn
• Please reconfirm any oral communcations n wet efg
JO higher ant your rights, innutg your nits
trder the S«urdirk fiesta Protection Act (WA)
• If tefinrxal renaution cache top left of the lead
of to statement is not 155 f nano
Senees, LES
Foruncial Pain caries you account as cheanng
bra« by artangement weh the insted instrlutsn
We :Marred you d this relamonskor ware+you
opened this account ri ilas case, you li ds and
sautes are boated at IRS Immn<ul Services and nol
the ineonturg broker. and sou must mi • a roan
of rip nor a snotao lo both fits
• As darted n the attain agreements, you must
noldy us of any errors a fraud iimokag checks
reflected an yps pant
*akin 30 days after • was
mailed or nude «mirky
• Pleasedied customer oomplares a'
a toll-free at
800 AM. to
P.M.
Fits
a
ET Monday
opdyt
r
. or in writina to U3S
Financial Sernces ax., Client Relations Department
P.O. Box 766 Union ked eI 07037
• All SIKentefes shall be demed carob. and «curiae
rl not abbted to n
days
• For TTY se
is tran cuttle
the U6 Cal
• Irn
noderors a
imam
ot
an electronic
lunch trans'« (D7).
Visa• debit
fadralmctions, call
or write to UBS
Promo Scads Inc..
Ha
hd, 611, floor,
Wanton NJ 07026, Attn MAMBSA
(ale ?kite as soar as you on, if you hik yoke
statement or recept is wrong or if you need more
~talon about a linter on the slant or
receipt. The firm or Cad Issue< (iss aable) must
her Trem you no later than 60 days alter the Fem
sent you One Int statement on which the era or
Problem and.
- Rovide you- name and ante ouster(! any>
— Decoke the error of the transfer you re unsure
about. and ansin as clearly as you can why you
believe ais an error a vry you need more
informanon.
— PrOviia the dolor amount of the suspected «rot
The Finn a Caret Issuer wel mestgase you- candant
and veal correct n/ error promptb for alleged erots
molvngUBS ntedelml Card transactin, if we take
more than 10 bus i'ets days to cb this, we will credit
you nose la the amount you ilia is in error, so that
pa wit Klee the use of the Miley ommg he tine n
takes us to complete as no:nit:patOr.
Please titre all Meeks payable to the Fata or the
lancol enteutcn ~red on tie front c4 Nis
stamem In addition to regab( arcane fat accounts
nit be 'aged to majsmose Inos, charges for bete
payment for SeCUregS purchases and charges for unpaid
nixes et cash accounts. Andes that are transferred
to other insteduns May be subject to J transfer fee.
UBS Sweep Options
UK otters options 101' mining cash balances to bat
depose ascents at non-attiloted banks and affiliated
banks and money man« mutual hands (Money fadg.
Deposit non
at LES Bank USA rid non-affiliated
banks part:mho n the UBS Ft:rinsed Deposit
Program at FDIC insured n accordance wAh FOK rules
For more Cif carnation, please visa AMIN fdc.gov. Depose
accounts at LES AG Stanford Branch and bees of
Money Feuds nee not lad by the FDC.
Bark deposits are not protected by WC. Morel Fund
stLY'eS areprotected by SIK. See 'WS f anal Senta
Ac<Otall Rotalen" below.
Urn your recast, balances n the bark depositsma, be
wahtaven, and shank of a kkay Fund may be
lenuckned. and the proceeds retuned to you a your
secretes noun
hate< inamation about available snip options,
noldng currern unrest rates ard yelds. is available at
ViiWNA.kia<offfsmitryelcis. from your Financul Advisee
a by calling 9g0 762.1003
UBS Financial Snips ant
protection
The Finne a member of the Searrlies Investor Protection
Corporation DWG), when protects sec
customers
01 CS menters up to 1600,0:0 (tiding 1250000 for
<bens for ati) Ed:armory brochurs available taxer
recuen or al www nor org the WC asset PrOteCtiOn
linaS apply to all accounts bit you hold in a pancubr
capacity.
The Finn, together with centen affiliates. has abe
Puchased supplemental ineranen Tae nwintrn
ant
payable to all elighle clients, collectively under
tens proation is 1600 million as of December 10, 2016
Subseci to It policy candeions and lindationk cachat
the Fim is lather protected for up to 11 9 maleri in to
Xlgregatof or all yotr %fa" heldet a part Kula.
capacity. A Id copy of the poky wordarg d bailable
upon request
Nether the SIPC moteclon nor the stOdernental
Protection Jodytot
• Ccrun Inancial assets controlled by (and nand n
your account vitro) but ha away from UM Financial
Services For ~reel. (ruin (i) nsurarce, Products,
ixhxling vaiable amen, and (i0 tires of abet
funds registered n the name of the account hold« on
the book, of the iswc or transfer *gent/
• Inentment marts or ~mina attests kg,
limited pannenhin and private placements) hat re
not registered under the Securities Act ol 1933;
• Conn ottees contracts (eg„ foreign encharge and
prec cus roetal contracts). ratan; fora metals
ad commodity option contract,. and
• Deposit .1<lotats Incept certificates of depart) at UBS
Brit USA, UBS AG U S. branches and bats n the
FDIC Poured Deposit Program.
The SIP( intention and the mpdemenul protection do
not an* to these anon own rf they otherwise appear
on yds stalieNnt. the WC pardm and the
suponmal protection do not protect against changes
en the market vale of yam investments (whether as a
revet of mad« movement, stuer bankruptcy a
«heat)
Dividend Reinvestment Program awe)
The price reflected is an average price You may obtain
the actual price kW. pa* halt< ili Øisor. Or. vale
that.. re purchased ram DRIP. pain shaken will be
sold and the cash wit be deposited in your accarn The
Clndeni renvestant price applied by fe issuer may
caller from the market ant at Much the pate.' shale.
are sob
Cash-in-In
Only whole urs maybe KM in your aCCOtnt. If you are
entitled to a pond urn as J result of adeeded nment
• oeverwoe, the turn mill ether sell partial sits
mad at peke a accept an era determined by a
regerered darn, agency. and credit you account
Inverisnem objednres
Pe ~Urn
obsectnes and nsll, profile at 'pica to
each account and may varybetween you accounts
Please advise the fim promptly in any day
Python <hange in yet financial situation or
nvesuant area
For each accent hat you
choose one of the I okoning irntstment cbjectnes:
• Prodx• Coffer Income investments seeking the
generation of :mane only
• Achieve CapiralApprKiation: levearnens seeking
growth of primp's( rater than the ganeration
OCOMe.
• Podia COMPotorin «Jerome ard capital
Appreciation' Investments seekingboth the generation
of ikon and growth of principal
Own. risk 'atilt;
• Contort. Seeks to rruntan nasal papal, with
low risk and you fitly to the want mink •wei
that means the account dan not generate signaant
CONFIDENTIAL
an
or tams and by not lap pace with
inflater
• modern Wang to accept son rid< to piricPal and
tolerate ant volatility to seek hiller returns
• Agresti.: Wiling to accept high rift to pnncoal and
high volatility to seek Ingh MUMS over tint
• Inveltment Etgat/ Conacteraticr f sebta a
portion of the poi tlolb for that rcount may aka
complex arena nod lickin and gear
wobble,'
Statement Isciutholdispc
We may consolidate al tad account statement with
the sure address in the samt envekp e. e o neat
they hake tars who afro marten pint account
retationshp w4 other ens a the same egress
you profe to reake individual statements meled n
«prate *metopes. you may decline hatutroklivy by
calling yam Financial Achnor
Friendly «court name
ske Fruagy account neme is a cumanorle 'natant'
chosen by you to !did you withyour reco<dkeecing lt
has ro legal effect on you account is not intended to
reflect n
strategy, pnxlict, retOr~
investment objective or risk monk associated vom your
accounts. and is not simmer a guarantee that wealth.
or any financialran can or will be achieved. All
investments involve the risk of last includamhe risk of
loss c< the enl in investment. You can change your
Friendly are rumes through Orine Services or by
contacting your f racial Adma.
Account overvi•w
• Valve of yor acortontrportiblot Net al assets and
liabilate&
• Assets Includes available cash balances. van foe
«flagged security (at ), and Global Time Deposits,
urrmind marls to market, and c«tan awns not held
by the Finn Does not ruin canned StantilaffetS
at the end cl the pnor and Coven stasennent prods, or
pane antennas ratted stock options and
acad. oak options
• Liabilities faldas debt balances, ovastandrog norgin
loam, credit la short account balanes.
• Cashboneykanna Total of uninvested avarabb
cash balances, plus depose balances at affiliated arid
noniaff idled brit $. and enney market mutual li d
sweep baba«, an the close of the statement paid
Non-commodity free crate betakes in yap acorn re
not segregated tram ah« balances rid the Fan may
use any ol these Inds tithe Ordinary Coin al as
brass These funds re payable 4,an your dorna-d.
Tho total is ncalcd in the cat prod closing yak*
Lancing Riformation
For detaled donation on the lems lending pract CO
ad der tans miner to yam Client Penn:,
Agreement a fart
Agreement and the Georat
Teoms ad Conditions LES Statement of Credit Practices
available n Agreements ant I Oirlosuras
SDNY_GM_00025006
EFTA_00 135626
EFTA01277019
Ilnportant information about your statement (Continued)
Your asses
Your statement itemizes recutites rd other assets held
n the account at the end of the Statement reread You
may ask for delver of ft* Paid securities al am tire.
You may reel,* unities used as loan coMosui alter
paying any balance de on them. Any securities
tranderred to the Fm, ding the statemmt period are
Teed at market value as of the end of the starlet
period
• Con basis. ri detemnirg the cost basis of thw
securces included ei this itaternent, wbtie indicated
wit. the number 'I,' LeS Fanciest Services Ms relied
on information chained from sources other than t
ernr al Streets. skluding Hamar On nom meek.
In or that you may have voided to your Finarkal
kleiser. the Firm does AM indepenietly way cr
guarantee the aCOSaCy or valday N any OM emotion
vended by sources other than U3S Financial Drees
es addle% although L6S inertial Seneca gerseralk
updates this nIcematim as it is received, the fen
does rot von* any entrances dna the information
crcler "Coat base and "Ureealcod gad loss' it
activate as it the date of this statement. As suthc
please do not rely en this nlanution to make
pathos. or sale decisions, for tap:poses or
othenvise. Acccums transferred to the F Cm may
reflect gallon inferno kin only Ice the period or
tire theywe held at the Fin More bigot:cal
(kernels', can be added by you* Fnarxise Advisor.
• Womanised gent/losses. Mien data 6 availabk,
tempted unrealized gansflosses are calculated for
nchaiial toasty lots the enaction data for
*vii
lots may or may rice ref act arrmissions,
charges antkr acuity reorgweal on events.
Deeded and other reoveoment lots and systematic
pith's. lots are each combined to display tee
averaged lot 71-e 'Trade date «damn pawns the
orient transaction trade dale.
• Callable
stock that
the avercats for eery rederrpton wit be selected
niparbally by lot Iran among al scarlet of that
:Sue hind n
rum. or in none*. rem Ice at
clients Call lease oformalkn is obtained front third
pales and es accuracy is not guaranteed. Other call
leaves may exist which cold!
ect weld. carbine
information rill be provided upon request
• Price/value hien displayed for securities and other
products may be higher or hear than the price that
you would actually reeve in the market Prkes ap
obtained from vacua gird party sources With we
Wert to be elabte, tat we do not garner the
accuracy
- We generally use the thane price when available or
tie mean of the bid and ask prices for listed
reviles and options a onk bid pekes Ice OTC
wctikes
- Less actively traded secwhis maybe priced tong a
valuation model or the most recent price we
obtained and may not reflect an actual market price
a rake.
▪ Cenail positions may taper sio Woo a price and
wit show as 'once was not available B we an
triable to cbtan a price for a wanly.
- Deposes ce seaities denomnated n arrences
other than U S. dollars re reflected at the exchange
rate as of the sitemere date.
- For cenan seances igen; n nonacnIcemng
denomrsatons, price and wetly (face vein may
have been adjusted to facilitate proper vein ,
To obtain anent guotatkos. when available. contact
yos Fruncol Mks«.
• Private investments and structured products.
hivate nwstrnent ward*, (IN
r) dire
Dentinalion program and real estate inestment trust
securities) and strut mad pretexts are generally highly
&swot Certan souctered votes haw not been
registered erith the Socaities and Exchange
Cerriasen or undo. any state securities laws. We
proideevirnated values for page reestrnent
stakes and structured pockets for Menai crud
purposes colt Autrey d riot guaranteed
- These vases may differ abstant key Iron Fetes, it
ay. at which a private'
aim rt security a
structured product may be boarkt or sold and do
not retests* represent the wee you may rearm
yaw liewidatkrt
- Third pry *striates of value re as gai a <actin
date aH are supOed to UPS Foxe sal Services on a
regular bass by an ideperkkre valueion lima
- Rae, generals/1w or sponsor («mated yaws,
lob we satilied to the Finn by the 6Sulf,
general owner or sponsor and may be eakulated
based on deferent infamaten Iran that used by
that panes to derive their minuted vales.
- You can cttan additional nlemutean regarding
the methodology used to determine the estimate of
value ad the dale of the eicrinatiCel that is the
basis la the estimate by contacting your Financial
Adv60r.
- Turd patty esunated vain may be reflected as
'Not priced' in several leuatienS: Mien an
independent valuation fern has not suppled or
unable to asap a value. when we become aware
that a material event has °tarred that my calla
prewocnk reported value am question, a Wan a
value would be highly speculate* due to the neve
ea the county
- Wnen neither an issuer, general partner ce sponsor
estimated value nor a thrd-pmy estimated val.* is
pcnded, the wax of the warty wit bedeferent
from its pedurie
- 'Distributers to date' may irickwk When of
capital extent or both.
- • Original IPA size• represents the ritual offering
price pis snit and may riot reflect jots cost base
- Of P Ind unfilled RErt entities are not listed on a
national securcin exchange. and we generally
acted ad even if they can be sold, the price
reefed may be less ton the per share estimated
value provided n the account statement.
• Resirided securities Restricted securities general"
are not arrerey encible for pubk sale. LIBS Financial
Services uses the market price of tie urreancted stock
of the Sarre twat as an inflated value lee the
restricted stock for purposes of the StOfteltat only. To
the extent that restricted seam ies are eligNe for sale,
tie value received may be obstantially less tun the
awed value shown.
• Est. (estimated) interne, current yields and rates.
An to male of cruel r‘diee n bared on (c.o.,'
dNidend and intOoKI rate, attuning the sec rites will
be held for one yea- from statement date or until
mataity. TF6 estimate is calf a guider*, accuracy
and continued income are not guaranteed
- Cotnuted wrath name red current yield for
certain types of Starke <c old rifled. a return of
princPal or cap-tatsans is which ease the est
income (rd current yielo) would be overstated.
- Estimated atrial cicala and curet yeld and the
actual inane and yieMnighe be hive or hater
than the *limited amounts
- An estimate of annualized income (dividerd aockr
interest) divded by the current market
valsiaveragr balance a based an the last divdend
or merest payment made by the issuer and
esumes the securtiegdeposes will be hell for one
yea from the statement date °tuna maturity.
Accuracy and continued yeld ere not guaranteed.
• Meets net held by WS Financial Services. Certain
assets ar e not held by the Fin and no within the
Files possession or control. These assets are
deployed on yak statement IC. nt ow:national
purposes only. Positions and valets presented re
provided by the slung ('em 1185 Financial Dimes is
not rep:rah for the infernaton and does not
guarantee IS accuracy these assets at rol tweeted
by SK or the Fir's supplemental DK coverage.
• Revenue sharing and Maim/A compensation.
- h addition to commission on sales and 12b.1 fees
reeved in connection with the desolation of mutual
funds to or <lents we ardor or anewe recede
reverse thee° payments from detrbuices and ix
advises of the mutual kids that so sell Thew
amounts we based on two different moots-ems, FR
the arrest of sales by 1.13$ of a particular rrutual
had family to our cams; and 60 tie asset vats of a
particular Mutual fund forays therm teased*
fin
- We and or, affiliate also receive networking and
ornnbus processing fees in consideration for transfer
agent services that we provide to the ratual funds
These lees generally re pad from inwstor stets o
the mutual fund and are a lied dony amour based
en the noise of ;occults at the broker-dealer
holding mutual funds of that fund laxly
— en Atka, to CCenril6SkinS received in connection
with the sate a datibuton of annuity contracts and
unit investment least ins to our diets, we ardor
as aff oat, receive reveease during corrpensaton
from many of the opera t< companies unckrwolins
the annuity contracts, affiliates of the nuance
commies or sprees of the VM nostmet trusts
we derange
- In addition to confessions received from the
pichase arid sale of NedShares finds, we actor cur
an lute receive an asset-based revenue shaming
payment from NestShares distrbuxn. A well as
nicks; for technology development, training and
education.
— Our athletes also receive trading «omissions and
other compensation from mutual funds and entrance
«meanie; Mime prookin we chtuttne
CONFIDENTIAL
— We recent <Cenper6tiliell kern WS 8eA USA, LDS
AG Surrloid Branch and noreaft deed banks
thearin our cash weep Fro;raTh
compensation may be
per Amon fee or
may be a percentage of odorant dak deposit
blares
Activity
information repaying commissions and other chages
incurred n curection with the extouton of trades,
nailing Gotten tranactons has been inclded on
confirmations previously fuemuited to you ed wit be
Provided to )our proudly on roams
Short Sling
ml yet ere engaged n short tang a amity, you moy
incur a charge Me to than borrowing costs foe that
pan lady security.
Open orders
Regaidng open co • roblitcancelee odes that
were not aerated by the summon date, open buy and
tel stop orders we mowed by the anon of Modem's
Or nyhtS on an exidividerds a eaatits date unless
nstructect otieevose by you. You we respcnank for
orders that at executed due to yoi failure to cancel
"in.; OW ceders.
Privacy
To Aeon a copy of as current Client Fealty Notice,
please collect you. Fnancial Achio or viol as weave
at >wen gin ensurvivierr,frt.
- 1.8$ Financial Drakes is rot a bark. The RMA, Dawes
Services Account BSA and IRMA we brokerage
accounts *bah provide access to barking SeViCes and
redacts thinticji alarigernirritS wth affliased banks
and other *teenybanks, and provides access to
issuance and amity Products issued by unaffiliated
thind.party nuance companies through instance
agency %Redoes of LDS Financial Seem Inc
— entstmere, inswance, and annuity pred-icts.
— Not FDC insured • No bane guarani... May late vale
— tMA lasarce Management Account. Busyness
Series Account BSA, IRMA and nternalionil Resource
Management Account are registered service marks of
LSI Financial Services Inc.
— VKA is a registered vactirrurk owned by visa
tnermitional Service Associnicn and used undo
license.
LEIS Vna credi cods ard the WS Visa
debt cods are smed by LOS Bann USA with
pirmissen from visa U S. A Incorporated All other
vadernarko registered trademarks, strike marks and
registered senice nudes are of their respective
corrpanies
LIES Financial Services Inc
Rev. 701810
SDNY_GM_00025007
EFTA _00135627
EFTA01277020
SUBS
UBS Inertial Services tic.
Private Wealth Management
299 Park Avenue
26th Floor
New York NY 10171.0002
ANP7003705891 0419 M 0
Account name: MAX F0UNDATON
Friendly account name: MAX F
NDATION
Account number: ■
Your Financial Advisor
Phone
Questions about your statement?
Call 10 Jr hit-Lancia' Adv,SO: Cr tie
Re5Ourt
inn t
-
Visit our website:
www.ubs.conefinancialservices
Items for your attention
• Help prote.:t yc.melf Item Iran] and
review bank, credit card, and brokerage
statements regularly. Also, get your free
credit report annually from
WWw.annuakreditreport.com.
Value of your account
Business Services Account
April 2019
MAX FOUNDATION
BOSTON MA 02114-3252
on March 29 (S)
on April 30 (1)
Your assets
977.81
978.10
Your liabilities
0.00
0.00
Value of your account
$977.81
$978.10
Tracking the value of your account
Sources of your account growth
during 2019
Value of your account
at year end 2018
S976.91
Your investment return
7,238.2
Dive:lendand
interest income
S1.19
5238.7
Chance in
8238.2
market value
$0.00
Value of your meant
1,243.3 —
9783
9778
9781
on Apr 30, 2019
$978.10
•
•
•
Dec 2014
Dee 1015
i016
Dec 2017
OeC 2018
Mat 2019
ter 2019
SDNY GM 00025008
Member SIPC
ANP703020C0705891 NP70r0061929 00001 0419 000030000
550000000
Page 1 of 6
CONFIDENTIAL
EFIA_00135628
EFTA01277021
SUBS
Business Services Account
April 2019
Your account balance sheet
Summary of your assets
Value on
Apnl 3O (1)
Percentage of
your account
A
Cash and money balances
978.10
100 00%
B
Cash alternatives
0.00
000%
C
Equities
0.00
0 00%
D
Fixed income
a co
0 00%
E
Non-traditional
0.00
000%
F
Commodities
0.00
000%
G
Other
0.00
000%
Total assets
Value of your account
2978.10
$978.10
100.00%
Account name:
Friendly account name:
• .
Account number:
Your current asset allocation
A
Eye on the markets
Index
Your ll vandal Advisor-
• Cash and money balances may include
available cash balances. UBS Bank USA deposit
account, UBS FNC Insured Deposit Program Bank
accounts, VBS AG Stamford Branch deposit
account balances and money market mutual fund
sweep balances. See the Important information
about )our statement on the last two pages of
this statement for data ks about those balances.
S&P 500
Russell 3000
MSC I - Europe, Australia & Far East
Barclays Capital U.S. Aggregate Bond Index
Interest rates on April 30, 2019
3-month Treasury bills: 2.38%
One-month LIBOR: 2.48%
Percentage change
Aprtl 2O19
Year to date
4.05%
18.25%
3.99%
18.60%
2.91%
13.33%
0.03%
2.97%
AMP MOO2OO0705892 N1qOCO063929 O3O31 O419 0OCO3CO0O 1(123661 95O COM yGitoco25OMge 2 of 6
CONFIDENTIAL
EFTA_00135629
EFTA01277022
UBS
Business Services Account
2c 19
Change in the value of your account
Account name:
MAX FOUNDATION
Friendly account nome:MAX FOUNDATION
Account number:
A061201904
Year to date (S)
Opening account value
$977.81
3976.91
Dividend and interest income
dosing account value
0.29
1.19
$978.10
3978.10
Dividend and interest income earned
For purposes of INs statement terablity of Interest and dnidend income has been determined horn a US
tax reporting perspective. Based upon the residence of the account ho/der, account typo, or product type.
some Interest condor dvidend payments may not be subject to united States (UA ancice Puerto Rico (PR)
Income tarts The dent monthly statement is not Intended to be used and cannot be retied upon for lac
purposes. Clients should refer to the applicabletax reporting forms they receive from UBS annualy, such as
the Forms 1099 and the Fairs 4180, (or 1a< reporting informatuon It is the practice of U8S to file the
=bode lac reporting forms Win the US Mod Revenue Service aid PR Treasury oesenment and in
such forms accurate/ dassfy clindenct ardor Interest as tae **rept or Mot, inane. Please consult you
Indeldual tier paperer.
• MN
Cash activity summary
Your /9nandal Advisor:
See Account acalty am month for details Bziances In your Sweep00nm are Includedin the opening and
dosing balances taut IOC insurance apples to deposits at UBS Bank USA and at banks partkipati no in the
UBS FDIC Insured Deposit Rogan. It Ores not aptly lo deposits at UBS AG, Stanford Parch. SIPC
Protection applies to money model sweep fund hddirep but rot bant deposits. See tmportant iotonnoton
about your stoterner4 on the lout two parse:this document for dills.
Apnl 2019(1)
year to date (S)
Opening balances
Additions
Dividend aid interest income
3977.81
$976.91
0.29
1.19
Total additions
30.29
31.19
Net cash flow
Closing balances
$0.29
31.19
$978.10
3978.10
UBS Bank USA Business Account APY
April2019(S)
year to date IS)
Interest period Mar 7 - Apr 4
Taxable interest
0.29
0.94
Opening UBS Bank USA Business balance Mar 7
Total currant year
$0.29
$0.94
Closing UBS Bank USA Business balance Apr 4
Prior year adjustment
0.00
0.25
Number of days in interest period
Total dividend & interest
$0.29
31.19
Average daily balance
Interest earned
Annual percentage yield earned
3977.81
1978.10
29
8977.81
10 .29
SDNY GM 00025010
0 37%
ANP700O7000705693 NP7p00063929 00001 0419 000000000 Y123661S50000000
CONFIDENTIAL
Page 3 of 6
EFTA_00135630
EFTA01277023
UBS
Business Services Account
April 2019
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. ioucan find a full description of the altemanve
investment objectives in Important information about your statement at the end of this
document
Account name:
Friendly account name.
',-
Account number:
.
Your ratan objective:
Capital appreciation
Your risk profile:
Primary - Moderate
Investment eligibibty consderatpon - None selected
Your account instructions
e Your account cost basis default closing method is FIFO, First In, First Out
Your K Bendel Advisor:
SCOTT STACK MAIILYLE CASRiEL
ANP7C0020C0705694NP70C0063929 COCO' 0419 000000000
SOCCiftliklYGM000250,19e 4 of 6
CONFIDENTIAL
EFTA_00135631
EFTA01277024
*UBS
Business Services Account
April 201':
Your assets
Account name:
MAX FOUNDATION
Friendly account name: fitAX FOUNDATION
Account number.
In El
I
Some prices, income and current vaues shpts may to approximate. ASS its WC gains and lOsses may rvol
be accurately reflected. See smporunt intoneason about your statement a the end of ths OxumeM for
more information.
Cash
Cash and money balances
Cash and morey. balances may indtcl+ avalacie cash balances. UBS Bank USA depost account balances,
UBS FDIC insured Rogan
Etlances, UBS AG Stanford Branch ceposit account blames and money
mallet mutual fund sweep balances
see the important information about aotir statement at the end of this document for details taut those
balances.
Hddng
Your total assets
Your illneadd Advisor
USS Balk USA ands' 085 FDIC Insured Progan Bank deposit tcCOunitd(nCes are insured by the FDIC within
apolicala3e lints, but ale not protected by 9PC. UBS AG Stanford Brant hdepost account balances are not insured
by FCC afloat not protected by 5IK. Money matt sweep balances are protected by 9PC but at not Insured by
the FDIC
°venni? bailee
Closing baarKe
Plitt ref Share
Awls)*
CericlendlniertSt
Dan n
on Apr 1 (I.)
on Apr 301$)
on Apr 30 (1)
rate
period
Penal
Cs amount (5)
977.81
978.10
250,000.00
Percentage of
Cost
Estimated
unrealized
Vane on Apr 30 (t)
your acounl
COPS (5)
annual incca* (S)
pan or tom (I)
Cash
Cash and money balances
978.10
100.00%
978.10
Total
1978.10
100.00%
$978.10
Account activity this month
F0I Mote Inlonnabn abut the Ow vaue shown fOr reStriCtedSeCUMUeS, see Important information about
your statement at the endol this docunent
Date
Actimty
Your
ouatltyl
DeSCAphon
expense code
Fat value
PriceiValue (3)
Cash
amount (S)
Cash and
money balance If)
Mar 29
Cash and money balance
$977.$1
Apt 5
Interest
L8$ BANK USA BU9NESS ACCOUNT AS OF 04/04f 19
29
97810
Apr 30
Closing cash and money balance
$978.10
SONY GM 00025012
ANP70002000705895NP7003063929 0000I 0419 oopop0000Y12366ISSO0000C0
Page 5 of 6
CONFIDENTIAL
EFTA_00135632
EFTA01277025
SUBS
Business Services Account
April 2019
Account activity this month contrived)
Cate
Money balance activities
Mar 29
Bateau forward
997721
Actmty
Account name:
MAX FOUNDATION
Friendly account name:MAX FOUNDATION
Account number:
.
Your Anandal Advisor:
Descriptcn
Amount (S)
Apr 5
Deposit
UBS BANE USA BUSINESS ACCOUNT AS CF 04/04/19
0.29
Apr 30
Closing UBS Bank USA Business Account
The UBS Rani 1)54 Sus; nes, Accouni is youi pnmay sweep option
9923.10
ANP7C0020C0705696NP70C0063929 COCO' 04'9 00CC00000YI2366ISSOCOMyGit00025Age 6 of 6
End of statement for account number
I
I
CONFIDENTIAL
EFTA_00135633
EFTA01277026
Important information about your statement
LAS Femoral Serves Inc. (the Firma UM Fins-vial
Sereker.), is a mentor of all principal snowily, commodity
and °man °char-get ties Financial Union and UM
Bart UM re strict siksigaries of 1.85 AG and
affiliates ol IBS Seorkin LLC. The Firm'sitem°
statement is available upon request. The Firms eulanne
offices are at
185 Fitancial Services lx.
1200 Hata Boulevard
Weehawken, NS VOSS
This statement repreSIMS the onfrr off nal record of you
1.65 Fears& Services account. Other recce& except
°Ka tits daunents, contanng coriliong data should
not be relied won II you bedew there is an error a
cchnion please report m arnetately in *Meg to the
Brands Manager of the office wisp you account.
Although Olga. shown re mended to be accurate,
statement dnashould net be used for tar purposes Ray
solely on yer.end tar forms, (i.e h Form 1099. 5496
1042$. etc ) when prepamg your tax return. The km 6
requred by law to report to tie RS °Taub'. drAderxls,
reportable neriumble dram& and taxable interest
owned on °tribes held is you avant net proceeds
on sale tiareactard, ad con basis on cat°, cowered
sew/diet
Genwenicatiens with the Finn
• Please recall inn any oral cantunkatiten i, tang
tofurther protect your rights. incise:1nd your rifts
win theSecurities Investor Protection An (WA)
• If thefinancial institution as the top left of the frcm
of this StateMeill is not LES Franca Services LOS
Muncie' Services caries wet hatiffit as clearing
hedger by arrangement was the **red Onsieution
we Wont red you of the retabornhill when you
opened this accuse. h this raw yea lads and
swishes at bated a LISS f mental Sown and rot
the itatrig broker. and you crust make a report
of erg error or omission to both Inns
• AS descrbed intheaccount agreements, you must
notifyusof any °co or fraud irwhirg checks
reflected on your statement within 30 days after a was
mailed or male
• Pleasedint customer complains or'
"
Fans< lent
s '
or tolkfreea
8A0 AM. to 6 DO FIX
ET Monday tNoug r
. oi in Antis? to L65
Financial Strives ix., Client Relations Department
P.O. Box 766 union City, t, 107087
• All swami° tall be deemed complete ad acarse
rl not objected ton - •
days.
• For TTY seat
or tram condo
the U S.: Cal
• hone of errors a westions Man an electronic
fixrd; :randy (FT).
'
rear debit
cad tra-oacbons. cau
awoke to LIE6
Branco' Seats ix.,
Harbor fool, 6th floor,
Weehalen. to 07084 Allan RMAI16.4 Sewn
Cal a write as soon as yaw" if you tale your
statement or recite is *Tong or if you need more
ntamatcn abast a twofer on the slatemmt or
receipt The Inn or Card Inver (as elollatabie) must
her Iran you to later that 60 days after the Fmn
sent you the test st atitentelt on which the woe or
problem *Owed.
- Prose* yea rant ad accost number Of any)
— Dna& the error or tie transfer you are unsure
abort, and emlain as ckarly as you can why you
believe it is mem:ratty you need mat
itormation
— Provide the doe:ternary of the suspected error.
The Finn a Card Muer mil investigate your compete
ad sal correct any error promptly. For alleged errors
snOhng OBS liffsa•debil cad tramacareo. f he lake
more than 10 bus less days to do this, we will credit
you Bats* la the amount you the* 6 in error, so that
you MI have the use of the money darn° to tire it
takes us to armlet as imistigation.
Please make all checks payable to the Fern or the
liyrxal nateuticn notated On the front of this
statement In additien to regular secant lees. moults
may be *tact to rnireenarve tem charges for late
payment for securities purchases and charges for unpaid
amours n cashaccounts. Accounts that are tendered
to other instaulons may be subject to a winder fee.
UBS Sweep Options
ti3$ offers options foe toweprog (ash Waxes to bat
depose accounts at non-Efiliated basks ad °dated
banks and money motel nasal Inds (Money Furls).
Depose aroma at UBS Bark USA rid nonatf dated
barks pankisaing n the UBS FPC.Inmed Deposit
Program are FDK onsured n acanince rah FOK rules
Fa more iternation, please visa wino tdcgra. Depose
awaits at LIES AG Stanford Branch and domes of
Money Fads are roe boxed by the HNC.
Bark deposits ore not protected by StPC. Money Fu-d
shores are protected by SIK. See 'WS Financial Services
AccOunt Feolecton' below.
kbas vox tamest, balances it the bar* depositsmeg be
witodeawn, and shares of a Morley hal maybe
legabted. and the proceeds retuned to you or your
warms antra
Funher Sterna°, about available sweep optOns.
ricldrog curare it crest rates and yields, is avant* at
woofing's comareepyews, from yon FranCsal Advisor
or by eating B33-762.1000.
UBS Financial Services aCaitint protection
the Finn is a winter of the Searles tmestor Protection
Corporation (StPC), notch protects securities customers
of Es reenters i.e to $502:000 (nckding 1250,000 for
Mins for cash). Emlanatay brochure amaabt rem
reweg a al mew s° org. The SIPC asset protection
lints apply to all accents that you hold ei a pinata
twat.
The Finn, together with oxtail affiliates. has also
°rehired swpkmeMal Manna. The matinees
amour payable to all tligble <bents. collectively under
this protectim is 1500 million as of December 10, 2016.
Solent to the tellycm:Rae and Imealaw (ash at
the Fins is father protected for up to 11.9 makes in the
aggregate for all your accounts held n apart:idly
upacity. A la copy of the poky mrdirg a available
uPon request.
tWatier the SIIK PrVeclqn Mr the swpkemental
protection app./ to:
• Certain tisane° assets controlled by (arid ncloka n
your decant oaks) but led away Iran 1.85 Fins-cal
Services. For earrpleortain 0) insurance modals.
SKILvang variable awities. and 90 dues of mutual
funds registered n the vane of the account holder on
the books of the Sat or transfer agmt),
• Swestmmt contracts or :vestment inetresIs (eg
broiled pannenlips and private placements) he are
not registered under he Searities AO of 1933;
• Carmodites contracts (e.g. foreign exchange and
MOWS Metal contracts), inthiSng helixes contracts
and cOnniedity option contract,; and
• Deposit accomts (except certificates of deposit) at U35
Bat USA, OBS AG U.S. braches and bats n the
FDIC hexed Deposit Program.
The 51K protection and the Phodtmental protection do
not apply to these assets hen t they Otherwise appear
on Bea statements The WC protection and the
swplernentalprotectiort cb not protect aganst changes
n the market rake of your investments (whether as a
restµ of market movement. issuer balsrupay
otherwise)
Dividend Reinvertawe Program (DRIP)
The price reflected is an average once You may obtan
the actual price from yea tune° Advisor. Only whole
hares we purchased under DRIP, sonial tares willbe
sold and the cash wil be deposited in yOuf xcoern The
dividend rt.-mai-rent ace 9.0PIrect Fly the issuer may
Offer from the market wee at Moth me pat.* shade
are told
Cadrirlieu
Why whole urns maybe held ro you account. If you are
puled tea parhol ulit as/result of a dividend payriwnl
a olhecworr, the Firm wdl either sell part& unts at
market prior a accept an acorn determined by a
regained clearna agency, aid credit yea accani
Inverlanent objectives
The rweswere oblation and risk profile are speed* to
each account and may saybetween yew acccut
Please advise the Finn poorroity in milling of any
sorfKant change in yea financial situation or
onwarrent objectives. Fa each account hekt you
choose me of the Booting omesensent CbjeCtiver
• Prods* Correa intorno *ointments Weirs] the
generation of °one only.
• Achieve Capita /Appreciation Sestrnents Wang
growth of Fence° fitter than the generation of
income.
• Footta Combnason of noose and Capeal
Appreciation. Investments seeking both the genemica
of °are and growth of passim'
Overall risk profile;
• Conserwaw. Seeks to rnaintan Mal natant, was
low rod and Mal Kay to the account overall, even if
that Inert the anceset don not generate significant
CONFIDENTIAL
income or reams and may not keep pace with
• Moderato. Wang to accept sane rids to pinto.' ad
tolerate sane volatility to seek hoer returns
• Aggresses: Wiling to accept high risk to pnncpal ati
high volatility to seek no rears over time.
• Inwatmer2 figharly Conaderation: I selected. a
portion of the poi dot* for that account may rocket
complex mattes, linked liquidity and greater
Stateenwn isouseholdise
We may consoldate
Mated account statement with
the same address in the urne envelope. e 0 because
they haw cones who abo maintain Ont war*
rations/vs rah other etas a the sane adorns. If
you defer to mere irdialual statements marled n
separate envelopes. you my decline lkoulakkOkli6) by
calling your Financial Advisor
Friendly °court name
The Friendly account name is a amemaable *noskrurne
chosen by you to assist you wityca recordleepna It
has ro legal effect on your account is not mended to
reflect alw stralegy, prodxt reccermerdatice.
inykstrio.nt oh/Biotin° profile anociated wit, your
amain ad is not a promise or garantee that vomit.
or any Wanda results. can or will be achieved. All
Ines ments Moshe the risk of lass, indudisg the risk of
loss of the mate ireeeAMNIt. You can change your
Frenty wort names throughOnline Services a by
contain; you Fiuncial Adore
A0:01.61t ovoninv
• Yakre of your mcoontlmorthfo. Net of assets and
lit:Wares_
• Arena Includes available cash balances, values for
restricted saint (est ), and Global Tine Deposits,
unrealized marts to market and Mtn, assets nit held
by the Fim. Does rot Mb* unpnced securitelasiels
at the end of the prior and current Pawnor penods, or
path* investrilent; untested stork Opt:3m and
meneateci stock options
• DatalineS IralsrleS debt Waxes, cutsursing margin
lore. creole Ines short accoknt balances.
• Cashlmoneybalarxes Total of wintsted available
cash balances, plus depose balances at affiliated ad
nark° dated banes, indexer-ow market mutual lad
sweep balances, at the c bse of tie stament period
Nontorrmodity free ore° banes inns accord at
nee secyegrAd from other baleres and the Fim may
use not these lads tithe °Maury course of its
banns. These funds repayable kpon your demand.
This total is °laded in the anent period doing wade
Lending intonation
For detailed colonisation on the f tors lendrg practices
trod clabsures. refer to your Clem RaliaMp
Agreement cr Metre Agreement and the General
Terms art Conditions LOS Statement of Credit Practices
available in Agreements andOisdosures
al genwrilnn.,../.....n.inthon,.,,,,,,
SDNY_GM_00025014
EFTA_00135634
EFTA01277027
Important inforniatimi about your statement (comiimed)
Your assets
Your statement tames recutites and other assets hell
n the account al the end of the Statement placid You
may ask for deavery of fug Paid securities al any tire.
You may receive 'Aunties used so loan co/Uord alter
paying any Wince am on them. Any secretes
tranaerred to the Fm, cling the staummt period are
Wed at market value or of the end of the statanat
period
• Cost basis n detennning the cost basis of the
sea-rhea included n this statement where indicated
with the nuniow rl.' LII-S Film-air Services Am relied
on information dwained from sources other than Ul35
Financial Services. rkliding Man-ohm from another
lien or that you may nave minded 10
F narctal
Apeisor. the Firm saes MI independently verso a
guarantee the aaVaCy or vakley
any e amation
aoudad by maces other than U3SFiaancial Senan
la edition, Sthougaa U3SFetincial SktenCeS gerverally
updates that rdamatiri as to teemed, the firm
desnot prow* any insurances
that
informahm
under 'Cost bales- and `UarealCerd gai'l lei,' n
accurate as et she date of this statement. As such,
please do net rely an this damage, to make
purchase of sale decisions. fa tar purposes a
otherwise. Accounts Ira-reeved to the FM mgr
reflect girilow Hornet Ms only fix the period ea
tire they re heed at the Fan More hidoncal
rikelltatierk can be ailed by yourMarxist Advisor.
• Unrealized gent/losses. Vitien data 6 audio*,
ermatedurrealiZed ialinalOSIef are calculated for
secarty lots the transaction data for
ndvidual lots may or may nee ref Oct cal-missions.
charges axle, security reap-rat on *sects.
Deader and other renvestment lots and systematic
pitches. lots ate each combined to display ore
averaged lot The 'Trade date colmn wheats the
ongivl transaction trade dale.
• Callable securities Bonds and preferred NO* that
the issuer cats la *ark, rederrptun Pail be selected
Mpartially by lot
among al senses of that
isfla held ia our new or ei none-tee one Is. as
dents Call feats, Somaarlan is obtained from third
parties and es accvacy is not guaranteed. Other
leaves may east which card elect weld. complete
information will be provided upon request
• Pricefvelue Prices displayed for securities and other
peolucts may be higher or lower than the price than
you would actually receive in the market Prices are
captained from wren tied partysources vhch we
brew tole *Saba. ht we do nOt guarantee this
accuracy
- We generally use the cbong price when available or
he mean of the bid and ask prices la tested
storeys and options a only bid 'OKA la OTC
washes
- Lees actively traded searbin maybe priced ring a
vabatcn model or the most recent price we
obtained and may not reflect al actual market price
a rake.
▪ Canah potions may appear wither a pee and
will show as 'price was not available B we are
triable to cbtan a price Is. a SeCtrity.
- Deposes a winners denomnated n currencies
other than U S. dollars re reflected at the exchange
rate as of the stramen drte.
- For certain sects es racing 11 non-anior ist's?
dencennatont, pace ad portly (face Mat) may
have been adjusted to facilitate peeper valuate,
To obtain nerem quotations. when available. contact
our Faro)! Acinscr.
• Private investments and structured modems.
tome enestrame WWI*, (INlain) drect
patcipatim program and real estate 'mermen( trust
securities) and structured prodeas are generally highly
lucpd. Chan stiuctored products haw not teen
registered with the Securities and &charge
Conflation or uro any state secure:is laws. We
provide evunated valor; for private investment
stories and gruel vet products for Manfulmai
porous only Money a not guaranteed
- These yak*. may differ tubstant bay Iron peon, it
any. at which a pelmet
stri iro d Wu* or
structured product may be Wert a sold and do
not necessarily (Ansel, the vale you may recto.
yam liquidation.
- third patty •SIST4603 of vain are at domain
date ad are supplied to UBS Flue. ial Services on a
regular bass by an ndependere valuation Irm.
- lobe* general panne a sponsor estmated vales,
d rob re suppled to OW ern by the issuer,
general partner or spans and may be tabulated
based on deferent erfamaton from that used by
ihed pales to den* their Alienated rakes.
— You can damn additional remotion regarding
the mettiodologa used to determine the titivate d
value and the dale of the information that is the
basis la the estimate by contactisp your Financial
Mardi
▪ Bard party estimated ealso may be reflected as
• Not piked' in Several OW6:flit: Mien an
inckperdent valuation fern has not suppled ce
stable to Align a wax. when we become aware
That a material event has anted that may calla
prewatry reported oar Ivo question, a Men a
value would be hglay speculate* due to the mere
ce the seeurrty
— Wren neither an auer, general partner or sponsor
estinaled value era a thed-prey estimated val.. a
pow** the take of the 'Array will be different
from ils puts. price.
- • °bait MS to dale • may Ilia return of
capital, none or both.
- 'Omer wilt size' represents the Mot offering
peke per unit and may not reflect y0✓ cost basis
- Of P aria waned RE* peeve:as re not Wed en a
rsaticnal secure:A exchange, and re generally
aced ani even if they can be sold the price
receeed may be less ton the per share estimated
value provided n the account statement
• Restriaed securities Restricted securities general"
are not <treaty eligble for public sale. 1.85 Financial
Seances uses the market ma of to urrestxted stock
of the San* issuer as an evaded vale toe the
restricted stock for purposes of the stoterstat only. To
the extent that restricted seam ies are ebgble for sate,
the vale twined may be stbstantially less to the
awed yak... drown.
• Est. (estimated) acorn& current yields and rates.
An eat met of an.,* mare us based on wort
darter and Menem rates, assuming the senrees will
be held for one yea- from statement date or until
matrity. T is estinate is calf a gudeleth accuracy
and continued nom* are not guaranteed.
- (angled annual name and curet yield for
tartan types of treaties could include a ratan of
preacPal or capital gait n which case the est
interne (rid current yield) would be overstated.
- Estnuted annual maw ard anent yeld and the
latoll income and girl mope be lower oe hater
than the estenaed snares
- An estinale of a-melded home Minderd axier
interest) divided by the current market
veld average balance a based an the last dividend
or nicest lumen, made by the issuer and
homes the seookiefideposes will bo hell fa one
year from the statement date °rural maturity.
Accuracy and canalised yield re not guaranteed.
• Meets net held by UBS Finencial Services. Certain
Watt, ate riot held by the F im and not wither the
Fim's possession or control. These assets re
deplayed or. your statement for of err:lateen*
purposes only. Positions and values presented re
prowled by the issuing Inn UBS Femoral SOW., is
not reap:m.)41Or the inthernaim and donna
guarantee as accvacy. The,. assets are rot area:id
by SVC or the f irm's supplemental5*C coverage.
• Revenue shoran and edifitionel compensation.
- h addition to carenission m sales and 12b.1 fees
recenved in connection meth the dtoIrtutcn of mutual
funds to or dents we ante, or affiliate meek.
revert* there° payments from datrtuicrs soda
advisers of the mutual funds that so soli These
amounts if based m two different coripaerty (3
the more of sales by 1.85 of a particular mutual
find family to our dents; and 60 to asset wk. of a
particular moral hid lanais 'hires Mad at the
fnn
- We and our affiliate also receive eventual"; and
omnibus processing fees in consideralan for transfer
agent services that we puede to the rnteual funds
These lees generally are pad from inwstor mew en
the 111O.10 fund and are a hied dolls amount based
an the roister of accounts at the brtacendealer
holdng ensue bards of that trod family
— h addition to commeauns received in connechon
with the sate a distibutca of amuity contracts anal
area nwstment bust vas to or cloak we ardor
as aft Are receive reserve spring corrpensaton
from many of the nsurance companies unckewriting
the annuity Contracts, all dates of the Nuisance
cm-panes or sponsors ot the mil investment menus
we didrbute
— h addition to commissions received from the
purchase and sale of Neritheltares funds, we andor Cr
al I dote receive an asset-based revenue sharing
payment from NentShivers datrbusces. A well as
(undo) for technology development, training and
educal an.
- Our Alleles also receive trading commission ad
other ocenPerealcn from mutual funds and intrante
carparriec *Mu parochrts we diem tette
CONFIDENTIAL
- We item. <ColiaeMtibal IICOIUBS Br* USA, U35
AG Sunder Branch and morel ilved barks
*your our cat weep FeC5rn 1b 4
compensation may be
per account fee or
may be a percentage of average day deposit
barges
Activity
Information repaying cornrMsans and other charges
incurred n acrection with the exioron of tradeS,
including option transactions has been nchded on
car( emotions previously I unearned so you. aril will be
provided to you acerbity m reread.
Short Sting
If you re engaged in shot selleg a wordy, you may
incur a charge An to certain taaroving costs for thee
pan kulr security.
Open orders
Regarding open ce • goodtitcancelte orders that
were not ormuud by the stamen date, open buy and
tel stop orders re rocketed by the amain of dividends
Or NMS on an exrdwiderds a Armies date unless
married ahem/se by you. You are reopens.* fa
ceders that re executed die to yore Iran to cancel
"in9 open orders.
Privacy
To rattan a copy of as current Client Macy Nake,
please contact your Financial Achiscr or vat our retbsite
at Awe/ trbt orn/r4vmprol.-o.
- 185 Financial Services to not a bark. The RAW, Buoineos
Sent-es Account BSA and IRMA are brokerage
accounts *huh provide access tobalking services and
abducts Ihreuct 01.1119111W4Seeth affiliated bead
and other ihirpany banks, and provides access to
ntioarK4 and amity Products issued by unaffiliated
thir.party entrance companies through insurance
agency subsidies of 1.8S Financial Senrcts Inc
— meaner., insranch and snaky satahat
— Not FDC insured • No bar. guarantee, May IMO vela
— tMA Peso-sc. Management decant. Buonew
Services Account BSA, IRMA and international Resource
Management Account re registered service marks of
UB1F minor Services Inc.
— YTS. a a repaired vacarrurk owned by Vasa
Mernestional Service Association and used under
kens. the 1035 Vaa aids crds rd the IBS Visa
deter cards are *seed by UK Bank USA with
permission (um vise U S. A Incorporated All *the
trademarks. registered trademarks, sedge made aril
registered senate marks are of their respechee
compares
UPS nuncio, Services Inc
Rev. 301010
SDNY_GM_00025015
EFTA_00135635
EFTA01277028
*UBS
WS Financial Services Inc
Private Wealth Management
299 Park Avenue
26th Floor
New York NY 10171.0002
ANV70036854630519
0
Account name: MAX FOUNDATON
Friendly account name: MAX FOUNDATION
Account number.
SS
Your Financial Advisor.
Phone
Business Services Account
May 2019
MAX FOUNDATION
BOSTON MA 02114-3252
Questions about your statement?
Value of your account
Call your Financial Advisor or the
Resourcetine at
on April 30 (3)
on May 31 (S)
account
Malt our websIte:
www.ubscornIfinancialservices
Items for your attention
• Help protect yourself from fraud and
review bank, credit card, and brokerage
statements regularly. Also, get your free
credit report annually from
www. annuakreditreportcom.
Your assets
978.10
978.42
Your liabilities
0.00
0.00
Value of your account
$978.10
$978.42
Tracking the value of your account
1
at year end 2018
397991
Your mestrnent return
7.228 2
Dividend and
interest income
31.51
5.238.2
Chance in
market value
3000
3,238.2
Value of your account
on May 31. 2019
$978.42
12433 -
way
979.1
970.4
•
•
•
DtK 2014
Dec 2015
oedol6
Dec 2017
Dec 2018
Apr 2019
may 2019
Sources of your account growth
during 2019
Value of your account
SDNY GM 00025016
Member MK
ANP700020C0685463 NP7000062938 00001 0519 000000000
50 cococ0
Page 1 of 6
CONFIDENTIAL
EFTA_00 135636
EFTA01277029
SUBS
Business Services Account
May 2019
Your account balance sheet
Summary of your assets
Value on
May 31 (1)
Percentage of
your account
A
Cash and rrxmey balances
978.42
100 00%
B
Cash alternatives
0.00
000%
C
Equities
0.00
0 00%
D
Fixed income
ace
0 00%
E
Non-traditional
0.C0
000%
F
Commodities
0.00
000%
G
Other
0.00
Total assets
Value of your account
$978.42
5978.42
100.00%
Account name:
Friendly account name:'
•
, ,
Account number:
En
Your current asset allocation
A
Eye on the markets
Your K nand) Advisor.
• Cash and money balances may include
available cash balances, VEIS Bank USA deposit
account, UBS FNC Insured CV posit Program Bank
accounts, VBS AG Stamford Branch deposit
account balances and money market mutual fund
sweep balances. See the:moor:an:info:maven
about ;our statement on the last two pages of
this statement for detaks about those balances.
Index
Percentage change
May 2019
Year to date
S&P 500
-6.35%
10.74%
Russell 3000
-6.47%
10.92%
MSC I - Europe, Australia & Far East
4.66%
8.05%
Barclays Capital U.S. Aggregate Bond Index
Interest rates on May 31, 2019
3-month Treasury bills: 2.27%
One-month LIBOR: 2.43%
1.78%
4.80%
AMP MO02000695464 NIPMC006293$ CCCOI 0519000000000 Y12366ISSOCOnlyyGiux02501ppge 2 of 6
CONFIDENTIAL
EFTA_00135637
EFTA01277030
SUBS
Business Services Account
May 2019
Change in the value of your account
Account name:
MAX FOUNDATION
Friendly account name:MAX FOUNDATION
Account number.
May 2019 (S)
Year to date (I)
Opening account value
$978.10
3976.91
Dividend and interest income
dosing account value
0.32
1.51
$978.42
$978.42
Dividend and interest income earned
For purposes of IN; statement, tenability of interest and dincknd Income has been determined from a US
tag reporting per-pectin.. Based upon the residence of the account holder. =count type, or product type,
some interest ands dvidend payments may not be subject to United States (US) ardor Nano Arco (PR)
income tares The dent month)/ staterneM is not intended lo be used and canto, be rated upon fee tar
purposes. Clients should refer to the applicade tae reporting forms they recent from UBS annual'', such as
the Forms 1099 and the Fan 493, for lac reporting information it is the prance of u85 to file the
yip/Katie tar reporting forms with the US internal Revenue SeninCt and PR Treasury Pepanrnenf and in
such forms accurately classify dint:lend &di a interest as tau cien-pt or taabie Interne. Pleat consult your
induclual Inn 0reronfer,
• =M
Cash activity summary
Your Finandal Advisor:
See Account arthity the month for details_ Balances In your Sweep Options are rndudedin the opening and
dosing Manus value. FDIC Insurance applies to deposits at UBS Bank USA and all banks patlitipatirtg in the
UBS FCC insured Deposit Prawn. R 0ces not apply to deposits at UBS AG. staricad &arch. 51PC
Protection applies to money market sweep fund hddings but not bank deposits See Important intorrnation
*Out your statement on the tat Mo pages dr this &Curren: for Ma's
May 2019 11)
Year to date (S)
Opening balances
3978.10
$976.91
Additions
Dividend aid interest income
0.32
1.51
Total additions
30.32
$1.51
Net cash flow
Closing balances
30.32
$1.51
1978.42
$978.42
UBS Bank USA Business Account APY
May2019W
Year to date (S)
Interest period Apr 5 - May 6
Taxable interest
0.32
1.26
Opening UBS Bank USA Business balance Apr 5
Total current year
$0.32
$1.26
Closing UBS Bank USA Business balance May 6
Prior year adjustment
0 00
0.25
Number of days in nterest period
Total dividend & interest
$0.32
$1.51
Average daily balance
Interest earned
Annual percentage yield earned
1978.10
1978.42
32
1978.10
10 .32
SDNY GM 00025018
0 37%
AMP700070ODW546SNP70c006790B 00001 0519 00CO30000Y123661S50OX000
Pap 3 of 6
CONFIDENTIAL
EFTA_00135638
EFTA01277031
SUBS
Business Services Account
May 201 ,..;•
Your investment objectives:
Account name:
Friendly account name-7 ' . .
,- ',-
Account number:
.
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
Fnancial Advisor or Branch Manager. You can find a full descriptien of the altemanve
investment objectives in Important information about your statement at the end of this
document
Your ran objective:
Capital appreciation
Your risk profile:
Primary - Moderate
Investment efigibihty consideratton - None selected
Your account instructions
• Vote account cost basis default closing method is AR). First In, First Out
Your lq sandal Advisor:
ANP7e0020C06eS466NPT0C006290e %C0I 05' 9 000000000
CONFIDENTIAL
5501:041O4CGM_000250Wie 4 of 6
EFTA_00 B5639
EFTA01277032
*UBS
Business Services Account
May 2019
Your assets
Account name:
MAX FOUNDATION
Friendly account narm: MAX FOUNDATION
Account number.
Sane pnces, income and current va ues Sham may Ix EpprOxinvaie. AS a *St*. darn at tosses may hol
be &ornately reflected. See (mporunt inkvivauon aoour your statement a the end of tins dxumem for
more informron.
Cash
Cash and money balances
Cash and money balances may indud+ avatar& cash balances, UBS Bank. USA depoot account balances,
UBS FDIC insured Rogan Bank Baances, UBS AG Stanford Branch deposit account balances and money
market mutual fund sweep balances.
See the important information about )our statement a the end of this document for detain about those
balances.
mcicIng
Your total assets
Cash
Datong baance
on Ma/ I (I)
978 10
Croong balance
on May 31 IS)
978 42
Value on May 3k.
Your Financial Advisor:
1
$ C,TT ST AC< PAAt4t vrt: [Ai
l
UBS Bank USA and at UBS FDK Insured Progan Bank deposit account WaXes are insured by the FDIC within
applicatae Ism, but ale not protected by 9F C. UBS AG Stanford Blanc h deposit account balances are not insured
by FCC and a< not protected by SIPC. Money market sweep bdances are protected by 9PC but are not Insured by
the FCC
PrIce per share
Average
Dun:lend Interest
Days n
on May 31 (t)
race
period
Period
Cep [croon' (S)
250,000.00
Percentage of
Cost
EttaTtalea
unreaGzed
your account
teLS (S)
annual 'AO:me 01
gan or lois (S)
Cash and money balances
975.42
100.00%
975.42
Total
$978.42
100.00%
2978.42
Account activity this month
For note Intortndlort about the pike/value shown (Or regriCte0SKUtittei, Ste important Mtormation about
your statement at the endol this docunent
Date
Adivry
Your
Quantal*,
Descophon
endenSe Orde
Face value
rrlcsvalue (3)
Cash
anxrunt
Cash and
money balance (5)
Apr 30
Cash and money balance
$075.10
May 7
Interest
L8 S 8A Nr: USA BUSINESS ACCOUNT AS OF 0909 19
.32
978.42
May 31
Closing cash and money balance
9978.43
SDNY GM 00025020
A)IP7C0020C0035467 Ny7003061908 OCIOX OSI9 00C030000Y123661S500000C0
Page S of 6
CONFIDENTIAL
EFTA_00135640
EFTA01277033
*UBS
Business Services Account
Account activity this month (COntrivedl
Oate
Money balance activities
Account name:
MA> FOUNDATION
Friendly account name:MAX FOUNDATION
Account number:
• IMO
Actmty
Oescrigaticn
Your II sandal Advisor.
Arrount (S)
Apr 30
Balance forward
May 7
Deposit
UBS BANI: USA BUSINESS ACCOUNT AS OF 05/06'19
0.32
May 31
Closing UBS Bank USA Business Account
The UBS Ban, USA Business Ac room is your pnmary sweep option
6978.10
$978.12
ANP7C0020C0695468NP70C006290800031 0519 000030300 Y17.3661 SSOOOMY_GM_000250/2.19e 6 A e
End of statement for account number.-,
CONFIDENTIAL
EFTA 00135641
EFTA01277034
Important information about your statement
LOS inmost Senates Inc (the Firma UBS finrcia
Stryker.). is a mentor of all principal snowily, cornmodity
and opt Ow recharges. UM inancial Union ard
Bat USA re ndrect seksidaries of LOS AG and
affiliates of LOS Secteries
The f km's farcia
Statement is available upon request. the Ferns executee
offices an at
UBS Frarcial Services a
1200 Haler Boulevard
Weehawken, N.I 07096
This statement reprantS the onhrr off nal record of sr
LOS Fresco' Services account. Other reads. Wage
othor as Occunents, contanng cMlictng data shoubi
not be relied won II youbedew there is an error a
Cciletien please report it irrnerdately in warg to the
Brands Manager of the office wvio you amount.
Although alleges shown se Mended to be actuate,
statement daa should not be used for tar purposes Rey
SOW/ on yorend lae firms, fie Penn 1099. 549,1
10425. etc Jaen prepamg your tax return. The km 6
regured by law to report to the RS as taxable dniderxls,
reportable none trouble Wands and taxable interest
earned on writhes held is yea scant net proceeds
on sale transaction. ad cots basis on oaten corned
swain
Genwemications with the Firm
• Pleaseretain" any cal carerunatioen n waking
tofurther oohed your rights. Salary your rites
vat the Safeties Investor Protection An (SCA)
• If the Mattel instiertion on the top let of the frcra
of this statement is not LES Fnexiit Streets, LEG
(axial Swat caries you- Ikttalt as clearing
broke by areargernent was the :socketed inieution
we Wonted you of the retabonshb when you
opened this accost. h the use, yote ads and
Sect-v.46 a* boated a LOSS Cancel Sevres and rot
the :taken; broke rd you cruet make a rpm
et we era or °mesa to both lens
• AS descrbed in the accuse agreements, you must
wayusof anyway or fraud irmairg checks
reflected on yos statontent within 30 days after a was
mailed or nude wildole.
• Phased:we customer complains a'
"
rim's< We
n '
at
atoll-free a
BOO A.M. log00 71.4_
ET Monday tNoug r
,a In Antiv to L65
Fiona' Sexes ere, Clad Rations Department
P.O. Box 766 union Cry, et 07037
• All surenteres skull be deemed corroka Yd acarse
el not °betted ton - •
drys
•
see
or tram wale
the US: Cat
• Incase of errors a gegen% algae an electronic
knob transfer
'
Yeandebit
cad tra-oacbons. call
or write to UBS
F name' Sexces W.,
Hata hid, 6th floor,
Weehawken he 07096, Attn RMASSA Swat
Cala write as soon as atom, if you tilt your
statement a recet% is tang or if you need more
niCeMatCn atcut a Ureter on the statement or
wept The Inn of Card bar (as elstsicabSe) must
her Iran you to law that 60 drys after the Frm
sent you the fat statement on which the ewer or
problem *Weed.
- Rade you- rant ad accuse number Of my)
- Darte the error or the transfer you are unfelte
about, and eoplaio as ckarly as you can anew
believe a is mem:rave/ you need mere
informalim
- Rosa the doer arnxrit of the suspected error.
The Finn or Card bsuer weir investigate yore wale*
end wal correct Iry *nor prove* For alleged mon
Mario UBS Visaed*t cad tra-nact ere if we lake
mote than 10 bus ass days to do this, we *Plaice
yea =curette the amour-New the* 6 in twat, SO that
yeti we hove the use of the money ding the tat
takes us to tenable as imistigation.
Please make all checks payable to the Fern or the
teursoal nsteaKn notated on the front of this
statement In addition to regular account lees. moues
me be Abject to mantenarce hen, charges for bee
payment kr securain purchases and charges kr unpaid
awns n cashemu-its. Accounts that are Wanted
to other instarecen may be subject to a winder fee.
UBS Sweep Option.
1.85 offers options for %warpath balances to bat
depose accounts at non-thliated barks and affiliated
banks and money market medal Matta (Morey Funds).
Depose oceans at UPS Sat USA and non•attiliated
barks pankipaing is the UBS FPC-Murod Deposit
Program are FDIC ensured n accordance yeah FOK rules
for more arenation, please visa wwwfdc.gsv. Depose
exeunt% at LOS AG %mind Branch and than of
Moneyfinch are not hand by the FDK.
Bark deposits ere not protected by SOC. Money Fed
shares are protected by SIK. See 'UBS h natal Semen
Account Protedrei below.
Wan Vett realest, balances in the bark depositsmay be
WeledraWn and sham of a Money Fad may be
kudeed and the proceeds retuned to you or your
stases accord.
Frier arrnaters about available sweep options,
ncldeg curter. interest rates and yields, 6 available al
w,woubt,cornsweepyeldt. Iran your Fruncol Advisor
of by calling 900-762.1000.
UN Rancid Services aCOOtall protection
The Finn is a water of the Searles is estor Protection
Corporation (MPC), wthich protects sweeties CuSteilien
of Es marten wo to 150:000 (nckding $250,000 for
darns for cash). Eolanatcry brochure nibble upon
reweg a al waiter org. The SIPC asset protection
lints apply to all wants that you hold in a pinata
coast
the Finn, together with eaten affiliates. has also
Medusa surokmeMal instance The man-rain
amoset payable to all 00h orients. collectively under
this protectias es 1600 neon as of December 10, 2016.
Sobered to the policy cadekre end brealcrek (ash at
the rim is f oh.. protected for up to 11.9 magas in the
Oen/Catofor all your accounts hand n apart:We
capacity. A lot copy of the poky iindirg 6 avail ale
Wen nevelt.
Heeler Me SIPC ma/donna the swptemerral
protection mph: to:
• Cerlan trawl assets controlled by OS waxed n
yore account vile) be hat away Iran LOS Financial
Services. Fa eurrple certain C) insurance pockets.
including arable mates. and OD Owes of mewl
funds registered n the mane of the account holder on
the books of the Site or transfer on),
• Sweetmeat contrail ce investment eateries (e.g,
limited partnerships andprivate placements) hat are
not registered under the Searkes Act of 1933;
• Carrnoditits contracts (e.g. foreign whinge and
prtccczmetal centrals), exteding lures coewacts
and commodity option coaxes; and
• Deposit recants Incept certificates of deposit) at U3S
Bade USA, UM AG U.S. bathes and bats n the
FDIC hated Deposit Program.
The 51K protecton and the amenental protection do
not apply to these was Men 4 they otherwise appear
on you statements The WC protection rd the
explernental protection doe not point aganst changes
n the market ale of you investments (whether as a
revµ of market movement issuer balsevpky
otherwise)
Dividend Reinvertnwe Program (DRIP)
Theta reflected is an average pice. You mar obtain
the actual price from you Fano el Advisor. Only whole
than MO purchased ruder DRIP, weal chores willb.
sold rd the cash al be deposited in yore acorn The
Wand renveslant ace aired by the Mott may
offer hem the fake mice at wah the pansy shires
au sold
Cadvaliew
Ord/ stole urns maybe held in at account. t you are
haled teacake La as a result of a Widen:I parent
a other ir e, the km wit ether sell partial units at
mars et price a accept an anarn determined by s
regzgeted clearing agency, ad credit yew account
Inverlanent objectives
The rwesenert obectivn ad risk profile are swat to
each want and my saybetween you accosts
Please advise the Inn promo ir in wring of any
serf cant change in yos financial siluaton or
revelment comae'. Fa each account WM, you
choose we of the I compering imestment objectives.
• hods* Cana Income. trivestmenn attire the
generation of Wane only.
• Achieve Capital Appreciation Sestrnents Wang
growth of prinoPal rater than the generation of
MOM,.
• Pedro Comboneson of Worm and Casa
Apple< ration Investmems seeking both the gentraian
of ware andgrowth of principal.
Oren. risk words;
• Conservithe. Seeks to mean onkel prate', with
low risk animist Key to the aceowt overall, *veil if
that mere the mow clan not generate significant
CONFIDENTIAL
inane or earn and my rat keep pace with
inflation.
• Moderato. Weep to accept sane ridc to pram' ard
tolerate sane vdathity to seek haler returns
• Aggressive: Wiling to accept high risk to pnncpal ad
tut vOlataity to seek Ws wens over WIC
• Inwatmer2 fiterkry Camara:an: N selected a
portion of the poi Nolo for that want may kickedo
romper strategies, linked liquidity and greater
angst
Statement Phouseholdief
We may consoldate
related account statement with
the same address in the same envelope. e g. because
they hex amen who ale mantain We want
retaliation with other Was at the same address. If
you peter to were irdissolual statements mailed n
Write *owlets's. you may decline llottothokla9 by
cadre yet/ Chinos' Advisor
Friendly mutat name
The Friendly accosts nene if a arranaable 'natant-
chosen by you to assets you withoua recordleepeg
has ro legal effect on your account is not mended to
relied ary strategy. prodxt recorreardation.
imestment objective or reek pale associated wen your
wants. and es not a peombe a Stewards that wales
a any Wanda results, can or will be achieved. All
anemias nave the risk of boa net dig the risk of
loss of the entie investntnt, You can change your
ken* accurst names throughOnline Services a by
contactio you' CI-uncial Atha..
ACOOlalt overview
• vette of soot acoontlaorriolio. Net of assets and
• Amos keludes mare cash balances, atm for
restricted security (eel), and Global Time Deposit,,
unreaked meet to &orbit andcertain assets nit held
by the Pim_ Does rot reale unpnced set-unt
arsels
at the end ot the prior and went st swam prods, or
prate investrilentk waded stock opens and
wreathe nook options
• Gait/ties Ircledes debit baances, canard-rig margin
torn. credit kne, short accant
be
• Cash/money balarxes Total of e s
available
cash balances, plus devout betimes al aff
ted and
waif ikeed banks, andante, market mutual lead
sweep balances, at the
chose
of the llama period
Nonecorrmodity free mat balances in yos accoml ae
not secyeved from other baler.' and the Firm may
use argot lase hat tithe °Minn COtne of its
bathes' Maser f ands are
in
is
payable won your demand.
This total retitled
the current pored <Wing vAn
Lembo information
For cleared Mormatron on the(km's lenkg peaches
and exbsues, tele to yore Client Retilicashati
Agreement a &awe Agwenent and the General
Tense and Conditions. LOS Statement of Credit Practices
available nSsmersertt sod OUrbrores
wow uln 'neve -annadaer..
SDNY_GM 0002 5022
EFTA_00 I 35642
EFTA01277035
I
m
p
o
r
t
a
n
t
informatimi about your statement (Connued)
Your assets
Your Aceerrent downs wanes std other assets hell
n the acepanl a the end of the Statement period You
may ask for delivery of tufty Paid securities at any tire.
You may receive 'Aunties used as loan cotters alter
wing any balaxe on on them. Any securities
franthereed to the Fan ding the staummt pored are
lefed at make value as of the end of the stamen
period
• Cost basis. In determining Vie cost bases of the
securaies nide' in this statement vekte indicated
with the weber - f,' LEK Fannie Services has relied
A informant. Mond from sources other than UBS
Financial Semen, ncluding nannies Iran natter
lima that you may hawponiedto wee Finial
Apace. The Fan does Ad ridnerdently verdy a
guarantee the accuracy
vakliy of any damson
yowl:brit,/ sources other than U3S Financial Servic4.
addition, /Whoa", LBS Fruncal SeenCES gendalV
updates the rdrematim as it is teemed, the few
does rot monk any assurances the the ofaineen
wake -Cost bate and "Urvealced gait love is
accurate as
the date of this statement. As such
please do me rely on this alternation to make
rarchase a sale decisiont foe tat pa-poses a
otherwise. Accounts tranened to the
my
giant new ion only fa the period or
tin they xe
h
the
Morerigor:cal
nicernatica can be Abed by you:MantleAdvisor.
• Unwanted gailaelosses. Vit*n data 6 auplabk,
earned areatized gansflosses art talented for
exliciital sonny lots the transaction data for
notvidaal lots may or may ner ref lett ccrmispons,
changes andce secuity reorganization thews.
Dialed and other renvestment lots not systenaik
pschast lob we each combined to display erne
award lot The • Trade date' colmn paints the
ceginal vansacaon trade dale
• Callable cats
Bonds and preferred stock that
the issuer cats lore-Ay iedemption wit be selected
et
by lot km among al warns of that
issue held
our rume a in nominee name la at
Client,- Call lean Somali", is obtained from third
PAM and its accuracy is not wakened. Other call
leaves may east which could elect weld. complete
noemaicn will be provided upon request
• Price/value Preis displayed for securities and other
peoWas may be higher
Ewer than the price that
you would actually recave in the market
fistsare
<Wined from nee tad party sources wish we
bean to be elan. to we do flOt guarantee tInti
aauracy
- We generally use the cbseg price when available a
he mean of the bid avid ale prices la tested
stones and options a my bid Ines fa OTC
wakes
- Less activey traded searhin maybe priced using a
valuation model a the most recent price we
obtained and may not reflect an actual marked price
a van.
▪ Cenail posit ens may craw warns a price ad
wit show as 'once was not available a we are
unable to cbtan a price Ice a wady.
- Deposes a sec hies denomnated n currencies
other than U S. dons re reflected at the exchange
rate as of the sinemea date.
- For (elan sewn, vadng n non-wilcemry
denomnatont puce red aunty (face cake) may
have been adjusted to facilitate proper valunw
To obtain Anent quotations. when available. contact
you FrancialAcksce
• Private investments and structured podium.
Private nnestment wt.-dots (IN Id sty drat
parteipal in program and real estate inweenent trust
winces) arid strut teed prooLas are generally highly
ithreyd. Chan suuctued proones haw not been
registered with the Wadies and Exchange
Commas:an or Ada. Ay state securities laws. We
prOrdeestrnated values for payee investment
Noshes and structured products for ravine mai
a:nous any Actuary it nee guaranteed
- These values may dale tabstane bad Ircen Ines. a
any. at *kith a peivaw .vase,., d yawn Ce
Structured prOCkad may be Ware or sold aid do
rot nesse* represent the yaw you may recent
upon Ike:dation.
- Wid pry *stains of wake re as tannin
date ad are suppled to UBS Financial Services on a
repute" bass by an independent valuation rims
- issuer, general partner a sponsor estimated vans,
'4 tab are sidaMied to the Fen by the
general prow or sponsor aid may be calculated
based on deferent infamaten from tat used by
that pans to derive their edemated values.
- You can obtain additional nonan regarding
the methodology used to determine the elfin:de of
value and the date of the inkomation that is the
basis la the estimate by contacting your Cranial
Advisor.
- Wad patty estimated vales may be reflected as
• Not arced' in several situations: when an
independent valuation fern has not supplied or
unable to assign a wide, when we Wane awn
Oat a mulerial event has occurred that my calla
prewousy reported value no question, a when a
value would be hyhly speculate+ due to the neve
of the security
- Men neither an aueb general pathier a sponsor
estincled value nit a thed-pny estimated yak* 6
pro died, the van of the security wit bedeferent
from its purchase price.
- • Distbut icns to dale • may include mum of
capital nccme or both.
- *Orgral
represents the real offering
pee pee int and may not reflect )0W cal basis
- Of P and whited RErt SeCtrein are not listed on a
runnel securities exchange, and are gererally
and and then l they can be sold tent price
received may be less tan the per that estimated
value provided n the wean' statement
• It etwitted aunties. Restricted securities genie*
are not wrathy aligble for public sale. 165 Financial
Services uses the market price of the urrestected stock
ol the sate ewer as an imputed rake Ice the
restricted stock foe purposes or the sbaltaient on/y To
the extent the reittrklod won ies are (dyne- for sale.
he value waved may be substantially less tun the
owed value shown.
• Est. resented) income, current yields and rates.
An est Malt of annual n:Cfre is bawd on wrens
dnidend and relent rates, assuming the lenity% will
be held for one yea- from statement date or until
matueity. The estinee is calor a gudelne, accuracy
and continued noon are not guaranteed
- (stoned email name ad cuml yield foe
sedan types of warns could include a rerun of
pre:keelor capes' gaits in which case the esi
income (rd current welo) would be overstated.
- Estimated actual excme arid anent yield and the
actual inn ad yield mete be Ewe oe hylwe
than the Atauted antrits
- An estinate of rebated income (dividend ardor
interest) deeded by the current market
vainaveragr balance 6 based al the last dividend
or newest payment madeby the issuer and
ansiws tie secisinsrderoses will be hell fa or.
yea tom the statement date cured maturity.
Accuracy and conserved yeld are not guaranteed.
• Mitts not held by UBS Financial Services Certain
as:Winn:4 held by the Fim and not witam the
Fin's possession or control. These assets are
divalayed on your slatenent fa neon:national
purposes only. Positions and values presented at
worded by the awry fon UBS Financial Seines is
not respantble for the iternanc and does not
parasite b accuracy These assets are not protected
by Set or to Fills supplementalDK coverage.
• Revenue Ming and maims' compensation.
- h nditko to comminken on sales and 12b-1 sees
received in connection wth the &Beano of mutual
faids to as clients we actor Oct Akin receive
revenue Platy payments Irons dotabuion anla
eines of the rotAust funds that so sell Thew
:noun's we based on two different correcrener
the amain of sales by LB5 of a particula mutual
fund tardy to our dents; and 68 the asset vale of a
particular Mutual fund lanais shires held at the
firm
- We Ad our affiliate also receive retworkey arid
ornnbus processrg fees in consideration foe transfer
agent services that we amide to chi rnieual funds
These fees generally we pad from inwstor assets
the mutual fund and are a fled dolls amount bawd
cn the rumba of ;awls at the brrkerdealer
holing nevi funds of that had family
- h aidinn to CCenril6SkinS received in connection
with the in or detibuton of annuity oweracts and
ire investment Inn tries to as clionts, we ardoe
as al hate receive reverue sharing correensaton
from Mary o1 the meant< companies unckewretty
the annuity Paltrikti, affiliates of the entrance
cecrentes or sponsors ol the met nvennot twos
we darbete.
— h addeco to corernessions received Iron, the
pun:hese std sale of Nee61,ares hrds, we odor cur
If date receive an asset-based revenue sharing
Payment from NentShAti 6stebuxn. A well an
Vicky for technology development, training and
education.
- Our Alleles also receive trading corminos and
other <annealen from mutual funds ad entrance
carearine *tau ceoaticts we distrtuto
CONFIDENTIAL
- We "item <Cenddr6b1C41 from UBS Bank USA, 185
AG Suerdoed Branch and entaff dated barks
throur our oath weep Frogam. this
compensation may be a mouthy per axon fee or
may be a percentage a aierage day deposit
balarxes
Activity
normal:Jo repaying commissions and other throes
incurred el CCer*CtCn with the executionof trades,
inducingoption transactions has been exkided on
onimutions previously funded to you. ed all be
aoudad to soy Decently on reont.
Short soling
ml you at engaged n short selling a wing, you mat
incur a charge doe so certainnaming costs fa the
pan kule• sanity.
Open orders
Regaidng open a • 9bashicanceled* aden that
were not mend by the ninon date, open buy and
set stop orders at waned by the amen of &nook.
argils
on an redwiderds or Penns date unless
ranted otheng/se by you. You ate response,* foe
Aden that me executed Oat town lahn to cancel
"ing open orders.
Privacy
To Ann a copy of as current Client Privacy Whey
please canal you. Financial Athiscr or vet as website
at 'wen ribs enrap4wetrA.-e.
- 185 Financial Services is not a bark. The RMA, Busmen
Services Account BSA and BMA at brokerage
accounts Mich monde access tobarking senates and
products linnet an.ingenreS with affiliated banks
and other tied-party banks, and provides access to
nsioarcd std amity products issued by unaffiliated
tin-party nyrancecompanes through instance
agency 'stardoms of 1165 Financial Sewn Inc.
— rwomen nun), aid annuity deedacts.
— Not FDC insured • No bare guarani... May lose rata
— tMA Pesone Management /wan. Business
Series Account BSA, IRMA and nterationil Resource
Management Account me reentered seine marks of
161 Financial Services H.
— VISA is a registered vacterrurk owned by visa
hweracional Sane Assocatico ad used under
kern. The LOBS visa credi cads and the 1.65 Visa
debt cads are awed by UK Bank USA with
permission from Vas LI S. A Incorporeal All Otte
Yadernarkt registered trademarks, stake mats a-4
registered service maks are of their respective
companies
IRS Ithandel Senior Inc
Rev. 201810
SDNY_GM_00025023
EFTA 00135633
EFTA01277036
4tUBS
U85 Fevincial Services Inc-
Private Wealth Management
299 Park Avenue
26th Floor
New York NY 10171.0002
ANP700477416I 0619 >0 2. 0
Account name: MAX FOUNDATON
Friendly account name: MAX FOUNDATION
Account number.
SS
Your linancial Advisor:
Phone
questions about your statement?
Call your Financial Advisor or the
Resour
accoun
VisItour websIte:
www.ubscomffinancialsemces
Items for your attention
• Help protect yourself from fraud arid
review bank, credit cafe', and brokerage
statements regularly. Also, get your free
credit report annually from
WWW annuakreditrepot tcom
Business Services Account
June 2019
Value of your account
BOSTON MA 02114-3252
on May 31 (91
on lune Z13 (9)
Your assets
978.42
978.73
Your liabilities
0.00
0.00
Value of your account
$978.42
$978.73
Tracking the value of your account
.228 2
Sources of your account growth
during 2019
Value of your account
at year end 2018
$976.91
Your nvestment return
Div.:lendand
interest income
$1.82
Change in
market value
$0.00
Value of your account
1.243 3 -
ra <
978.7
on Jun 28, 2019
1978.73
•
•
•
Dec 2014
Dec 2015
Dec 2016
De< kl 7
Dec 2018
148/2019
lun 2019
SDNY GM 00025024
Member SIPC
ANP70005004774161 NP7000761893 CO001 0619 012796335 Y123661 550 110000
Page 1 of 6
CONFIDENTIAL
EFTA_00 I 35644
EFTA01277037
SUBS
Business Services Account
June 2019
Your account balance sheet
Summary of your assets
Value on
June 28181
Account name:
MAX F0tlNDAT!CN
Friendly account name: MAX FOl NDATION
Account number.
Percentage of
your account
II EMI
A
Cash and money balances
978.73
100.00%
Your current asset allocation
B
Cash alternatives
0.00
0.00%
Total assets
$978.73
100.00°b
Value of your account
$978.73
A
Eye on the markets
Your 'Snoods' Advisor.
Cash and money balances may include
available cash balances. UBS Bank USA deposit
account. UBS FpC Insured Deposit Program Bank
accounts, UBS AG Stamford Branch deposit
account balances and money market mutual fund
sweep balances See the important information
about Jour statement on the last two pages of
this statement for detail about those balances.
Index
Percentage change
lune 2019
Year to date
S&P 500
7.05%
1854%
Russell 3000
7.02%
1931%
MSC I - Europe, Australia & Far East
5.97%
14.49%
Barclays Capital U.S. Aggregate Bond Index
Interest rates on June 28, 2019
.
I
One-month LIBOR: 2.40%
1.26%
6.11%
Awe70005004774i62 WT003261683 00031 06l9 012796335 vi2364si 5301 1gtgpiyGit0002501Itee 2 of 6
CONFIDENTIAL
EFTA_00135645
EFTA01277038
UBS
Business Services Account
S
Change in the value of your account
Account name:
MAX FOUNDATION
friendly account name:MAX FOUNDATION
Account number.
Afile2019 CS)
Year to date (S)
Opening account value
S978.42
3976.91
Dividend and interest income
dosing account value
a31
1.82
$978.73
3978.73
Dividend and interest income earned
For purposes of ttds statement, to tabitty of interest and dmdend income has been determined hem a US
tag reporting perspective. Based upon the residence of the account holder, recount type, or product type,
sonic Interest andior dvidend payments may not be subject to United States (US) ardor Puerto Rico (PR)
Income tares The dent month// stattrnem is not intended to to used and cams be reied upon for tar
mitoses. Clients should fete. to the applictie tax reporting forms they recent from UBS annualy, such as
the Forms 1099 and the Farris 480, for tax reporting information it is the practice of UBS to file the
asidicatle tea reporting forms with the US intend Revenue SernIe and PR Treasury Peoaornent. and
such forms accurately classify dui:lends an:Yer interest as tat eierrpt or tamble irxorne. Plea. consult ycur
inctedual tax Preetarer.
• MN
Cash activity summary
Your N sandal Advisor:
See account activity tha month for dela
BianCeS In your Sweep 00 OAS are trid utec lin the openng and
closing balances vim. FDIC insurance applies to deposits at UBS Bank USA and re banks partici/siting in the
UBS FDIC insured Deposit Progan. R dices not apply to deposits as UBS AG. seardoto Brarch. SIPC
Protection applies to money market sweep find holdings but not bare deposits See Important interrelation
about your statement on the rat two pages cf this document for deals
June 201911)
Year to date (S)
Opening balances
Additions
Dividend and interest income
S978.42
$976.91
0.31
1.82
Total additions
$0.31
$1.82
Net cash flow
Closing balances
$0.31
$1.82
$978.73
$978.73
UBS Bank USA Business Account APY
lune 2019(1)
Year to date IS/
Interest penod May 7 - Jun 6
Taxable interest
0.31
1.57
Opening UBS Bank USA Business balance May 7
Total current year
$0.31
31.57
Closing UBS Bank USA Business balance Jtn 6
Prior year adjustment
0 00
0.25
Number of days in nterest period
Total dividend & interest
$0.31
$1.82
Average daily balance
Interest earned
Annual percentage yield earned
5978.42
1978.73
31
5978.42
50.31
SDNY GM 00025026
0 37%
ANP7C005004774163 NV7003261E83 COCCI 0619 017796335 V123661S5011C00)
Pap 3 of 6
CONFIDENTIAL
EFTA_00 135646
EFTA01277039
SUBS
Business Services Account
lure 2019
Your investment objectives:
Account name:
Friendly account name: •
:
Account number:
.
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
Fnancial Advisor or Branch Manager. YOu Can find a ful description of the altemaove
investment objectives in Important information about your statement at the end of this
document
Your return objective:
Capital appreciation
Your risk profile:
Primary - Moderate
Investment
consderation - None selected
Your account instructions
• The account record was signed by your Financial Advisor and approved by a Principal of the
Firm
• Your account cost basq default closing method is AFO, First In, First Out
Your financial Advisor:
ANP7C005004774l64NPVC026‘883 00001 0619 0l 2796335
CONFIDENTIAL
S50 I IlditlibYGM000250t494 4 cif 6
EFTA_00135647
EFTA01277040
Business Services Account
UBS
km,
Your assets
Account name:
MAX FOUNDATION
Friendly account narne:MAX FOUNDAD0N
Account number.
III Ell II
Some prices, income and current vetoes shorn may Ix epprOniagne. AS a MUM. gains at lOsses ma/ xi
be &weedy refkcied. See Aporzon infosmabOn about your gatemen' a the end of ths dxumem for
more infornakon.
Cash
Cash and money balances
Cash am! morey beiance.s may include avalable cash balances, UBS Bank. USA depost account balances,
UBS FDIC insured Rogan Bank Etaances, UBS AG Stanford Branch deposit account baaxes and money
market moue fund sweep balances.
See the Important information about )our statement at the end of this document for details taut those
balances.
Hddng
Your total assets
Your %sandal Advisor:
SCOTT STAGY miltat vi F faerrict
UBS Bank USA and 81 UBS FDIC insured Progan Bank deport acount tgerKes are insured by the FDIC within
applIcabge Inns, but ale not protected by 9PC. UBS AG Stanford Brant h deposit accourt balances are not insured
by FCC and are not protected by 51K. Money market sweep balances are protected by 9K but are not Insured by
the FDC
°beano beance
Closing Wax!
Prix per share
Average
Duldencl Interest
C.41
on iun I(1)
on tun 28 IS)
on lun 28 CH
rate
period
period
cep amount (5)
978 42
978.73
250.000.00
seven/age of
Cost
atimated
unrealized
Value on Jun ?8 (1)
your account
hairs (S)
annual inCtme (S)
gein or loss (S)
Cash
Cash and money balances
978.73
100.00%
978.73
Total
3978.73
100.00%
$978.73
Account activity this month
For more Information about the pricel value shown tOr reStriCte0 SKUtitleS, see Important Information about
your statement at the enoof this docunent
Date
Adnity
Description
May 31
Cash and money balance
S978.42
lun 7
Interest
LBS BANK USA BUSINESS ACCOUNT AS OF 06l 06/ 19
.31
978.73
VOW'
Ouannly
tame cock
Face Mut
PrIcerValue (3)
Cash
amount (S)
Cash and
money Celance IS)
Jan 28
Closing cash and money balance
$978.73
SDNY GM 00025028
AmP7C005004774169 HP7003761883 0000I C6I9 012796335 Y123661550110000
Page S of 6
CONFIDENTIAL
EFTA_00135648
EFTA01277041
*UBS
Business Services Account
June 2019
Account activity this month contnuedi
Cate
Account name:
MAX FOUNDATION
Friendly account name:IASINIATION
Account number:
Activity
Descrolion
Your Ilaandal Advisor:
Arrount (1)
Money balance *divides
May 31
Balance forward
$971A2
Jun 7
Deposit
U85 BANK USA BUSINESS ACCOUNT AS OF 06/06119
0.31
Jen 26
Closing UBS Bank USA Business Account
The UBS Bank USA Business Account Is your primary %veep colon
sm.n
ANP7000500774166NP7000261883 00001 06l 9 012796335 VI 23661 SSO1t%eic Grit 000250pyie 6 of 6
End of statement for account number El
CONFIDENTIAL
EFTA_00135649
EFTA01277042
Important information abotd,‘our statement
U35 Fnncial Services Inc (the fern of ues Financial
Soreker.3 is a mentor ol all principal seceshy, cornadrty
and cptamsexchargin.
Fnancial StMCPI and LIBS
Barr LISA ar ndrect stbsidaries of LEK AG and
affiliates of LOS Sectstes L1C. the F
Shamal
statement is available upon request. the Ferns execulne
offices se st
1.85 Faexel Srarces hc
1200 Harbor Boulevard
Weehawken, tel 07086
7165 Stat~ retresents the onft official Nand of rxr
LOS F rune's' Services account tilir records, except
otteal la< documents, contanng cornicing data should
nol be seised upon II youbedew then is NI MCC a
anissen plea report it ~drably n writing to the
Branch Manager a the office urvig rat account,
Aehoicp al (gales shown are Mended to be motet.,
statement ribISMOuld not be used for la. pisposes Rely
solny on year .end tax lams, (i e Form 1099, 5498,
10475- Ff<)whenDraPan9Inear tar return The km is
ea:ared by law to repast to he RS sutduble dmdondk
reportable nontaxable dvands and taxable nternt
earned on invites held n you 'yank net pnxeals
• sale transactions, and cost basis onCertain covered
mosnes
Corrwatications with da Firm
• Please repodirm try oral bermancatons n berg
blusterer noun your sitar, irwrucleg your nits
under the Skuntim Invest« Protection Act (SPA)
• If the hark ill munition on the top le of the kern
of this statement is not ugSFnanciai Serwes, LeS
Financial Sena« caries you- account as cbanng
brisker by artangornienl web the indicated infirlutsn
We kdorrnei ycv d this relationsh0 when you
'opened this accost h ths case, you Mds and
secs-rises are located at UBS hundl Services and nal
the iwocarg broker, and you mat mit • a roan
of ay enpr or «Maw lo both firm
• As ~ad
n the aCCOnt arreants, yes moat
notifyusof any errors Or fraud iiwohrig checks
related as saes sultan *Awn 30 days after * was
mailed or made waddle
• Pleased:sect &donna complaints
"
or toll-free at
8,00 A.M. ton.» I, NI
rem's C lent
to
ETMØ throug r
. or in canny to U3S
Nyasa Stones W., Client 07(07
elations Department,
P.O.
Box
766 Union C
NI
• All elieemens shall be deemed corrokiee rd accurate
d not itfrcted to n
days
• For TTY :se
stram codas's-
the LI Cal
• an case of errors cs best ram Mad an electronic
knob transfee (F1).
)(needebit
cad trarnactions. call
or butt to UM
Financial Strikes Ix.,
HIM« NCI, 6th floor,
Weehandet‘ N1 07086, Mtn MASSA defeat.
Cater 'ite as soon as you can, if you thrk you,
statement ce recept is wrona or d you need more
nformalon atican a transit, on the stamen or
recap. Ilse Simi or <id Nun Ns smokable) musi
her from you no later than 60 days dug the Frm
urn you nat lint -statement on which the a« or
problem appeased,
▪ PrOnCityou- nrre rd accost ~bet (4 any>
— Desobe the nor or the wander you re unsure
about. and akin an dory as you can why you
bitten* is an emir a why you need noire
information.
— Proide the doer amount of the suspected ens.
Te Firm a Card Issuer vad Seagate yoke vanpant
and will torten any error paletry For alleged errors
ånnivn9 (WS 06a•debd cad trantact6ro ifa we take
mob than 10 tyg Kiss days to ob this, we will credit
you :most Ice the amount scrilirsk es in error, so that
you wit have the use of the money (bang Mt tint a
takes us to correlate as nedligaen.
Please make all <necks payable to the Fan or the
Inancial nsteutcn ~Wed on the front of his
linemen In addition to regular noun lees. accounts
may be onset to rnantenane bat charges for late
payment for securities purchases and charges for unpaid
amounts n cash accounts. Accounts that re rendered
to other notations may be subject to rb transfer fee.
UBS Swoop Optioos
USS often options for sweepng cash balances to bait
depose aoccums at non-educed baits and affiliated
banks and may mend make] finds (Money feat).
Deposit accon at UPS Bari USA and nonaffiliated
banks partinwn ng n the UM FCC-awed Deposit
Program ae FDIC.soured n accordance win FOK rules
For more rdcmution, please visa WM.., fdo.ripir. Depose
&Croon's al LES AG Stanford Branch and Joes of
MoneyFrank are not and by the MK.
Bar* deposits re not protected by WC Money Fund
than are protected by SIK. See -U8S f newt Seaces
Anotell Prointon' below,
Llecn >our re6uest, balances it the bark deposits mas be
wirckawn, and shares of a Maw Find may be
Iguidned. rid the proceeds retuned to you or your
mutes secant
Fiche, itimation about available sweep options,
a— king emne interest rates and yields. 6 available al
vervisirrnS <oft SMiePyrelcts. from your lancet Advwx
cc by eating 890762.1003
ties Financial Satiate account protection
The Finn is a member of the Searles Investa Protection
Corporation (Stec), which protects securities customers
of es means top to 1.500,0:0 (attain] 1250000 for
darns fe«ads) Enailanatory brochure available ran
repuen a al www son org Te SIIFC asset protection
lines oppy to alt accounts rut you hold in a pinata
capacey.
The Finn, together with tenon affiliates. bat abe
peschased supplemental inwc te. The inanirn.rn
amass* payable to all dighle climb, collectively undies
theprotection is $500 mdban as of Decterber 10, 2016
Stabled to IM policy vadeions ard annalark can at
he Fim is lusher protected for up to 11 9 million in One
eagregato f or all yots accwms held n a prr Kula
opacity. A Id copy of the poky arcing is salable
UPOn reopen.
Writer lilt SIFIC Prothlon nor the supplemental
protection appal: to:
• Cann financial assets controlled by (and «bind n
your account vaunt:rat held away from
Financol
Services For example certain (i) nsurance produns,
ixlWirg siable modes. aid iii) sties of rreeual
finds registered n the arm of the accent holder on
the books of the issuer or transfer agent),
• Investment contacts or medians attests kg,
knald pannenha and private placements) hat re
not registered undir the Securities Act ol 1933;
• Corrsnodities convects (e.g„ foreign exchange and
prase tus metal contracts). cabin; futures contracts
and commodity option contracts. and
• Deposit Ulotrts Incept certificates of deposit) at UBS
Bak USA, MIS AG U S. branches and baits ek the
FDIC vared Deposit Program.
id SIP( protection and the 6.pplemental protector) do
not apiary to thew anon own d they otherwise appear
on >nu statements the WC protktion and the
~Instal protection da not pods« against changes
in the market vela of your investments Inekether as a
resist of market movement, issuer bankruptcy a
obtain)
Dividend Roinvertmtint Program (DRIP)
The price reflected b an average price You May °Man
the actual pike lions your Filar.< ral Mina. Or. wink
Mann re purchased under DRIP. paid Man will be
cold and the cash wit be depoted n yoke account The
cf stand remes~ peke supplied byre issuer may
offer from the mark« crKi at Vinal Be partial shires
are sold
Cadrinlieu
Onts whole urns maybe held n you want. If you re
entitled to a lerval ind as a result oe aOrridend p*ment
or cannon the lam wll tither sell partial knits al
madet price a accept an mourn skinned by a
regnered dean, agency. ad credit your rooted
Inverisnene objectives
int nummert obit-dots and net, profile se 'pica to
each account and may vary between you amounts.
Please advise the Fem prOMplbr n wrong of ans
sirlicant change in your financial titration
investment cbroves For each &cove hat you
choose ane of the biseng omcement objeclnes,
• Peodxe Correa Wane Investments swain] the
gmastin of income nay.
• Achieve °Pita: APOrKiatidn: twearrents seek...a
growth of prnopal rarer then the ?mention d
reorme.
• Aocka COMIrnabion «Income and Capital
Apr'« irion• Investments seekingboth the generation
of income and Tomb of principal
Overall risk words;
• Contentat. Seat to mantan total propel, with
low risk and yokel my to the worn overall, even
that means the account don not genera significant
CONFIDENTIAL
an
or rams and may not keep pace with
inflate:in
• Moderate Wang to accept scene rids to prinepal ad
tolerate am viability to seek honer ntums
• Agansne: Wiling to accept high rids to pnncoal rd
hrgn volatlity to seek highreturns over tame.
• Inunteterd &gat,/ Cons•deration: a seleneg a
patio, of the poi Hobo for that account may made
complex arameola tinted Sapidity and gnaw
stalky
Statement shouarholditge
We may consolidate al re'ned account statement with
the sank address in the sank ~eke.. e 0 because
they have tears who afro mental, per, account
retatonshed win other Ores a the sane ad&ess.
you prefer to mew individual statements mailed n
sniamito•nielopot. you may decline Itousehokleg by
calling your Farad Atha*
Friendly «madame
the Frendy account name is a cuacendabb *nrakrume1
chosen by you to assist you with you recceelltopeg
has ro legal effect on yike anon . is not intended to
reflect any strategy, pnxIxt, recommendation.
nsestrnent objective a rek profile associated wen your
accounts. adb not a prom.* a guarantee that wealh,
or any linarKin caulk. can or will be achieved. All
enestasens involve the risk of lost ticloIrg the riskot
loss d the enl e investment. You can change your
Friendly acne neat thrbghOrdne Services or by
contacting sea F natal Adma.
Account overview
• Value of your •woonoporMolo. Net of assets and
liabdeted
• Assets trxlucks wadable ash balances, vans f or
restricted security bst 3 and Global Tent Depart,
urroahnid mads to market, and («tan assets not held
by the F km Does not lake* awed securalassas
al he MO Of he pea and venen statement moods, ce
swab iwestmergs, winded stock options and
~ran
and options
• Liabdides Whoa debit balances, outstanding mason
torn. credit Iv* shoe recent balances.
• Cash/money/minxes. Total of uninvested sealable
cash balances, plus depas bilances at all dieted arid
non-aftdated Dals. and 'may makes maual tand
sweep balances, at the close of the stuemen period
Non-commodity free neck baron in ydu rand a-e
not segregated tran ocher balances and theism may
use any ol these hits in the Ordinary Can 01 its
banns These finds ae payable re:n your demad.
Des total is ncladsd in the anent period closing yak*
Lancing infortnation
For detakd rilarnation a the In's lending practices
rd 'Suburrs, refer to you Client Roblionshn
Agreement cc detour. Antrum and the Gendal
Tema and Coedit-ions CIS'S Statement of Credit Practices
available n Agree., ent$ arot I x to:ore;
al teal ubt 'Dads
.r.
SDNY_GM_00025030
EFTA_00135650
EFTA01277043
I
m
p
o
r
t
a
n
t
informatimi about your statement (continued)
Ye.. assets
Your deterrent knees recoils, red other assets hell
n the account at the end of the Slaternent period. You
may ask for dekvery of hay Paid securities al any tine.
You may recent acuities used as loan cot err alter
psyng any balance cis on them. Airy wanes
franderred to the Firn dying the animmt period are
Ion at mine value or of the end of the strewn
period
• Con basis h clatenmning the cost bases of the
secures mended in this statement where indicated
wit. the number -I,' URS Fiona, Services has relied
on informaikn <bland from sourer. other than UK
Financial Seneca. ncluding Hamel.", Iran amen.
lino or that you may ban iseovned to you Finned
Apace. The Fern does nal indkerdently wady a
"arrow the sonny or vaklity of any damson
hooded by coerces other than O3S Financial Sen•l
h adding ahhough 185 Reveal SemitesgeresralV
osclates this rdamatiw as it us received, the tem
does rot frown any assurances tot the efamatecri
uwler "Cost bate and "Urrealc
gad loss" is
rain as of the date of this st
ed
atement. As suCh.
please do rue rely en this information to nuke
wahine a sale decisions, fa la purposes or
otherwise. Accounts ire-dean to the¢ ins may
reflect gallon Hm ire only fa the period al
tin their. held at the Fin More historical
narration can be adled by you /rancid Advisor.
• Urreented gandlosses. Venn data aulabb,
edmated unaided garnflosses are calculattd for
ningual mutiny lots The transaction data for
nokviSeal lots may or may net reflect ccrnmesseons,
charges awkr secuity reorganization toots.
Dividend and other renvestment lots red sateen k
pathase lob are each combined to display re
lot The • Trade date a:Annwants the
anginal transaclon trade dale.
• Callable securins Bonds and ironed NO* that
the issuer cats la early redemption wit be selected
meanly by lot lam among al darns of that
issue held
our nunt a in nominee maw for Of
<611'05 Call lean. Somali:el a cbtareed tiro third
patios a-d as non is not guarantaed. Other GB
leaves may exist which me Med weld. complete
inemairn sill be worded upon request
• Price/value Prices displayed for securities ad of err
prod is maybe higher or lower thew the price that
you would actually reuse in the market. Rises ate
cteained from grow tad party sources Inch we
below to be en*, tad we do net gnomes this
accuracy
- We generally use the cbsing price when available or
to mean of the bid and ask prices la tested
skink and options a only bid INK'S Ice OTC
washes
- Less actively traded stashes maybe priced using a
valuation model or the most recent price we
obtained and may not reflect an actual market price
a van.
▪ Cenail positOn may gnaw within a price end
wit show as 'awe was not available it we are
enable to cbtan a nice Tor a security.
- Deposes a aunties denomnated n oneness
other than U S. dollars are reflected at the exchange
rate as of the damns. date.
- For (Wan seanbes rang en non-cwt.:mug
denomnatons, woe ad curtly (fate value) may
have been adjusted to facilitate proper valunw
To obtain anent quota:ors. when available. contact
you FnanulAckscr.
• Private investment. and structured produces.
Private monkeyed pr<LnItts (r<1.4 r9 drat
PrtiCiOal ion Grogram and real trate iniatment trust
Peonies) and structured prodxts are generally highly
than. Chan stitxltsed WookkIS haw net been
registered with the Securities and &charge
Commission or tads any state securities laws. We
;TOM. estrnated values for (vivre nestrnmi
stakes red strut bred wants for namal kcal
purposes any Masao a not guaranteed
- These values may differ sextant is*/ Iran Ines, it
ary, at which a private
..vase,., d security or
structured prOcaaCt may be Watt a sold and do
rot recesses* represent the van you may recent
tpon Hoiden:on.
- Wird patty *snores of van re as of a certain
date ani are Supplied to UBS Financial Services on a
regular bass by an rdesendea valuation lima
- ken, general pawner a sponsor estimated vans,
'4 alb re su)felied to the F rm by the new
genteel panne- or sponsor aid may be calculated
based on deferent infarnaten from that used by
that parties to derive their estimated values.
- You can obtain addaccul renew regarding
the methodology used to determine the titivate of
value ad the date of the rarmation that is the
basis la the estimate by contacting your Financial
Advisor.
- Rod pity estimated values may be reflected as
• Not priced' in several situations: when an
indepardent valuation ter has not suppled a us
unable to assUu a van, when we become awn
tut a material event has soured that may calla
prewotnfy reported yaks no question, a when a
value would be heghly speculative due to the nature
at the warty
- Men neither an 6Suer, general pa-tiver a sponsor
estimated value nor a thed-orty estimated van is
provded, the van of the watery wit bedifferent
from its 0...rd-useprim
- • Onbut Ulf to dre • may none non of
capital, name or both.
- 'Oruro' unit sae represents the Sal offering
price per wed ad may not felled phi cal basis
- Of P end unlisted REP SeGrein re not Idled co a
national WCUreiel reterge, and re generally
liquid and ewn t they. can be sold the price
wend may be less tan the per Pure estimated
undue podded n the account statement.
• Reiricted securities. Restricted securities paw*
are not <overtly eligble for pubk sale. 165 Financial
Services uses the market pace of tie unrestricted stock
of the sane aver as an imputed vale la the
restricted stock for purposes of red statement only To
tie extent that restricted punier are elgado for sale,
tie value received may be stbstamially less tan the
awed van skew.
• Est. (estimated) income, current yields and rates.
An ed mate of snot n:uvr is bred on Cullent
dbidenl and Wan rates, awning the wirers will
be held for one yea- from statement date or urea
mataity. This estimate is only a gudelne, accuracy
and (ontenued new* are not guaranteed.
- Estrined armed name ad current yield foe
torten bins of securities could noble a return of
prricPal or captal gait ei which case the esi
income (rd current yielo) would be overstated.
- Est/Ivied annual name and anent weld and the
actual income awlyin mete be lows or hater
than the ntrniced awards
- An estimate of vitiated norm Wirderd axicr
interest) deeded by the current market
weld average balance e based an the last diedend
or (-nest payment made by the ides and
nines the searher/daposes will be hell foe caw
year tom the statement date growl maturity.
Accuracy and co tined yob ere not guaranteed
• AMU net held by UBS Fonda Services, CM'S"
as:Ora-end held by the F im and not within the
Fim's possession or control. These assets are
deployed on you statement In ntormational
pawees only. Posterns and values presented re
tenoned by the issuing (em UBS Financial Seem is
not makable for the info-maw and does not
guarantee as accuracy These assets are rot waned
by StIC or to Fills supplemental SIPC coverage.
• Revenue Ming and adckienal eempensation.
- h nolitkn to comerninken an sales and 12b-1 Wes
skewed in connectall with the destriounn of mutual
labs to as dents we rector Oct nine receive
revery. sharing payments from dettbdas antra
silicas of the mutual finds that so sell These
amounts re based cc two different coma:rents: (4
the amaze of sales by IBS of a particular rrutual
find family to our dents; and 60 the asset vale of a
particular Mutual lowil lanai's shies held at the
f
- We ad our affiliate also receive networkNg and
omnibus processrg fees in considerate:el for transfer
agent services that we provide to the nnual funds
These lees generally we pad from nsestor nets n
the Mutual (WA and are a feed dolls arrant based
we the sorbs of noon at the butler-dealer
holing mend fink of that fund family
- h ablecn to CCenril6SPrIS received in connecteon
with the tale a detibuton of annuity contacts and
unit nvestment bust tries to our clients. we aria
ar aft hate receive raven shying compensation
from Mary of the nourance companies unckrwriting
the annuity WeltratS, affiliates of the Nuisance
cetrowes a sporan ol the tab, esestment Posts
we Warne..
- h addow to commissions received from the
pichase and sale of Neroltares fads. we ardor cur
allilute receive at asset-based revenue sharing
payment from NuntSkevet destrbownk as well as
fsa*-. for technology development, training and
education.
- Our aliens also receive trading corminals and
other <anneal on from mutual funds ad nstsente
carparge what* proaticts we divriasle
CONFIDENTIAL
- W. receive <CtripenStrICO lam LEIS Bank USA, 18$
AG Sweden Branch and nonaffiliated bads
thcott our cash sweep pogsm. This
07npenfatiSn may be a ma-thy per account fee or
may be a percentage of swage defy deposit
balarxes
Activity
Information repaying cormmissin and other (herpes
Monad n Cfer*CttOn With the execuon of trades,
includingoption transactions has been excluded on
animations previously f unshed to you. ad mil be
provided to )W prorrotkon repast.
Short selling
II you ate engaged n short sellrg a dusty, you may
incur a charge are to certain borrowing costs fa that
pan bile-security.
Orin orders
Regaidng open a • 9aralitcancelee orders that
were not nand by the sunken date, open buy and
set stop orders re reduced by the stunt of denten.
Or nyhtS on an rodeviderds Cr motels date unless
nsInxted of ensest by you. You are responsble for
ceders that re executed due to yeas failure to cancel
sung *Pen orders.
Privacy
To Wean a copy of as current Client Friary Ndics
pleas. contact you Financial Advisor or vied as nine
al 'wen •thi enrap4wetrAet.
- 185 Financial Services is not a bark. The RMA, Busness
Seines Account BSA and IRMA am brokerage
accounts inn provide access to bariung saxes and
products *mutt asalippiWnIS with affiliated bank
and other thal.paiybags, and provides access to
mace and amity products issued by u-affeliased
thid.party reerance companies through inuance
agency sitaidores of LIES Financial Sans Inc.
— rummers nuance, arid annuity predicts.
— Not FDIC Paired • It bar* guarantee. May kip van
— tMA P.sarce Management Account, Bustlers
Senn Account BSA, IRMA and ntemationel Resouce
Uanagement Aceount are regestered service marks of
MI Financial Seines kx
— visA is a registered sintran owned by visa
hurnaknal Service Association and used wider
license the LOBS Vea code crds rd the Le3S Visa
debt cads are and by UK Bank USA with
permission from vita LI S. A Incorporated All other
vackmarks registered trademarks, sake mans a-4
registered service marks ye of their respective
cormanees
IRS Fiondel Snakes Inc
Rev. 301610
SDNY_GM_00025031
EFTA_00135651
EFTA01277044
UBS
UBS Financial Services Inc
Private wealth Management
299 Park Avenue
26th Floor
New York NY 10171.0002
04770037133990719
0
Account name: MAX FOUNDATION
Friendly account name: MAX FOUNDATION
Account number:
SS
Your Financial Advisor:
Phone:
Business Services Account
July 2019
52
Questions about your statement?
Value of your account
Call your Anancial Advisor or the
ResourceLine at
on June 28 (1)
on July 31 (9)
account
Your assets
978.73
979.04
%Stour website:
Your liabilities
0.00
0.00
www.ubSOOrnItinanCiakerviCeS
Items for your attention
• Help protect ycastell hour (soul and
review bank, credit card, and brokerage
statements regularly. Also, get your free
credit report annually from
www.annuakreditreport.com.
Value of your account
$978.73
$979.04
Tracking the value of your account
Sources of your account growth
during 2019
Value of your account
at year end 2018
$976.91
Your nvestment return
7,238.7
Dividend and
interest income
$2.13
5,2382
Change in
market value
90.00
8238.2
Value of your account
on Jul 31.2019
$97904
1,243.3 -
9761
978.7
979.0
•
•
•
Dec 2014
Dec 1015
Dec k16
Dec 7017
Dec kw
Jun 1019
1J 2019
SDNY GM 00025032
Mombor SIPC
ANP700020C0713399 NP70000652 57 00001 0719 000:00000
50000000
Page 1 of 6
CONFIDENTIAL
EFIA_00135652
EFTA01277045
SUBS
Business Services Account
July 2019
Your account balance sheet
Summary of your assets
Value on
July 31 (1)
Percentage of
your account
A
Cash and money balances
979.04
100 00%
B
Cash alternatives
0.00
000%
C
Equities
0.00
0 00%
D
Fixed income
ace
0 00%
E
Non-traditional
0.00
000%
F
Commodities
0.00
000%
G
Other
0.00
000%
Total assets
Value of your account
3979.04
$979.04
100.00%
Account name:
Friendly account name: /L.:. •
Account number:
• —I
Your current asset allocation
A
Eye on the markets
Index
Your A nand) Advisor-
• Cash and money balances may include
available cash balances. VEIS Bank USA deposit
account, ties MC insured Deposit Program Bank
accounts. VBS AG Stamford Branch deposit
account balances and money market mutual fund
sweep balances. See the Important info:maven
about ;our statement on the last two pages of
this statement for detaks about those balances.
S&P 500
Russell 3000
MSC I - Europe, Australia & Far East
Barclays Capital U.S. Aggregate Bond Index
Interest rates on July 31, 2019
3-month Treasury bills: 2.07%
One-month LIBOR: 2.22%
Percentage change
July 2019
Year to date
1.44%
20.24%
1.49%
20.48%
-1.26%
13.05%
0.22%
6.35%
ANF10002000713390NMC0065257 C0C0I 0719 C0C03C0001(123661SS0COMYGM000250Pdelge 2 of 6
CONFIDENTIAL
EFTA_00135653
EFTA01277046
SUBS
Business Services Account
Change in the value of your account
Account name:
MAX FOUNDATION
Friendly account name:MAX FOUNDATION
Account number.
July 2019(3)
Year to date (1)
Opening account value
$978.73
3976.91
Dividend aid interest income
dosing account value
0.31
2.13
$979.04
3979.04
Dividend and interest income earned
For purposes of tits statement, ta•abilty of Interest and dnidend income has been determined from a US
la reparting perspective. Based upon the residence of the account hordes, account typo. OT product type,
some Interest ardor *Mend payments may not be sulhert to united States (UA ardor Porno Rico (PR)
income tares. The (lent monthly staternem is nee intended to be used and camol be feted upon for ta
purposes. Clients should refer to the applicablelax reporting fours they receive from UBS amuily, such as
the Forms 1099 and the Fans 493, for tac reporting information n is the practice of UBS to file the
420C8bit vac reporting roans •Nith the US Interni Revenue Senate and PR Treasury Department. and in
such farm accurately nasty dondends ardor Interest a tax *mem or twat ae incane. Pleat consult your
in&Adual tax oreoarer.
• MIMI
Cash activity summary
Your 14 vandal Advisor:
See account activity ans (AGNES) for details Balances in your Sweep options are Indudedin the openng and
closing balances visa FDIC insurance sprats to deposits at UBS Bank USA and el banks paakipating in the
UBS FDIC Insured Deposit Proven, 4 des not 43cty to deposits at UBS AG, Stanford &arch. SIPC
protection applies to money menet sweep fund headings but rot bank deposits See Important information
about your statemer4 an the last two pages .1 this document for details.
July 2019 (S)
Year to date (S)
Opening balances
$978.73
$976.91
Additions
Dividend aid interest income
0.31
2.13
Total additions
$0.31
$2.13
Net cash flow
$0.31
$2.13
Closing balances
S979.04
3979.04
UBS Bank USA Business Account APY
July 2019(S1
Year 10 date If)
Interest period .kin 7 - Jul 7
Taxable interest
0.31
1.88
Opening UBS Bank USA Business balance Jun 7
Total current year
$0.31
Stag
Closing UBS Bank USA Business balance Jul 7
Prior year adjustment
0 00
0.25
Number of days in irderest period
Total dividend & interest
$0.31
$2.13
Average daily balance
Interest earned
Annual percentage yield earned
$978.73
$979.04
31
$978.73
$0.31
SDNY GM 00025034
0.37%
Aeir7C0020C071gg91 NP7003065257 00031 0719 000000000 Y12366155000000)
CONFIDENTIAL
Pegs 3 of 6
EFTA_00135654
EFTA01277047
4tUBS
Business Services Account
July 2019
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
Fnancial Advisor or Branch Manager. Youcan find a ful description of the altemanve
investment objectives in Important information about your statement at the end of this
document
Account name:
Friendly account name: —
.
',-
Account number.
•
Your return objective:
Capita! application
Your risk profile:
Primary - Moderate
Investment eligibility consderatfon - None selected
Your account instructions
• Your account cost basis default closing method is FIFO, First in, First Out
Your financial Advisor.
SCOTT STACK MAUI YI F CACl/IR
ANP70002000713392 NP7000065257 C0C0I 0719 000000000
CONFIDENTIAL
5500:4IfitlfilYGM000250tge 4 of
EFTA 00135655
EFTA01277048
*UBS
Business Services Account
July 2019
Your assets
Account name:
MAX FOUNDATION
Friendly account name:MAX FOUNDATION
Account number.
I
MI
Some pnces, income and current values Shown may be Epproximene. AS a tests. gam and lOsses
001
be econalely reflected. See Amami infonertaten Snout your statement a the end of the dxurnent for
more infornmon.
Cash
Cash and money balances
Cash and money balances may indule avalable cash balances, UBS Bank USA depost account balances,
UBS F DK insured Rogan Bail: Balances. UBS AG Stanford Branch deposit account balances and rroney
market minus fund sweep balances.
see the important information about )Cur statement a the end of this document for deur*, about those
balances.
kfddng
LeS BANK USA BUS ACCT
Your total assets
°dermaMance
Closing baerxe
co kJ (1)
on int 31 (s)
978.73
979.04
Value on Itt 31 IS)
Your Handal Advisor
UBS Balk USA and al UBS FDIC Insured Pavan Balk deposit aCOunt tdaXes are insured by the FDIC wllhin
applicabae lints, but are not protected by 51K. UBS AG Stanford Blanc hdeprat account balances me not insured
by FDIC and am not pretested by 51K. money market sweep tames are protected by SIPC but at not Insured by
the FDIC
Nice Per Shag
Average
Dnidend Interest
Dais en
on Jul 31 (1)
rate
period
period
Cep anount (1)
250,000.00
Percentage of
Cost
Estimated
Unrealized
yOur account
COLS (SI
annual inC011e (51
can or loss (5)
Cash
Cash and money balances
979.04
100.00%
979.04
Total
5979.04
100.00%
$979.04
Account activity this month
For more information about the pried value shown for restricted stenches, see Important information about
your statement at the endof this cbcurient
Your
Quantit)/
Date
Adinty
Description
exPenk COde
Face vat*
inn 28
Cash and money balance
807833
Jul .5
PrIceiValue (5)
Cash
amount (5)
Cash and
rroney balance (I)
Interest
L8S BANK USA BUSINESS ACCOUNT AS OF 0710919
.31
979.04
Jul 31
Closing cash and money balance
$979.04
SONY GM 00025036
ANP70003000713393NP7003065257 00031 0719 000030000 Y123661550000000
Page S of 6
CONFIDENTIAL
EFTA_00135656
EFTA01277049
SUBS
Business Services Account
Account activity this month rcontnuedi
One
Money balance ectivities
hn 28
Bateau forward
$978.73
Actmty
Account name:
MAX FOUNDATION
Friendly account name:MAX FOUNDATION
Account number:
.
Your 14 nanciel Advisor.
Descriptcn
Amount {S)
Jul 8
Deposit
UBS BOO: USA BUSINESS ACCOUNT AS OF 07/05/19
Oil
h131
Closing U.S Bank USA Business Account
The UBS earn USA Bun nes, Account is your onmary sweep option
$979.04
ANP7C001000713394 N1q000065257 COCCI OM 00C0X000Y12366ISSOOOMIW_GM_00025Cafr 6 of 6
End of statement for account number. -I
CONFIDENTIAL
EFTA_00135657
EFTA01277050
Important information about your statement
LOS Financial Services Irx. (the Firma UM Fins-cite
Semiw.), is a mentor of all principal peaky, commodity
and options exchrgits. UOS Fnoncial Unica ardtSS
Bark USA re ndrect sits:diaries of UK AG and
affiliates of LOS Seciakies RC. The F Meslinaroial
Statement is available upon request. The Fin eintive
offices re
185 Finrcel Services M.
1200 Harbor Boulevard
Weehawken, m 07006
This Statement rePosents the only official record of yes
1.65 Frontal Services Nowt. Other recce& except
official to dcourients. contanng ceriliarg data should
nit be relied upon II youNine thee is an ma a
C•116POn please report n irtnettably in writing to the
Brandn Manager of the office wvig you acmurn.
Although algae. shown re mended to be accurate,
statement delashould not be used for tar porpoises PM
solely on ye:own la( forms,
. Fonn 1099. 549,1
1042$. etc 3when pregamg your tax return. The Fem 6
gond by Lew to report to tie RS &bauble Winans,
reportable noretavable &ands and taxable interest
end on sauities held thysv annt, net proceeds
on sale transactions. rd cost basis Gaon:wowed
wurtied
Cenwitaikations with the Firm
• Please retrain" any oral cartrunkatken in sing
tofurther protect your rights. iroluirg your rites
voter the Smarties Investor Protection Act (WA)
• If the tinaxisl institution on the top left of the frail
a this StateMenl is not LES Fnanciel Services, LOS
Financial Senn conies yaw Ikttalt
as clearing
broker by arrangement wain the nokated institution
we snored you cd this retalionshb when you
opened this accare. h this raw yaw krds aid
sect-ries at located a LOS f natal Servos and rot
the Onto:nobroker, and you meet make a neFun
d ary error or anion to both Inns
• AS desalted th the account agreements, you must
notifyusof anytiros or fraud irwohirg checks
refined on your statement with 30 days after a was
mailed a male
• Pleasediva customer aronlines or '
Finn's< lent
h
at
orlon-frees
13:00 A.M. to 600 Flit
ET Moxlay throug r
or in mein) (0 (85
Fiuncial Sown Ix., Client Reltions Dewar',
PP. Box 766 union City, NI 07067
• All patents toll be deemed complete and acosse
Inototgectdton
days
• For TTY se
or from outwit
no US: Cal
• incase of errors a &min Awn on electronic
hrich transfer (FM
'
eal' debit
cad trarnachorts. cau
or write to UB$
Pronto' Strikes ix.,
Hansa Ind, 6th floor,
Weehmaen. au 07096, Allis RMMISA Sawa.
Cal a write as soon as you can, if you tilt your
statement a recece is wing or if you need Ma
niCentatCn tout a tinter on the slatemmt or
reap. The Inn or Card bow (as appacable) must
her fromyouno later thy. 60 days after the Fern
two you t e fat st aliment on which the error or
Problem Snood.
- Pro:newer rant and accost nterter 0 arty)
— Desoto the error or the transfer you are unSUN
about, and replan as chary as you can shy Wu
believe a is mem:tawny you need more
thormalion.
— Proone the dela* arnxent of the suspected era.
The Finn a Card kw.r mill investigate your anglaise
and :WI correct smelter proiroptfi. For alleged error,
rnO/ung UBS thsafidebil cad transaakm t ay take
more than 10 business days to do this, we will credit
you scam la the amount you thnk sin error, Valhi
you we have the use a the money durng toe tine a
team in to complete as Meet:potion.
Please make all checks payable to the Fern or to
financial VISteuticn notated on the front of this
staserrent In addition to mauls secant lees. acowts
rue/ be Mina to rointenarce fen, charges for hole
payment for securities purchases and charges kr unpaid
amyarts n cash accounts. Accounts that are therolared
to other elStalulan may be subject to a onto fee.
UBS Sweep Options
LOS offen option for %wept-opcash balances to bat
depose accounts at non-/Milted barks and allikated
banks and money market nasal hats (Money Funds).
Dogma awards at UPS Sri USA and non•atf Halted
barks pankipaing in the UM FPC-nsurod Deposit
Program are FDIC insured n accada-ke web FDK rules
For more &nation, please visa AVM, fcbc.9”. Depose
accounts al LDS AG Stardad Braish and thorn of
MoneyFinds are no inured by the FDIC.
Bark deposits are not protected by SOC. Money Fond
shares are protected by SOC. Set 'LOS f rum& Sabots
AcCOunt PeCenton' below.
DWI oat request, balances in the bare deposits mar be
WandraWnl and shares of a Money had maybe
toned. and the proceeds retuned to you eerie
Inas
accord.
Funher Yeoman:en about available sweep options,
roldrg turn irterest rates and yields, 6 nibble al
joyownceeryweeeprods, Iron your Franco' Advisor
or by paling 8007621000.
UBS Financial Services account protection
The Finn is a member of tee Seardies Mester Protection
Corporation (MPG), which protects parities customers
of Es marten to to $500,000
1250,000 for
daims for cash). eaplanatay brochure arakabba taw,
egard a al sway. Moe org. The SIPC asset protection
lines apply to all accounts that you hold in a pancake
capary.
the Finn together with unit affiliates. his to
Prchosed supplemental karma. The manna/it
amount payable to all &gbh &lents. collectively under
thisprotection is SSOO motion as of December 10, 2016.
Salsa to the policy candtkre arid anklets'w Cosh at
the Fins is hither protected for up to 11.9 mikn in the
aggregate for ali your wares held n a particular
capacity. A I dl copy of the poky exedrg is available
silo. request.
Nether the SIPC Draticloon nor the stvpaemerOal
protection app./ to:
• Certain finial assets controlled by (ad nciadol n
your *won vas) but held away Iran UBS Financial
Services. For bonnie certain (0 inurarxe aborts.
ndladinct era* amuities. and (iD toes of mama
funds registered n the nine of the account holder on
the books of the Muer or transfer art),
• twestment <ordeals ce :vestment interests fel,
limned pannenhts andwhat placements) tun are
riot registered under the Seorities Act of 1933;
• Cormoditits contracts (e.g., foreign exchange and
moonmetal centrals), exkodng Mitt" contacts
and conmodiN option contract,; and
• Deposit accesses (except cited Ocoee. of &posit) at
Bat USA, UM AG U.S. braxhes and bolos th the
FDIC insured Deposit Program.
The 51K OrOtnlon and the xeraernental protection do
not apply to these on own 4 they otherwise tipper
on Ka statements The WC protection rd the
poplemental protection der not prolett aganst charges
n the market non of your investments (Mother as a
sectµ of market movement. issuer brforupky
other:Me)
Dividend Reinvewenn Program (DRIP)
Roma reflected is an average ponce Mums/obtain
the &tut ace from yo.s Fnancial Advisor. Only ranole
Oven we purchased under DRIP, partial themes wilibe
sold and the cash wit be deposited in yOur Mount The
*Mend remotion, pxe %oohed by the issuer may
offer from the market Price at rinoh thepartial shares
re sold
Cadvinilieu
Ong stole urns maybe held n your account. If you are
entitled to a pantµ unit as •result of a dividend payrrant
a otheowne, the Firm ell ether sell partial net at
made price a accept en adorn determined by a
mongered (barna agency, ridcredit you- accara
Inyerlanone objectives
The rwntmert objectives and risk profile are 'pant to
each account and may saybetween yes wont
Please advise the Fier promo fi in writing of any
igen Kant change in yew financial situation et
•iveurrent obsidian. Fir each move hell you
choose anew the fob:ono imestnent objectives'
• Prods* Current Income investments wain the
generation of income only.
• Achieve Capita tAppnciarion kwestrnents Peeking
growth of athwart*/ than the generation of
MOM,.
• flotsam Combruson of Mon and Opal
Appreciation. Investments seeking both the generation
of Mon* an growth of principal.
Overall risk groan
• Conserv/6W Seeks to rennin maul prixpal, nth
low ink grid volts My to the account &teak own if
that mess the mount does not roam significant
CONFIDENTIAL
income or returns and my riot keep pace with
inflothefi
• Moderato. saileng to accept some riQ to pincoal ard
tolerate sane edgily to seek higner returns
• Aggress A.! Wiling to accept high risk to poincoal axl
hgn vOlablity to seek high returns over time.
• Imtenter2 figsaiirty Cow:lent:on: I selected a
portion a the por Nolo fa that at court mg inckide
compim prates, listed liquidity rd creator
Statement lthusehoklar
We may consolidate al rutted account statement with
the sane address in the same envelope. e 9. because
they haw wirers who also maintain joist account
rations/vs vet other clients at the sane adIress
you Prefer to mere irdinclual statements mailed n
separate erml0044. you may decline llotaahoklen by
calling you Financial Advisor
Friendly moan name
The Friendly account name is a want*
filar
:erne'
chosen by you to assist you withiyas recordleeprg b
has ro legal effect on your account is nos mended to
reflect alw strategy, prodxt recommendation.
ini.thoo.nt objectne
profile associated wth your
accounts. and is not • promise or parents that *oath
or any financial results. can or will be achieved. All
irnestrnents insane the risk of km, induding the risk of
loss of the tootle ilbreStMellt. You canthinge your
Friendly wan names through Online Stenos a by
contacting you, F :uncial Admits.
AO:0On overview
• Vette of 'Our acoontportforro. Net of assets and
eF
•
as
Includes available cash balances, values for
restricted se:girth' Ost
and Global Tina Deposits,
unnamed mats to mshit. and cenah asset, nit held
by the Fim. Does not rob* unpriced securtlnlasiels
al the end of the prior an arrent statement periods, or
private Menem; *noted stock axiom and
mercirobko stook options
• Pall*
lax odes debt Waxes, outstonding nwgin
loam. coed/Ines short accost batmen.
• Cashlotoney &awes Taal of tali-nested available
cash balances, plus depose balances at affiliated and
nide iksted barns, indexing market mutual find
snoop balances, at the cote of the statement period
Nonicorrmodity fret molt balances in you" accord re
net se
gxed from ocher balaxes an the Firm may
use
roof
these funds n the ordwury came de as
baners. Dew funds are payable Lyon your demand.
Mrs total is ixteded in the (wont period <Wing vibe
Lending information
For detailed Mormation on the Ian's henna practices
rod decbsuies. refer to you. Client Retilicashi,
Agreement a Acton Agreement and the General
Terns and Conditions. LOS Statement of Credit Practices
wattle n Argo:ere" and 0rtkosures
el reale' SnMai .•• r
In.
SDNY_GM_00025038
EFTA_00135658
EFTA01277051
Important inforniatimi about your statement (comiimed)
Your assets
Your statement Moues writes and other assets hell
n the account at the end of the Slaterrent period You
may ask for delivery of fufte Paid securities al avy
You may receive sorties used as loan co/Loterr alter
paylig any Wince am on them. Any women
tranderred to to Trm cling the suremmt pond are
Wed at make value at of the end of the state/wit
period
• Cost basis. h detennning the cost basso of the
secreet exided n this statement MAIOrc indicated
will the nuniow
tel-SFearcial Services Nas relied
on information obtained from sources other than Ul35
Fearer' Services. reltding infamation from another
her
or that you may K not;a
ided 10
F narctal
Apeisor. The Firm does
adependently arty a
guarantee tee aaVaCy or vaklily
any is f amation
von:POPy sown other than U3S Financial Streqo
addlice, althougen U3SFruncial SeenCeS generally
updates the Hamster, as t is recessed, the fen
does not prow* any anwarces that the reamaten
tender 'Cost burs-
burs- and `traealCed gash lei,' n
activate as oe the date of this statement. As such.
please do net rely on this Hermitian to make
et/chase of sale decisions. la tap:poses a
otherwise. Accounts tramemed to the an may
reflect girelow
artution only lice the period ea
tire theyre heed
H
a the Fan More Knot:cal
MaCentabeak can be added by your Marxist Advisor.
• Urreelited gains/losses. *Men data 6 availabff,
est mated rrealiZed 93rna0S3e$ are calculated for
ecivirlaal society lots The transaction data for
nividual lots may or may not reflect ccrrmissions.
charges ander *tarty reap-dal on *soots.
Deeded and other renvestment lots and *tonal k
pitchese lots re each combined to display ore
averaged lot 71-e 'Trade date colme pewees the
ongrel transaction trade dale.
• Callable securities Bonds and preferred nod that
the issuer cats la *ark, rederrpton Pail be selected
Mparballr by let Iran among al fortes of that
issue held in ote runw or is nominee Pane foe os
clients- Call feare Hortnaten is obtained Iron third
forties and es accvacy is not guaraMeed. Other call
leaves may me which weed elect weld. complete
Mammon will be provided upon request
• Price/value Prices displayed for securities and other
products mat be higher or lower than the price than
you would actually revere in the market Pokes are
obtained from wren turd partysources whet we
behave to be Habit. ten we do Mt guarantee thee
accuracy
- We generalbruse the thong price when available or
he mean of the bid and ask prices la tested
seesaws and options a only bid peen Ice OTC
washes
- Less actively traded sorbet maybe priced urea a
vabaten model or the most recent poke we
obtained and may not reflect as actual market price
a rake.
▪
positions may appear wither a wine and
will thaw as 'am was not available B we are
triable to cbtan a once la a seemly.
- Deposes a sorties denomnased n tummies
other than U S. doers re reflected at the exchange
rate as of the teemem date.
- For certain women wading 11 non-animist's?
denornriatont, pnce ad miserly (fate value) may
have been adjusted to facilitate proper Huron
To obtain extent quotations. when available. contact
yas F amok)! Acinscr.
• Private investments and structured poducts.
here nwsiment WWI*, (IN
r.9 den
pancipativs orowam and real estate ineltment trust
securities) and strut med precise ate generally high)
ithoud. Conan muttered products haw not been
registered with the Securities and &charge
Commien or wider any state securees laws. We
pew& evirnated values for write investment
soviets and struct wed products for Hormel ger
Ferrous only Aurae a nu guaranteed
- Thew values may differ sebstant ray Iron peon it
at which a private entire d Wu* or
structured product may be Wirt a sold ad do
rot necessarily foresee the value you may recem
race liquidation.
- Third poly SIST4695 of vain are at et a actin
date ad are supplied to URS Fere ref Services on a
regular base by an rdeperdert valuation limn.
- Knee generale/into a sponsor estimated vales,
d any, re Paled to the Fen by the issuer,
general partner or spans and may be calculated
based on deferent isfamaten from tat used by
that panes to derive thee Minuted values.
— You can obtain additional Hem men regarding
the methodology used to determine the ellimete
value and the date of the Hermaticn that is the
basis la the estimate by contactisp your Financial
Mater.
▪ Tod patty esunated ratan may be reflected as
• Not weed' in Several StatienS: Mtn an
nokperdot valuation Inn has not suppled ce
unable to not a value. when we become awn
that a material event ha6 tarred that may calla
presoudy reposed vas Me question, a when a
value would be highly speculate* due to the nature
el the seturrty
— Wnen neither an alder, general partner or sponsor
&stewed value Mr a thed-porty estimated teas e
weeded, the was of the stony will be deferent
from its pertune prior
- • °Rebut MS to dale • May Ilia neon of
capital, none or both.
-
Orson* wet uze• represents the Mot offering
wee pm inn and may not reflect y0✓ cost basis
- Of P and whited RE* seettein re not listed en a
national securein estrange and re generally
anted and even a They can be sold the price
rearmed may be less ton the per share estimated
value pervaded n the account statement.
• Resiriaed securities Restricted securities genera"
are not arremly eligble la public sale. 1.85 Financial
Sexes uses the market price of Vie urrestxted stock
of the sane ember as an evaded value Ice the
restaged stock for purposes of rod statement only. To
the extent that restricted seam ies are obgble for sal,
he value reoseved may be sibstantiaty less tan the
awed value stown.
• Est. (estratated) income, current yields and rates.
An eff nue of anneal more us bred on totem
*ridged and imam rain, assuming the senores will
be held for one yea- from statement date or um'
mataity. This este:tote is calf a gudelre, accuracy
and continued none are not guaranteed.
- twinged armed mane and event weld foe
coffin types of invites could include a fern of
pretioal or capeal gains in which case the est
intorne (arid current mg) would be overstated.
- Estimated annual mane rd tweet yield and the
lKtull income and yield regke be lower oe hrjsa
than to eaten* ed amoures
- An estimate of annualdtd income (dirderd axle'
interest) divided by the tweet market
wiled average balance is based on the last dividend
or nicest menvent made by the issuer and
mores he secsereedeposes will bo hell fa one
year from the statement date °rune maturity.
Accuracy and continued mid re not guaranteed.
• Peseta net held by UBS Financial Services. Certain
assets ye nal held by the Tim and not within the
Fen's possession or ccnvol. These assets re
deplayed on yew statement for nt ow:national
purposes only. Positions and values presented re
voided by the issuing fan UBS Financial SOW., is
not respensble for ten Mammon and doe not
guru tee as accvacy These assets are not tweeted
by SVC or refers's supplementel SVC coverage.
• Revenue sharing and maim.* cempensMien.
- In addition to tarreinken an sales and 12b.1 fees
received in connection Path the dtstrtuten of mutual
finds to or dents we anctor err affiliate room
revert* sharing payments from detremas soda
achisas of the mutual funds that so urn Thew
amounts re based ce two different ornocrentsi (3
to amxrc of sales by 185 of a particular mutual
find family to our dents; and 60 to asset vale of a
particular mutual hid lanais then heed at the
(nit
- We and ow *Mike also receive networking and
ornnbus processrg fees in coresiderace for transfer
agent services that eve provide to to rnsual funds
These fees generally are pad from in...rater MOS en
the Tlitue fund and are a freed dolls amont based
on the merger of act-cents at the brnierdealeo
holding msual lvds o1 that fug family
- In addition to commesons received in connection
with the sate a detibutce of anaity contracts end
tub nvestment trust tints to or Monts. we ado
as af hate receive rescue sharing compensation
from many of the courant< companies untkeweng
the annuity tartrate, affiliates of the Nuisance
conwanes or sponsors d the tali, investment Mats
we tharbute
— In addition to commissions received from the
pichase and sale of eleitSlnares hinds, we andor
al I ilute receive an asset-based revenue sharing
payment from NetShives doubters. as well as
ft ern; for technology development, training and
education.
- Our Violates also receive trading coarressees ad
ether centennial from rrutual funds and inswaixe
comparrec meow prodecto we dittrbde
CONFIDENTIAL
- We femme (Colpernbldel IICOIUBS Bak USA, U35
AG Surrdotd Branch and naveff dieted bares
*roar our cash weep Fec5rn 1b 4
compensation may be
per accent fee or
may be a percentage of mirage daly deposit
bearxes
Activity
Information regrdng commissions and other chrges
incurred in correction with the moron of tradoS,
including opticn transactions has been melded an
tartan...ions previously lumehed so you. rid will be
provided to you Pram*/ an Want
Short Sting
If you as engaged n shoes selleg a warty. you may
incur a charge eke to tenon b.:troy/rig costs for that
pan eule- security.
Open orders
Regarding open co goodditcancelee orders that
were not *sowed by the marmot date, opera buy and
tel stop orders re reduced by the amount of dividends
Or NMS on an ester:et-do a emetits date unless
nsinxted atetwase by you. You are response* fa
ciders that re executed die toyer lettere to camel
e.*tng <Oem adore
Privacy
To Mean a copy of rots current Client Macy Nuke,
please contact your Financial Achiscr or
visit
w rodasite
at Awe/ trb orn/r4vmprofro.
- 185 Financial Services is not a barn. The RAW, Business
Sences Account BSA and IRMA re brokerage
accounts Met provide access tobarking services and
Prods!, ihresido 01.1119111W4Soth affiliated Wei
and other thid.paty banks, and provides access to
rmoarca and arm* Products issued by raft bawd
thid.party nue ance <meanie through insvance
agency w0pdares of 1.85 Financial Semen M.
— met-nem nusance and snaky patens
— Not FDC insured • lie bare guarantee/ May lose vat*
- tMA Peso-me Management Accuse. Busyness
Settees Account BSA, IRMA and me national Resource
Manager rent Account re registered some marks of
UK Mono.* Slane; Inc.
— USA is a registered vacetrurk owned by Vasa
Monsional Soso Association awl used under
kens. The 1035 Yea cede crds ard the LeS Visa
debar cads are *seed by UK Bank USA with
permission fern rens U S. A Incorporated All othe
eadtmarkt mimed trademarks, stoke mark, ad
registered unite mucks are of their response
CorripameS
UPS Inancisl Services Inc
Rev. 301810
SDNY GM 0002 5039
EFTA_00 B5659
EFTA01277052
SUBS
lies Fevaxial Services Inc.
Private Wealth Management
299 Park Avenue
26th Floor
New York kW 10171.0002
eNP700368544I 0819 M 0
Account name: MAX FOUNDATION
Friendly account name: MAX FOUNDATION
Account number:
SS
Your Financial Advisor:
Phone:
Questions about your statement?
Call your Financial Advisor or the
Resourcetine at
account
Business Services Account
August 2019
Value of your account
BOSTON MA 02114-3252
On July 31 (5)
on August 30(S)
Your assets
979.04
979.29
VIsItour webs's.:
Your liabilities
0.00
0.00
www.ubsconnfinancialsewices
Items for your attention
• Help protect yourself from fraud and
review bank, credit card, and brokerage
statements regularly. Also, get your free
credit report annually from
veniw.annuakreditrepoctcom.
Value of your account
$979.04
$979.29
Tracking the value of your account
7.238.2
5238.2
9238.2
Sources of your account growth
derive 2019
Value of your account
at year end 2018
5976.9t
Your nvestment return
Dividend and
interest income
52.38
Change in
market vane
50.00
Value of your =court
1,2433 -
975.9
979.0
979.3
on Aug 30. 2019
1979.29
•
Dec 2014
Dec 2015
Ott 2016
Oec20i7
Oec 2018
NI 2019
Aug 2019
SDNY GM 00025040
Member SIPC
ANP700(V002035441 NP7000061938 00001 0819 C00030000
50000000
Page 1 of 6
CONFIDENTIAL
EFTA_00135660
EFTA01277053
*UBS
Business Services Account
August 2019
Your account balance sheet
Summary of your assets
Value on
August 30111
Percentage of
your account
A
Cash and rrxmey balances
979.29
100 00%
B
Cash alternatives
0.00
000%
C
Equities
0.00
0 00%
D
Fixed income
ace
0 00%
E
Non-traditional
0.00
000%
F
Commodities
0.00
000%
G
Other
0.00
000%
Total assets
Value of your account
$979.29
$979.29
100.00%
Account name:
trIA1. PDi.c.11ATICN
Friendly account name: t.4,:
tra eir ATIn‘r
Account number:
• =0
Your current asset allocation
A
Eye on the markets
Index
Percentage change
August 2019
Year to date
S&P 500
-1.61%
1831%
Russell 3000
-2.04%
18.02%
MSC I - Europe, Australia & Far East
-2.58%
10.14%
Barclays Capital U.S. Aggregate Bond Index
2.59%
9.10%
Your K sandal Advisor-
• Cash and money balances may include
available cash balances.
Bank USA deposit
account, UBS FNC Insured Deposit Program Bank
accounts, LAS AG Stamford Branch deposit
account balances and money market mutual fund
sweep balances. See the important information
about your statement on the last two pages of
this statement for deta is about those balances.
Interest rates on August 30, 2019
3-month Treasury bills: 1.91%
One-month LIBOR: 2.09%
AmP70002000685442W0C006193$ C0C0I OBI 9000030000 r12366ISS0COgighyGyug0250,ige 2 of 6
CONFIDENTIAL
EFTA_00135661
EFTA01277054
CBS
Business Services Account
:c
Change in the value of your account
Account name:
MAX FOUNDATION
Friendly account name:MAX FOUNDATION
Account number.
August 2019(S;
Year to date (I)
Opening account value
$979.04
$976.91
Dividend aid interest income
a25
2.38
Closing account value
3579.25
3979.29
Dividend and interest income earned
For purposes of thls statement, tarablity of Interest anti dredend Income has been determined from a US
tar repating perspective. Based upon the residence of the account tickler, =count type, or prcdtet type,
some Interest ardor dvldend payments may not be sublect to United States (UA ardor Puerto Rico (PR)
Income twits The lent monthly paternem is not Intended to be used and camot be teem upon for tar
purposes. Clients should refer to the applicatie tar reposing forms they teethe from Le3S annualy, sub as
the Forms 1099 and the Forms 480, for tar reporting information_ n is the practice of U85 to Ale the
soca* tar reporting forms with the US intend Revert', Service and PR Treasury Departrrent and in
such foam accuratdy daily [Wends and cr Interest as tar eierrpt or taxable wane. Please consult you
IndsIdual tar prepare,.
Cash activity summary
Your II mandril Advisor:
See Account scarify this month for detals Baances In your Sweep Options are Includedin the opening and
elating bdances yaw. FDIC insurance applies to deposits at UBS Bank USA and at banks pankipati nig in the
UBS FDIC insured Deposit Rogan. 4 des not apety to deposits at UBS AG, Stanford Brarch. SIPC
protection applies to money market sweep fund headings but rot bad deposits. See/mace:ant irdorrnatbn
about your steemervt on the last two paces of this document for chills
August 2019 (S)
Year to date (S)
Opening balances
$979.04
$976.91
Additions
Dividend and interest income
0.25
2.38
Total additions
$0.25
52.38
Net cash flow
$0.25
$2.38
Closing balances
$979.29
3979.29
UBS Bank USA Business Account APY
August 20i9(4)
rear to date IS)
Interest period Jul 8 - Aug 6
Taxable interest
0.25
2.13
Opening U8S Bank USA Business balance Jul 8
Total current year
30.25
32.13
Closing UBS Bank USA Business balance Aug 6
Prior year adjustment
0 00
0.25
Number of days in irderest period
Total dividend & interest
$0.25
$2.38
Average daily ba lance
Interest earned
Annual percentage yield earned
$979.04
$979.29
30
$979.04
$0.25
SONY GM 00025042
031%
Atriv7C0020C0O3Se43 NP700306193S 00001 0819 000O30000 Yt 23661%0000000
CONFIDENTIAL
Pegs 3 of 6
EFFA_00135662
EFTA01277055
SUBS
Business Services Account
August 2019
Your investment objectives:
Account name:
MAX FOLINDATION
Friendly account namerMAXC
I II NIAT0N
cc
Aount number:
You have identified the following investment objectives fix this account If you have questions
about these objectives, disagree with them, or wish to change them, please contact your
Fnancial Advisor or Branch Manager. You can find a full description of the altemanve
investment objectives in Important information about your statement at the end of this
document
Your return objective:
Capital appreciation
Your risk profile:
Primary - Moderate
Investment eligibihty consderatron - None selected
Your account instructions
• Your account cost basis default closing method is FIFO, First In, First Out
Your Ilnandul Advisor:
ntiPTC002000695444 NPTOCOPSI 93500001 Coal 9 CO0000000
55000MyGm00025dlyi• 4 of 6
CONFIDENTIAL
EFTA_D0135663
EFTA01277056
*UBS
Business Services Account
August 2C I
Your assets
Account name:
MAX FOUNDATION
Friendly account name:MAX FOUNDATION
Account number.
Some pnces, income and current vaues shorn may Ix approximate. AS a reSal. gam MdlOsses May na
be accurately reflected. Ste important infoimebon about your statement a the end of the &camera la
more information.
Cash
Cash and money balances
Cash and money balances may ind see avalatie cash batmen, U65 Bank. USA depart account Wances,
UBS FDIC Insured Rogan Bank Balances, UBS AG Stanford Branch ceposit account baances and rroney
market mututl fund sweep balances.
See the important information about put statement a the end of this document for detaits about those
balances.
Mddng
Your total assets
Cash
Your Pi nandal Advisor:
UBS Bark USA 396 af UBS FCC Insured PT072•118611k 086091 icCOunt tganas are insured by the FDIC within
appticsise Imts, but are na protected by SIK. U65 AG Stanford Branch depart account balances me not insured
by NYC and se not protected by 51K. Money market sweep batances are protected by SIPC but at rot Insured by
the FDIC
openng algae
ClOsing bdaxt
Price per share
Average
Deddenc7 interest
Days on
on Aug I (I)
on Aug 30 (i)
on Aug 30 d)
rate
period
Penal
Cap amount (5)
979.04
979.29
250.000.00
Percentage of
Cost
Estimated
unfea4ree
value on Aug 30 (S)
your account
bass (S)
annual InCgme (S)
gain or loss (S)
Cash and money balances
97929
100.00%
97929
Total
$979.29
100.00%
$979.29
Account activity this month
For more information about the pikeivalue shown for restricted saunties, see Important information about
your statement * the endof that clocunent
Date
ANuty
Your
Oijantity/
Description
exPenSe Ode
Face Taut
hiceiValue (3)
Cash
amount (S)
Cash and
money baklae (S)
Jul 31
Cash and money balance
$979.04
AUg 7
Interest
L85 BANK USA BUSINESS ACCOUNT AS OF 08r0G19
.25
979.29
Aug 30
Closing cash and money balance
$979.29
SDNY GM 00025044
ANP71:00208003544SNP7003061939 00031 0819 00030000 Y123661550000000
Page S of 6
CONFIDENTIAL
EFTA_00 I 35664
EFTA01277057
UP's
Business Services Account
August 2019
Account activity this month (Contrived
Oate
Money balance ectivites
Jul 31
Balance forward
$979.04
Activity
Account name:
MAX FOUNDATION
Friendly account name:MAX FOUNDATION
Account number:
•
MOO
Your II sandal Advisor:
Descuaticn
Amount (S)
Aug 7
Deposit
U85 BANK USA BUSINESS ACCOUNT AS OF 081ON19
0.25
Aug 30
Closing UBS Bank USA Business Account
The UBS Sant USA Business *mum is your onmary weep option.
$97929
A NP7C0020C0685446 NP700306I 935 C<X0I OBI 9000000000 Y123661150 03WW_GM_0002SCONS9. 6 of 6
End of statement for account number=
CONFIDENTIAL
EFTA_00 I35665
EFTA01277058
important information about \0111' statement
LES Financial Snots Inc (the fern of LES Financial
Servka, k a mentor ol all Principal washy, cornaday
and ants exchanges. 7ØS Financial SithA0.1 and LBS
Barr LISA se ndrect absitaries of 1.95 AG and
affiliates ol 035 Scouts LLC. The Fim's lamat
statement it available upon request. The Finks extort
offices at at
CES fennel Services
1200 Harbor Boulevard
Weehawken. tel 07016
1714 natorm Wants the on,, official wad of yaw
U3S Francis' teruns account. 01h« records, recept
ottcd lav documents, contanng «acing data should
not be retied LfOn II you btleve Owe is n error
~dad°. Pier. report a enneekaly n mitre; to the
Bunch Manager d the office serving tar account.
Aleharin al I gates shown are Mended to be errs"
statement rigs bode' not be used for In pupates Rehr
soleg on yer.end tax lams, (i e , Form 1099.549%
10475. el< ) whenDrePn9IMer tau return The Fim 6
amend by law totem to the RS 31Na:cable dmdends,
reportable ncntable decends and taxable ant
caned on nines held n you ant
net proceeds
sob tranactions. and cost basis onCater cowered
sutrates
Conweasiations with the Finn
• Please reconfirm any oral cormancations
wet efg
JO higher ant your rights, irwtudn your nits
trder the Studies fiesta Protection Act (WA)
• If tefinnal renautian on the top left of the lead
of this statement is not LES f nano Snots, LES
Foruncial Pain caries you account as cheanng
broker by artangement wth the ideated instrlutsn
We :Marred you d this relamonshior vsnen you
opened this account ri Ilas case, you li ds and
sautes are boated at IRS Irmncul Services and nol
the ineonterg broker. and sou mutt mi • a roan
of rip nor a amnion lo both fits
• As darted n the angst a-rennet you must
noldy us of any errors a fraud itwokag checks
reflected an yps statement *akin 30 days after • was
marled or made «mirky
• Pleasedied outeomer oomplan a'
Et coll-free at
800 AM. ton!» P.M.
Frm's
a
ET Monday
opdyt
r
. or in wrsina to U3S
Financial Sernces er, Client Relations Department
P.O. Box 766 Union City, NI 07037
• All SIKentefes shall be deemed carob. and «curiae
Incl abbted to n
days
• For TTY se
etran cuttle
the U6 Cal
• encase of errors a abloom about an electronic
lunch trans'« (D7).
Visa• debit
fadvalmctrons, call
or write to UBS
promo Scads Inc..
Ha
hd, 611, floor,
Weehawken NJ 07026, Attn MAMBSA
Cale trite as soar as you on, if you hik yoke
statement or recept is wrong a 4 Ø need more
~talon about a linter on the statement or
recept Ilse firm or Cad Nun Gs aptable) must
her Trem you no later than 60 days after the Fem
sent you One Int statement on which the ma or
Problem and.
- Peon you- name and accost ouster(! any>
— Desalt the error otte rrister you re unsure
about. and ansin as clearly as you can why you
believe ais an error a why you need more
informanon.
— PrOviia the dolor amount of the suspected «rot
The Finn a Card Issuer wet iwestgate you- candant
and veal correct ny error promptb For alleged erots
molvngUBS ntedelml Card transaction:, if we take
more than 10 bus i'ets days to dy this, we will credit
you accent la the amount you ilia is in error, so that
pa wit Klee the use of the Miley dang he tine n
takes us to carnet as nonlopaticr.
Please titre all Meeks payable to the Fim or the
Innat enteutcn ~red on tie front of Nis
stamem In addition to regtiar arcane fat accounts
nit be 'aged to nuntenorce In charges foe bete
payment for SeCUregS purchases and charges for unpaid
nixes et cash accounts. Accounts that are vanskred
to other nstedions may be subject to J transfer fee.
UBS Sweep Options
UK otters options 101' sweepng cash balances to bat
depose ascents at non-attiloted banks and Milked
banks and money man« mutual hands (Money hat).
Deposit non
at LES Bans USA rid runatlikeeed
banks partkinhg n the UEIS FINCankred Deposit
Program at FDIC rowed n accordance wah FOK rules
For more Cif carnation, please visa AMIN fdc.gov. Depose
accounts at LES AG Stanford Branch and that, of
Money Feuds nee not inward by the FDC.
Bank deposits are not fronded by WC. Morel Fund
sees areprotected by SIK. See 'WS f anal Senta
nokdont riotelen" below.
Urn your recast, balances n the bark depositsmay be
wahtaven, and shank of a Mosry Fund may be
lenuckned. and the proceeds retuned to you a your
secretes noun
Futter inamation about available snip options,
noldng currern unrest rates ard yelds. is available at
ViiWNA.kia<offfsmitryelcis. from your Financul Musa
a by eating 9g0 762.1003
tin Financial Snips ant
protection
The Finn is a member of the Searrlies Investor Protection
Corporation DWG), when protects sec
customers
01 CS menters up to 1600,0:0 Crickaiirg 1250000 for
darns for agn) Ed:armory brochure arailable upon
reosen or al wet nor org The WC asset protection
linaS apply to all accounts bit you hold in a pancubr
Cato:nay.
The Finn, together with cerian affiliates. has abe
Puchased supplemental ineranew Tae manarn
ant
payable to all elighle clients, collectively under
he proation is 1600 mdban as ol December 10, 2016
Subsect to Itpolicy caultions and lindationk cart at
the Fim is lather protected for up to 11 9 maleri in to
Xtgregatof or all yotr %fa" heldet a part culr
capacity. A Id copy of the poky wordarg s bailable
upon request
Nether the SIPC moteclon nor the stOdernental
prot«ton applytot
• Cenan Inoral assets controlled by (and nand n
your account vitro) but ha away from MS Financial
Services For ~reel. (ruin (i) nsurarce, pos,
including variable amen, and (i0 tots of abet
finds registered n the name of the account hold« on
the book, id the iswc or transfer aged),
• Intstment marts or ~Minn :awns kg,
linntd pannenhiss and private placements) hat re
not registered under the Sec rites Act ol 1933;
• Contottees convicts (eg„ foreign exchange and
puk cus roetal contracts). ratan; loses metals
ad commodity win contracts. and
• Deposit .1<lotats (except certificates of depart) at CBS
Brit USA, UBS AG U S. branches and bats n the
FDIC Mured Deposit Program.
The SIP( intention and the mpplemenul protection do
not ands, to these anew own rf they otherwise appear
on you stalieNnt. the WC dreeelliaiel and the
suppinemal protection do not protect against changes
en the market yak* of yam investments (whether as a
revet of mad« movement, stuer bankruptcy a
«heat)
Dividend Reinvestment Program awe)
The price reflected is an average price You may dun
the actual price kW. pa* halt< ili Advisor. Or. vale
that.. re purchased tam DRIP. partial shaken will be
sold and the cash wit be deposited in your accost' The
Clndeni renveslant price applied by the issuer may
caller from the market price at Much the pate.' shale.
are sob
Canis-In
Only whole unts maybe KM in you aCCOtnt. If you are
entitled to a partial urn as J result of adeeded pa ment
• crivenvoe. the I urn yell *dyer sell partial sits at
mad at peke a accept an man determined by a
registered darn, agency. and credit you account
Inverisnem objednres
The ~Urn
obsectnes and nsl, profile at reedit to
each account and may vary between you accounts
Please advise the Fir promptly in tang day
Python change in you financial situation or
nvesuant area
For each accent held you
choose one of the I okoning irntstment CbjKlmtS:
• Prodx• Coffer Income investments seeking the
generation of :mane only
• Achieve CapiralApprKiation: tvesroms seeking
gowth of primegal rater than the ganeration
OCOMe.
• Piocka COMPotorin of Jerome any capital
Appreciation' Investments seekingboth the generation
of ixont and growth of principal
Own. risk 'atilt;
• Camera Seeks to rruntan nasal papal, with
low risk and you fitly to the want mink •wei
that rtans the account dan nol generate signaant
CONFIDENTIAL
an
or tams and by not lap pace with
inflater
• moderate Wang to accept son risk to piricPal and
tolerate ant «talky to seek hitter returns
• Agresti.: Wiling to accept high rot to pnncoal and
high volatility to seek Ingh MUMS over tat
• Inveltment Etgat/ Conacteraticr I knout a
portion of the pot tlolb for that account may aka
complex strateges. nod Skin and gear
wobble,'
Statement Isoutesholdispc
We may consolidate al tad account statement with
the sure address in the Samt envebk e o because
they have owners who afro marten pint account
retationshp wain other nras a the same egress
you prole to rearm individual statements mosled n
«prate *metopes. you may decline hatuttoklivy by
calling yam Financial Achwor
Friendly «court name
ske Fruaty account neme is a cumanorle 'natant'
chosen by you to !did you withyour reco<dtmong lt
has ro legal effect on you account is not intended to
reflect n
strategy, pnrct, retor~
investment objective or risk monk associated was your
accounts. and is not a immix a guarantee that wealth.
or any financialran can or will be achieved. All
investments involve the rik of last includamhe risk ol
loss c< the enl in investment. You can change your
Friendly are nosy through Orine Services or by
contacting your f natal Adma.
Account overvi•w
• Valve of yor accounµronfob. Net al assets and
liabilate&
• Assets Includes available cash balances. van foe
«flagged security (at ), and Global Time Deposits,
urrmind marls to markol, and c«tan awns not held
by the Finn Does not male canned StantilaffetS
at the end 01 the pnor and Coven »lenient prods, or
pane antennas tatted stock options and
corercitado oak options
• Liabilities faldes debit balances, cutetandrog inagn
loam, creek la, short account balanes.
• Caslonsoneynalans Total d uninvested avalabb
cash balances, plus depose balances at affiliated arid
nomaff idled ban,. and mcney makes mutual li d
sweep baba«, at the close of No statement pent
Non-common free crate betakes in yap acorn re
not segregated tram ocher balances rid the Fure may
use any ol these luds in the Ordinary Coin al as
brass These funds re pay kb teli your domed.
Tho total is ncand in the cat tad closing vatro
Lancing Riformation
For dared donation on the lems lending pract CO
and No touts refer to yam Chem Rektionshp
Agreement or rare Agreement and the Georat
Teoms ad Conditions LES Statement of Credit Practices
available n Agreements roc Oirlosuras
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Important information about your statement (Continued)
Your assets
Your statement itemizes recoils, and other assets held
n the accounl al the end of the Statement reread You
may ask for delveny of fully Paid securities al any tire.
You may reuse seopties used as loan co/Lowa alter
wing any balance de on them. Any securities
tranderred to the Frrn ding the stoommt period are
l
ed at market value or of the end of the stamen
period
• Con basis
dekonniro the cost basis of the
secureies ridded is this itaternent, wbtie indicated
wit. the number -I,' LE6 Fluidal Services has relied
on information <Maned from sources other than t
ernr ial Sertices. suluding Humans, born another
In or that you may have voided to your Finical
kleiser. The Finn does AM indepenistly terdy or
guarantee the aCOSaCy or valday c any OM emotion
vended by sources other than U3S Financial Senics
In addlion, alehouses L6S Fnoxial Senoras gerseralk
updates this rdmmatim as it
received. the fan
does not von* cry entrances dna the domain:el
crcler "Coat baler and "Ureealcod give loss" is
activate as of the date of this statement. As such.
please do not rely en this Manution to retake
ruckuses sale decisions fa to pi-poses or
othenvise. Mecums transferred to the Fins may
reflect
a c
Homo kin only Ice the period or
tire they
held at the Fan More bigot:cal
(demotion can be Aided by you* Fnarriel Advisor.
• Urettalked ganselessits. Wren data 6 availabk,
minuted unmated gonsflosses are colculned for
indiviidl storey lots The erasion data for
-rt.:India, lots may or may rice ref Rot ccrrmissions.
charges anokr secuity reogrmal on events.
Diedend and other reovestment lots and systematic
piths«. lots se each ccmbimed to display we
averaged lot 71-e 'Trade date colmn pimento the
ongiel transaction trade dale.
• Callable securities Bonds and premedstock that
the 6Yier cats for eery rederrpton wit be selected
niparbally by lot tram among al scarlet of that
:Sue held in OW rum* or in nonente row for our
clients Call kaki. riformalkn is obtained from third
pities and es away a not guaranteed. Other call
leans may pot which me aff ect peld. complete
information roll be provided upon request
• Price/value Prices displayed for securities and other
products may be highs or lower than the price that
you would actually recse in the market. Prints ap
obeained from ormis Pod party sources which we
behave told elabie, kW we dons gaunter this
accuracy
- We generally use the cbsing price when available or
tie mean of the bid and ask prices ler listed
recision and options a onk bidpekes Ice OTC
wctikes
- Less actively traded secohis maybe priced using a
valuation model or the most recent pile we
obtained and may non reflect an actual market price
a vats
▪ Cenail positions may taper wahine a price and
wit show as 'once was not available awe are
triable to cbtan a price for a wanly.
- Deposes ce stiopties denomnated n offences
other than U S. doers am reflected at the exchange
rate as of the stammere date.
- For cenan seesaw racks; in non-conIcemng
denomnatont once and wooly (face value) may
have been adjusted to facilitate proper vaunt
To obtain orient quotations. when available. contact
you Fruncol Athos.
• Private investment. and structured products.
hivate nwstrnent ward*, (IN
rag these
ParlkiPal an oviseam and real estate inwornent trust
securities) and strut bared precious are generally highly
Chan south/ad ocelots haw not been
roistered with the Socaities and Exchange
Commission or tondo. any state securities laws. We
provdeedrnated values for {siege investment
stokes and structured moods for rdomal crud
purposes only Masao 6 not guaranteed
- Thew vases may differ abstane bay Rom peXes
ay. al which a private' wain, d security a
structured product may be boc4nt or sold and do
not recession& represent the vacs' you may rearm
goon liwidation.
- Third pry *strides of value re as gai a <actin
date aH are supplied to UPS Foxe sal Services on a
repair bass by an rdeperkkrt valuSion lima
- tsWer, general partner or sponsor estmated watts,
if cob we suppled to the Finn by the issuer,
general partner or paws and may be obviated
based on deferent informaten from that used by
that palm to derive thee minuted mites.
— You can obtain additional Herniae's, regarding
the methodology used to determine the estimate of
value ad the dale of the eicrinatiCel that is the
basis la the estimate by contacting your Financial
Adv60r.
- Turd patty estimated eaten may be reflected as
Idol piked' in several leuatienS: Mien an
independent valuation fern has not suppled or is
unable to assist a value, when we became aware
that a maternal event has waned dna my calla
pinion/et reported yoke it question, a semen a
value would be highly speculate. due to the neve
ea the warty
— Wren neither an shier, general partner ce sponsor
estineled value nor a thed-poty estimated mew 6
gionded the vase of the 'essay wit bedifferent
from its potpieprice
- 'Distributers to date' may ricks& When of
capital name or both.
- • °egret IPA size' represents the nitel offering
poke pis tout and may not reflect your cost basis
- DPP Ind unfilled RErt sorties are not listed co a
national securein exchange, and we generally
acted ani even if they can be sold the price
mowed may be less than the per sere estimated
value provided n the septum statement,
• Restricted securities Restricted securities Wren*
are not wreak eligble for pubk sale. LIBS Financial
Services uses the market price of tie urrestixted stock
of the Sarre twat as an inflated value lee the
restricted stook for purposes of the StOfteltat only. To
the extent that restricted von ies are eloble for salt
to value received may be stbstantially less tun the
awed value shown.
• Eat (estimated) interne, current yields and rates.
An est male of ainto! r‘diee n bared on (c.o.,'
dNidend and intOoKI rates, attuning the securities will
be held for one yea- from statement date or until
mataity.IT6 estimate is calf a guideline, accuracy
and continued income are not guaranteed
- Connoted ornwl name zed current yield for
torten types of Securities could riflede a return of
prikPal on captal gains in which case the ese
income (rd current pelo) would be overstated.
- Est/noted arrual axone and current yeld and the
actual income andyield mght be low on hitter
than the esteniked amowts
- An estivate of annualized income (dinderd aockr
interest) divided by the current market
value average balance 6 based on the last divdend
or merest payment made by the issuer and
Points the seoskiesidepoids will be hell foe one
yes from the statement date °curt' maturity.
Accuracy and continued yak, re not guaranteed.
• Meets net held by WS Financial Services Certain
assets ar e not held by the Fins and no wethin the
Fein's possession or control. These assets are
deployed on pots statement IC. nformational
purposes only. Positions and valets presented re
provided by the Muni fim LISS Financial Sows is
not responsble for this iricernaton and awe not
gwrantee IS accuracy These assets au rot ordeoled
by SK or the f Sat supplemental DK coverage.
• Revenue shaeki and adckional compensation.
- In addition to comminken on sales and 12b.1 Nos
received in connection with the distrixdrn of mutual
funds to err dents we ardor our Shame reeve
revert* thee° payments from datitums and cr
advisors of the mutual hods that so sell Dew
amounts re based on two different movements' (4
the snort of sales tyll3S of a particular mutual
had family to our dents; and 60 tie asset vats, of a
poticular mutual fund lernals than held at the
fon
- We and or affiliate also receive networking and
oronbus processing fees in consideration for wander
agent services that we preside to to nuual funds
These fees generally re pad from investor assets n
the mutual fund and are a hied doll. amount based
on the nordwir o/ accounts at the broker-dealer
holding mutual funds of the fund family
- en addition to CCenril6SkinS received in connection
with the sate a datibuton of annuity contracts at
unit nvestmert bust tones to our clients, we ado
as af I hate receive revenue during corrpensaton
from Mary of the nsorance companies unckrwriting
the onnuity <SNAIL affiliates of the Nuisance
cowponies or sprout of the nit nvestment trusts
we &oboe
— In addom to commissions received from the
puthase and sale of NedShares finds, we andor cur
athlete receive an asset-based revenue shaming
Porno* from NentSharee distrbuscos as well as
hider; for technology development training and
education.
— Our athletes also receive trading coimiisoms and
other compensation from mutual funds and entrance
«meanie; Mere waits we chtuttne
CONFIDENTIAL
— We «wee <Cenper6tiliell kern WS Ihrit USA, LDS
AG Surrdold Brooch and newaff hoed bads
Mout, our cash weep poganl. Isis
compensation may be
per account fee or
may be a percentage of average do,/ &posit
toseerxes
Activity
information regadrig commissions and other chages
incurred n correction with the ex:pionof trades,
indiSing option tram-stone has been inclded on
confirmations previously lionished so you ed will be
prodded to )our proudly on request.
Short soling
ll yet .e engaged n shot sang a wordy. puma/
mut a charge doe to certain borrowing costs for the
pan lade-security.
Open orders
Regaidng open co • roblitcancelee aders that
were not evouted by the seamen date, open buy and
tel slop orders ere reduced by the ammo* of Modena;
argots on an exidividerds a oil:tits date unless
nstructect othemise by you. You se response:defer
orders that at executed due to yam failure to cancel
"ing OW ceders.
Privacy
To Aeon a copy of as current Client Privacy Notice,
please cadet you. Fnancial Adds« or viol as website
at >wen gin ensurvivierr,frt.
- 185 Financial Dokes is rot a bark. The RMA, Benne«
Stokes Account BSA and IRMA are brokerage
accounts snhkh provide access to barking senses and
products ihroacji alarigernirritS with affiliated banks
and other ihid.pamy banks and provides access to
minxe and amity Products issued by u-dff had
thitl.porty no:oncecompanies through instance
agency stbsidants of LEES Financial Sewn Inc
— entstmere, inswance, and annuity pred-icts.
— Not FDC insured • No ban guarani... May lose vale
— tMA Pesaro. Management Account Busyness
Servos Secant ESA, IRMA and nteenationil Resource
Management Account are registered sense marks of
LSI Financial Services Inc.
— VKA is a registered vacktirurk owned by Visa
Menai:nal Service Association and used under
license The LOBS Visa credi cods ad the LeS Visa
debt cods are awed by UPS Bank LISA with
permission from visa U S. A Incorporated All oho
vademarks registered trademarks, strike marks and
registered senate nudes are of their respective
cormanies
LES Financial Services Inc
Rev. 701810
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