Case File
efta-efta01257657DOJ Data Set 9OtherDS9 Document EFTA01257657
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Unknown
Source
DOJ Data Set 9
Reference
efta-efta01257657
Pages
6
Persons
0
Integrity
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Text extracted via OCR from the original document. May contain errors from the scanning process.
UBS
Your Knack/ Advisor.
SCOTT STACKMAte LYLE CASRIEL
Phone.
UBS Financial Services no
Foote Wealth Management
299 Park Avenue
26th Floor
New York NY 10171-0032
M260036145771218202 Y1 0
Questions about your statement?
Call your Financial Advisor or the
BMA BesourceUne at 80ORMA-ICOO.
account 029045)72.
Visit our website:
ifnencidizervy.
Your investment objectives:
'fixa hair clentified
nu
nuestment obiectives for this account. if
you have questions about these
ob)ectives, disagree with them, or wish to
change them, please contact your
Fnanoal Achnor or Branch Manager You
can find a ful description of the
alternahre investment objectives n
important information about writ
statement al the end of this document
Your return objective:
Capital appreciation
Your risk profile:
Pnmary Aggressive
Investment eligibility consideration None
selected
Member SIPC
Resource Management Account
December 2018
Account name: MONTPELIER TRUST
Friendly account name: Mort Sedge Fund
Account number
Value of your account
on November 30 (S)
on December 31(d)
Your account instructions
• the account record was sgned by your
Financial Advisor and approved by a
Principal of the Firm
• Your account cost basis defatit closing
method is RFO, First In, First Out.
Your assets
0 00
1,000,000 03
Your liabilities
0.00
000
Value of your account
$0.00
$1,000,000.00
Change in. the value of your account
December 2018(1)
Yea. to date ill
Opening account value
Deposits, including investments
transferred in
$0.00
$0.00
1,000,030 00
1,000,00000
Closing account value
$1,000,000.00
$1,000,000.00
M260001000514577 P261202031273 MOOS 1218 031952383
Pape 17 of 20
SDNY_GM_00324827
EFTA_00197602
EFTA01257657
UBS
Resource Management Account
December 2018
Cash activity summary
Account name:
MONTPEUER TRUST
Friendly account n arm: Mont
e Fund
Account number
Ste account actsaryttuS montnla <Wats &liras in lour 5.N...0000M are esduded in ter opening ants
dosing Waxes due. SDIC insuuenCe itsaieS to OXOSils a UBS Bank USA end al banes pan kioatiev in 0,e
UBS FCC Insured Wait Piogan. a does na aCal tO deposits al ucs AG, eiretersa Branch. SIK
protection ares to money reddiel sweep fund Mang, but ra ban( deposit. See leopeerant Mom/non
!UMW& Steetattif on tne ins, rho pope d
to, COC,r enl tor (Seta
December 2018
Year to (tax a)
Opening balances
Additions
Deposits and other funds credned
$0.00
1,000,000.00
$0.00
1,000,000 00
Tote/ addrtons
S1,000,000.00
$1,000,000.00
Subtraction
kinds withdrawn for investments
bought
-1,000,000.00
-1,000,000.00
Total subtractions
-$1,000,000.00
-S1,000,000.00
Closing balances
$0.00
S0.00
Your ilimeciai Advisor:
SCOTT STACK MAO:LYLE CASA'S!.
Ap260001 03051 4578 P26000O3I 273 0:005 1218 03%952383
Page IS of 20
SDNY_GM_00324828
EFI'A_00197603
EFTA01257658
UBS
Resource Management Account
December 2018
Your assets
Account name:
MONIVEUER TRUST
Friendly account name: Mon' Hedge Fired
Account number:
Some pre,, wone tat:IOmura dues shown may be manmade As a iesaL Terry and ~solo/ not
te sadely reelected See Important ,nlamalna, etoel >our 'Werner,' ce the end ol ths edumert fee
pyre !Mc-rhymer
Non-traditional
enode tout/ fuxh, Hed)eltindi, and Other rervertnent$ are held ia your uErShnamial Seances mc. (URS
Fbdokende accede" the ph:lions Øn4 Woo( went Id ttC
Clint 'Uteri, and UBS FS Con rot
9.318nlee 11* X( Wag Cl the enformatecen The value shown es not necessally the vane you would leCtIW
Item the issuer if youYJd the assets funds activelyØq UBS FS tee seethed to Onside? clue dlegrece.
Athos* the level perfective:I nsay vary. A Bored fund may be :edam to no ongoing cadence. A fund the
you purchased throttle may never have been uteect to UBS PS dluence antecede UBS FS may raw* a
feel:omtle funds manager. Mich erf0yconstltue 0 endkorIty of the numegemenfincenire fee. Flee*
context your financed sumo, with dundons. 'Est due per war is an esters:re of wad sexplied by an
inekoentle el raluadon Tam and tellecb dustrrents foe gelds such as the tawdry of the twits
Hedge funds
PurthaSe Peel
Hunter
Average Once
Hddng
«shares
our Plate ($)
ALPHAKEYS MIUENNX)1.4 FD
I& II U.0 CLASS B
ESCROW
Trade date Dec II, IS
Olen:
enrolment di
Your ~del
Advisor:
SCOTT STACEMAHLVII CASRIEL
Eames« whir suppled by issuers Of («tan prey/errs (‘‘hch are generally 'net stet blue' eamates)
are shown as • wpm sat var.per unn' For PI lai? tenity luna, 'Ell due per smut it a haw ustaxed
(weeny, based on the Net Asset Vat* r NAhr)in the fund as of the dane spwaned. mussed 1,/ 101119
<total cats and Sutf eaUS ng d unwise,' 9nCe the NAV date The hstsv n plenary bksed On estimated
cankho vduet prowled by the underving fund incfilor. These Iwo value: may vary became of afferent
In the way they awe 'unmated end because the • ROO tarty til. due Per Wet' may hart teen pivoted
On the bofn01 bnanoa informaton Other Iron setend Reported estrwts may not reflect kitle,
liquidation Or taper< hest vet, if any, and red not dint cast dui ores cl dud opal the not ~on
is
mocetect week on en annual or serrieannueldnis Seeimportant Normalen about your statement A
the end of this Flernam
Cost
Peke pee 'here
baLS
on Dec 31 (I)
value on
Unedited Pad
Irnenmert HOIONI
Dec 31 (5)
pan floss (5)
Kitten (1)
petted
1.000p:coo
I,000.000 oo
1.000
I,000,000 00
ST
Your total assets
Noe-traditional
Total
$1,0:10,000.00
Value on Dec 31 (1)
Hedge funds
1,000,000.00
Feacemageaf
put X(O1.11
100.00%
100.00%
$1,000,000.00
Cost
tests (s)
1,000,000.00
Eflirnale0
Unrealized
annua insane (SI
one( loss (5)
Account activity this month
Oat
Anibity
Ceunpt on
Amount (5)
Deposits and other fonds audited
Dec 14
Transfer
FM Yl 45170 3100
1.000000, 00
Total deposits and other funds credited
S1.000.000.00
Af2601010005.1eSla Pbat0CO3i 273 CCOOS i2iff03t9S2aa
Page 19 of _Q
SDNY_GM_00324829
EFTA 01)197604
EFTA01257659
SUBS Dec
Resource Management Account
ember 2018
Account name:
friendly account narne• ' I t • •- -
Account number
Account activity this month (continued)
investment transaaions
rot frac pnforintlion abzot tK pixelvalue ShOnn for 0.0rElted si(u WS, see
PPff
nionoatfron ',bout
)our geteftenf at the end of this Oxurent
Date
Acting
Dncipbon
Dec I7
Bough!
Your Pinandal Advisor:
SCOTT STACK MANLYLE CASRIEL
Proceeds (ran
SunCIS
invectrilent
velbOrdwn 1Cr
occntea
Clualfity
V0 (t)
PM1fe (S)
transaavylf (1)
inreStme00 150.01 (S)
InternCS)
ALPHAKEYS NSLLENNLAM ED I & II LLC CLASS B
ESCROW SOUC NED INITIAL
CUSIP 02076X9U8/ SYMBOL MES8MC
1.000.000.0170
1.00
4.000.00000
Total
.S1.00040040
Oat
Minty
Otlaptio,
Amount IS)
Money balance activities
Nov30
Balance (coward
50.00
Dec 17
Deposit
UBS FCC INSURED DEPOSIT PGM
1,000,00000
Dec 18
Withdrawal
UBS FDIC INSURED DEPOSIT PGM AS Cf ur IN 18
.1,000,000 00
Dec 31
Closing UOS FD$C.Insu red Deposit Program
the tilYS coc.lnsu tea Depant swam es sou pnmay Fowl) %OM
APZ600010005145E0 F26000031273 00305 12IB 031952 383
End of statement for account number
S0.00
Page 20 of 20
SDNY_GM_00324830
EFTA_00197605
EFTA01257660
Important information about your statement
LeBS Francis' Sean Mc. (the firma UBS finned
Sonata. e a muted
all anapi seamy, ammo:Sty
and eats exhort
UBS Pramual Samos and LIBS
Bari, USA re redeye wbedrind
UPS A6 rod
if dales of WS Secuties11.0 the Pim% naval
latent
it evadialt tor request therm's enecutroe
°floes re at
IAS inatel Semen he.
1200 Warta Boulevard
Weeharelen N/02COS
IM 11/ 1~
1 r•Cnc.ntc the orii olliftalleCeed of yon
f nostril Sewn account G.M. reccedt. faked
efts a tar clocurerts. e ontring colleted clia shceAd
not be reed Lear F you bele* Owe 6 react a
atop"
please repat a nmedately n twang to the
Bergh Manor of to office omen; sal oxoLet
Atha*
at Nan team, are pleaded lob* accaale.
sleeniert dra aatlnol be Lewd for tae pawn
rely
*Ze
n rtand
lonTik Pe. From 1099. 5498.
I
Pic )Men Frani, you' tae warn The Fun it
mound by taw to sepal tote RS all untie draltra.
reportebt nrtmalak dnidends and !stable Meets
earned on sectented held re sour rant.
net proceeds
as safe transal am. ad ate basis oneatenmuted
tens Wm
Comeniniation with the Finn
• Pease reconfirm ay sal earmanorbons n retro
to ',Fehr pate )sea
lmb-orn9 M ort"
nder the Satatri hyena Prolecten AO a
A/
• II the Petaled nocacn on Me up lea cl te Mare
of Put 0.10atirli 6 rot IBS Feleloal
LBS
MANI Sows cartes your mount at thong
tacky by wore*
will the nekaud neite en
we reformed acted the relleiants0 nhenrea
coined thil await h By cafe. $00 filth ad
wades se localcd r UBS FnenwalSewn and rot
the nod
erg brcto, ad Yccr end mike a feport
of new
a ontston to both Imo
• As devised n the octant xretineao you nut
roidy us of any eras or Irma twang dwelt
reflected on your summed alhn 30 door.
, it rem
MAIO a nude nab*
• Neu dela (Won't! aniplird. a Me**. to the
trn's Clem Malan Depannent at 201.752 • Han
tour.. at B30.35.9103. SI:0AM to 600 PM.
IT Monday 'Nova, Foley, a en war n210 te5
FeunfOIStratl x.. Chat Red ore Deprive.
PO. Bo. 766 Iron Cly. Iii 07081.
• Al statements shall be deemed cornalete sal mane
it not abettedto n awing wthil 60 days
• for TTY services. Cal Illa-612.09bSot from aside
the U.
041201.357.149S
• ha,* of roll a 0..kaaRabOa an eletrorx
firth trier
(Carly bill parent a U85 Vet debit
<ad 'rioter;
cal 804762.1000. of *Melo UBS
f na-eul Sava., P.< ICOO Harbor lithel, 620 floc.
Wishes. en, NI 07086, Ann MASSA Sewn
Cita mile as soon as )(Lion.
sae tat pa
statement a recepl es sword or you need more
nionneten about a tundras the suternere
meg
The fern or Cod basun molcable)moi
her Novaya no lie tunCOdays ri d te rem
tor $ou gv. fee ctaternwt a1 *Arch the Era or
PrOblen1aPPeral
- hoed. yas nano rd accarc nunlye frt any)
- Donate the aro. a be reefer yOu re enure
*Out and hpialxcbrra
you tale*/ PP.
Wave A K ln faint
why )04 need more
throne.
- Pramte tie claw arnart of te panniers,"
The firma Cad bars mil nvestore yaw <emplane
rd toll correct any error prirrotb• For alleged *on
mohvg LCISVeseeckba cad tractons. a weir*
more thr 10 bacons days to da Paa, we all /rode
Axe watt
fee the amen you the* n n mot. up tha
wean hip, the pie of tenancy dorm:trete»
tales 16 10 complete at mrslostoan
Plea make all trees payable to te rem or te
fnancial nntaicn nIcated at Iv Rota d *a
tutement In add/into rogues accore tom accounts
may be 9.bptct toman:mance fees. doges fa late
paymern fa smarten purchases and Margot fa !pail
armors n cash >awls Apppats erix xeranstornd
tootle( nehmen. ml be sulatet TO a err ile tee
IAS Swoop Oplkwas
IRS Often 001.06,1a anePre Ca* Ranh to bark
depose accorm at nen-Ahmed bats rd affixed
tans and money market /Null lirdS (Money ruts).
Depose mutt
at LOS Bari, LISA arelmnah.lreed
bags palticpaehg n the UBS PDC -amend D
Program ater0C-nosal n accordance wehr
i
C rule:
Pot owe riomtron, please me wow 'Stye. °KOK
*cart,
MUDS AG Stridad arch rid tom of
Nasty Fisch re not ivied by the FOC
Bank deposits re not protected by SIPC Monty raid
Mines re protected by SIPC See "WS Inmost Sewers
Saari Freedom below
wen per masa bravo nta bark alum may be
wrharnm, and than of a Navy !aril may be
Igadred rd the proceeds rend
to y3.. Or Des
Vera as aaa.rd
Forte ell:moon tout &datable sweep options.
mckeing <roe interest saes andyields. h asmtable al
wow Ws cansweemekis. from yoke inonolAchiscr
a by eating BCO 762.1000
inentiol Sereion account protection
The fern is a member of tie Sautes nada Praetor
Corporation (SVC). which protects tecurem cuoomen
al as netts
it, to 1500.000 (includeN 1254000 fa
clam for cash) &planetary brochure nobble won
Mue” a in mow sic ape The WC 46/0 'Mahon
lints dopy to if 'morns that you hold n a prixday
<vanity
The fan together with calm *balm, has also
lartrowd supple
ental mare*
The rromn.m
ti c
anal
payable to all Oratee deers. <oleo rob under
206 pt0100,00
1500 mlla1 at of Gnomon 10. 2016
Suppe to ley polci con1I pm and lanteorn. (ea al
the
Pam o Ambit ptoteched foe to
$1 9 ninon in the
arregote fa
Den mauls
she
in a broiler
err ty. A lot <coy of the poky texrdiro es amiable
loon moan.
Weber the SIC premien roe the samplantreal
Coalition apply 10:
• Conn Inanai moan antratied by fed needed n
see P(dell YMMI toe red away Kan Len financul
Salica Foe exarclectelan CO in v.:eye prodxls,
ne.drs, yob* reuses. and liJskurei of mutual
AAA revered mix name of the roan, holder on
the becks of the our a tray
nen),
• mestment cameos a nwsimeat merest, te 9.
tailed cannenheas rd aerie placements) that re
not rog oral under the Sedonte Act of 1931.
• Commocitet<cetracu (eq, Iceman **charge and
pro as metal <CYII Xi* IMILIdn)INIX.I. (reran
and 11111m1417 wti, contra; and
• Depose accounts Praia tertikaas of deposit) r CBS
Bak LISA. UBS AG U S branches and &tent*
KIK Mond Copan Proarn
The SIPC weeder and the appiemenial pronto" do
not apply to these asset ern if they crams< alazeat
on race niernent. The SIPC protection and the
supplemental protection canoe protect agent* changes
the made veto of >as romorneres (shelter es a
mu, al market movement. Mut bank ROW e
othewisel
Dividend Reinvestment Program 03B0)
The V" *blood
en in f er are. You may obtain
the alai ace Iran yaw IeurscalAeasa Only shah
porn me Au thamd unde DRIP. panel 'hen MII be
sold Jedtheca WI be &paned n your acco-nt The
dredged remain
, * Inc woofed by the mucr In n
deer horn the made era alai& te Panel Owe,
re sot,
Cads-Maims
01 / wholeerame/ be MN m yor maul
diva*
*lad
lea panelthe se a resat of a &Mend gement
othemee. the rem MR ether sea panel Intl at
mw/M pace a accept al rail
determased by a
maiend cterma army. ardvede yea accord
Irreaement objectives
The evestrom objectors rdnsk peek are speck to
ear account and may vary tenor yea =Wt.
Nell) i$10. therms preeryibra Wring a ot
cancan change
pa-eland
catcher
ITAiIrTre eblectors For Nthaccount Mkt you
choose ore of Mr foe:map imminent dajeters
• Prance CurrentIncome Inrestmeres seem the
generic. of none airy
• ArAmeCoptiAnawahr nownwits mane
woad) of amp., tatter ten the gemiater
mom
• Probe* Comknamn of Imo.,
to CA>tai
Apprecaatian Inententens seeking bads the generation
of eccme ad comb of principal
°weal riek ;man
• Conimuene Sale tO marten edge tenant mth
bwr4 ad salinity to the accosts metal. men if
that mean the meant dam not generate tardier
roam ce taunt and myna Leep Poe well
.rttir,
• Moderate WON to accept tone nst to ancpal ad
tolerate sane midday,' seek Mier ran
• Apaapve Wilig to accept
r1t
arena"'
hqh robbley ro CMt, her relent owe tent
• framw-tfAganty Canseirran f teaoctod, a
paten of the ocelot, for Me aactrenw rkled•
carpi*. unlapa, Unwed laidmi and Tara
volatlag
Ashmore' housaholdrer
We fily anso-ktrat at retrA0 account itaWnerts mt.
the sone *Stem n the same eenekpe. e.g. because
they he. wenn who abe mentan pee secant
elate...hos a+ other clans al the same erttcos
yam prefer to reeve end aka/ statements nailed n
operate reneopos, pa mar claim hooter:A:IN by
calrg yea inrinalAdma
randy access% name
The friendly Epsom None R alustcateable •ralcrenx•
chasm by yea to mint you will you recordkeepna t
h er no legal elect on ,our accost, es not mended to
reflect any mink
peOlift atOrrakalean.
etsetrient <Pada* a rd: pa.* associated rah par
acme,. and o not a promo> of garlee lea wrath
or any Imolai mutt an a will be xherN. Al
h aprniatt hada IreKt d lac .c L4ng to nit of
loss of the eat nanorint You can change yew
hardy occult nen tea*
are
San as or by
Itnlacteg yoke f nix sal Admor
Accartomerview
• Yates of yore accocorpombit Net a asses re d
• Aspen. hely*, mailable cash
soles foe
'tw ined watt/ (tilted
Gobi To
Depoon
kneeled net
to make and (nun asses not held
by the ;cm Does not netade inked hpuiledmsn
at the add tie poor rd ant
catorrem Fetlock. a
rose emannwes. wonted nod *pions and
mercdabb nod wont
• Walter MLA*a deal exilarat. *inning
nuegn
loam. crodi Int. then roan
balances
• Catemoney baba*: Total of unmoved ratable
<ash talan:m pea. &poor Dints
al aft ilia! and
nrafflood bares. ad moony nada mad fund
seep batman. r te ceased the Armlet peed
Nen-cormsedly het oval balances it your same at
from other babrxes at re fan may
toe ryc1 thew fia t me adnry can ol et
parole Teo fun& xi payable emon your demrd.
Ter total o needed m the ant
prod ckang value.
WAN inferneteen
for dared mammon en the f nWs Irking polices
ad &down
refer to Aar Clore Rabnornhp
Agnomen. a laart
Adyee.Mtell set t*Genteal
Team tad Ca.:tons LBS kateenent of Credit Prectios
wattle nAgreem•nta anclNx busts
al lowiv u4 a mar rn rhirylm,trs
SDNY_GM_00324831
EFIA_00 197606
EFTA01257661
Important information about your statement (COMmued)
Yew .ta
Your natoet (tercet sauna a-ol other ands heb
nth non at the end of dnie sinned pared You
mw ad tor ~calmly pad o.one nay ter*
You may mane l*Cdr..4 used at ban tarn/ ener
Men Ara balance due on them Ary damn
va eend to the f inn dreg the statement pearfae
bled at marlet mbar as ol the end o# the statement
penal
• CatAbolia hdate/morn Pe <Mt ban dew
weven included ri thrs statement. Wore evicrod
weh the mete
WS Fnroul $ervess has no
rif «moan cblaned from somas ouwe Pun WS
f ~out Sine" relalrg Mammon Iran another
Irma thie you may hat paradedto yaw Pared
Alma The Pen does not nd•parekntfy ~Ay a
~Inlet the Ka, acy
vandty
cd
any els rissen
onorded ty sosces other than WS ~al
Savo«.
In addle^ athough LeS anneal Snots general,
tradotto t, nerve cn an o mind the rim
does rot ;row* any nun damn Uhal th Marmite.,
~Cost base rd •Urnalced girlies,' is
accurst* al ot Oro aided Mc summery At ouch.
please ¬ ream hi Santo-, so nuke
penha.« uk &aeons. Ier tar mazes a
ahem* Accounts translated to team may
felled gariloss rdormalen only lot tie panda./
bee they se l'eM at h inn. More historical
Manteca can be added by pas retried aorta.
• Unrealized gaintilinns Wean dames nolabk,
esermyted ineikedgansalosses are </hotted la
nivotul wary lots the Pruden data for
relvolut bb maya wend rolled owenssan
and ads exunty ~fps:renew/mu
Dinah and other reru~
lots a-4 spinet<
path's* bis to each combhd to dany Cr.
aowagad lot Th' Trade date' ocasmn prevents the
epee tremolo, trade date
• Callable securities Bads and a•I•ned dock that
the owe( ails for *eV ~on
ail be selested
~all/ by lot kom rang all stones et that
aka hed now rum, a in nonuse name lot at
dents Cal lease ~toms
obtained kom *ad
pate and as awn rs not paranoid Ot er <al
loans talent why:heal, Ow volt ampler
nionnarcn wit b wonted tan room,
• Prionake Prod thotayed Inflow-hi ridother
aattrit maybe hip« or twee thine» wie "it
)0.1 would iota* den? In tbd market Prat de
obtained from varevs Pod Party %VW, whch at
believe to be Fatah. but we 03 not ~ant Ow
*tong.
- We ~Sy use the thing peke atom mutable a
th mend the bid and aik aks b aged
mamas rd options aak, bidpees Ia OTC
~bin
- Inc xtrak traded wan« nuy be road oen a
valuate n model or ohs moo ran price we
ottaned and may rol *led an actualmarket alto
avid*.
- Cahn coshin may spear without a prise and
wit show as 'tree wand ~lane d we ire
unable to ebb. a boa lOr SeOnty-
- Okaxes a :costa deromnsed in ann.%
other than us. dokm
Cried«, at the ~hang*
rate ad th ;trance date
- For anon »cynics trade, n rancortormny
denannotons, pros rd panty dace saw) nu./
haw been xbasted to f riles* Weber whirler.
To Main corn guano" whin nab*, marl
aar Fnáriewl A<Msor
• Potato invearnante and strand ~duets.
"neat. ~rani wades (relrig deed
IhnItOat an Morn trite./ estate WeStrwl Intl
%coatis) ard gryokred~ts af antral, hap,
dopid Cm n a tx Ludgate hare not been
reactered with the Setae sts and Tsang*
Carmen:nor Led« any :MC ~ref ben We
promde *Wended Mtn for pow% ~gm«
sectreos ard ~red project( fa Meemama
pupate PA. Auktiod 4 net guaranteed
- Thew v.oliës may dill« stbStint" Iron ages.
Wry,
*Nth a prone ~anent Wel a
Itngluttdprodud ma; tatbaste a sobs rid do
not oerway tea mere do vats you mw ramie
tionn Souidamon.
- Bird party intimates d Ma art a, d • «den
he and are sung:~ lo UBS annul Steven on a
digit base by n rdkankee 'nation arm
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Permissen from ha la SA incorporated Mother
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companies
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EFTA_00 197607
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