EFTA Document EFTA01274073

*UBS U85 Emanuel Semites hc 299 Park Avenue 25th Floor New YOrk. NY 10171.0002 CPZ6CO2254939 0214 Y1 0 Resource Management Account February 2014 Your It nandal Advisor. SCOTT STACKMANILYLE CASMEL Phone 212 821-70CCV800-308-3140 Questions about your statement? Account name: GHISLA1NE MAXWELL Friendly account name: indw V49935006 Call your Financial Advisor or the Account number: Y1 23571 55 RMA Resourceline at 800-RMA-1000 account 029023571 1fisitour website: www.ubscomainanciatservices Your investment objectives: You have identified the fdlowing Value of your account Your account in struclio ns • Your account cost basis default closing investment objectives for this account if you have questions about these objectives. disagree with them, or wish to change them, please contact your on January 31(S) on February 28 (5) method is FIFO, First n, First Out Your assets 0 00 1,033.286 11 Your habitues 0 00 0.00 Financial Advisor or Branch Manager. You can hind a full description of the alternative investment obiecoves in Value of your account $0.00 $1,033,286.11 Important information about your statement at the end of this document Your return objective: Current income & capital appreciation Change in the value of your account Your risk profile: February 2014 (1) Year to date (1) Primary - Moderate investment eligibility consderation - None selected Opening account value $0.00 $0.00 Deposits, including investments transferred in 1,031,614 80 1,031,614 SO Change in market statue 1,671 31 1,671 31 Closing account value $1,033,286.11 $1,033,286.11 SDNY GM 00021246 Member SIPC C PZ60004C072 54939 P26000144229 00004 0214 030575004 Y173571550 COD:00 Page 21 of 48 CONFIDENTIAL EFTA_00131866 EFTA01274073 SUBS Resource Management Account February 2014 Cash activity summary Account name: GHISLAINE MAXWELL Friendly account name:Indiv V49939;06 Account number: Y1 23571 55 See Account 4Ctivityttus month lot decals Baances in your Sweep Options are induded n the opening and closing [glances vane. WIC insurance apples only to deposits at UBS Bank USA, not to depo9ts at UBS AG, Starifoxt &arch of bank deposits placed t hrougb the UBS Intemationd Deposit ACI0Unt plo7am. SIPC protedion applies to money market sweep fund hddings but rot bank deposits. See important inkotmation about youf statement pi the faSt MO pages c( this document for detals February 2014 (1) Year to date (S) Opening balances $0.00 $0.00 Additions Deposits and other funds credited 49,546 11 49,546.11 Total additions $49,546.11 $49,546.11 Net cash flow $49,546.11 $49,546.11 Closing balances $49,546.11 $49,546.11 Your 15 nodal Advisor: SCOTT STACK MANY LYLE CASFUEL 212-821.7000f 800-308.3140 CP360004002254940 F26000144229 00004 0213 030575004 Y123571550 COC yGm0002,St 22 of 48 CONFIDENTIAL EFTA 00131867 EFTA01274074 (*) UBS Resource Management Account February 2014 Your assets Account name: GHISLA1NE MAXWELL Friendly account name: Indiv VA9939C06 Account number, Y1 23571 55 Some priC es, income and current bra ueS shoem may be apprOximale. MartiLS, gains and losses may not be accurately reflected. See imponantinSarntabon about yaw statement alba end of this Occurrent for more Informalon. Cash Cash and money balances Cash ant money balances may indtde avalable cah balances, UBS Bank USA depost account blames. UBS AG Stanford Branch deposit account balances and money market mutual fund sweep oatances UBS Bank USA deposit account balances are insured by the FDIC sNINn applicable limits, but are not protected by SIPC. U85 AG Stanford Brae h deposit =cum balances are not insured by FDIC and are not protected by SIPC Money market sweep balances are protected by SIPC but are not insured by the FDIC. Sire the important information about your statement at the end of this dacurnmt for detain about those balances Openng bviance Cloung baaxe Hddng on Feb 1(S) on Feb (S) WS BANK USA DEP ACCT Price per mare on Feb 28 (1) Average rate Your II nandal Advisor- SCOTT STACKMANLYLE CASILEL 212-821-7000800-308-3140 Dniciend Interest Days in period period Cep mount (1) 0.00 49,545.11 Equities Mutual funds Total reinvested n the iota Cl al reinvested checlends II does rot include any cash chidends. It is rot a tar lot toe the purposes of determining holing periods or cost basis. The shares you recewe eah one you (bluest cluckinas ttCOrne a separate tax h)1. Cost basis is the told purchase cost of the security. indudno reinvestedclwiends The COO basis May need to be lusted for return Cl tepid payments in order to deterrrine the adlusted cost bars ter far rep:wing purposes. Purchase once forGer Average pace Hddng of shares pershare (S) ClEARBRIDGE EQUITY INCOME FUND CLASS I Symbol. SOFYX 2339.801 EAI: 3741 Current yield 1 70% COLUMBIA CONVERTIBLE Client investment 0) 250.000.00 if:weak:el (Far) gain or loss is the dfference between the current value and the cost bads and would genet,* be your tactic gin or loss if the sec urny was sold on ten date. The unreat2ed (tan gan or loss may need 10 be arijusted for rct urn of opted payrnems In Order to determine the reined gam 01 toss lot tax reporting purposes. Afestmem teRun is the current value minus the aMOunt you (Nested does not include shares that are not /alerts on your statement, includngstares that have been reinedas either a 93n or a loss it also does not nclucle cash dvaends INA were nos reinvested ---This information was unavailable--- Cost PnCe Per Shaft bals(S) on Feb 28(S) Fib 28 (5) gain or loss (S) 18.680 43,707.45 value on unrealized nar) investment Hddng return (S) Period continued next page SDNY GM 00021248 CPZ60C04CO2254941 PZ6000144229 00004 0214 030575034 Yt 23571550 cO:coo Page 23 of 48 CONFIDENTIAL EFTA_00131868 EFTA01274075 SUBS Resource Management Account February 2014 Account name: GHISLA1NE MAXWELL Friendly account name: Indiv VA993$006 Account number. YI 23571 55 Your A nancial Advisor SCOTT STACKMN/LAE CASRIEL 212-82 1.7000800-3083 1 40 Your assets Equities . Mutual funds (continued) Nuntne Hddng of shares Purchase oncost Avetaw peke Client per sham (5) investment CS) Cost basis (I) Pete per Sham on Feb 28(1) Value on Fee 28 CD Unrealized Gat) On or loss (S) irwt1IrlItill telum (S) Heating period SECURITIES FUNDCLASSZ Symbol: HOAX EAI: 1844 Current yield 2 2 1% 1,987.557 information was unavailable-- 19.250 38260.47 HARBOR CONVERTIBLE SECURITIES FUND CLASS I Symbol: HACSX EAI: 4589 Current yield 1.83% 2,833.314 —This information was unavailable-- 11.360 32,186.44 JP MORGAN INTREPID EUROPEAN INST Symbol: JFEIX EAI: 475 Current yield: 030% 875.283 •••This information was unavailable--• 28.380 24,840.53 MATTHEWS ASIA DIVIDEND RIND INSTL Symbol: MIPIX EAI: 41,646 Current yield: 4.10% 2,638.382 ---The informabon wed unavailable-- 15.220 40,156,17 SIT DIVIDEND GROWTH FUND 0.ASS I Symbol: SINGX EAI: 4760 Current yield 1.46% 2.958.635 ---This information was unavailable--- 17.600 52,071.97 TORTOISE MEP & PIPELLIE RIND CLASS INSTL Symbol: TORO( 2296.774 information was unavailable--- 16.400 37,667.09 Total Total estimated Income: MASS $0.00 6268290.15 $0.00 CP260:040322 54942 P26000144229 00004 0214 0305750•34 iri23571ss0 000SoNVGM0002oltag 24 of 48 CONFIDENTIAL EFTA_00131869 EFTA01274076 *UBS Resource Management Account February 2014 Your assets (continued) Account name: GHISLAINE MAXWELL Friendly account narne:Indiv. V49935006 Account number Y1 23571 55 Fixed income Mutual funds Total reinvested 4 lee tota d al reinvested &Addends does not include any cash Outten:Is is not a tar lot for the purposes of determinng hdOng pers:OS a (Oft bans. The Shares you receive each time you tomest dirdends become a separate tax lot. Cost Oases is the Iola purchase cost of the Security. inducing reinveStedciudenOS She cost basis may need to be a:lustedtor return d captor payments in order to cUtetmne the &A ustea cost bass (or a( reporting purposes Your Finandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-70001800-308-3140 unrealged (ray) gas or loss is the dIference between the current vaue and the cost basis and world genertay be your lase gan or loss if the security was sold CA INS date. The unreSiZed (tax) ganef loss may need lobe °dusted for return of (spiel payments in order to determine the realized gran or loss for lax report 1n0 pugposes tnvestment tecum is Iht current vaue anus the amount you Invested. a does not include Mares that se not reflected on your statement, oldtying shares than hae been realized as either a gain a a loss It also does not include cash d‘idends that wen not reinvested nekton Number of shares Purchase pica Average pace Client Cost ;el share (i) investment (4) basis (S) Price per share on Feb 28(3) Value on Feb 28 (S) unrealized Rs.) Inits1rnesst HolcIN On or loss (S) lel urn (S) period AVENUE CREDIT STRATEGIES FUND CLASS INSTL Symbol: ACSBX (Al: 1894 Current yield 2.80% 1734963 ---This information was unavailable--- 11.690 31,971.71 BLACK ROCK HIGH YIELD BONDI Symbol: BHYIX EAI: 33,661 Current yield 600% 7292.312 --.This information was unavailable-- 8.370 61,036,65 COHEN & STEERS PREFERRED SEC & INC FUND I Symbol: CPXIX EAI: 13,829 Current yield: 6.42°6 4,493.967 --This information was unavailable.-- 13.270 59,634.94 DOUBLE LINE TOTAL RETURN RIND INSIL Symbol DBLTX EAI: 16,986 Current yield: 5.10°6 12.496.155 --This information was unavailable-- 10.960 136,979.77 EATON VANCE FLOATING RATE ADVANTAGE CL I SyrnbOl. EIFAX SDNY Garailit t page CPZ60004C07254943 n6000144229 00004 0214 030575004 Y123571550000000 Page 25 of 48 CONFIDENTIAL EFTA_00131870 EFTA01274077 SUBS Resource Management Account February 2014 Your assets . Fixed income . Mutual funds (Continued) Hddng Humber of shares Purchase pied Arerap price Client inflame/8 Cost bask (S) Price per share on Feb 28(1) Value on Fib 28 (S) unrealized0P pin °Host (S) 'moment Holdng ratan (S) period pi sham (5) (S) EAI: 44,003 Current yield: 4.75% 7,524.150 ---This information was unavailable--- 11.190 84,195.23 HARBOR HIGH YIELD BD FD INSTITUTIONAL CL Symbol: HYFAX EAI: 41,665 Current yield: 5.64% 2.660.657 --This information was unavailable--- 11.100 29,533.29 HSBC TOTAL RETURN RIND CLASS I Symbol: HTRIX EAI: 3741 Current yield 191% 3,858.567 --This information ',vas unavailable— 10.050 38,778.59 JP MDRGAN MULTI-SECTOR INCOME FUND SELECT SHS Symbol: )SISX EAI: 41,249 Current yield: 2.52% 4,784.864 information was unavailable-- 10.370 49,619.03 METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I Symbol: MWTIX EAI: 42,309 Current yield: 3.00% 7,192.344 ---This information was unavailable--- 10.710 77,030.00 F4DGEWORTH SEIX FLOATING RATEHIGH INCOME FUND CLASS I Symbol: SAMBX EAI: 32,419 Current yield: 4.10% 6502.655 --This information was unavailable-- 9.080 59044.10 T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS Account name: GHISLAINE MAXWELL friendly account name: Indiv V49935006 Account number. YI 23571 S5 Your Pi nodal Advisor SCOTT STACK MANYLYLE CASRIEL 212.821.70001800-308.3140 contAnued nert page CP260004002254944 P26000144229 C0004 0214 033575034 Y123571 SSO C00§6NyGM00021431 26 of 48 CONFIDENTIAL EFTA_00113 I 87 I EFTA01274078 SUBS Resource Management Account Your assets . Fixed income . Mutual funds (continued) tithing Symbol. if FR* 5394.060 ---This information was unavailable-- EAL 12,226 Current yield 4 I 0% Total $0.00 Total estimated annual income: $30,032 Non-traditional Mutual funds Account name: GHISLAIIVE MAXWELL Friendly account naine:Indiy Ye9935C06 Account number. Y1 23571 55 Purchase pow rre t A per apt/, p.cc ts Ghent shares of ) investment (1) Cost Price per share basis (t) on Feb 28 (11 Fes 28 (1) gain or toss (4) Your Financial Advisor: SCOTT STACK MAP/ Le LE CASRIEL 212-821-7000/800-308-3140 Value on unrealized na4 investment Ploldng return (1) period 10.290 55,504.87 I: !a re rr. estear s she 'die ie a re m.ested dotlends n clots rot nc uce any cash cludends. a Is rota tax lot lcr the purposes of determining Pohang periods Of cost taus. The shares you receive each Mr* you reinvest dirdend become a separate lax lot. Cost basis is the tole purchase con of the security, Intl udng reinvested d sedends Ire cost basis may reed to be °dustedfor return of raped payments in order to determine the adjusted cost basis for tar reporting purposes. Hcldng GATEWAY RJNO CLASS Y Symbol. GTEYX 1,089 208 EAI: 1489 Current yield 1 55% Purchase Once Writer Avelair puce Client of shares per snare (s) investment cS1 3663.328.18 $0.00 Unrealeed (tar,) gam or kiss n the °defence between the current value and Ire cost bass aid would generaty be your tenable gen a loss If the sec tally was sold on tan date. The unrealzed dad gen or loss may need to be adjusted for return of caste payments In older to determine the recited gain or toss for last reporting purposes Investment return n the current valve minus the amount you r ',rested It does not include shares that are not reflected on your statement, includng shares that have been realizedas either a gsn cc a loss it also does not include cash dvcrends that were not reIrrtested Cost Price per sistre oasis (S) on Feb 28(3) value on unreal:edam) imestment Hdclrig Feb 28d) gain or IOSS (5) return (I) period Your total assets ---Thar information was unavailable— vaue on Ftb28($1 28.9.40 31,521.67 Percentage of Cott esti-need your X COUIII taus (S) annual income (S) Ureezazed oan or lees (5) Cash Equities fixed income Non•tradltional Cash and money balances 49,546.11 420% 49,546.11 • Mutual funds 266,890.15 • Mutual funds 683,328.18 • Mutual funds 31521.67 26.02% 4.65520 66.13% 30,032.00 Total • Missing cosi basis infuriation 3.05% 489.00 $1,033,286.11 100.00% $49,546,11 $35.176.00 SDNY GM 00021252 CP360034007254945 PZ600)144229 00004 0214 030575034 vt2352155000:000 Page 27 of 48 CONFIDENTIAL EFTA_00B1872 EFTA01274079 *UBS Resource Management Account February 2014 Account activity this month Account name: GHISLAINE MAXWELL Friendly account name:Indiv V49935X6 Account nu ntbe r. Y1 23571 55 Your Ilnandal Advisor: SCOTT STACK MAMLYLE CASRIEL 212821.7000/800-308-3140 Date Mikity DegoptiOn AerOunt Deposits and other funds credited Feb26 Deposit CHECK DEPOSIT 49.546 11 Total deposit and other funds credited $49,546.11 Investment transactions For mare Information tout the po(eivalue shown for restricted securities, see Important inlottnatbn oboot your statement at the end of this dockment Date Activity Des( 'lotion Quantity Proceeds Iran FundS investment vi(thdoven la Accrued Wawa) Pored) transactions (s) ,nvesvnents becalm CS) interest (5) Feb26 Receive JP MORGAN INTREPID EUROPEAN INST 875.283 24,507.92 Feb26 Receive GATEWAY FUND CIASS Y 1,089.208 31,456.32 Feb26 Receive METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I 7,192.344 76,958.08 Feb26 Receive RiDGEWORTH SEV FLOATING RATEHIGH INCOME FUND CLASS I 6,502 655 58.979 08 Feb26 Receive HARBOR HIGH YIELD BD FD INSTITUTIONAL CL 2.660.657 29,480.07 Feb26 Receive DOUBLE LINE TOTAL RETURN FUND INSTL 12,498.155 137.604.68 Feb26 Receive COHEN & STEERS PREFERRED SEC & INC FUND I 4,493.957 59,769.76 Feb26 Receive EATON VANCE FLOATING RATE ADVANTAGE CL 7,524.150 84,195.23 Feb26 Receive MATTHEWS ASIA DIVIDEND FUND INSTL 2638.382 39,813.18 Feb26 Receive HARBOR CONVERTIBLE SKURMES FUNDCLASS 2,833 314 32,158.11 Feb 26 Receive .1P MORGAN MULTI SECTOR INCOME FUND SELECT SHS 4,784 864 49523 34 Feb26 Receive CLEARBROGE EQUITY INCOME FUND CLASS i 2339.801 43309.71 Feb26 Receive T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS 5,394 C60 55,504.87 Feb 26 Receive TORTOISE MLP & PIFEUNE FUND CLASS INSTL 2,295.774 37,593.19 Feb26 Receive AVENUE CREDIT STRATEGIES FUND CLASS INSTL 2,7341.963 31,807.61 Feb26 Receive HSBC TOTAL RETURN R/ND CLASS I 3.858.567 38.662.84 Feb 26 Receive SIT DIVIDEND GROWTH FUND CLASS I 2,958.635 51.628.18 Feb26 Receive COLUMBIA CONVERTIBLE SECURITIES FUND ClA SS Z 1,987.557 38220.72 Feb26 Receive BLACKROCK HIGH YIELD BOND 1 7,292.312 60.89380 Total CE260004002254946 P26000144229 000G' 02140057%04 VI 23571 S50 C0Ceitity_ GM00028439 28 of 48 CONFIDENTIAL EFTA 00131873 EFTA01274080 *UBS Resource Management Account February 2014 Account activity this month (COntaitted) Date Money balance activities Jan 31 Feb27 Feb 23 The UBS Bank USA Decout Account it your primary sweep option Account name: GNISLAINE MAXWELL Friendly account nun*: Imlay V49935006 Account number. 'el 23571 55 Your !Mandril Advisor: SCOTT STACK MANLYLE CASFOEL 212-821-7C00/ 800-308-3140 40mq LVArptice Amount 153 Balance forward $0.00 Deposit UBS BANK USA DEPOSIT ACCOUNT 49,546 11 Closing UBS Bank USA Deposit Account $49,546.11 SONY GM 00021254 CF2600040072 54947 P260001 44229 03004 0214 030575004 Y123571550033000 Page 29 of 48 CONFIDENTIAL EFTA 00131874 EFTA01274081 *UBS Your notes CP260004002254948 P26000144229 00004 0214 030575004 Y1 23571 . 0 0.461 ,1Y_GM_0002IIISS 30 of 4, End of statement for account number Y1 23571 SS CONFIDENTIAL EFTA 00131875 EFTA01274082 Important information about your statement LES Financial Services tic. (the F im or UBS biaxial Senakes). is a merrter of all ',Motel scanty, cannodty and cptbis ethawes. LES Frerkial Services and U2S Bank USA rre rdrect subskiares of LES AG and affiliates of LES Sectritin LIC. The Fists I hondal statement is available upon reoea. The Fun's excite off ices at a: LES Finenoul Sermon km 1200 Harbor Boulevard Weehawken, to 07086 Ibis statement represent the any oil icier record of you LES Fe-uncial Stows account. Other wads, except officiates dot-taunt containing conflicted date should not be relied tannest° betkve there is an error a omission, please report it amedately narking to the Ranch Manager ce the odic. sentig your account. Athacti al figures shorn T. intended to be accurate. statement data should not be used for tar purposes Rely sclek craws-end tax lams, 0.e.. Form 1099. Soak 10425, etc) whin prewrigyour La return. The Fim required by low to report to the IRS all taxabk disident reportthe untenable Ma:lends and tat enema eared an securities held in gar axant, net proceeds on sale transactixo, and cost base cn certain covered onsets. Communications with*. Finn • Please re-confirm cry oral corms.ncatorts in wring to funher protect your opts in:IANyour rite under the Starnes Marta Protection Ad (EPA). • If the finesse' hi:Motion at the top left of the front of this statement is not UBS biaxial Sevbes. U3S Financial Services carries you account as deanng tacker by anargenvint wah the indexed inkiest:en We Rimmed you d this rielaniantes when you opened this accost. h this case. your Std. and seoskin located a LES Anancel Services and rot the hmacticrig broker. al you must make a rePorl of ray mar or motion to both linen. A taunt statementsshall be deemed complete ad accurate a not objected ton wring within 60 days. • PION* divot axone complaints or kuires to he Fim'sClkm Watkins Dopaiment X 201.352.1699 or toll-free x 800-354-9103, ECO A.M. to 6:00 P.M. ET Monday through Frklara a in *Meg to LES Financial Senores ex., Client Relations Depalment, P.O. Box 766 Union City, NJ 07087. • Wi case of erreM or OATIgge about an electronic fads Wader (W1 bi puymm or UBS Visedebit card Vantactiorts, call 62-1000, or wife to UBS Feenoal Sermon Inc„ 1000 Harbor Blvd, 6th floor. Weehawken N.I 07086. Atn RIANESA Sakes Cal a write as soon as you cart it mu tilt xis statement or receipt is wrong or if you need more ate elm ixot a ulnae on the statement or recoWt. The Firm or Card Inter fas XPlciableknosl her from you ns later than 60 days after the Fim sent you the fin stsemere on which the armor Problem *Peered. - bade you- name ad accost starter Of any) - Desabe the *nor or he wanner you ere are about and .'clan as cleat as you can why you believe a is an error or thy you need more isfamation — Proud. the dollar amount d the suspected error. The Fim or Cad Issuer wi isressigete your complaint and eel correct any error promptk. Please make all rheas payable to the Fain or the financial intthution eitated on tie front of this stakemmt had:Mimeo nestle' accord fees. accounts mai be subject to mattenance fees, charges for late parent for wastes purchases and charges kr unpaid amounts in cash accosts. Accounts that we transferred so other institutions may be subject to a transfer fee. UBS Sweep Options UBS offers options for among cash bine; fiances to bat deposits at UBS Bat USA and UBS AG Sufficed brads (Clank Sweep Progsms), money media trowel h.rds North rut) ad the International Deposit Accent (Okla customers with a ktemetional Resource Management Accost. Through tie Bank Sweep Fremont, cash balances re swept to UISEret USA up to an weabrched knit ad then to LES AG Stanford Brandt or e Money Fund. Deposits at UBS Bak USA are FDIC nured in accordance with FDIC rules. For mcre nlamatim please act mime dicgov. Deposes at UBS AG Stanford Burch std turn of Money Funds at rot incised by the FDIC. Throup the OA, mailable to cash balances we swept to depose accounts at UBS AG New Yak Branch and UB5 AG Cayman Burch Thew deposits are not inured by the FIX. Balances Feld at the LES AG Cayman Brads are tempera* exposed toted sovereign risk of the Caesium glands, and tare is no guantee Cr other obligalon of UBS AG to repay the fines while co the UBSCaymares Bradt. books. Deposth a LES Birk LEA and each UBS AG Branch are not protected by SIPC. Money Fund shires ere protected by SIPC. See -UBS Financial Services Accost Protection' bobs. Upon yak Rawl, balances in the Bent 5m(0 Ph:gransor OA mae be Wham" and shares of a Money Fund my be liquidated, ind the proceeds returned so you or mur soosk et accunt. Futter formation about available sweep options, ncleing unlit ...rest rates and yet*, a soak le at www tam comriseeprekk, from your F nano iral Advisor or by calling 800.762.1000 WS Financial Service* sawn proem:don The is a member d tloe Scants Inverter Protection Corporation GIPC), which protect securities account of its members up to 1500,000 including 5250,000 for deems kr cash) The SIPC asset protection 'mks k:OB to all account that ycu hold n a palkular capaoly. The Finn, together with certain aft Ewes, ha also purchasechipplonental protection. The mprirrtrn amount payable to al ekgible clients cobectety ado this protection is 5500 million as of December 10, 2013. Biota to the poky conditens .4 limitation, cash a the Firm is further protected kr mato $1.9 million n the aggregate for all your accounts held n a pasioralar capacity A IA copy of tie poky undeg is /nibble Won request. The SIPC protection and the supplementl protection both do not apply to. • Certain fruitier Asses controlled by (and hided your account valudb.:1 held away from US$Fine-cid Services (e.g.. certain(* cash al UBS Bat Id cad, at LES AG StanIcrd branch (1) insuraw mccbaS. including %edible Malta, ad (in shares of mutual funds where such shares are registered dienly n elt name of the account holder on the books and records of tie applicable issuer or transfer agent); • Certain mestmert contracts or thestment interest (eg., limited partneshim and prime Owen-ants) the we rot registered trder tie Securities Act of 1%3; ad • Commodities contacts (e.g, knew excha-ge and prterwamelal ccntradsk ncludtg futures contacts ad cormoditY cohort contracts. fi e SIPC protect[.' and he suppremental protection do not apply to these assets event they otherwise appear • gar Maternent. The 9PC protecticn and the cuPPlerrientalprotenion do not protect agora changes in the market vale of your investments (whether as a result of market movement. issuer bwkruptcy ce otherwis) More information is amid* li on rechost Vas may obtan more itornation abut SIPC. its:kwthe 5WC Broth's., by contacting9PC a 202-371-8300 or by esitng the UPC **bate ar VAMCSIttag Dividend ReiWetabent Program (DRIP) n-e rcke reflected is an away Fria You may obtan the actual price Iran yar Financial Advisor. Orly Wok tired are purchased under MC partial shires will be sold rd the cash wa be &potted .' your account. The dviderd reinvestment price applied by the issuer may differ from the market mice at which the panne shares are sold Cash-thliou CnB whole units may be hewn yotr accost. if you are entitled to a palul unit as smolt of a dviderd garment a otherwise, the Firm viii ether sell panel ant at rivulet ark. or accept an amount determined by a registered cleate agency, and credit tor accost Investment objectives The smarter, °Daunt and risk profile we speclk to each account and may mybetween Please adeise the Fern promote, in sunroof any signif Cant change in you. (nex' situawn or magma% objectives. Fa each CONFIDENTIAL account held, you choose one of the following kneserient objectbes' • frookke CunentIrcome. h.esb,m es seekng the generation of income My. • Adam Capra! Apprenetion: Investments waking growth of prncpal rather than the generation of income. • Produce Combinaton oilman. and Capital Appel:lawn: 'vestments 'Meg both the generation of mane and 'berth of witical. Dwell ride grog's • Con.wvatnt Seeks to manten MOO prectee with low risk and volatility to the accord mewl, then if that mewls the accost does not generate significant income or roam and may not keep pace with • Moderate: Willing to accept some rids to principal and tolerate some votathty to seek higher returns, • Aggrezee: Wiling to accept high rids to pnnopal and high samara), to seek high returns over time. Straternent Isouseholdne We may consolidate a1 related account statements with the same elites. n the sane envelue. Accounts may be relitei la this purpose beaule they haw owners who also maintain pia aaam relationships with other dents at the sane address. This practice's known as • househsling II you prefer to receive eche:WI statements mailed in secant envercped — yOu may Oka. houveholdwg by (ing you Francis' Advisor. Friendly accourt name the FrendY account name reflects al ormation that you entered on the Firm's onlne senores website. h is a customizable 'nick-erre' chosen by you to auks you with sour MCCirddergoggy t has no legal effect on your amour You can chaweyos hiendk acccunt names, through Orem Services or by contactegyourFrancial Advisor. Aegean overview • Mt carer accooneforethlis Net of assets and • Assets_ hulas available cash balances, rates for restricted seamy lest 1, and Global tine Deposits, urrealted marks to market, and cectan oasts not held by the Fim. Does rot include unonced WA/Maassets al the end of the lidsand arum stalerneM periods. or prorate iwestriwns, awaited stock options and estimable stock anions • Eiathibera Include, debit blI/M•5, °sturdily rrurgn loans. credit the, hat account balances. • Cash/reoney balances. Total of uninvested amiable cash balances, plus UBS. Bak USA deposit taances185 AG Surraord Branch deposit balances and money market mtul fund sweep Saws, at tie case of he statement period. Noncom-n*6m free credit balances in your account ire rot segregated from other balances and tie Fern may use any ol these funds in the ordinary coursed it business. these funds we payable upon your Oxnard. This total n included in to anent period closi-g value. SDNY_GM_00021256 EFTA 00131876 EFTA01274083 Important information about your statement (con inued) Lending information Fix detatechnformatton an the Finis landing plotters and dociassres, refer to yea Client Relatership Armoury or Accost Ageomeni at the General Terms at Conditions UBS Statement of Credit Practices available in Agreements andOixiosureS at rota coral arconneelmt. Yaw assets Your oatement Simian siesta( end other anew held in the accoent at the end of the steamer* wed. You may ask for &Piety & full/ paid senates at ry time. You may rests* securities lased as loan collateral after prying any balance due on hem. k -y securities transferredto Me ;ern chtg the statement period are listed at market value as of the end of the Waterton period. • Cast basis. In determning the cost basis of tie males included in he statement, where indicated win he numb*. '1,• UPS Weird& Services has relied an information obtained from sources other tan IRS Financial Senicet including ilforrnsion kern anothe- tem a that yearnss have provided to you Einar-cal Adana. The Finn does not indspendently verify a guarantee the aratacy or vadity day Wornwion groveled by sons oiler than 1**Siuncial Senices. h aicitext although UBS Fina cal Services general& &don fa Hamann at it e rooked, the firm does not provide any astarances that the mammon ender "Cost basis" and "Lhreakzed gar/loss' is accurate as en the date of this statement. As suck please do not rely on this nIcgmation to make &schwa a Sale decisions keen pupates a *theme's*. Accounts transferred to to Fim may reflect gent loss infamaten only for the period of tine they as held the F rm More historical general in can be added by you krunchia Advisor. • Unedited gains/losses When data is agildolt eninated untanned gine Imes we ulciAated fa incevilialseasey lots. Re trantictson data for nabistul 101f may or may not !Oka canniness, charges anchor secuityreorgn,:alin events Dividend and °tarn, nwstment lots ad systematic patios kris are each canbined to display one averaged lot. The • Trade date • colann presents the ages' transaction trade date. • Callable securities Ban* and ;referred stock that the span cats for easy recienthan wit be selected mural& by lot Iran among all seo.reies of tat eta held hour name or in nominee nen* lee as <Bente. Call bats* inkrinatkn is obtained from third parties and es accuracy snot guaranteed. Other call featres mate's' which mad affect yetis( complete eacmiaten will be provided upon request • Certificates of deposit (0D4 CDs are FDIC rouged hp to 5250,000 ' pristal and accrued interest per dross and per depositoryinstituter,. Pe accordance rah POIC rules. • Prise/value Pros dig:awed f or securities and oho ;seduces may be higher or lower than Meunier that you would aclualy reek* n the mallet Prices cue obtained from voious third party sources vied. tee Delve to be rehash. but we do not garalee their accuracy. — We genera, tee the closi-g pricewenn avalabka the mean of the bid ad ask prices fa lined bargees and <peers a on& bed prices fa OTC seostes. - Lest actively waded securities may be priced usiw valuation model or the most recent spree we obtained and may not reflect an actual market rice Or vakat - Certain portico may appear without a peke and will tow as *price was rot available' if we an unable to obtain a pnce f or a wanly - Deposits or secures de-erninated in currencies ocher thin U.S. dollars are reflected at the eachinge rate as of the statement date. - Fa cerien *wines radon in non.conf omng ciensmnalcris. mice and qua-any (face rake) may have been as:listed to facilitatepro:se vdusere To obtain current quotatens, whin wattle, coraad yaw Financial Adescr. • Private hvestenente and structured producb. ?Mate nwOrrem swishes (ixtding drect paticipation reopen and real estate imestment its searites) and stand prodsu ale general& highly &add Certain dristared waists have not been registered will the Securities and Excha- Comension a under any slate wallies laws. We prode estimated vitae for pmate investment wait es and structured products for Pacenlatisrul purposes only. Acasacy knot giaranteed. - These values may differ stbstantiaky from prees. any, at vhch a prorate itiesanent security a structured &AO may be toAl-a or sold and do not necessarily represent the vain& may receive uPOn Equitation. - Thal paly tsbmates of vale act as of a certain date and are susplied to UBS Fna-cial Services on a regular bass by in independent vitiation tam. - tsar, general partner or sponsor estimated valan, it ary, are wpWied to to by Ow enuer, general pater or spcncor and may be calculated based as &Decent information from that used by thid parties to derive tee estimated values. - You can obtan addle's-al rearnaten regrading he methodology used to determine the "Minato of value and the date of he itermatentha is the basis fate em irate by contacting your Financial Advisor. - Th id party *stemmed vitas may be reflected as •Not pied' n wow I sit stens new n Pdependent vitiation tint hes not *spied or is unable to assign a vatae when we became avare that a material event has occured ha may call a pram& reported vats it question. or earn a value would be highlyspeculative due to he nacre on the sanity - When neither an sates, general palm( or sponsor *stinted ate nce a Ord./soli estimated eta if mad e the value of the sourly will be &Relent tan espurchaseprice. - • Dation as to date may include return of cased. inCOme a both - 'Origetal intsee' represents the initial along pee per unit and may not ;elect Will cost basis • Restricted securities Resented secentin general& are rot cuerenty eiwble for publk sale. UBSFina-cal Services owes to motet price of the unrestricted stuck of the sane issuer as an reputed value for en restricted stock for pcepons of this at 'torrent on4, To the eitent that redrined learilion are 'Tube la a the realm rioted may be ssbnantial& less than the inp-ted value town • Eat Destirneted) inccene current yields and rates. An 95tinate 01 meal infOr,, is bawd on current deriders:I at interest rates, assuring tee searitis will be held for one yea from statement date or unit maturity This retinal* it ceW age:Salm., accuracy ad continued income are not guwanteed - Estimated anal income ad cement yield for certain tapes of swishes could include a return of prncpalor capeal gags h Maids case the est income Ord current yeldl would be orientated. - Estimated astral icane and went yield and the actual iron e and yield mi;ht be extra higher than the estimated amounts. — An estmate ol aniseed ncome (divdend andor interest) deeded by the current market vatreaverage balance re based on the bet dividend Of tannest payment made by the issuer and wearies she secutegdeposes will be held for one year from the statement date or until mab.rity. :twangy at continued weld at not garmiteed • Assets not held by IBS ;rancid Services Certain assess me rot held by the Fain and not whin the fern's possessen or ccrarol. These assets me &sawed on yaw statement for rnformational purposes only. Positions aid values presented as Finned& by the issuing inn UBS Financial Services not reversible for to infamation and des not &manure ns accuracy. these assets we rot prattled by SIC or the Finns supplementalSIC coverage. • Revenue shoring and additional compensation. — In addition to commissions on sales and 12b-t fees rewired n correction wan the distnbution of mutual lend to wardens we anece our fl ab eceive (write haring Pagranto from distributors ardor advisers of the mated funds that we sell. Theseanoints are based on two deferent COM:Onentf- ff.* amantol &elm by UBS of a partnaler mutual find I ami& to our clients, and b) the asset weed a palku Le mutual fund family's shares held at the larn — We and as of orate also recewe nemaking and ormtus pessesoing lees in consideration For Nadir agent woke; that we Fronde to the rukal funds. Thew fees generally are pad from insestor assets in the mutual kind and are a heed Jolla amount based an tie nutter of accounts at the broker-dealer holdng mewl lin& of that fund fmiy CONFIDENTIAL — e, aide& to conmesscro received n connecter. wth the sale or distribUion d a-rusy contracts and snit investment flat units to our <lents, we ands our affiliate marine retina sharing cormsensoen from many of the intrance companies underwritirg the asiity, contracts, *hates d to insurance cargo-en or sponsors of tetra imestment mos we Outshine - Cs affiliates also receive trading commatiso and other compensate° from ,rural Eyck and nsuance ccmpanin whose MEWS we distribute. - Pitmen, n anal fee from UBS Bale LEA and LES AG Stanford flash of up to szs per accost sweeping to the barks under the UBS Bark Sweep Programs Activity hbernationregudrigcannissens and *ter charges ncurred in connexion with tie giecutcri of wades, ndudng option transactions ha been inducted on conbrnrons meow& furnished so you, at will be waded to yOu franptlyatrecpest Short waling Pau we engaged in short selliw a security, you may incur a change the to cerUin barcating costs for that particular security. Open &dem Regarding Wen or • sfx4tilkancefled* orders tat were not yowledbythe statement date, open buy and sel stop orders are refixed by the mount of dividends rights on an exdividerds Cr berigo date unless inetruct•d otherwise by you You are resporobk fa orders that are exeo_ned die coyote 'alum to cancel ensting open orders. Privacy To obtain a cony of as currant Client Fenacy Notice, please contact your Fnancial Achisor or veit our volatile at switaileUDOLOthcaUREIED. UBS Financial Services a rot a brie the RMA. Soonest Soviets Account GSA and IRMA we brokerage /exeunt, which provide access so barking services a-idproducts through areangtenwas yet Alined bats at other thrdpasy banks, and provides access to noura-ce and ennsity proista slued by unaffiliated third.paty insurance ampules through reurance agency subsiiieries of UBS Financial Services Inc. Iniestment, muerte. ad artily products: Not VIZ inured • No bank savant.** May Ow vats* RYA. Reroute Management Accost Business Senices Account 854, RMA and ntematioral Resource Management Accost me registered service marks of UBS Francis' Services he Visa *rime is a registered sereice mark of Visa Intonational. CBS Visa Signature cede cads ard LES yea debit cards are weed by UBS Bark USA with of/mission from Yea U.S A Incorporated. UBS Firiandal Services Inc Pm 204102 SDNY_GM_00021257 EFTA 0[)131877 EFTA01274084 (SUBS UBS Enancial Services Inc. 299 Park Avenue 25th Floor New York lifY 10171.0002 CNP700547978t 0314>cl YI 0 Resource Management Account March 2014 GHISLAINE MAXWELL 116 E 65TH STREET NEW YORK NY 10065.7007 Account name: GHISLANE MAXWELL Friendly account name: Indiv.V49935006 Account number. Y I 23571 SS Your financial Advisor- SCOTT STACK MANILYLE CASI4EL Phone: 212-821-70001800-308-3140 Questions aboutyour statemest? Call your Financial Advisor or the Value of your account RMA ReSOurCeUne at 800-RMA-1000, account 029323571 on February 28 if 1) on March 31(3) Your assets 1,033,286 11 1,054,781.51 Visit our voebsIte: www.ubs.cornIfinancialseMcus Your liabilities 0.00 0.00 Value of your account $1,033,286.11 31,054,781.51 Items for your attention . if you use U8S Online Services, consider changing your User Name and Password regularly to protect your personal data. Not enrolled? Go to ubs.cornrcinineservices Tracking the value of your account S lhcusancs Sources of your aocouet growth during 2014 Value of your account at year end 2013 3000 Net deposits end 'CM 3 19548 withdrawn 31,093854.22 • Your nvestment return • Diedend and interest income 33297.09 Change in market value 3890.20 Value of your become Feb 2014 Mal 2014 on Mar 31, 2014 81,054781.51 SDNY GM 00021258 Member SIPC CW0003006479781 Ne700030040580004 0014 030575004 Y12357155010o0u0 Page 35 of 86 CONFIDENTIAL EFTA_OOL31878 EFTA01274085 *UBS Resource Management Account March 2014 Your account balance sheet Summary of your assets value on March 31 (1) Percentage of your account A Cash and money balances 68,604.90 6.50% B Cash alternatives 0.00 0.00% C Equities 269,838.62 25.58% D Fixed income 684,575.89 64.91% E Non-traditional 31,762.10 3.01% F Corrmodities 0.00 000% G Other 0.00 000% Total assets Value of your account $1,054,781.51 $1,054,781.51 100.00% Account name: OHISLAINE MAXWEU. Friendly account name:Indiv V49935036 Account number: Y1 23571 55 Your current asset allocation E A Eye on the markets Index Your K Randal Advisor. SCOTT STACK MANWLE CASREL 212-32 1•7000/800-308.3 140 . Cash and money balances may include available cash balances, UBS Bank USA deposit account balances, UBS AG Stamford Branch deposit account balances and money market mutual fund sweep balances See the Important information about your statement on the Last two pages of this statement for details about those balances S&P 500 Russell 3000 MSC I - Europe, Australia & Far East Barclays Capital U.S. Aggregate Bond Index Interest rates on March 31, 2014 3-month Treasury bills: 0.04% One-month LIBOR: 0.15% Percentage change March 2014 Year to date 0.84% 1.81% 0.53% 1.97% -0.57% 0.77% -0.17% 1.84% CNP70009006479782 NV7003303405130004 0314 030575004 VI23571550 Wafilic Grit 00021I%S 36 of 86 CONFIDENTIAL EFTA_00131879 EFTA01274086 SUBS Resource Management Account March 2014 Account name: GHISLAINE MAXWELL Friendly account name:Inch,' y44393506 Account number. Y I 23571 55 Change in the value of your account Summary of gains and losses March 2014 (1) Year to date (I) Opening account value $1,033,286.11 $0.00 Deposits, including investments transferred in 126,31190 1,157,928.70 Wittictawals and fees, including investments transferred Out -107,274.48 -107,274.48 Dividend aid interest income 3,297.09 3,297.09 Change in market value -841.11 83020 Closing account value $1,054,781.51 $1,054,781.51 Dividend and interest income earned For outposts of IN, statement. temblity of interest and dnidend Income has been determined horn a US la 'coating penpective. Based upon the residence of the account hokler, recount type, or product type, sane interest andor dvidend payments may not be subject to United Stan (US) ardor Plitft0 Rico (PR) income tares The (lent month); statement i5 not intended to he used and cannot be *Seri upon for tar purposes. Clients should refer to the apeolicade tar reporting forms they receive fran MS annualy, such as the Forms 1099 and the Semis 480, for las rep3rung information it is the practice of UBS to file the essocaue tar reporting forms vAth the US Mend RevenLe Service gad PR Tienury (*parent and in such forms accurately classify dudends aid a interest est& exempt or tacabk income. Pleat consult your indudual in prepare/. March 2014 (5) Year to date (1) Taxable dividends 3,297.01 3,297.01 Tx..31‘t? .crtet.?... 0.08 0.08 Total current year $3,297.09 $3,297.09 Total dividend & interest $3,297.09 $3,297.09 Your Nsandal Advisor SCOTT STACKMANLYLE CASNEL 212-821-7000800-308-3140 Velues mooned below exclude products for which gam and losses are not decsifinl. Realized gains and losses Unrealized March 2014 (I) Year to date 04 gains and bses(S) Short term 0.00 0.00 10,307.93 Long term 0.00 0.00 5,592.05 Total $0.00 $0.00 $15,899.98 Cash activity summary See account activity tins month for detals Balances in your Sweep Onions are indudedin the q:enng and closing balances IrSia. FDIC insurance apohes only to deposits a u8S Bank LISA, not to deposits at LOS AG. Stamford EaanCh Of bank deposits placed throush the LIE'S International Depose Account prcgrarn SIPC protection applies to money market sweep fund nat.:tiros but not bank deposits. Snimportant inSotmation about your sigement on the last two pages cf this document for deists Math 2014 (S) Year to date (1) Opening balances Additions Deposits and other funds credrted $49,546.11 19,039.42 $0.00 68,585.53 Dividend and interest income 3,297.09 3,297.09 Total additions $22,336.51 $71,882.62 Subtractions Funds withdrawn for investments bought -3,277.72 -3,277.72 Total subtractions -$3,277.72 -$3,277.72 Net cash flow $19,058.79 $68,604.90 Closing balances $68,604.90 $68,604.90 SDNY GM 00021260 (HP703010(6479783 NV7003303405 C0004 03I 03057S004 71235715SO100000 Page 37 of 86 CONFIDENTIAL EFTA_00131880 EFTA01274087 *UBS Resource Management Account March 2014 UBS Bank USA Deposit Account APY Interest period Feb 7 - Mar 6 Opening UBS Bank USA Deposit balance Feb 7 80 .00 Closing UBS Bank USA Deposit balance Mar 6 /49,565.48 Number of days in interest period 28 Average daily balance $14,158.10 Interest earned 80 .08 Annual percentage yield earned 0 01% Account name: GHISLAJNE MAXWELL Friendly account name:Vichy V49939:106 Account number. YI 23571 55 Your investment objectives: You have identified the Following investment objectives for this account. If you have questions about these objectives, disagree with them, or wish to change them, please contact your Financial Advisor or Branch Manager You can find a ful description of the alternative investment objectives in important information about your statement at the end of this document. Your return objective: Curient income &capital appreciation Your risk profile: Primary - Moderate Investment eligibihty consideration - None selected Your account instructions • Ypt.- a -critrt roc', basr. (iota at cl-i6ng moll. id is FIFO, First In, First Out Your financial Advisor SCOTT STACK MANLYLE CASRIEL 212-821-7000/ 800-308-3140 CNP7C003306479784 N77080300405 00034 0314 030575004 7123 571 550 101iftfrifGrk0002Fleart 38 of 86 CONFIDENTIAL EFTA_00 131881 EFTA01274088 *DUBS Resource Management Account March 2014 Your assets Account name: GHISLAINE MAXWELL Friendly account narne:Indry V49939206 Account number Y1 23571 55 Sane pnces, income and current vas UPS Shonn may be apt: Marta*. AS a recut, gated and IOSS.eS may rot be ,Kcurately reflected. See important intormabon about your statement arm end al this dxurrent for more Informal on Cash Cash and money balances Cash ant money balances may include avalable cah balances, UBS Bank. USA deposit accent balances. UBS AG Stafford Branch deposit account balances and money market mutual fund sweep barances UBS Bank USA deposit account balances are insured by the FOC vitt n applIcebte limits, but are not potected by 9PC 1)85 AG Stanford Breen h devout =cum basic*: we not insured by FDIC and we not protected by SIPC Money market sweep balances are protected by SeC but are not insured by the FDIC. See the important information about your statement at the end of this document for details about those balances. Openng beance Closing WI/me Hddng on Mar I (S) on Mar 31 (5) IRS BANK USA DEP ACCT fete per then on Mar 31 (SS Average rate Your If sandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-70000300-308-3140 Darden, interest D. in period period Cap amount (I) 49.546 11 68,604.90 Equities Mutual funds Total reinyestel rs the iota dal reinvested chedends M does rot include any cash diiidends. It is rot a tar lot for the purposes of determining racing periods or cost basis. The shares you receive eah time you reinvest cludendS become a separate tax 101. Cost basis is the told purchase cost of the security. inducing renwesteddwiends The cost basis ref need to be &lusted for return of carnal payments in order to determ ne the adjusted cat bas for tar reporang purposes. 250,000.00 tinrealited(tarigain or loss is the dfference between the current value and I he cost bass aid would generaty be your hatable gain or loss if the sec way was sold co this date. The unreatzedga0 canoe loss may need )0 be fl uffed fOr ret um of <iota parnems In order to determine the recited gain or loss la tax "Wring purposes. Iniestment tewn is the current yak* rnnus the aMOunt yOuinreSted It Oa not include snares Ma are not reflected on your statement, includngshares MS hale been reined as either a gan or a loss. It also dots not nducle cash dudends Ilia were not reinrested. Hddng %MOP, of shares Purchase Dine? Average price per snare (S) GI em Investment 0) Cost bals(1) Prize per share at mar 31 (S) value on Ma 31 0) unrealized dad gain or loss (1) iretarnent Hddng return (S) period CLEARBROGE EQUITY INCOME FUND CLASS I Symbol. SOPY)( Trade date: kin 26, 13 1,179.249 16.769 19,776.00 19,776.00 18.880 22264.22 2,466.22 ST Trade date: Ian 14, 14 296.210 18.470 5,471.00 5,471.00 18.880 5.592.44 121,44 ST Trade date: Ian 15, 14 283.181 18.549 5253.00 5253.00 18.880 5,346.46 53.46 ST Continued next page SDNY GM 00021262 C HP70007006479785 NP7003303405 COCOS 0314 030575004 Y123571550 100000 Pa94. 39 of 86 CONFIDENTIAL EFTA_GOI3 1882 EFTA01274089 UBS Resource Management Account March 2014 Your assets . Equities . Mutual funds (continued) Hddng Number of stews Purchase puce king. mice per sham (S) Client investment CS) Cost basis (1) Price per that an Mai 31 (I) Value on Mr 31 (1) uneditedNW coin of loss (0 imestment Hddng Mum (5) period Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 18.880 5337.96 9856 ST Trade date: Jan 17, 14 298.430 18.469 5,512.00 5512.00 18.820 5634.36 12136 ST Total reinvested 14.767 18.760 277.03 18.880 278.80 1.77 EAI: 3813 Current yield 1.83% Security total 2354568 17.637 41251.00 41,52803 44,454.24 2,926.21 3203.24 COLUMBIA CONVERTIBLE SECURMES FUNDCLASS 2 Symbol: NCIAX Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 18.920 21,704.59 1,181.59 ST Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,942.00 18.920 15,899.99 -4101 ST Total reinvested 10.535 19.080 201.01 18.920 199.32 -1.69 EAI: 1839 Current yield 2.35% Security total 1,998.092 18.351 36,465.00 36,666.01 37,803.90 1,137.89 1,338.90 HARBOR CONVERTIBLE SECURMES FUNDCLASS I Symbol: HACSX Trade date: Jan 29, 13 1,872.780 10.250 19,196.00 19,196.00 11.260 21087.50 1,891.50 LT Trade date: Am 17, 13 960.534 10.489 10,076.00 10,076.00 11.260 10,815.61 739.61 ST Total reinvested 9.397 11.180 105.06 11.260 105.81 0.75 EAI: 4598 Current yield 184% Security total 2,842.711 10.334 29272.00 29,377.06 32,008.92 2,631.86 2.736.92 JP MORGAN INTREPID EUROPEAN INST Symbol: JFEIX Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 27.720 12,070.73 1,996.73 ST Trade date: Aug 6. 13 439.831 23.286 10242.00 10242.00 27.720 12,192.11 1,950.11 ST EAI: 475 Current yield: 0.31% Security total 875.283 23.211 20,316.00 20,316.00 24262.84 3,946.84 3,946.84 MATTHEWS ASIA DIVIDEND FUND INSTL Symbol: MIPIX Account name: OHISLAINE MAXWELL Friendly account name:Indiv V49935006 Account number. VI 23571 55 Your Ignandal Advisor: SCOTT STACK MANLYLE CASRIEL 212421-7000f 800-308.3140 continued next page CNP70303006479786 NP70033C0405 00004 0314 030575004 VI 23571 550 103IltkyGRA0002/itts 40 of 86 CONFIDENTIAL EFTA_00 1 3 1 883 EFTA01274090 ;It UBS Resource Management Account March 2014 Amount name: GHISLAINE MAXVVEU. Friendly account name: Incliv. V49935006 Account number YI 23571 55 Your Fl sandal Advisor: SCOTT STACKMANLYLE CAMEL 212-821-7000/800-308-3140 Your assets . Equities Hddng Mutual funds (continued) Hurter of shuts Purchase pied Averay price client Cost per share (S) investment d) basis (t) Price per share on Mar 31 CO Value on Mar 31 (S) Unrealized Rae) gain or loss (0) investment Haring return (5) period Trade date: fan 29, 13 2,156.431 14.849 32,023.00 32,023.00 15.260 32,907.13 834.13 LT Trade date: Feb 1.13 481.951 15.069 7263.00 7,263.00 16260 7,354.57 91.57 LT Total reinvested 5.404 14.739 79.65 15.260 82.47 2.82 EAI: 11,356 Current yield: 3 36% Security total 2,643.786 14.890 39286.00 39,365 65 40,344.17 97652 1,058 17 SIT DIVIDEND GROWTH FUND CLASS I Symbol. SOVGX 2,958.635 --This entormabOn waS unavailable-- 17.890 52,929.98 (Al: 1760 Current yield 1 44% TORTOISE MLR & PIPELPIE FUND CLASS INSTL SymbOl: TORIX Trade date: Jan 29, 13 2296.774 13.330 30,616.00 30.61600 16.560 38,034.57 7,418.57 7A18.57 LT (Al: 1367 Current yield 0.96% Total $197,206.00 $197,868.75 6269,838.62 91%03929 $19,702.64 Total estimated annual income: $4,848 Fixed income Mutual funds Toter reinvested is the tow al at reinvested dvdends n does not include wry cash dedends Is not a tar lot for the purposes of delerminng hdckng periods or cost basil. The shares you receive each time you reinvest d admit become a separate tax lot. Cost toys o the total purchase cog of the security. Inducing reinvested d wends The cost basis may need to be adusted for return dr capital payments in order to detertnine the al tater/ ost basis for laic reportirg ptrposes Hddng Purchase pricer Number Average rtKe of shares per share (Si Client investment (S) timeafged 00 gaol of las is the dlference between the current vague and the cost basis and would generally be >our 'arable wen or loss 4 the security was sold on dale The unrealized MO glan or loss may need to be acluded for return dcarcli payments in order to deterrine the reaped gen or loss for tar itenen Pwitrainanr CiPurr se turnsis the current value alma the amount you invested e don not include shares that are not reflected as sour statement, inducing shares that hare been red eed a either a gain or a loss It also does rut include (ash chidends that were not reinvested Cost Pnce per share basis (S) cn Mar 31 (I) Value on Unrealized Rae) investment Holding Mar 311 gain or loss (St return (0 period AVENUE CREDIT STRATEGIES FUND CLASS INSTL Symbol. ACSBX contoped next page SDNY GM 00021264 Ci1P7C0CM306479787 Ne7003303405 00004 0314 030575004 Y123571550 100003 Page 41 of 26 CONFIDENTIAL EFTA_00131884 EFTA01274091 SUBS Resource Management Account March 2014 Your assets . Fixed income . Mutual funds (continued) Hddng Rumen( of shares Purchase prier Average peke per sham (I) Client inmate-rot (S) Cost basil (S) Price per thee an Mar 31 di Value C41 Mr 31 (I) Unrealized 044 coin orlon (1) Imestment return (1) Hddng period Trade date: Nov 12, 13 910.736 11.270 10,264.00 10,264.00 11.580 10,546.32 282.32 ST Trade date: Nov 18, 13 912.566 11.300 10,312.00 10312.00 11.580 10,567.51 25551 ST Trade date: Nov 25, 13 911.661 11.319 10,320.00 10,320.00 11.580 10,557.03 237.03 ST Total reinvested 29.126 11.550 336.41 11.580 337.28 0.87 EAI: $1,033 Current yield: 3.23% Security total 2,764.089 11.299 30,896.00 31,232.41 32,008.15 77573 1,112.14 BtACKROCK HIGH YIELD BONDI Symbol: BHYIX Trade date: /an 29, 13 4,811.156 8.200 39,451.48 39,451.48 8.340 40,125.04 673.56 LT Trade date: kin 27, 13 2,481.156 7.959 19,750.00 19,750.00 8.340 20,692.84 942.84 ST Total reinvested 33.947 8.370 2&1.14 8340 283.12 -1.02 EAI: $3,692 Current yield:6.04% Security total 7326.259 8.120 59201.48 59,485.62 61,101.00 1,615.38 1,899.52 COHEN & STEERS PREFERRED SEC & INC FUND I Symbol: CPXLX Trade date: /an 29, 13 3,002.068 13.487 40,490.57 40,490.57 13.380 40,167.66 -322.91 LT Trade date: Feb 6, 13 740.625 13.391 9,91840 9,918.40 13.380 9,909.56 -&84 LT Trade date: lun 14, 13 751.274 13.309 9,999.02 9,999.02 13.380 10.052.04 5302 ST Total reinvested 24.044 13.269 319.C6 13.380 321.71 2.65 (Al: $3,849 Current yield: 6 37% Security total 4,518.011 13.441 60,407.99 60,727.05 60,450.95 -27608 42.98 DOUBLE LINE TOTAL RETURN FUND INSTL Symbol: DOLTS( Trade date: /an 29, 13 12,498.155 11.379 142229.00 142,229.00 10.900 136,229.88 -5,999.12 LT Total reinvested 51.566 10.959 565.16 10.900 562.07 -3.09 EAI: 47,027 Current yield: 5.14% Security total 12,549.721 11.378 142229.00 142,794.16 136,791.95 6,002.21 -5,437.05 EATON VANCE FLOATING Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number. Y I 23571 SS Your A nenciel Advisor SCOTT STACK MANLYLE CASRIEL 212-821.7000/800-3083140 continued next page CNP7C009006479788NP70003C0405 00004 0314 030575004 Y123571550 10MgyGm0002/Ins 42 of 86 CONFIDENTIAL EFTA_001131885 EFTA01274092 UBS Resource Management Account March 2014 Your assets . Fixed income . Mutual funds (continued) Hddng Number of shares Purchase met Average pace per share (0 Client Investment(1) Cost basis (I) Price per that al Mar 31 (1) Value on Mar 31 (I) tinges:Ned gad gain or loss (b Investment Hddng return (a) period RATE ADVANTAGE CL I Symbol: EIFAX Trade date: ran 29, 13 7,524.150 11.180 84,120.00 84,120.00 11.160 83,969.51 •150.49 LT Total reinvested 25.712 11.190 287.72 11.160 286.95 -0.77 EAI: 33,963 Current yield: 4.70% Security total 7,549.862 11.180 84,120.00 84,407.72 84256.45 -151.26 136.46 HARBOR HIGH YIELD BD FD INSTITUTIONAL CL Symbol: HYFAX Trade data: /an 29, 13 2,660.657 11.239 29,905.78 29,905.78 11.000 29267.23 •63855 LT Total reinvested 30.093 10.989 330.72 11.000 331.02 0.30 EAI: 41.687 Current yield: 5.70% Stagily total 2,690.750 11.237 29,905.78 30236.50 29,598.25 -63&25 -307.53 HSBC TOTAL RETURN FUND CLASS I Symbol: HTRIX Trade date: Mn 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.140 39,125.86 .571379 -578.79 LT EAI: $741 Current yield 1.89% JP MORGAN MULTI-SECTOR INCOME FUND SELECT SHS Symbol: JSISX Trade date: Mn 29, 13 4,784.864 10.260 49,092.71 49,092.71 10.390 49,714.73 622.02 622.02 LT EAI: 11,139 Caren( yield: 2.29% METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I Symbol: MWTIX Trade date: Oct 24, 13 7,192344 10.709 77,030.00 77,030.00 10.680 76,81413 -21577 ST Total reinvested 14.410 10.709 15433 10.680 153.90 -0.43 EAI: 12,263 Current yield: 2.94% Security total 7206.754 10.710 77,030.00 77,164.33 76,968.13 •21620 .61.87 F4DGEWORTH SEIX FLOATING Account name: GHISLAINE MAXWELL Friendly account name: lndiv V49935006 Account number VI 23571 55 Your Mnandal Advisor: SCOTT STACKMANLYLE CASR1EL 212-821-7C00/800-308-3140 continued nest page SDNY GM 00021288 0070403006479789m7OCOX040500004 0314 030575004 VI 23571$5010000) Page 43 of 86 CONFIDENTIAL EFTA_001131886 EFTA01274093 SUBS Resource Management Account March 2014 Account name: GHISLAINE MAXWELL Friendly account name:Indw V49935B06 Account number. VI 23571 S5 Your 14 nancial Advisor. SCOTT STACKMAI/LYLE CASRIEL 212-821.7000/800-308-3140 Your assets Fixed income . Mutual funds (contmued) Purchase price/ taunter Aveldge puce Client Cost Hcidng or shares per share (I) investment (S) Owls CS) Prise per share on Mar 31 (S) Value on Mat 31 (5) unmannedOM gain or loss CS) imestrnent Hddng return (5) Penad RATEHIGH INCOME FUND CATS I Symbol. SAMBX Trade date: Jan 29, 13 6,502.655 9.039 58,784.00 58,784 DO 9.060 58,914.05 130.05 LT Total reinvested 21,568 9.060 195.84 9.060 195,41 .0 43 EAI: 32,420 °Arent yield: 4.09% &acuity total 6524 223 9.040 58,7&1.00 58.979 84 59,109.46 129.62 325.46 T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS Symbol. PFFRX 5394.060 --This information was unavailable.-- 10.280 55,450 93 EAT 12,255 Ofirent yield: 4.07% Total $631371.61 $633,844.99 $684,575.89 -$4,720.04 -$2,246.66 Total estimated annual income: $30,069 Non-traditional Mutual funds Mal reinvested is the ima ri al reinvested diedene6 n dots not include ary Cain dedends. it is not al& unrealizedMY/vino, loss is the difference between the current vane and the cost bags andwould lot for the purposes of determninp bold rig pe reds or cost basis. The shares you /cow each titre you ;totally be your taxable gin or loss it the sectety was sad on Its dale. The unreavied(tax1sen m loss reinvest dwaieds become a separate tax vol. may need so be adjusted tor return of captal payments in order to determine the realized gain or las for tax Cost trans ii the LOIS purchase lost of the StCurity. indudrg fPnveStedriviclench The cost basis may need reporting purposes. to De aquae° kr return d cedar padnents in dart to onetime the adjusted cost beers to tax reponng ffideStIlleat leRM1 is the current value onus the amount yOulMeSted It data not include shares ma are not braises. reflected on your statement, inducing AVIS. INS( have been Ma:lief:UK either a grin or a le% It also dues not include cash dui:feeds that were nor reinvested. Hddng Number of shares Purchase pincer averagi pnce per share (S) Client investenenf Cost Price per share Value on basis CI) cn Mai 31 (5) Mar 31 ($) UnrealizedGar) gain or loss (S) Investment Hddng return (5) period GATEWAY FUND CLASS Y Symbol. GTEvx Trade date: Ian 29, 13 1,089.208 27.580 30,040.36 30,040.36 29.030 31,61931 1379.35 LT Total reinvested 4.905 28.870 141.61 29.030 142,39 0.78 (Al: 1517 Current yield 163% Security total 1,094.113 27.586 30,040.36 30,181.97 31,762.10 1,580.13 1,721.74 CNP7C0C93C6:179790NP70C0303405 C0004 0314 030575004 VI23571550 10 j Y GM 000211!!944 of 86 CONFIDENTIAL EFTA_00131887 EFTA01274094 SUBS Resource Management Account Your assets Your total assets Value cal Mc 3' (I PeKentage 01 your tC(Ounl Cost DO54 0) Stmate0 onnud Income 01 unearned gedn or loss (S) Cash Cash and money balances 68,604 90 6.50% 68.604.90 Equities • Mutual funds 269,838.62 25.58% 197,868.75 4,848.00 19.039.89 Fixed income • Mutual funds 684.575.89 31.762.10 64.91% 633,844.99 30,069.00 -4,720.04 Non-traditional Mutual funds 3.01% 30,181.97 517.00 1,580.13 Total • Missing cost basIS inkernaticn $1,054,781.51 100.00% 8930,500.61 $35,434.00 $15,899.98 Account name: GHI5LAINE MAXWELL Friendly account name: Indiv V49935006 Account number. Y I 23571 55 Your 'Mandel Advisor: SCOTT STACKMANLYIE CASRIEL 212-821-7C00/800-308-3140 Account activity this month Date Actirity Description Arnaunt (5) Deposits and other fends credited Mar 10 Deposit CHECK DEPOSIT 19,039.42 Total deposits and other funds credited Date Acthaty De1001100 $19,039.42 Amount IS) Dividend and interest income Taxable dividends Mar 3 Dividend METROPOUTAN WEST TOTAL RETURN BOND FUND CLASS IAS OF 0212814 154.33 Mar 3 Dividend RIDGEWORTH SEIX FLOATING RATEH1GH INCOME FUND CLASS] AS Of 02i213 Id 195.84 Mar 3 Dividend DOUBLE UNE TOTAL RETURN FUND INS% AS OF 0152914 565.16 Mar 3 Dividend COHEN & STEERS PREFERRED SEC & INC FUND 1AS OF 02/28,14 319.07 Mar 3 Dividend EATON VANCE FLOATING RATE ADVANTAGE CL I AS OF 02128114 287.72 Mar 3 Dividend BLACK ROCK HIGH VELD BOND I AS OF 0212914 284.14 Mar 3 Dividend HS8C TOTAL RETURN FUND CLASS I 19.29 Mar 21 Dividend GATEWAY FUND CLASSY 141.60 Mar 21 Dividend MATTHEWS ASIA DIVIDEND FUND INSTL AS Of 0312014 79.65 Mar 24 Dividend COLUMBIA CONVERTIBLE SECLAIMES FUND CLASS 2 AS CIF 03121/14 201.00 Mar 28 Dividend HARBOR MGM YIELD RD FDINSTITUTIONAL CL AS OF 03127/14 330.72 Mar 28 Dividend HARBOR CONVERTIBLE SECURITIES FUND CLASS I AS OF 0327114 105.06 Mar 31 Dividend CLEARMIDGE EQUITY INCOME FUNDCLASS I AS OF 0312E214 277.03 Mar 31 Dividend AVENUE CREDIT STRATEGIES FUND CLASS INSTL 336.40 Total taxable dividends $3,297.01 SDNY GM 00021268 Cm170001006479791 NPT0003C040500004 0314 030575004 VI 23571550100000 ►aye 45 of 86 CONFIDENTIAL EFTA_00131888 EFTA01274095 SUBS Resource Management Account March 2014 Account activity this month (commis) Date Activity Dexnption Account name: GHISLAINE MAXWELL Friendly account name:Indiv V49935::06 Account number: Y1 23571 55 Your A vandal Advisor SCOTT STACK MAI/LYLE CASRIEL 212-821.70001800-308.3140 Amount (S) Dividend end interestiacorne (continteRd) Taxable interest Mar 7 Interest UBS BANK USA DEPOSIT ACCOUNT AS OF 030E/14 0.08 Total taxable interest $0.08 Total dividend and interest income $3297.09 investment transactions For note int0M1$1011 anent the Drgereerat shown nar restricted SNOOPS. we important intormetion afoot your Statement I the en0 01 Ind 03C anent Date Actinty Descoptron Quantity 1naue (I) Pnce (1) Proceeds ncrn invenrrlen1 transactions (5) Funds withdrawn rer cm*strnentsbougit (1) Accrued interest (5) Mar 3 Remwstment METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I DIVIDEND REINVESTED AT 10.71 NAV ON 02/28/14 AS OF 0212/314 14.410 -154.33 Mar 3 Remwstment RIDGEWORTH SED( FLOATING RATEH1GH INCOME FUND CLASS I DIVIDEND REINVESTED AT 3.08 NAV ON 02/28114 AS OF 02/26/14 21.568 -195.84 Mar 3 Reinvestment DOUBLE LINE TOTAL RETURN FUND INSTL CtVIDEND REINVESTED AT 10.96 NAV ON 02/28114 AS OF 02/28114 51.566 -565 16 Mar 3 Reimestment COHEN & STEERS PREFERRED SEC & INC FUND I DIVIDEND REINVESTED AT 13.27 NAV ON 02/2+3;14 AS OF 02/28/14 24.044 -319.07 Mar 3 Remwstment EATON VANCE FLOATING RATE ADVANTAGE CL I DIVIDEND REINVESTED AT 11 19 NAV ON 02/ 2P/14 AS OF 02/28/14 25.712 -287.72 Mar 3 Reinvestment BLACKRCCK HIGH YIELD BOND I DIVIDEND REINVESTED AT 837 NAV ON 0028(14 AS OF 02/28/14 33.947 -28.4 14 Mar 13 Receive T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS 5,394.000 55,450.32 Mar 13 Dete. T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS -5,3%1.000 -55,450.32 Mar 13 Receive T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS 0.060 Mar 13 DeSver T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS .0.060 Mar 13 Receive SIT DIVIDEND GROWTH FUND CLASS I 2,958.000 51,824.16 motioned next page CNP7C009006479792 Ne7OCO3C0405 00004 0314 030575004 Y123571550 lOigt&YGht00021pAta 46 of 86 CONFIDENTIAL EFTA_00131889 EFTA01274096 *UBS Resource Management Account March 2014 Account activity this month icontroeffl Investment Uansactions (continued) Date 44bisly oescdpt.on Quantity Yaw (S) Price (5) Protect tron investment immaciipos ($) Funds tatthdravenkr inveslre*M5 0C9V Accrued interest Mar 13 Detwer SIT DIVIDEND GROWTH FUND CLASS I -2.958.000 -51824.16 Mar 13 Receive SIT DIVIDEND GROWTH FUND CLASS I 0.635 Mar 13 Deaver sir DIVIDEND GROWTH FUND CLASS I -0.635 Mar 21 Renveslrilell MATTHEWS ASIA DIVIDEND FUND INSTL DIVIDEND REINVESTED AT 14.74 NM/ ON 03120,14 AS OF 03/20/14 5.404 -79.65 Mar 21 Reinvestment GATEWAY FUND CLASS Y DIVIDEND REINVESTED AT 28.87 NAV ON 0312014 4.905 -141.60 Mar 24 Reinvestment COLUMBIA CONVERTIBLE SECURMES FUND CLASS3 DIVIDEND REINVESTED AT 19.08 NAV ON 03/21/14 AS OF 03721/14 10.535 -201.00 Mar 28 Reinvestment HARBOR HIGH YIELD BD FD INSTITUTIONAL CL DIVIDEND REINVESTED AT 10.99 NAV ON 03/27/14 AS OF 03/27114 30.093 -330.72 Mar 28 Remvestment HARBOR CONVERTIBLE SECURITIES FUNDCLASS I DIVIDEND REINVESTED AT 11.18 NAV ON 03/27/14 AS OF 03/27/14 9.397 -105.06 Mar 31 Reinvestment CLEARBRCGE EQUITY INCOME FUND CLASS I DIVIDEND REINVESTED AT 18.76 NAV ON 03/zen 4 AS OF 03/2&14 14.767 -277.03 Mar 31 Reinvestment AVENUE CREDIT STRATEGIES FUND CLASS INSTL DVIDEND REINVESTED AT 11.55 NAV ON 03/28/14 29.126 -336.40 Total -$3277.72 Securities transferred in Securities transferred out Dale $107,274.48 4107,274.48 Activity asoption Arrounl Money balance activities feb 28 Balance forward $49.546.11 Mar 4 Deposit UBS BANK USA DEPOSIT ACCOUNT 1929 Mar 7 Deposit UBS BANK USA DEPOSIT ACCOUNT AS OF 03/06114 0.08 Mar 11 Deposit UBS BANK USA DEPOSIT ACCOUNT 19.039.42 Mar 31 Closing UBS Bank USA Deposit Account $68,604.90 Account name: GHISLAINE MAXWELL Friendly account name:Indw V49939X6 Account number: Y1 23571 55 Your Finandal Advisor: SCOTT STACK MANILYLE CASRIEL 212-821-70001800-308-3140 Toe UBS Bank USA DepOs4 ACCOurit is your primary sweep, option SDNY GM 00021270 Cfle7COOF005479793 Ny7003303405 00004 0314 030579304 Y1235715501013000 Page 47 of 86 CONFIDENTIAL EFTA_00 I 3 I 890 EFTA01274097 *UBS Your notes CNP70003005479754 NP7003303405 00004 0314 030575004 VI 23571550 1p,MY_GM_00021i491 48 of 86 End of statement for account number Y1 23571 SS CONFIDENTIAL EFTA_00113 I 89 I EFTA01274098 Important information about your statement LEIS Financial Services ix. (the F im or UBS Anoxia' Senites). is a merrter of all ',Motel Nosily, cow** and optins exchaves. LES Fe-ercial Selects and LBS Bank USA n rdrect sutodares of LES AG and affiliaies of LES Secultin U.C. Ti. Fim's I kende' statement is available upon mgrs. The Fir* excite* off ices are a: UBSFinanuol Strums Ix. 1200 Harbor Boulevard Weehawken, to 07066 Ibis statement represent the any official record of yas LBS Financial Memos account. Other records, mapt official tar document containing cordlicting date should not be relied Lyon If you befew there is an error cr omission, please report it irrmedately n *Ming to the Ranch Manager of the office servilesour account. AtInach al figures shown We intended to be accurate. statement data toxili not be used for tar purposes Rely sae& on yea-end tax forms, Form 1008 Salk 10425, etc.) whin prepregyour tar return. The Finn it required by law to report to ty IRS all taxabk Evidence. report*le rcntamble ditizknds and taxable Merest eared on wounties held in gar amont, net proceeds an safe transactore, and con base on certain covered mantes. Communications with the Finn . Please re-confirm any oral cormnricatorts in wring to funher protect your rights. incbdrig your rcht order the Semites Manor Protection Act (SWAT • If thefinancial nstitution on the top left of the front of this statement is not WS Anatol SeMes. CBS Brenda' Sereces carries you account as cleanng locker by anargenent wih the indcated &Mahon We Wormed you of tie relationship whin you opened this roost. h this case. your birds and sectsnesa-e boated a LBS financial Services and rot the krodocng broker. al you must make a neon of ray era or Main to both bums. A Ilaccornt statements shall be deemed complete ad accurate f not objected to ii swan; within 60 days. • Plate diect customer emplanes or ggpiies to he Fen'sClkm Relations Dtpanment a 201.352.1699 cr toll free a 800-354-9103, 8:CO A.M. to 6:CO P.M. ET Monday through Fred* a in mei* to LEE Financial Stinnes Ix., Client Relations Depalment, P.O. Box 766 Union City, NJ 07087. • ki case of ern Or Wen gge about an electronic hrds Wanner (Wit bi puymm or UBS Visedebit card tranuctsore. call 62-1000, or vane to UBS Frenoal Services tic„ MOO Harbor Blvd, 6th floor. Weammeen W 07086. Aim RMNESA Senees Cal or write as soon as you cart if you tilt yes staerrent or receipt is men; or if you need more Whomation stoat a on* on the statement or main. The Firm or Card hear as *PlkablX muff her from you no later than 60 days aher fie Fim sera you the len stamen on whit the error or problem *Peered. - Bowie you- name ad accost number 6f any) — Desoto the once or the wander you are mon about, and melon as clear& as mu can why you believe t is an error a Win* need more eicrmanori — Prowde thedollar arro.nt of the suspected error. The Fim or Cad Issuer Ma insestigate your complaint and eel correct anyerrorjammed/. Please mate all disks payable to the Fern or tie financial institution Skirted on fro front of this statement h adzliten to regular accost fees. accounts mai be subject to mailenrce fees, chars for late parent for sec rtes purchases and charges Ice unpaid amounts in cash manes. Accounts that ate transferred to other institutions may be subject to a wands sm. UBS Sweep Options UBS offers options for sesepng cash biomes, balances to bfl deposits a UBS Bak USA and UBS AG Sufficed March (Bank Sweep Preganns), money market mewl fixds (Mori. Fends) and the InternationalDeposit Ascent 00Alfor customers withal International Reyoune Management Account. Through to Bank Sweep Fvogane, cash balances re swept to U16 Sisk USA up to n radakhod Fed ad then to LES AG Stanford Branch or a Money Fund. Deposits at UBS Bat USA are FDIC nuked in accordsce with FCC rules. For mere raormation please mit mwrldicgov. Deposes at UBS AG Stanford Brach ad tares of Money kinds aro rot incised by the FCC. Throup the OA, atailable Moan balances are swept to deposit accounts at UBS AG New Yak Branch and UBS AG Carron Bunch Thew deposits are not insured by to FDC. Balances Feld at the LES AG Carnal Brads are tempera* exposed to the sorreign Sc of the Casten elands, and Were is no gmantee or other obligation of LBS AG to repay ex Saxes while on the UBSC grans Brad's books. Deposes at LES Bat LEA and each UBS AG Bench are not protected by SIPC. Money Fund shires ae protected by SIPC. See 116 F hernial Services Amami Promotion' bobw Upon you reg.est, bale-ices in the Bank Sweep Program or OA may be withdraw' and shares of a Money And may be liquidated, end the proceed returned to you or sour secirkin mane. Furter information about available sweep options, inhering anent merest rates and yet., a mailable at www.ds comfiseepyiekt, from your Financial Miser or by calling 800.762.1000. UM Financial Services account protection Melia, is a member el the Secretes Avesta Protection Corporation COPC), *nkh protect seriatim account. of its members up 1500,C00 Cncluding S283,000 for <elm kr bash). The SIPC asset protection Imes XPV to all account Wet you hold n a particular cape*. The Fim, togeeher with certain atlEates, ha also purchased onplaTental protection. The magnum amount payable to al eligible there, collect's& rider this protection is 5500 million as of December 10, 2013. Woad to the pokyconditions ard limitation, cads X the firm is further protected kr iso to $1.9 million n the aggregate for all you accounts held n a pasioalar capacity A ftull copy of We poky wiring n available upon request. The SIPC protection and the supplemenUI protection both do not apply to. • Ceruin &ncial asses controlled by (and imboted your account value) but held away from UBSFina-col Services (e.g.. certain ash at UBS Bat Id cadn at LES AG Stanlord branch (I) insuram mcdX1S, including variable enmities, and fie shires of mutual find' who* such thanes are registered diedly n tot name of the account holler on to backs and wads of to applicable issuer a transfer agent); • Crain ruminate contracts or imesement interest fir.g., limited partnership' and gime placements) tat are rot regrind is-derPe Securities Act of I S03; ad • Commodities contacts (e.o, Moron exchange and pm iota metal centred°. nduding futures contacts ad cormoditanzofion contracts. The SIPC protects:nand do suppkmental protection do not apply to these assets even 4 they otherwise appear on you Maternal" 1Fe SK proteden and the sollokrientalprotenion Mr not protect mare changes en the maks vale of you investments (whether a a result of market monement, issuer birkruptCy Cr otherwise} More information is amid* "pm req.et You may obtan more Bacanation tote SEC noising the SIK &ochre, by contacting5'PC a 202-371-8300 or by %nano the SIM **Wee ar wientappoE Dividend Reiweebibent Program (DAP) The prke reflected is an average price. You may obtan the acb.el price Iran tots Financial Advisor. Only Mole tares se purchased under DM; partial shires will be cold rd tot cats wa be deposited b your account. The 6videni reiwearnere price applied by to Mier ma/ 6ffe from the make( pte at which Wepanel shires ae sold CM, whole urns may be head in YOU' accost. If you a-e entned Maim-lel inn as annuli of a dviderd Parent or armee, the Firm an either sell penal Lnla at mein peke a accept an arnaunt &ambled by a regiaered clewing agency, and credit you' accare. Investment objectives The nehmen object* rd risk profile Me speolk to each account and my mybetween Please edam the Cum promote, in men; of any sign', Cant change in you. Maxie situation or immune% objectives. Fix each CONFIDENTIAL mount held, you choose one of We following Men: rent objectint • Endue CunentIrcome. Menne. es seekng the generation of income crib. • Achim Cepdaf Appeenetion: Investments waging growth of pence:sal rather than the generation 01 income. • Produce Combinaton of income and Caatol Appreciatcot Mesements seekkg both the generation of mane and gowthof precjoal. Oreriall rids profiles • Conservarre Seeks to mantain Paha pri-cloaL with low Sc and volatility to the roam mescal, send that means the awn" does not generate significant income or returns std may rot keep pace with inflation. • Moderate Willrig to accept sane rig to principal and tolerate some weir* to 'seek hirer returns. • Aggress*: Wiling to accept high Sc to pinopal and high salsa* to seek hgh returns one time. Statement leouseholdne We may consoldm at related account statements with the same slices. n the sate exam*. Accounts may be related Ice this purpose berate they have owners who also makaain pia mom relationships wit olive clients at the sane address. This practice's known as • householing • If you prefer to recebe Pdiedual statements masted in separate envetcpts — yOu May dries householding by (Ong sou F rennet Acker. Friendly amount name The Frendb amine name reflects al ormation that you wetted on the lirMs online whites webote. h e a customizable 'nick-urn? drown by you to aria you &eh ypr recordkeeping It has m legal effect on your account. You can dirge yos hiendb account names, through Online Services or by contact-9 murFinancial Adesor. Aegean overview • YAM (dreg accoontipordob Net of assets and liabilities. • Asset 'Atlas available cash balances, vain for restricted searey lest 1, and Global tine Deposits, urrealied marks to market, and caftan insets not held byte Fem. Does rot induct* unonced SeCuttiell assets at the end of the prior and one statement periods, or protest imestrients, invested stock options aid evercoabie stock anions • Eialubbes Includes debt betimes, onmardirg rrurgn loan credit fix, tort octant balances. • Casb/Noner beheires. Total of unimested amiable cash balances, plus UBS Bak LISA deposit IMancefi UBS AG Starrdotd Branch deposn balances and money market mmul fund sweep Sate,, at the cbse of the stamen period. Normormlocity bee credit balances in your *court ae rot segregated from other balances and Ix Film may use any ol these funds in the ordinary Caine of ib business. these funds ae payable Loon your darned. This total is included sn to cement period closing who. SDNY_GM_00021272 EFTA_00131892 EFTA01274099 Important information about your statement (coninued) U ndies Horatian Fa detailinformation cn the f its tending practices and &causes, refer to year Cleat Relatorthip Age-taunt or Accuse Agreement end the General Terms at Conditions UBS Statement of Credit fraction available in agreements and Diackwres at meguaksramirsauctIflotoses Vas testi Your stesMent kaftans soCurities ad other asset; held in the mart at the end of the sterner* period. You may ark forage/ay of hay paid secretes at anytime. You mayreceive securities used as loan collateral after owing any bairns due on tem. My securities Sanelenvd to the Firm dri-g tke statert penod are listedat market value as of the end of the statecraft period. • Can basis. In detemning the cost basis of the stories included in this statement, where indicated win the rumba. 'I,' UPS Fiera& Services has relied cninForwetion <braid from sources other than LES Frencial Semites. including nfornwirm Iran another him a that gooey have provided to you Finaxial Adam The Finn does not itlependently verify a parent.* the acaracy or ieklity day irforemtion provided by sours other tan 1**Siuncial Senates. aiatirs although UBS FintiCel Services general& pines this Huainan as it k received, the firm does not provide any isorances that fie information vow 'Cost basis- and threakzed gar/loss' it accurate as a tee date of this statement. As such phase do not way on this Horatian to make puchice a sale decisions. fermi papaws or *theme's*. Accounts tranderred to to fim may reflect girl loss rannatifi on& f or the period of tine they at held at to F rm More higorical Hama in tribe stied by yon Finance' Advisor. • Urroalised ganstlormes When data is fl ied:4k estimated uveafized gang buses ore ciniated ter inavaleal seosty lots. Re transaction data for matte( lob may or may not reelect commissions, turges ander security moraine:al i:n rents Dividend and oterre mesh-mai lots ad systematic perches+ lots are each combined to display one aver agedlot The • Trade date • [almaresentsthe original transaction wade date. • Callable securities Ban* and ;referred stock that the kat cats for eabr redemption wit be selected morel& by lot Iran among all seo.rties of fiat isst held hour name or in nominee name la as clients. Call halm rannatan c dote:led from third parties and es accuracy snot guaranteed. Other tall leases maybes' *Nth cold affect weld complete egcmiaton sill be provided upon request. • Certificates of derma (CDs) CDs are FDIC inured sp to 5250,000 h priajoal and accrued interest per &costa and per depository institution, 6 /accedence rah POIC rules. • Pricakalua Pets dial/wedfa securities and ogler products may be higher or lower than the price that you would scarify recte n the market Pries are obtained from vaious third party sources whifi use Delve to be retitle. but we do not gavakee their accuracy. - We gently eat the closi-g price when avalabba the mean of Me bid and ask prices fa fined mantles and <pions ex on& bid prices fa OTC seotties. - Less achey waded sea:ties may be priced using valuation model or the most recent per we obtained and may not nett an actual maget rice a Vat* - Certain position may appear without a price and will Mow as *price was rot available' if we are untie to obtain a pnce for a warty - Deposits or sectrfin dericnnaeed n currencies ocher thin U.S. dollars are related at the &Aching& rate as of the statement date. - Fa cabin securities wading in non.conf otmng clerannacea mice and qua-UN0am vale) may have been edits-Led to facilitateprat titan. To obtain current quotations, when stailible, contad your Financial Adlux. • Private MoMmeng and structured prudish. Bite nwstrrem savors (rchding drect paticipation acqarn and real estate imestment trust seurites) and tared patois are gently highly Aispid. Certain amused proists have not been registered with the Securities and Eachrr (omission o- under any state sautes laws. We prode ranted mares for pane investment leashes and structured products for informatkrul purposes only Aroma snot guaranteed. - These values may differ abstantiaby from aces. a any, at tech a rote tesanent security a structured modest may be barrel or sold and do not necessarilyrepresent the vats you may receive Won Illuidation. ▪ Thal pat), esanatesd vale ore as of a certain date ad are spited to US$ Feria-Pa Services on a regukt bass by in independere vitiation tem. - .war, generalpartner or sponsor estimated vales, ry, are supplied to therein by Ow Muer, genteel panne or sponsor and may be tabulated based on different information Iran tat used by tadparties Midst tar estinated values. - You can obtain Steam/ recansit regarding the methodology used to determine the retinae of value and The date of to Hamel'," that is the basis for fie en mate by contactrg your fa-uncial Advisor. - Thrd piety *stinted %Mrs my be reflected as •Not prked* n wee I sit *km wfe n Ydependent %elision tern has not suppled or is tide to assign a the. when we become avare that a materialevent has °coated that may call a poets* reported vela ita question. or when a value would be highly speoArtne due to fie nesse a the sturdy. - When neither an suer, general pane err sponsor estinated vale ma a thrd-pany estimated vale if road. the value of the secirrty wit be clamed haw itspurchaseprice. — •Dalriat cm to dace may include mkt of (meal. incomecc both — Ongnal int see • represeas the initial aterng price per unt and may not reflect your con basis • Restricted nowitios Ratted seurnin gently are rot currently Prole fps publk sale. UBSFinrcel Services as to matel price of the unrestricted slock of the same issuer as an mputed value for do restricted stock for prepuces of this areaway* oa4r To the relent that red:rifled smithies are elgbh la sae, the vats maned may be silonantialy less than the inp_ted value tnown • EM. retimatsd) inccene rang yield' and ratas. An 9:finale of anal incorre is based co current dividend at interest rates, assuning to salsifies will be held for one yea from statement date or until Matinty. This retinae ken& a gadelne, accuracy rd continued income are not gueenteed — Estimated a-ntal ?came and curet yield la certain roes of salsifies could include a retun of pmcgal or capital gars in whit case the est income Ordcurrent yeti would be overstated. — Estimated arial Scone and curet yield and the actual item a-alyield might be laver a higher than the estimated amounts. — An entate of a-ruaeced income (divdend ants interest) divded by the uncut market valetweregre balance is based on the tat dividend or interest payment made by the issuer and antes the seositieldeposts will be held for ore year from the statement date or until manly. Accuracy at continued weld me not warmed • Pants riot held by U3S 'rancid Sayan. Certain assets are rot held by the fern and not viten the Fern's possession or cawol. These assets are dsphyed on you statement for informational purposes orb. Positions ad values presented a riveted by the awry fern UBS Financial Services is not resparible for the ilaination and ekes not guarantee es accuracy. These assets we rot preened by Silt or the Finrs omplementalSIPC coverage. • Revenue sharing and additional compensation. — In addition to commissions on sales and 12b-I fees received n correction Mtn the destitution of mutual finds to of we Backe our fl aw mitt revenue Sharing Payments fr0llideoributors ardor advisors of the maul funds that we sell. These amounts are based on two darn cormorants amantol sales by UBS of a particular MAYA fund family to our clam, and 4) the asset value of &partner mutual fund I amiyi shares held at the 1mi — We and as afldiate also recte nett king and amber processing lees in consideration For transfer agent servies that we Provide to the mutual krt. Thew he, clenrallY are pad from insestor awns in the mutual fund and are a fried dam amount based a tie number of accounts at the broker-dealer holdng ensued lords of that fund CONFIDENTIAL — h atle on to otemoscni received n connection wth Me sale or danbinon o1 a-rury contracts and the investment mat units to our <lents, we andor our athlete nate retina sharng airrpensaan tram many of the inosance companies merman9 the amity contracts, athletes d to Murat extant or sponsors of theta. imestment rusts we disirbute - Cur affiliates ako newt wading cancnetkru and other correpercatan from reknual kids and nsurance companies whose protects we distribute. - Mermen, an anal fee from US$ Bark OA and LES AG Stanford Brant of up to szs per acts, sweepng to the barks under the UBS Bark Sweep Fr gram, Activity hbrenabon terming commissars and Otte, charges nand n COlint<110" wash ter oecutcrt of wades, Muting option transactions ha beerancluded calfirritits petits& furroNd to you, and wall be prowded to you wavily ash recpest. Shaft galling F you are engaged in short selling a Wu* yOu may nos a char the to cergin taros/iv costs for that particular smutty. Open arta Regarding Wen or •goaatilkancaecr adors fiat were not awaited by the statement date, open buy and tel stop orders are refixed by the anoure of dividends or rights on an ex-dividends a berets dee unless intruded otherwise by you. You are responsble for orders that are mauled the to your lila. to cancel Vining open orders. Primes To obtain a copy of at current Client (Macy Naito. please contact your France* Athisor or visit ar website at SMISMIROXIMMEAUgast, UBS anemia Services a rot a bit the RIK Busts Services Account GSA and IRMA are bitterer accounts which provide access so barking services a-idproducts though arnagenwits wall Staged barks at other thrdgavy banks, rod provides access to retrace and smut, protect tad by unaffiliated third-paw insurance compa-nis through Youra-ce agency subsilksies of UBS financial Services Inc. Imestment, nsura-ce. at a-ruttyproducts: Not IDIC inured • No bank guarantee* May bse valet RIM. Renate Management Account, Business Semites Account BA RMA and alternation& Resource Management Accost are registered service marks of UBS Fete's! Services Inc Via Spume is a registered salt* meek of Visa Intonational CBS Via Signetse cede cards at LES yea debt cards are iskied by UBS Bank USA with Fotffrn7liOri from Vs* U.S A Incorporated. UBS Financial Services he Pm 201402 SDNY_GM_00021273 EFTA_00131893 EFTA01274100 SUBS U8S Financial Services inc 299 Park Avenue 25th Floor New York NY 10171.0002 CNP7005608657041/ VI 0 Resource Management Account April 2014 GHISLAINE MAXWELL 116 E 65TH STREET NEW YORK NY 10065.7007 Account Frame: GHISLANE MAXWELL Friendly account name: Indiv.V499350C6 Account number: _3571 SS Your Financial Advisor: SCOTT STACK MANILYLE CASRIEL Phone. 212.821.700Y800.308-3140 Questions about your statement? Call your Financial Advisor or the Value of your account RMA ResourceUne at 800-RMA-1000, account 029723571 on March 31 (S) on April 30 (5) Your assets 1,054,781 51 1,061,175.35 16sIt our websIte: www.ubscomainancialservices Your liabilities 0.00 000 Value of your account $1,054,781.51 51,061,175.35 Items for your attention • If you use LIBS Online Services, consider changing your User Name and Password regularly to protect your personal data. Not enrolled? Go to ubs.cornionlmeservices Tracking the value of your account S Thousands 1,054.8 1,061.2 Mel 2014 Am 2014 Sou roes of your account growth duriag 2014 Value of your account at yea. end 2013 Net deposits and v‘Mndramals Your investment return: Dividend and interest income Change in market value Value of yew accoun on Apr 30, 2014 10.00 31,097,654.22 35,561.65 14,999.48 $1,061,17535 SDNY GM 00021274 Member SIPC CNP70009)09338657 Ne7000191745 COCO. Otte 030579704 vi23571350000000 Page 35 of 98 CONFIDENTIAL EFTA_00 3 1894 EFTA01274101 SUBS Resource Management Account April 2014 Your account balance sheet Summary of your assets Value on April 30 ($) Percentage of your xcount A Cash and money balances 68,798.69 6.48% B Cash alternatives 0.00 0.00% C Equities 272,234.94 25.65% D Fixed income 688,270.21 64.87% E Non-traditional 31,871.51 3.00% F Commodities 0.00 000% G Other 0.00 0.00% Total assets Value of your account $1,061,175.35 S1,061,175.35 100.00% Account name: GHISLAPIE MAXWELL Friendly account name:Indiv VA9935006 Account number: rt 23571 55 Your current asset allocation E A Eye on the markets Index Your financial Advisor. SCOTT STACK MANLYLE CASRIEL 212421.7000800-308-3140 . Cash and money balances may include available cash balances, UBS Bank USA deposit account balances, U85 AG Stamford Branch deposit account balances and money market mutual fund sweep balances See the Imponant information about your statement on the last two pages of this statement for details 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, 2014 3-month Treasury bills: 0.02% One-month LIBOR: 0.15% Percentage change April 2014 Year to date 0.74% 2.56% 0.12% 2.10% 1.53% 2.31% 0.84% 2.70% CNP70X00050386S8 NP700019t 745 00304 0414 0305793N VI 23 571 SSOCOMy_Git000pas 36 of 98 CONFIDENTIAL EFTA 00131895 EFTA01274102 *UBS Resource Management Account 1.: Account name: GHISLAINE MAXWELL Friendly account narne:Indiv v49935006 Account number. Y1 23571 55 Change in the value of your account Summary of gains and losses April 2014 (SI Year to date CO Opening account value $1,054,781.51 $0.00 Deposits, including investments transferred in 0.00 1,157,928.70 Withatawals and fees, including investmentstransferred cut 0.00 -107,274.48 Dividend and interest income 2,264 56 5,561.65 Change in market value 4,129.28 4,959.48 Closing account value $1,061,175.35 $1,061,175.35 Dividend and interest income earned For purposes of tNs statement, tenability of interest and dividend income has been determined from a US tm mooning penpectivo. Based upon the residence of the account holder, =count type. or product type, some interest anaor dvidend payments may not be subject to United Slats (UP, enact Plitft0 Rico (PR) Income tarts The dent months; statement is not intended to be used and cannot be reSed upon for tar purposes. Clients should refer to the ;plead, tar reporting forms they receive from Le35 annualy, such as the ions 1099 and the FOrMS 480, for tar reporting information It is the practice of UBS to file the rocticatte tar reporting forms with the US interna rievente Serillfe aid PR Treaury Depattrrent, and in such forms accurately classify dvidenct anlia interest as tar exerrpt or tacit)* income. Pleat consult your in:Sudsier tar prepater April 2014 (8) Year to date (I) Taxable dividends 2,262.78 5,559.79 Taxable interest 1.78 1.86 Total current year $2,264.56 $5,561.65 Total dividend & interest $2,264.56 $5,561.65 Your financial Advisor: SCOTT STACKMACSLYLE CASRIEL 212-821-7000800-303-3140 vSues reported below exclude products for which gain and losses ate not decsifitcl. Realized gains and losses Unrealized Aptd 2014 (1) year to date (1.) gains and losses (3) Short term 0.00 0.00 12,799.22 long term 0.00 0.00 13,919.94 Total $0.00 $0.00 $26,719.16 Cash activity summary See Account activity this month for detals Balances in your Sweep Options are indudedin the opening and closing balances ira Le. FDIC Insurance applies only to deposits at UBS (Pack USA, not to deposits at UBS AG, Stamford Branch or bank deposits placedthrough the UBS Internat.:on, Depose Account program SIPC protection applies to money market sweep find holdings but not bent depOtili oboe/two( statement on the last two pages cf this document for deists Apnl 2014 (3) impottint inSormadon year to date (I) Opening balances Additions Deposits and other funds credited $68,604.90 0.00 $0.00 68,585.53 Dividend and interest income 2,264.56 5,561.65 Total additions $2,264.56 $74,147.18 Subtractions Funds withdrawn for investments bought -2,070.77 -5,348.49 Total subtractions -$2,070.77 -$5,348.49 Net cash flow $193.79 468,798.69 Closing balances 468,798.69 $68,798.69 SDNY GM 00021276 Cli1P7C008305668659NP70cOlgt 74580004 0414 030579004 YI23571550 008000 Pegs 37 of 98 CONFIDENTIAL EFTA_00131896 EFTA01274103 *UBS Resource Management Account April 2(14 UBS Bank USA Deposit Account APY interest period Mar 7 - Apr 6 Opening UBS Bank USA Deposit balance Mar 7 $49,565 48 Closing UBS Bank USA Deposit balance Apr 6 868,625.90 Number of days in interest period 31 Average daily babnce $66,151.30 Interest earned 81 .78 Annual percentage yield earned 0.03% Account name: GHSLAINE MAXWELL Friendly account name:Incliv V49935;06 Account number. Y1 23571 55 Your investment objectives: You have identified the following investment objectives for this account If you have questions about these obtectiws, disagree with them, or wish to change them, please contact your Financial Advisor or Branch Manager You can find a full description of the alternative investment objectives in important inbaanation about your statement at the end of this document. Your return objective: Current income & capital appreciation Your risk profile: Primary - Moderate Investment eligibility ccnsderation - None selected Your account instructions • tr t rnc' base dofa tit dv.rg rout! id is FIFO, First In, First Out Your financial Advisor SCOTT STACK MANLYLE CASRIEL 212 -821 .7030/800-308-3140 CNP70X9005688660 NP7OCOI 9I 745 COON 0414 030525004 Y1 2357i $50 03019AWG M0002%79 38 of 98 CONFIDENTIAL EFTA_00131897 EFTA01274104 *UBS Resource Management Account April 2014 Your assets Account name: GHISLAINE MAXWELL friendly account no:be:Indio V49935006 Account number: Y1 23571 55 Sane prices, income and current WI WS ShOnn may be approximate. As a result, gam and IOSIS may rial be acurately refkded. See unportant We/matron about your statement a the endol this Occurrent for !Mole Informal on. Cash Cash and money balances Cash and money balances may include avalable cah balances, USS Cant USA *Tout account baances. UBS AG Stanford Branch deposit account balances and money market mutual fund sweep balances. UBS Bank USA deposit account balances are insured by the FDIC Minn appliccble limits, but are not protected by SIPC. UBS AG Stanford Bram h deposit acoum balances am not minuted by FDIC aid we not proleded by SIPC Money market sweep balances are protected by SIC but are not insured by the FDIC. Sine the important information about yaw statement at the end of this document for details about those balances. etddng LOS BANK USA CEP ACCT Openng baance Gips/nobane on Apr 1 (SS on Apr 30 (S) Price per :Nee on Apr 30 (S) Average rate Your Nsandd Advisor: SCOTT STACKMANTLYLE CASILEL 212-821-70001800-308-3140 Dntdeno Interest Days in period period Cep =cunt CS) 68.604 90 68,798.69 Equities Mutual funds Totat renwestel is the Iola dal reinvested dvedends It does rot include any cash dedends. II is not a ta lot fot the purposes of determining bold ng pe nods or cost basis. The shares you receive ea h trre you reinvest d %Wends bt(Orne a separate tax al. Cost bases is the Iota purchase cost of the security. Ind udno reinvested of Wends The cost basis may need to be ad usted for return of carnal payments in order to deterrn ne the adlusted cat bass tar la< rep:rang popases. 250,000.00 trnrealited(fax)gain or loss is the dfference between the current value and the cost bats aid would genial), be your taable Ono, loss if the sec urrty was sold on ten date. The unrealoed gar) gan or loss may need 10 be fl usted lot rct um Of Captor payments In Older to determine toe reigned gain or lots for tax reporting Purposes, frwestment tom is the Current value Minus the arn3unt yOurriveSted n does not include snares that a'e not reflected on your statement, includngstsares MS have been realized as either a gam or a loss. It also does not Indus& cash dedends Thai were not teirwested Hd ng haJrrber of shares Purchase pride' Averace PnCe per spare (S) Client investrnent CS) Cost basis 01 P&P Der share en API 30 (I) value on Apr A) ($) Unrealized (tad gain or loss (1) investment NciOng return 01 period CLEARBROGE EQUITY INCOME FUND CLASS I Symbol. SOPYX Trade date: AM 26, 13 1,179.249 16.769 19,776.00 19,776.00 19.190 22,629.78 2853.78 ST Trade date: Jan 14, 14 296.210 18.470 5,471.00 SA7100 19,190 5.684.27 213.27 ST Trade date Jan IS, 14 283.181 18.549 5253.00 5253.00 19.190 5,434.24 181.24 ST continued next page SDNY GM 00021278 CelP7C00?0056B8S61 NO7003191745 00004 0414 030575004 Y123571%0 000000 Pap 39 of 98 CONFIDENTIAL EFTA_00131898 EFTA01274105 SUBS Resource Management Account April 2014 Your assets . Equities . Mutual funds (continued) Melting Humber of stares Purchase pied Meld? peke petalled (5) Client investment CS) Cent basis (S) Price per Share on apr 30(1) Value On Apr 30(5) unrealized One gein atlas (1) ImeStment Hddng return (5) period Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 19.190 5,425.61 18261 ST Trade date: Jan 17, 14 298.430 18.469 5,512.00 5.512.00 19.190 5,726.87 214.87 ST Total reinvested 14.767 18.760 277.03 19.190 283.38 6.35 (Al: 1812 Current yield 1.80% Sect-city total 2,354.568 17.637 41251.00 41,52803 45,184.15 3,656.12 3,933.15 COLUMBIA CONVERTIBLE SECURITIES FUND CLASS 2 Symbol: NCIAX Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 18.920 21,704.59 1,181.59 ST Trade date: Feb 19, 14 840.380 18.959 15,942.00 15,942.00 18.920 15,899.99 -4201 ST Total reinvested 10.535 19.080 201.01 18.920 199.32 -1.69 (Al: 1889 Current yield 2.35% Security total 1,998.092 18.351 36,465.00 36,666.01 37,803.90 1,137.89 1,338.90 HARBOR CONVERTIBLE SECURITIES FUND CLASS I Symbol: HACSX Trade date: lien 29, 13 1,872.780 10.250 19,196.00 19,196.00 11.270 21,106.23 1,910.23 LT Trade date: ken 17, 13 960.534 10.489 10076.00 10,076.00 11.270 10225.22 74922 ST Total reinvested 9.397 11.180 105.06 11.270 105.90 0.84 (Al: 4538 Current yield 184% Security total 2,842.711 10.334 29272.00 29,377.06 32,037.35 2,660.29 2,765.35 JP MORGAN INTREPID EUROPEAN INST Symbol: JFEIX Trade date: Aug 1, 13 435.452 23.134 10074.00 10,074.00 27.650 12,040.25 1,96625 ST Trade date: Aug 6, 13 439.831 23.286 10242.00 10242.00 27.650 12,161.32 1,919.32 ST (Al: 475 Current yield: 0.31% Security total 875.283 23.211 20,316.00 20,316.00 24201.57 3,885.57 3,885.57 MATTHEWS ASIA DIVIDEND FUND INSTL Symbol: MIPIX Account name: GHISLAINE MAXWELL Friendly account nem,: Indiv V49935006 Account number VI 23571 55 Your 15 sandal Advisor: SCOTT STACK MANY LYLE CASRIEL 212-821-7000/ 800-308.3 140 continued next page CNP70309009338662N1q000i91745002O10414 C130575004 Y123571440049JMYGM0002,4344 40 of 98 CONFIDENTIAL EFTA_00 I 3 1899 EFTA01274106 *UBS Resource Management Account April 2014 Your assets a Equities v Mutual funds (continued) Hddnq Nurrbee of shares Purchase piked Ape verrag eme de) investment (1) Cost Oasis (I) PIK! per share on Apt 30(1) Value on Apr 30(1) unrealized (ta4 coin or loss (0 investment HolcIng return CO period Trade date: Mn 29, 13 2,156.431 14.849 32,023.00 32,023.00 15.250 32,885.57 862.57 LT Trade date: Feb 1, 13 481.951 15.069 7263.00 7,263.00 15.250 7,349.75 86.75 LT Total reinvested 5.404 14.739 79.65 15.250 82.41 2.76 (Al: $1,356 Current yield: 3.36% Security tots 2,643.786 14.890 39286.00 39,365.65 40,317.73 952.08 1,031.73 SIT DIVIDEND GROWTH FUND CLASS i Symbol. SOVGX Trade date: /an 29, 13 2333.831 15.400 35.941.00 35941.00 17.860 41,682.22 5,741.22 LT Trade date: Jun II, 13 624.804 16.569 10353.00 10353.00 17.860 11,159.00 80600 ST EAI: $751 Current yield 1.42% Security total 2.958.635 15.647 46294.00 46294.00 52,841.22 6,547.22 6.547.22 TORTOISE MLP & PIPEttlE FUND CLASS INSTL Symbol. TORIX Trade date: Mn 29, 13 2296.774 13.330 30,616.00 30,616.00 17.350 39,849.02 9,233.02 9233.02 LT EAI: $367 Current yield 092% Total 3243.500.00 4244,162.75 1272.23434 423.072.19 428.734.94 Total estimated annual income: $4,838 Account name: GHISLAINE MAXWELL Friendly account name:Incas V49935006 Account number. VI 23571 55 Your Mnandd Advisor. SCOTT STACKMANLYLE CASRIEL 212421-7000/800-308-3140 SDNY GM 00021280 CNPT0303005838663 NPT000191 745 00004 0414 030575004 Y123571550000000 Pap 4t o£ ce CONFIDENTIAL EFTA_00131900 EFTA01274107 cat UBS Resource Management Account April 2014 Your assets (continued) Account name: GNISLAINE MAXWELL friendly account name: Indiv V49935006 Account number. YI 23571 55 Axed income Mutual funds rout reawested is me tots d a reinvested dvdends it does not mdudt any <ash Mideast. It is not a tar lot for the purposes of determinng hchingpenods or cost bans. The sham you receive etch time you earnest dedench become a separate tax lot. Cost INN is the tots purchase cost of the security. Ind udng reinvesteddie:lends: The cost bedsrev/ need tow adusted for return cf cerAtal payments in order toattennne the al tested cost beds for oar repaving purposes. Hddng AVENUE CREDIT STRATEGIES FUND CLASS INSTL Symbol: AC S8X Trade date: Nov 12, 13 Trade date: Nov 18, 13 Trade date: Nov 25, 13 Total reinvested EAL 51,034 Current yield: 3.18% Security total ETACKROCK HIGH YIELD 80ND I Symbol: BHY1X Trade date: Ian 29, 13 Trade date: fun 27, 13 Total reinvested EAI: $3,696 Current yield:6 03% Security total COHEN & STEERS PREFERRED SEC & INC FUND I Symbol: CP)0X Trade date: Jan 29, 13 Trade date: Feb 6, 13 Trade date: kin 14, 13 PurCh3Se pricer Mertes Averacy pace of spores per share (S) Client investment (S) Your Amodal Advisor: SCOTT STACK MAN LYLE CASRIEL 212-821-7000/800-308.3140 limeated (Nal gang a tour is the dfference between the current dime and the cost basis and wooed genera), be yOur Weak gin or loss 4 the security was sold on ties date. The unreenzed Oa0 On a foss may need to be &gusted for return olcamal parnents in order to detemi ne the realized gain or bas for Is tenoning purposes revertneent return is the current value anus the amount you invested a does not Include shares that we not reflected on you statement, Ind Ong shares that have been reedited as either a gain os a teL It also Wes not include cash dedends that van not reinvested cost oasis (s) Price per share en Apr 30(S) Value on Apr 30 (1) Unrealized gad investment Hddng In orloSS (S) return (1) period 910.736 11.270 10264.00 10264.00 11.750 10,701.15 437.15 Sr 912.566 11.300 10,312.00 10312.00 11.750 10,722.65 410.65 ST 911.661 11.319 10320.00 10320.00 11.750 10,712.01 392.01 ST 29.126 11.550 336.41 11.750 342.23 5.82 2,764089 11.299 30,8%.00 31232 41 32,478.04 1,245 63 1582.04 4,811.156 8.200 39,451.48 39,451 48 8.330 40,076.93 625.45 LT 2,481.156 7.959 19,750.00 19,750 00 8330 20,668.03 918.03 ST 70.352 8354 587.76 8.330 586.03 -1.73 7,362.664 8.121 59201.48 59,789.24 61,330.99 1,541.75 2,129.51 3.002.068 13.487 40,49) 57 40,490 57 13.540 40,647.99 157.42 LT 740.625 13.391 9,918.40 9,918.40 13.540 10,028.06 10966 LT 751.274 13.309 9,999.02 9,999.02 13.540 10,172.25 173.23 ST Continued neat page CNP70003005688664NP70C019i 745 000% Om C130575004 v123571 $50 COMAYGM0002,2,11 42 of 98 CONFIDENTIAL EFTA_00 131901 EFTA01274108 UBS Resource Management Account April 2014 Your assets . Fixed income . Mutual funds (continued) Nddng Weber of shares Purchase plket Average price per share ($) Client investment (5) cost basis CD Price per share en Apr 30(5) value on AN 30 (s) Unrealized Dad investment Holdng gain or loss (b return (S) period Total reinvested 46.668 13.323 621.77 13.540 63168 10.11 (Al: 43,851 anent yield. 6.2690 Security total 4,540.635 13.441 60,407.99 61,029.76 6IA80.19 450.42 1,072.19 DOUBLE LINE TOTAL RETURN FUND INSTL Symbol: DEILTX Trade date: /an 29, 13 12,498.155 11.379 142229.00 142229.00 10.930 136,604.82 -5,624.18 LT Total reinvested 103.220 10.929 1,128.19 10.930 1,128.19 EAI: 47,094 Current yield: 5.15% Security total 12,601.375 11.376 142,229.00 143,357.19 137'33.02 6,624.18 .4,495.99 EATON VANCE FLOATING RATE ADVANTAGE CL 1 Symbol: DFAX Trade date: lin 29, 13 7524.150 11.180 84,120.00 84,120.00 11.120 83,668.54 -451.46 LT Total reinvested 55.072 11.174 615.38 11.120 612.40 -2.98 EAI: 33,964 Current yield: 4.70% Security total 7.579.222 11.180 84.120.00 84'35.38 84280.94 -454.44 160.94 HARBOR HIGH VELD 80 FD INSTITUTIONAL Cl Symbol: NYFAX Trade date: Ian 29, 13 2,660.657 11.239 29,905.78 29,905.78 11.050 29,400.25 -505.53 LT Total reinvested 30.093 10.969 330.72 11.050 332.53 1.81 EAI: 11,687 Current yield: 5.67% Security total 2,690.750 11.237 29,905.78 30236.50 29,732.78 -503'2 -173.00 HSBC TOTAL RETURN FUND CLASS I Symbol: HTRIX Trade date: /an 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.190 39318.79 -385.86 -385.86 LT EAI: $741 Current yield 1.88% 114 MORGAN MULTI-SECTOR INCOME FUND SELKT SHS continued nest page SDNY GM 00021282 CNP70003005888665 NPT000191745 C0004 0$14 03057500S Y123571$50000000 Page 43 of 98 Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number. VI 23571 55 Your Mnandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7600/800-308-3140 CONFIDENTIAL EFTA 00131902 EFTA01274109 SUBS Resource Management Account April 2014 Your assets . Fixed income . Mutual funds (continued) Melting Number of shares Purchase pncef Average peke per share (S) Client investment (S) Cost Oasis (1) Price per that en Apr 30(1) Value on Ape 30(1) unrealized NO gain or loss (S) Imestmeet Holding return (S) period Symbol: JSISX Trade date: Jan 29, 13 4,784.864 10.260 49092.71 49.092.71 10.370 49,619.04 52633 LT Total reinvested 0.921 10.390 9.57 10.370 9.55 -0.02 EAI: $1,268 Caren yield: 2.55% Security total 4,785.785 10.260 49092.71 49,102.28 49,628.59 52631 535.88 METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I Symbol: MWTIX Trade date: Oct 24, 13 7,192.344 10.709 77,030.00 77.030.00 10.740 77245.77 215.77 ST Total reinvested 30.268 10.694 323.69 10740 325.08 1.39 EAI: $2,239 Oxen( yield: 2.89% Security total 7222.612 10.710 77,030.00 77,353.69 77,570.85 217.16 540.85 RIDGEWORTH SEIX FLOATING RATEHIGH INCOME FUND CLASS I Symbol: SAMBX Trade date: Jan 29, 13 6,502.655 9.039 58,784.00 58,784.00 9.040 58,784.00 LT Total reinvested 45.248 9.069 41038 9.040 409.04 -1.34 EAI: $2,416 Current yield: 4.08% Security total 6,547.903 9.040 58,784.00 59,19438 59,193.04 •1.34 409.04 T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS Symbol: PFFRX Trade date: Jan 29, 13 5,394.060 10.270 55397.00 55,397.00 10.260 55,343.05 -53.95 LT Total reinvested 17.537 10.279 18028 10.260 179.93 -0.35 EAI: $2,251 Current yield: 4.05% Security total 5,411.597 10.270 55397.00 55,57728 55,522.98 -54.30 125.98 Total $686,768.61 $691,312.76 5688,270.21 43,042.57 51,50140 Total estimated annual income: 530,241 Account name: GHISLAINE MAXWELL Friendly account name:Insley W9935006 Account number: YI 23571 SS Your 15 nodal Advisor. SCOTT STACK MANLYLE CASRIEL 212.821.7000f 800-3088 140 CNP70303005488666NP7003191745 00801 0414 030575004 Y12357I 550 0049MYGM00021Pag 44 of 98 CONFIDENTIAL EFTA_00131903 EFTA01274110 SUBS Resource Management Account • . 2,, 1 . Your assets ri•m•-, Non-traditional Account name: GHISLA1NE MAXWELL Friendly account name: Indry v49935(X)6 Account number: Y1 23571 55 Mutual funds 1.:za rn.e;tc-4 -)1.3 cr a re n,,,szeo jv yrix n does not sncluCe any (aSh deCends It Is rot eta( lot to the purposes of determining fold ng pencils Or con basis. The shares you reeve thxh time you reinvest d %Klemm become a separate tax lot. Cost basis is the told purchase cost of the security. indudng reinvested ciedends The cost basis may need lobe adusted ice return of capita pa)Ments in ofeer boCettanne the a(iuSted COSt bans 10r la< repOring purposes. Your Eisend/II Advisor: SCOTT STACKMANYLYLE CASRiEL 212-821-7000/800-308-3140 rink:woe° crag gale or loss is the Ofference between the current value and the cost bees aldwOuld generaly be your taiatie gam or loss If the sec urn), was sad Cel Its date. The unreal/eft (tag gan or lOis may need to be ac)usted for return of capta pee-news In order to determine Use reszed gain or ices for tax fel:wing purposes. /miasmata teara is the oarent value rrinus the amount you invested. It does not include shares that are not reflected co yai r statement, Includ no; shares that haw been realized as either a gin or a loss. It also does not include cash dvdends that were not reinvested. Hddng Mittel of shares Purchase pace' Average price per share (S) Client tnvestrnent CS) Cost bans (1) Price per share co sex 30($) value on Apr 30 (5) unreatiredgae gain or toss (S) InieTtmerit Hotting return (S) period GATEWAY FUND CLASS Symbol. GTEYX Trade date: Jan 29, 13 Total reinvested EAL 1517 Current yield. 162% Security total 1.089.208 4.905 1,094.113 27.580 28.870 27.586 30,04b 36 30,040.36 30,040.36 141.61 30,181.97 29.130 29.130 31,728.63 142.28 31,871.51 1,688.27 1 27 1,689 54 1,831.15 LT Your total assets \Wire on Apr 30 (1) Percentage ot your account Cost bass (5) EsImiated annual income 01 unreaszed gain or loss Cash Equities Cash and money balances 68,798.69 6.48% 68,798.69 Mutual funds 272,234.94 25.65% 244,162.75 4.838.00 28,072.19 Need income Mutual funds 688270.21 6437% 691,312.76 30,241.00 -3,042.57 Non-traditional Mutual funds 31,871.51 3.00% 30,181.7 517.00 1,689.54 Total $1,061,175.35 100.00% $1,034,456.17 U5596= $26,719.16 Account activity this month ewe Aclibrity OfiCrOtiOn AMOUCII (1) Dividend and internstincomo Taxable dividends Apr I Owdend METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS 1 AS OF 03731114 169.36 continued next page SDNY GM 00021284 C HP70003005038667 NPT0o3t9t 745 P0001 0414 030575004 Y123571550000000 Page 45 of 98 CONFIDENTIAL EFTA 0[)131904 EFTA01274111 SUBS Resource Management Account April 2014 Account activity this month (contnueth Date Adnity Dividend and interestiacorne (continued) Taxable dividends (continued) Apr I Dividend Taxable interest Apr I Dividend Apr 1 Dividend Apt I Dividend Apr I Dvidend Apr I Dividend Apr I Dvidend Apr I Dividend Apr I I Dividend Total taxable dividends Apr 7 Interest Account name: GHISLAINE MAXWELL Friendly account name:Indiv V49939;06 Account nuntber. VI 23571 55 Your K nodal Advisor. SCOTT STACK MANY LYLE CASRIEL 212-821-7000/800-3C6.3140 Desorption Amount ID RIDGEWORTH SEIX FLOATING RATEHIGH INCOME FUNDCLASS I AS OF 03/31/14 214.54 DOUBLE UNE TOTAL RETURN FUND INSTL AS OF 0331/14 563.03 COHEN & STEERS PREFERRED SEC & INC FUND I AS OF 03/31/14 302.71 EATON VANCE FLOATING RATE ADVANTAGE CLIAS OF 03/31/14 327.66 P MORGAN MULTI-SECTOR INCOME RAND SELECT SHS 9.57 T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS AS OF 03/31114 180.28 BLACKROCK HIGH YIELD BOND I AS OF 0331/14 303.62 HSBC TOTAL RETURN FUND CLASS I 19.22 SIT DIVIDEND GROWTH FUNDCLASS I AS Of 04/10'14 172.79 52.262.78 UBS BANK USA DEPOSIT ACCOUNT AS Of 04/04/14 I 78 Total taxable interest Total dividend and interest income Investment transactions For more informaion about tne once/ vaue shown for restricted securities, see Important mtormatiorr about your statement a the end Of thls Oocunent DSe Actlety Desorption Ouamity vale (5) rime (1) Proceed: fran investment transactions (5) Funds withdrawn for investments beret ID Accrued 'merest (5) Apr I Reinvestment METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I DMDEND REINVESTED AT 10 68 NAV ON 03/31/14 AS OF 0331/14 15,858 .169 36 Apr I Reinvestment NOGEWORTH SEIX FLOATING RATEHIGH INCOME FUNDCLASS I DIVIDEND REINVESTED AT 9.06 NAV ON 0331/14 AS OF 0331/14 23.680 -214.54 Apr I Reinvestment DOUBLE LINE TOTAL RETURN FUND INSTL DIVIDEND REINVESTED AT 10.90 NAV ON 03/31/14 ASOF 03/31/14 SI 654 •563.03 Apr I Reinvestment COHEN & STEERS PREFERRED SEC & INC FUND I DIVIDEND REINVESTED AT 13.38 NAV ON 0331/14 AS OF 03/31114 22.624 -302.71 Apr 1 Remwstment EATON VANCE FLOATING RATE ADVANTAGE CL I DIVIDEND REINVESTED AT 11.16 NAV ON 29.360 -327.66 51.78 $2.264.56 03/31114 AS OF 03/31114 contrnued next page CHP7C0093056886613NP7003i9i 745 COON 0414 030575004 yt 23571 SW COMIY_GM_0002IIIN 46 of 98 CONFIDENTIAL EFTA_00131905 EFTA01274112 taUBS Resource Management Account Apra201.: Account activity this month (contrwed) lovestment tionsoctions (continued) Prcseeds Iran Funds inkestment Wthatlenti to Accrued Date Acuaty Description lilgentity vtlue (S) Price (1) transactions (1) imeSttnefilt DOugen (I) imerest 01 Apr I Reinvestment 1P MORGAN MULTI-SECTOR INCOME FUND 0.921 -9.57 SELECT 5445 DIVIDEND RENVESTED AT 1039 NAV ON 03131/14 Account name: GHISLAINE MAXWELL Friendly account name:India V49935006 Account number. VI 23571 55 Your Pinandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7800/800-308-3140 Apr I Reinvestment T ROVVE PRICE INSTITUTIONAL FLOATING RATE F CLASS DIVIDEND REINVESTED AT 10.28 NAV ON 03/3814 ASOF 03131/14 17.537 -180.28 Apr I Reinvestment BLACK ROCK HIGH YIELD BOND I DIVIDEND 36.405 -303.62 REINVESTED AT 834 NAV ON 03/31114 AS OF 03/31/14 Total -32,070.77 Date ACtivity Delcoplicn amount (5) Money balance activities Mar 31 Balance forward $68,604.90 Apr 2 Apr 7 Deposit 085 BANK USA DEPOSIT ACCOUNT AS OF 0804114 1.78 Apr I4 Deposit 085 BANK USA DEPOSIT ACCOUNT 172.79 Apr 30 Closing UBS Bank USA Deposit Account The u85 Bank USA Dep09tACCOunt Is yew primary sweep cpt.on DePOSIt UBS BANK USA DEPOSIT ACCOUNT 19.22 $68,798.69 SONY GM 00021288 0070003005038669NP708019i 745 00304 04i4 030575004 M3571550000000 ►age 47 of 98 CONFIDENTIAL EFTA 00131906 EFTA01274113 4tUBS Your notes CNP70009003f88670NP7000i91745 00034 0914 03057%04 Y12357.50 00MY_GM_0002Rtit 48 of 98 End of statement for account numb.' Y1 23571 SS CONFIDENTIAL EFTA_00131907 EFTA01274114 Important information about your statement LEIS Fiuncial Services tic. (the F im or UBS biaxial Sykes} is a merrter of all prince:el Nosily, ammo* and melons exchwges. LES Fe-erxial Mertes and U3S Bank USA are rdrect 'Wisdoms of LES AG and atlases of LES Seosein LIC. Tr Finis I henna' statement is available upon comas!. The Firrnk excite* off ices we a: LE5Finwoul Sermon to 1200 Harbor Boulevard Weehawken, rU 07086 This *dement represents the any official record of you' LES Finsmcial Mimes account Other moods, nape officialese documents. containing oxhide-eclat; should not be relied Loon le you been, there 6 an error cr omission, please report it irrmeciately narking to the Mandl Manager of the office sangmut account. Athargh al figures shorn T9 Wended to be accurate. statement data should not be used for tae purposes Rely meek on wmend tax forms, 0.e.. Form 1099. 5438. 10425, etc.) whin prewrimyour mx return. The Fim required by law to report to t* IRS all taxabk dividend. report** rontaxable MA:kinds and tadak Mena* eared on acuities held in you axant, net proceeds an sale transactor% and cost tests on certain covered margin. Communications with** Firm . Please re-confirm any oralcorm-functions in wring to further protect youtrotas. including your rote order the Sea-nein Inciter Protection Ace (SEA} • If Me finakd nslitution cn the top left of t& hart of this statement is not UBS biaxial SenMes. U3S Feencial Services carries you accost as deanng taker by sr/argument web the niched &Mahon We iriormed you of Ihie NI/a:ankh when you opened this amount. h the case. your lads and sectraina-e kcated a UB5 financial Strikes and rot 4-* iwoctong broke.. al you nut make afar of arty *nor or *Tinian to both NITS. ADoctant statements shall be deemed complete ad accurate f not objected ton wring within 60 days. • Ilene died customer complaints or iNUiin to he Fivn's C lent Relations Dna-ma* at 201.352.1699 crtollfree as 800454-9103, 8:00 A.M. to 6:00 P.M. ET Monday through Friim a in *Meg to LES Financial Services ix., Client Relations Depalment, P.O. Box 766 Union City, NJ 07087. • ti case of errors Or Wed Cm; about an electronic funds transler (W1 bi puymm or UBS Visedebit card trantictorts, call 63-1000, or wile to UBS Feenoal Seneca he., MOO Herber Blvd, 6th floor, Wahaween NI 07086. Men RIVINESA Serkes Cal or write as soon as you cart mu thilc yaw statement or receipt is awn; or if you need more info-mai On about a twofer on the stemmed or r9990. The Firm or Card Issuer as 4altkableknust her from you an later thin 60 days other to Fim sent you the fin stamens on whiin the error or problem *Pared. - howde jots name ad accost maker Of and - Desobe the *nor or he wander you me won about and .'clan as chat as you can why you believe a is an error or Wino° need more information — Proud. the dollar amount el die suspected error. The Fim or Cad Issuer wit negate your complaint and MI correct any error prompt/y. Please mate all checks payebk to the Fern or tie financial inititution in:kited on tie front of this seakment had:Phone° regd., octant fees. accounts may be subject to maetenance fees, chigoes for late parent for securities purchases and charges kr unpaid any:rants in cash &cases. Accounts that we transferred to other hettutions may be subject to a wander tee. UBS Sweep Option UBS offers optics for sweepng cash bine; biances to bank deposits at UBS Bale USA and U35 AG Manta' branch (frank Sweep Progame), money mato mewl krds NormFut) ad the Intonational Depose Accotnt (OA)for customers with a-i nternational Resource Mmagemeni Accost. Through tie Bank Sweep Pregan% cash balances re swept to UIS Berk UM up to an ratabkhod knit ad Memo LES AG Stanford Brand} or e Money Fund. Deposits at UBS Bak USA are FDIC mired in accordance with FDIC oaks. For more rat:mato-I please set memidicgov. Deposes at UBS AG Stamford Binh and tares of Money Funds at rot inured by the FIX. %romp the OA, araileble teat, balances we swept to depose accounts al UBS AG New Yak Branch and UB5 AG Cayman Bunch Thew deposits ate not rowed by der FIX. Balances Fold at to LES AG Carman Brads are tempera* exposed to the so ...reign risk of the Carnal elands, and dire is no 'man*e or other obligation of UBS AG to .way the bin es while cn the UBSC grans Brach's books. Deposes a 135 Bat LEA and each UBS AG french are not protected by SIPC. Money Fund shares we wotected by SIPC. See 1J3S Financial Services Mecum Protection' bobw Upon yaw mount bale-cgs n tie Bank Sweep Program or OA mat be seek:trams and shares of a Money Fund my be liquidated, and the proceed returned to you ormur sense in scare, Firl-te formation about available sweep options, ncteing anent merest rates and yet*, a soak k at www.tbacar/cwepy,elt, from your F hanc ial Advisor or by calling1108762.1000. UPS Financial Sonica sawn protection the Fan is a member of the Sear lies inveTOF Protection Corporation (IPC), whhh protect sororities account, of its members up 10 1500.0:0 incising S28),000 for darts kr cash). The SIPC asset protection knits aPV to all account that you hold n a palizuki warty. The Finn, together Mitt certain affiliates, ha also purchased stpploriental protection. The madmen amount payable to al ekgible there, tokeneak wok, this protection is 5500 million as of December 10, 2013. klo*ct to the poky condiliwn Baldimitation, cash a the firm is further protected kr in to $1.9 million n the aggregate for all Sou accounts held n a poicular capacity A IA ccpy of he poky waxing is maileble upon request. The SIPC protection and the hoplemenUe protection both do not apply to. • Certain Tramiel wort controlled by (and incbded your account value) but hell away from UBSFiriwool Senates (e.g.. certain(* cash at UBS Bark (i$ cash at LES AG StanIcrd branch (1) insuraxe prix4X1S, including variable enmities, and (hr) shires of mutual finds where such shares are registered diectly in the name of the account holder on to backs ad recede of the applied* issuer or trader agent); • Certain contain-a contracts or Mestment interest (eg., Pinked partneshix and prime placements) that we rot registered trder tie Securities Act of 1983; • Commodities contacts (el , Weir excha-ge and mai:usenet.' calrads), ndudivg futures contacts ad torm944CanTI contact. fine SIPC protects:a and tie supplemental protection do not apply to these Mtlet even el theyotherwise appear on gas seaternent. Ow SEC pietweion and the 74-*Olerreentalprotedion do not protect agave changes in the market vale of gar investments (whether as a result of market mosement, issuer bankruptcy or otherwise} More information is awed* rpm reopen You may obtan more racanaion abou SIPC. noticing the 58C Broth's., by coreaningSIPC a 302-371-8300 or by ositng the MK *Ohm ar YAW/.140‘041 Dividend ReiWetblbent Program (DPP) n-e rcke reflected is an away Fria. You may obtain the actual price Iromp.r Financial Advisor. Orey Wok tire are purchased under DIRT; partial shires will be won rd the cash neS be deposited in your secure The deeding reinvestment price applied by tie issuer may Offer from the mate( price at which the partial shires at sold Caelenelieu I:MeMale units may be held.' gar account. If you re entitled to a papal mut as a mull of a dviderd Portent or otherwise, the Firm vol ether sell panel web at rivulet pike or accept an amount determined by a registered clewing agency, rid credit your account Investment objectives the nemmert Minutes and risk profile we magic to each account and may vary between Please Seise the Fern prorreptk in men; of any signif tent dente in you. Make situaton or matron% objectives. kr each CONFIDENTIAL accent held, you choose one of Ihe following Meters* objeclher • Prodwe Cunentlrcome. bomb im es seekng the generation of income cab.. • AcAPabe Gaped Appreoeboo Investments waking growth of prncjaal rather than the generation of norm. • Produce Combinaton oilman. and Capital Ahem:lawn: 'vestments seeki-g both tie generation of wane and 'meth of prit011. Orwell risk precise • Con.wvathe. Seeks to mantel" raid pri-cloat with low risk and volatility to the accord overal, even if the. mews the accost does rot generate signif cant income or returns ad may rot keep pace with inflation. • Moderate: Wiling to accept some rids to pincPal and tolerate some totality to seek higher returns, • Aggressire: Wiling to accept high ridsto pnnopal and high solzeility to seek high returns OW( time. Statement Imuseholdre We may consolidate al related account statements with the same bairns n the same envetsge. Accounts may be related Ice this purpose bet &At they AMA owners who also maintain pea aware relationshps wan other clients at the sane address. This practice's known as • Muth:king ' II you prefer to receine I-diva:kat statements mailed in separate renal:cm — yOU may dales householdwg by Ealing your Premier Advisor. Friendly accourt name the Frendk octant name reflects information that you mewed on the firm's onlne *woes webste. II e a customizable rniclrern? &wen by you to mkt you with your recordkeepim. It has no legal effect on your accotra. Yea can charge your hiendk account names, through Otte Services or by contact-9 murFiencial Adthor. ACCOMn overview • MOM oinWer accoonelporofgan Net of assets and • Assets_ Inclas avertable cad, balances, vases for restricted scatty lest ), and Global Tine Def:03in, urrealied mats to market, and cattail stets not held by the Fim. Does rot inducer unonced secuttietl assets al the end of the prior and curent statement periods, or peva* iwesenwits, divested stock options and vendable stock options • Erattrties Include, debit bileran manardirg moron loans. credit the, dirt auctrit balances. • Casb/rroney balances. Total of uninvested mailable cash balances. plus UBS Bat LISA deposit batrices. UBS AG Starreord french depose balances and money market mewl fund swop Sate,, at the claw of She statement period. Noncom-rocky free credit balances in your accourt ere rot segregated from other balances and tie Pim may use any of these funds in the ordinary came of it business. these funds we payabk upon your darned. This total 6 included ri to anent period close"; value. SDNY_G M_0002 1288 EFTA_00131908 EFTA01274115 Important information about your statement (coninued) tandem, tfomeation For detated information on the Fires lending practices and dociastres, refer to you Clint Relate :robin Agreement or Accan Agreement aid the General Terns rd Conditions UBS Statement of Credit Practices available in Agreements andDixtosures at muratassaggaguaggainass. Yowietera Your netromint Remit acute( endother awes held is the iodate at the end ot the statement period. You may ask for delve of tiny paid sallies at ay time. You may receive securities used as loan collateral after prying any balance due on tem. Any securities transient tote Fin clsig the shrterent polled are lilted at maket value as of the end of the statement Period. • Cost basis. in (*limning the cost basis of to wanes included in this statement teem indicated wen the numb.. • I, • UBS FinancialServices It relied aninformation Planed from sources other than UBS Fhanoal Services, including information Iran another firm a that you may Abe provided to you Filarial Adieu. The Finn does not itloperclontly verify a pagan*e the actuary or vaklity d ay information provided by sates otter tan LEGAmoral Senrces. addlixt although LIDS Financial Services general& ipcletes this itamotion as kende:red, the firm dies not provide any amerances that the informatim vow "Cost basis" and Tairealded gar/loss's accurate as ot the date of his statement. As such please do not rety on his nIcemation to make puchane a sale decisions, forme prpotee otherwise. Accounts Wandered to the Fim may reflect girl loss itmatim on& for the period of tine they aw held a the Frm More historical ihamatcn can be allied by you. amnia Advisor. • thredized painglostes When data is availtle. eslinated tweaked gang lases we calculated fa retdat seas*/ lots. The transaction data for ndviial lot may or maynot Pitt ammissems, charges at washy narwhalOn events Dividend and oterrenwammi lots ad systematic paitne bts are each combined to display ale averagedlot. The • Trade dale • coast pesents the ((grid transaction trade date. • Callable securities Bat and ;referred stock that the issuer cats for eat rectenrobon wig be selected metal& by lot ten among all seoseies of that ista held hour mere or in nornhee II:melee as clients. Call feat i-dcnnatnn a dataned from third parties and is accuracy isnot guranteed. Other <all knives manna which cat affect weld <mote iroomatir matte provided upon request • Cartificates of depot (tsarCDs are FDIC Mist W to 82'93,000 in prianal and accrued interest per &costa aid per deposity instituter, inaccordance vet POIC rules. • Pitehalue Prot, dipbspd for securities and other products may be higher or lower than the price that you would anualy rece . in the minket Prices are obtaned from vaious third party sources which we beim* to be retitle. but we do not gwratee tem accuracy. — We genet* seethe closhg pricewhen ankle a the mean of to bid and ask prices fatted swathes and cptcro a on& bd prices fa OTC motes. - Less ache& waded securities may be priced ushg a valuation model or the moa recent rte we obtaned and may not reflect an actual matt rice or vote - Certain posits may appear withcul a price aid will show as 'price was rot available' if we re untie to obtain a pnce for a worry - Deposits or senates dendninated 6 currencies other tin U.S. dollars are reflected at the ewhinge rate as of the statement date. - Fa cerian states twang 6 noniron( ormrey cienomaccis. pica and quatery (face mkt may have teen adisted to facilitatebra:et vSusion. To obtain current quotalians, when serattle, contact par Financial Adam,. • Private irrestmeme and rtructured products. hit to meninx,* states (ncbdig drect participation crcqam and real estate investment its searites) and structred podxts ale general& highly Akpict Certain stn-chred peoicts have not been registered with the Securities and Each Copt o- under any slate securties laws. We vote estimated vibes for private investment wait is and structured palate for hdormatibrul purports only tatty knot guaranteed. - These values may differ abstain*/ from prices. a any, at which a ante nvesament security a structured ratan may be taAtil or sold and do not necessarilyrepresent the veinal may receive upon liquidation. ▪ Thad pat), esbmates of nale cue as of a renan dread are supled to UBS Fma-cial Services on a regalia' bass by in independent satiation tim. - Mum general partner or Mentor estimated yaks', it ry, are toppled to thereto by the mar, general panne or periatr and may be calculated based on e emel information Iran that used by tit parties to derive tea estimated values. - You can obtain additrul Hamann regrading the methodology used to determine the ratite of value and Ine date of the itrmalintha is the basis forte want by contactig your Financial Advisor. - mid party *sawed stay may be reflected as •Not prned* nave I sit firm. cote n ?dependent wilstion tim has not awl:Seder is aide to assign a vale, when we become aware that a material event has amend tut may call a poets& reported vale it question, or kken a value would be highly speottive due to the nave the security - When neither al suer, general part or sponsor (Iterated vale nor a thrtrany estimated vale is mad, the valued the wary will be &Keane km itspurchaseprice. - • Dsl•ko cm to date may inch)* returned capital. income cr both - 'Chu/nalins see • represent the totted Otero; price per unt and may not (elect Will COO basis • Restricted securities Restated ward in orrnralY are rot coma& table tor public sale. UBS Finical Services toes the matt price of the unrestricted stock cd the sane issuer as an mputed value fade matted stock for moon; of this statement on. To the tent that rearined learition are elQble la a the vale reeked may be saraantial& less than the ittp-ted value gnash_ • Est Betirnated) in.:cent and yields and rates. An estimate of area income is bawd am current added and interest rates, assuring tie stakes will be held for Cow year from statement date or until man-city This eddied hoc* a gakealne, accuracy rd continued moony are not guvranteed - Estimated anal tome al current yield fa certain types of stakes could include a rerun of pnemPal or capital gat in %frith case the est income Ordamen, yeti would be overstated. - Fainted areal tome awl current yeld and the actual item ad yield milt be kwer a higher than the estimated amounts. - An eatate ol trusteed name (divdend ands interest) divded by the cement market vattaverage balance it based on the last dividend or interest payment made by the issuer and manes the seositieddeposts will be held for one year from the statement date or IAN manly. Accuracy ad contnued weld we not gained • Assets not held by UBS 'rancid Services. Certain assets we rot held by the Fain and not nth the fens possessim or contol. These assets are (*played on yos statement for Informational purposes only. Position, aid values presented me Footed by the issui-g tan UBS Fivmcial Services is not rest:ramble for to ?formation and des not guarantee is accuracy. These assets an rot protected by SIK or the finis acplementalSIPC coverage. • Revenue sharing and additional compensation. — In addition to commissions on sales and 12b-1 fees received in correction with the attribution of inset Burin to Ourdents we nuke our Wit eceive r.Vgnua Sharing Perna from distributor ads advisors of the mat funds that we sell. These anowts are based on two diligent COMP:nentt- amant ol aim by UBS of a partirobi mutual fund family to ow clients; and Cs) the asset robed a prelim LT mutual fend I amilis shares held at tie Inn — We and 0.1" afliate abo recewe nem:eking and ormtus protesting lees h contlemtion for transfer agent ante that we prate to the oad fads. Thew lees generally are pad from investor me* in the metal fund and are a fried draw amount based an the number of accounts at the brokedeale holdng maul lads of that fund fmiy CONFIDENTIAL — h wide a to covimescni received n connector wth the sale or dolnbacon of array contracts and ,M immanent tat units toots <lents, we senor our affiliate mat pans sharing compensation f rom many of the inesance companies underveriti-g the amity contracts, Atte of to turat corpanes or sponsors of tetra inwarnent tests we tett - 0.11 Alu te. also neat trading cornrnotkro and other comperwairon from mutual finds and neto(e Companies whose product we datn1OUte• — We mat an anal fee from UBS Bait LOA and U36 AG Stanford Blanch of up to szs per accost swephg to the barks under the UBS Bait Sweep Frogman Activity hbrinationregadrigoannissars and otter chart homed n connectco with the *munch of vat, Hata option transactions ha been included cn anfirmaions revousty furnished to you. ad well be prowled to you promptly co retired. Sheet selling f rat are engaged in shat selling a security, yOLI may nor a charoe the to certain bartering costs for that particular secunty. Open order Regarding Pm or • sixdtillecancelled* crdas tit were not emptied by the statement date, open buy ad sill stop orders are redxed by the mount of dividends or rigas on an emdividerds Cr maitits date unless besotted otherwise by Ira" You are reparable fa orders that are weaned Be tour failure to caxel eating open orders. Privacy To obtain a copy of ax current Client Aiwa Naito please contact your Francis' Achisor or visit our website at wwwwIRDWafiticaOsugla UBS Anemia Services a rot a lurk the RMA, Basta Services Account RSA and IRMA are brokerage accounts which provide access to baking services and products through arrangement wath affiliated bat and other thrdmary banks, and provides access to nsura-ce and annuty prodstt hated by unaffiliated third-paw insurance compares through reurat agency subsidiaries of UBS Financial Services Inc. Internment nsura-ce. and ruttyproducts: Not MAC Mimed • No bank guarantee* May rose vale RYA. Resource Management Accard Business Semites Account BA BMA and alternation& Resource Management Accost are registered service marks of UBS Fruncial Services he Via Sipatue is a resonated senice mak of visa Intonational CBS Via Sartre aerie cards and LES Vita debt cards are isped by UBS Bank USA with prinession from Vew U.S A Incorporated, UBS Financial Services Inc Pt 204102 SDNY_GM_00021289 EFTA_00131909 EFTA01274116 SUBS UBS Financial Services Inc 299 Park Avenue 25th Floor New York IV 10171.0002 CNP70056.316790514 VI 0 Resource Management Account May 2014 GHISLAINE MAXWELL 116 E 65TH STREET NEW YORK NY 10065.7007 Account name: GHISLANE MAXWELL Friendly account name: a-dry:W*935006 Account number: _3571 SS Your Financial Advisor: SCOTT STACK MAW LYLE CASRIEL Phone 2 12.821 -7003/ 800-308-3140 Questions about your statement? Call your Finarog Advisor or the Value of your account RMA ReSOUrCeline at 800-RMA- 1000, account 029323571 on April 30 (1) on May 30 (1) Your assets 1,061,175 35 I ,073,774.63 lAsit our webslte: www.ubtcomtlinancialservices Your liabilities 0.00 0.00 Value of your account $1,061,175.35 $1,073,774.63 Tracking the value of your account S Thousands Sou roes of your acoarmt growth during 2014 Value of your account at year end 2013 1000 Net deposits and 1,061.2 1,0738 withdrawals $1,050,654.22 S Your nvestmentreturn Dividend and interest income 47)342.08 Change in market value $15,278.33 Value of your areoutt AOr 2014 May 2014 on May 30. 2014 S1,073.77463 SDNY GM 00021290 Member SIPC CW70001005631679 NP7000193246 C0004 1:614 030575004 Y123571550 000000 Pogo 35 of 98 CONFIDENTIAL EFTA 00131910 EFTA01274117 *UBS Resource Management Account May 2014 Your account balance sheet Summary of your assets Value on May 30111 Percentage of your account A Cash and money balances 68,819.78 641% B Cash alternatives 0.00 a00% C Equities 278,156.67 25.90% D Fixed income 694,642.20 64 70% E Non-traditional 32,155.98 299% F Commodities 0.00 0.00% G Other 0.00 0.00% Total assets Value of your account $1,073,774.63 Si ,073,774.63 100.00% Account name: GHISLAINE MAXWEU. Friendly account name:InchvV49939X6 Account number: YI 23571 SS Your current asset allocation I A Eye on the markets Index Percentage change Ma 2014 Year to date S&P S00 2.35% 4.97% Russell 3000 2.18% 4.32% MSC I - Europe, Australia Be Far East 1.76% 4.11% Barclays Capital U.S. Aggregate Bond Index Interest rates on May 30, 2014 3-month Treasury bills: 0.04% One-month LIBOR: 0.15% 1.14% 3.87% Your n sandal Advisor. SCOTT STACK MANLYLE CASRIEL 212-821.7030/800-308-3140 Cash and money balances may include available cash balances, UBS Bank USA deposit account balances, U85 AG Stamford Branch deposit account balances and money market mutual fund sweep balances See the Important information about your statement on the last two pages of this statement for details about those balances CNP70003005631680NP70C0197246 00004 0514 030575004 Y12357ISS00:PsofyyGm000211tri 36 of 98 CONFIDENTIAL EFTA_00131911 EFTA01274118 SUBS Resource Management Account May 2014 Account name: GHISLAINE MAXWELL Friendly account name:Indw ve69350D6 Account number. Y1 23571 55 Change in the value of your account Summary of gains and losses May 2014 (1) Year to date (1) Opening account value $1,061,175.35 $0.00 Deposits, including investments transferred in 0.00 1,157,928.70 Withdrawals and fees, including investments transferred out 0.00 -107,274.48 Dividend and interest income 2,280.43 7,842 08 Change in market value 10,318.85 15,278.33 Closing account value $1,073,774.63 $1,073,774.63 Dividend and interest income earned rot purposes of INS statement toobity of interest and dividend Income has been determined from a US tai reporting penpectior. Bad upon the residence of the account hokler, =count type, or product type, some Interest ands dvidend payments mey not be subject to United States (US) area Plitn0 Rico (PR) Income trees The (rent mont* statement is not intended to be used and canto: be feted upon for to purposes. Clients should refer to the applicable tae reporting forms they receive from UgS annual'', such as the Forms 1099 and the Semis 480, (cc Ise reporting information It is the practice of US$ to file the applicant tar reporting forms vAth the US Interna RevenLe SeMf e and PR Treasury otoarvrent and in such forms accurately classify dor:lends and 'a interest as tax exempt or tat* uxorne. Plea consult your indbidual tae prepare,. May 2014 (3) Year to date (1) Taxable dividends 2,278.63 7,838.42 M.312;:n!,:q.'ne 1.80 3.66 Total current year $2,280.43 $7,842.08 Total dividend & interest 32280.43 $7,842.08 Your Ilaandal advisor: SCOTT STACKMANLYLE CASNEL 212-821-70001800-308-3140 Yams reported belay exclude products for which gain andlosses are not dectifitd. Realized gains and losses Unrealized May 2014 (1) Year to date (14 gains and loses (1) Short term 0.00 0.00 16,201.73 Long term 0.00 0.00 20,836.32 Total $0.00 $0.00 $37,038.05 Cash activity summary See Account actraty this month lot deta Is Balances in your Sweep Options are inductdin the cpenng and closing balances vane. FDIC insurance applies only to deposits at U8S Bank USA, not to deposits at LOS AG, Stamford Winch or bank deposits pa«dthroush the LIErSInternetiond deposo Account pro7arn SIPC rioter tion *popes to money Marinet sweep find hordirgs but rot bast deposits. Snimportentinbonabon about your statement on the last two pages et' this document for caws May 2014 (1) year to date (I) Opening balances Additions Deposits and other funds credrted $68,798.69 0.00 $0.00 68,585.53 Dividend and interest income 2,280.43 7,842.08 Total additions $2,280.43 $76,427.61 Subtractions Funds withdrawn for investments bought -2,259 34 -7,607.83 Total subtractions -$2,259.34 -$7,607.83 Net cash flow $21.09 368,819.78 Closing balances 468,819.78 $68,819.78 SDNY GM 00021292 CelP7C009305631691 NP7003150246C0C04 05Ia 03057900I Y123S7ISS0000000 Pegs 37 of 98 CONFIDENTIAL EFTA 00131912 EFTA01274119 *UBS Resource Management Account May 2014 UBS Bank USA Deposit Account APY Interest period Apr 7 • May 6 Opening UBS Bank USA Deposit balance Apr 7 868,625 90 Closing UBS Bank USA Deposit balance May 6 1,68,819.78 Number of days in interest period 30 Average daily balance $68,761.59 Interest earned 81 .80 Annual percentage yield earned 0.03% Account name: GHISLAINE MAXWELL Friendly account name:Indiv V49935006 Account number: VI 23571 S5 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 You can find a ful descripticn of the alternative investment objectives in important information about your statamant at the end of this document. Your return objective: Current income & capital appreciation Your risk profile: Primary - Moderate Investment eligibility consderat on - None selected Your account instructions • Your account cost basis default closing method is FIFO, First in, First Out Your Masud.' Advisor: scorr STACK MANLYLE CASRIEL 212-82I•7000/800-308.3140 CNP7O009005631682 N77000150246 COON OSI4 030575004 7123571 550 cOMYGM00021,1119 38 of 98 CONFIDENTIAL EFTA_0011319B EFTA01274120 *UBS Resource Management Account May 2014 Your assets Account name: GOII5LAINE MAXWELL Friendly account name:Indio vAgs35036 Account number. Y I 23571 55 Serrne prices, Incur* and current vaues Shona may be approximate. As a result, gym and IOSSel may nal be accurately reflected. See Important ntoyatabon about your statement a the end of ens dxurrem for more informaTion Cash Cash and money balances Cash and money balances may Mule avalable cah balances, UBS Cant USA &pont account Waxes. UBS AG Stardord Branch deport account baances and money market mutua fund sweep balances. UBS Bank USA del:colt accounl balances are insured by the FDIC vAl h n eon( ask limits, but are not protected by SasC U135 AG Stanford Brame h deposit acoum Wearier: are not insured by FDIC and we rot protected by SIPC Money market sweep balances are protected by WC but are not insured by the FDIC. Soo the rmportant information 'bowf)n:err statement at the end of this doormen' for dot ails stout term* balances. Hddng V85 BANK USA CEP ACCT Openng Wane Closing Wince CO Msy I (S) on May 30 (S) Pnce per share on May 30(S) Average rate Your financial Adviser: SCOTT STACKMANLYLE CASPJEL 212-821-7000/800-308-3140 onidend Interest Days in period period Cap growl (s) 68798 69 68,819.78 Equities Mutual funds Total reinvested n the Iota dal renvested dwdends M does rot include any cash OTAdends. It is rot ate lot for the purposes of determining hoed ng pe rods or cost basis. The shares you receive tab hrre you reinvest cludeldS teCOMe a separate tax 101 Cost basis is the told purchase cost of the security. inducing renvesteddwiends Tee cost basis may need to be ad usted for return of capital payments in order to determne the adlusted cat bars for tar rep:gang purposes. Purchase price' Number Average pace Hddn9 Of shares per Shale (I) CLEARBROGE EQUTTY INCOME FUND CLASS I Symbol. SOPYx Trade date: Ain 26, 13 1,179.249 16.769 19,77600 19,776.00 19.503 22,995.35 3,219.35 ST Trade date: Jan IA, 14 296.210 18.470 5,471.00 5,471.00 19.500 5,776.09 305.09 ST Trade date: )an 15, 14 283.181 l8.549 5253.00 5253.00 19.500 5,522.03 269.03 ST contoued next page Client inxestrrent 250,000.00 Unrealited (tar) gain or loss is the dfference between the current value and I he cost bads ri d would generaty be your taratde gin oar loss if the security was sdd on ten date. The unreatoed (tad gan cr loss may need to be sepsted for return Of cerata repents In Older to determine the reined gain or loss lor tax reporting Purposes. "vestment rearm is the Current vat* frInuS The aMOunt yOulmeSted does not include snares that are not reflectedon your statement, Includng shares the have been resited as either a gam or a loss. nano does not include cash dscdends nun were nol reinvested Cost PriCe per share Desis(s) on WI 30(3) mai 3011) value on unrealzed inrestrnent KiciOng return 0) period gain or loss (3) SONY GM 00021294 CPIPTCCICE005631683 NPTOCOIS0246 00004 0514 030575004 Y123571550000300 Page 39 of 98 CONFIDENTIAL EFTA_00I31914. EFTA01274121 UBS Resource Management Account May 2014 Your assets . Equities . Mutual funds (continued) Wiring Number of them Purchase puce Aircrew peke posher. (3) Client investmmt Cost basil (I) Pnce per shire Valve On on Mpi 3D(3) May 30 (I) unreanzed One Imestinert Hddng coin orlon (S) Mum (f) period (f) Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 19.500 5,513.25 274.25 ST Trade date: Jan 17, 14 298.430 18.469 5,512.00 5.512.00 19.500 5,819.38 307.38 ST Total reinvested 14.767 18.760 277.03 19.500 287.96 10.93 EAI: 1812 Current yield 1.77% Security total 2,354.568 17.637 41251.00 41,528.03 45,914.07 4,386.03 4,663.06 COLUMBIA CONVERTIBLE SECURITIES FUNDCLASS 2 Symbol: MAX Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 19.320 22,163.46 1,640.46 ST Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,942.00 19.320 16236.14 294.14 ST Total reinvested 10.535 19.080 201.01 19.320 203.54 2.53 EAI: 1839 Current yield 2.30% Stagily total 1,998.092 18.351 36,465.00 36,666.01 38,603.13 1,937.13 2,138.14 HARBOR CONVERTIBLE SECURMES FUNDCLASS I Symbol: HACSX Trade date: Jan 29, 13 1,872.780 10.250 19,196.00 19,196.00 11.410 21368.42 2,172,42 LT Trade date: km 17, 13 960.534 10.489 10,076.00 10,076.00 11.410 1035969 883.69 ST Total reinvested 9.397 11.180 105.06 11.410 107.22 2.16 EAI: 4538 Current yield 1.81% Security total 2,842.711 10.334 29272.00 29,377.06 32,435.33 3,058.27 3,163.33 JP MJRGAN INTREPID EUROPEAN INST Symbol: JFELX Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 27.650 12,040.25 1,966.25 ST Trade date: Aug 6. 13 439.831 23.286 10242.00 10242.00 27.650 12,161.32 1,919.32 ST EAI: 475 Current yield: 0.31% Security total 875.283 23.211 20,316.00 20,316.00 24201.57 3,885.57 3,885.57 MATHEWS ASIA DIVIDEND FUND INSTL Symbol: MIPIX continued next page CNP7000300.5631 684 NP7000193246 00004 06)4 030575004 y123571 580 0304MCGM_000211199S 40 of 98 Account name: GHISLA1NE MAXWELL friendly account name: Indiv V49935006 Account number. Y1 23571 S5 Your Asandal Advisor, SCOTT STACK MANY LYLE CASRIEL 212-82 140001800-308a 140 CONFIDENTIAL EFTA_00 I 3 1915 EFTA01274122 *UBS Resource Management Account May 2014 Your assets . Equities . Mutual funds (continued) ticking Number of shares PurcheSeDIK41 Average price (se) ineestrnenatie(7) Cost Oasis (I) Price per snare on May 30(7) on Ma/ 30 (1) trureallzed Rad 93In or loss (1) investment Nuking return (s) period Trade date: tan 29, 13 2.156.431 14.849 32,023.00 32,023.00 15.910 34308.81 2,285.81 LT Trade date: Feb 1, 13 481.951 15.069 7263.00 7,263.03 15.910 7,667.84 404.84 LT Total reinvested 5.404 14.739 79.65 15.910 85.98 633 EAI: $1,356 Current yield: 3.22% Security total 2,643.786 14.890 39286.00 39,365.65 42,062.63 2,696.98 2,776.63 SIT DIVIDEND GROWTH FUND CLASS I Symbol: SOVGX Trade date: /an 29, 13 2333.831 15.400 35,941.00 35,941.00 1&240 42,569.08 6,62808 LT Trade date: Son 11, 13 624.804 16.569 10,353.00 10353.00 18.240 11396.42 1,043.42 ST EAI: $751 Current yield 1.39% Security total 2.958.635 15.647 46294.00 46294.00 53,965.50 7,671.50 7,671.50 TORTOISE MLP & PIPEWE FUND CLASS INSTL Symbol: TORIX Trade date: /an 29, 13 2,296.774 13.330 30,616.00 30,616.00 17.840 40,974.44 10,358.44 10,358.44 LT (Al: $544 Current yield. 1 33% Total $243.500.00 $244,162.75 $278,156.67 433.993.92 43465647 Total estimated annual income: $5.015 Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number. Y1 23571 55 Your Pi sandal Advisor. SCOTT STACKMANLYLE CASRIEL 212-821-7030/800-308-3140 SDNY GM 00021296 CNP20009305631685NP7000193246 000041:614 0305750041123571550000000 Page 41 of 98 CONFIDENTIAL EFTA_00 I 3 19 16 EFTA01274123 *UBS Resource Management Account May 2014 Your assets (continued) Account name: GHISLA1NE MAXWELL Friendly account nanwrIndiv V49935006 Account number: VI 23571 55 Fixed income Mutual funds total eemvotted n me IOW of a reinvested dsedends does not include arty call, drat:ends. R is rot a tea lot for the purposes of determinng licking periods or cost bass. The shares you receive each tine you reinvest clodeoch become a separate tax Sat Cost Doss s the Iota purchase WA of the security. Indudng reinvested d Wends The cost basis may need to be aclusted tor return c coital payments in order to cietennne the ad usted cost basis for tat reporting purposes. Your 15 nancial Advisor. SCOTT STACK MANYLVLE CASRIEL 212-821.7000/800-308-3140 Unread:el (40 gate of Ices is the dfference between the current vaue and the COSI basis and would genertAy be your testable on cr loss if tit security was sold °Albs date. The unrearted gan Cr loss may need lobe &dusted for return of tepid pa/menu in order to determine the reeked gen or loss for Is, reporting purposes lovettraent :acorn is the current Ica ue minus the amount you invested I dyes not include shares that ae not reflected co you statement, inducing shares that hare been eta iced ea either a gam ce a loss. It also fides not include cash dedends that were not reinvested Hddng Number of shares Purchase PRP' Averacy pace per Share (S) Client investment Cs) Cost Deals (S) Nye per share on Ma) 30 OS Value on May 30 IS) Unrealized Car) gain or loss (5) investment Hording return (5) period AVENUE CREDIT STRATEGIES FUND CLASS INSTL Symbol. AC S8X Trade date: Nov 12, 13 910736 11.270 10264 00 10,264 00 11.890 10,828.65 564.65 ST Trade date: Nov IS. 13 912.566 11.300 10.312.00 10312.00 11.890 10,850.41 53841 ST Trade date: Nov 25, 13 911 661 11.319 10.320 00 10,320.00 11.890 10,839.65 519.65 ST Total reinvested 29.126 11.550 336.41 11.890 346.31 9.90 EAI: $1,034 Curent yield: 3.15% Security total 2764 089 11.299 30,896.00 31,232 41 32,865 01 1,632.61 1969 02 BLACKRCCK HIGH YIELD POND I Symbol. BHYIX Trade date: Jan 29, 13 4,811.156 8.200 39,451.48 39,451.48 8390 40365.59 914.11 LT Trade date: Ain 27,13 2,481 156 7.959 19,750.00 19,750.00 8.390 20,816.90 1,0266 90 ST Total reinvested 101.729 8.346 849.13 8.390 853.51 4.38 EAI: 13.653 Current yield. 5.89% Security total 7,394.041 8.121 59,201.48 60,050 61 62,035.00 1,985.39 2,834.52 COHEN & STEERS PREFERRED SEC & INC FUND Symbol. CPXIX Trade date. /an 29, 13 3.002 068 13.487 40.490 57 40.490 57 13.710 41,158.35 667.78 IT Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.710 10,153.97 235.57 LT Trade date: Jun 14, 13 751.274 13.309 9,999.02 9,999.02 13.710 10299.97 300.95 ST continued next page CNP7C0C0305631 686 r48700OIS0246 C0034 0514 030575004 yt 23571 SSC) COrictsiLif_G m_ormAtivy 42 of 98 CONFIDENTIAL EFTA 00131917 EFTA01274124 (*) UBS Resource Management Account May 2014 Account name: GHISLAINE MAXWELL ?stencils; account name: Indiv V49935006 Account number. VI 23571 55 Your Mnandea Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000/ 800-308-3140 Your assets Fixed income . Mutual funds (continued) Purchase Plea Nurrber Average price 14ddng of shares per share (0 client investment (1) Cost basis 01 Pact per that on May 300/ value on May 30 (1) Unrealized Rae 93Inotioss (1) Investment Halting return (9 period Total reinvested 69.136 13.393 925.99 13.710 947,85 21.86 EAI: 43,851 Current yield. 6 1690 Security total 4,563.103 13.441 60,407.99 61,333.98 62,560.14 1,226.16 2,152.15 DOUBLE LINE TOTAL RETURN R)ND INSTL Symbol: DEILTX Trade date: /an 29, 13 12,498.155 11.379 142229.00 142229.00 11.010 137,604.69 -4,624.31 LT Total reinvested 155.534 10.929 1,699.98 11.010 1,712.43 12.45 EAI: $7,111 Current yield: 5.10% Security total 12,653.689 11.374 142229.00 143,928.98 139,317.11 -4,611.86 -2,911.85 EATON VANCE FLOATING RATE ADVANTAGE CL 1 Symbol: SFAX Trade date: /an 29, 13 7,524.150 11.180 84,120.00 84,120.00 11.140 83,819.03 -300.97 LT Total reinvested 83.043 11.155 926.42 11.140 925.10 •1.32 EAI: 33,956 Current yield: 4.67% Security total 7,607.193 11.180 84,120.00 85.046.42 84,744.13 -302.29 624.13 HARBOR HIGH YIELD 80 FD INSTITUTIONAL CL Symbol: I-IYFAX Trade date: Ian 29, 13 2,660.657 11.239 29,905.78 29,905.78 11.140 29,639.71 -266.07 LT Total reinvested 30.093 10.989 330.72 11.140 335.24 4.52 EAI: 11,687 Current yield: 5.63% Stagily total 2,690.750 11.237 29,905.78 30236.50 29,974.95 -261.55 69.17 HS8C TOTAL RETURN FUND CLASS I Symbol: I-T IIX Trade date: /an 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.250 39,550.31 -154.34 -154.34 LT EAI: $741 Current yield 187% JP MORGAN MUM-SECTOR INCOME FUND SELECT 5N5 continued next page SDNY GM 00021298 CNP703(5005631687NP7000193245 00004 0514030575004Y123571550000000 Page 43 of 98 CONFIDENTIAL EFTA_00 13 1 918 EFTA01274125 UBS Resource Management Account May 2014 Your assets . Fixed income . Mutual funds (continued) Netting Number of shares Purchase pow Average price per sham (I) Client investment ft) Cost Oasis (S) PnCe per Share on Mai 30(1) Value on May 30 (I) unrealized gal cein calms (S) InveStment Piddry Mum (S) pniod Symbol: JSISX Trade date: Jan 29, 13 4,784.864 10.260 49,092.71 49092.71 10.360 49,571.19 47848 LT Total reinvested 24.458 10.370 253.65 10.360 253.38 -0.27 EAI: 31.231 Current yield: 2.47% Security total 4,809.322 10.261 49,092.7! 49,34636 49,824.57 47821 731.86 METROPOLITAN WEST TOTAL RETURN BOND FUND CASS I Symbol: MWTIX Trade date: Oct 24, 13 7,192.344 10.709 77.030.00 77,030.00 10.850 78,036.93 1,006.93 ST Total reinvested 46.495 10.710 497.97 10.850 504.47 6.50 EAI: 12.150 Current yield: 2.74% Security total 7238.839 10.710 77,030.00 77,527.97 78,541.40 1,013.43 1,511.40 FaDGEWORTH SOX FLOATING RATEHIGH INCOME FUND CLASS I Symbol: SAMBX Trade date: Jan 29, 13 6,502.655 9.039 58,784.00 58,784.00 9.050 58,849.03 65.03 LT Total reinvested 67.469 9.059 61126 9.050 610.59 -0.67 EAI: $2,424 Current yield: 4.08% Security total 6,570.124 9.040 58,784.00 59,39516 59,459.62 64.36 675.62 T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS Symbol: PFFRX Trade date: Ian 29, 13 5,394.060 10.270 55,397.00 55,39700 10.270 55,396.99 -0.01 LT Total reinvested 36.219 10.269 371.96 10.270 371.97 0.01 EAI: $2,281 Current yield: 4.09% Security total 5,430.279 10.270 55,397.00 55,768 96 55,768.96 371.96 Total $686,768.61 8693572.10 $694,642.20 61,070.12 $7,873.59 Total estimated annual income: $30,119 Account name: GNISLAINE MAXWELL friendly account name:Indiv V49935006 Account number. Yt 23571 SS Your rinandd Advisor: SCOTT STACK MAN LYLE CASRIEL 212-82 1.7000/800.3083140 OW70003005631688 NP70:0190246 0000, 0514 030575004 VI 23571540 COMAYGMoodlass 44 of 98 CONFIDENTIAL EFTA_00131919 EFTA01274126 UBS Resource Management Account May 2014 Your assets (continued) Non-traditional Account name: GH1SLAINE MAXWELL Friendly account name: Indiv V49935006 Account number. Y1 23571 55 Mutual funds Tcra.'re metal i-.e • )1a it a re re,szeil jv.*ncls ti does not incluCk any cash ClmCienli is rat a tai lot tee the purposes of dezeimming hold rg periods or cog basn. The shares you receive ear tint you reinvest dedenct become a separate tax lot. Cost basis is the total purchase cost of the security. Ind udng reinvested cl odends The cost basis may need tote aqusted fa return Cl &Old pasments in order 10 oeternne int acLustect cost Dabs for Lac reoonng purposes. Hddng GATEWAY FUND CLASS Symbol. GTEYX Trade date: Jan 29, 13 Total reinvested EAI: 1517 Current yield 161% Security total Your total assets Cash Equities vat on May 30 (ft Percentage of your account Cost (S) &Wooled annual insane (S) UnfezliztO wan or loss (I) Cash and money balances 68219.71 6A1% 68,819.78 Mutual funds 278.156.67 25.90% 244,162.75 5.015.00 33,993.92 flied income Mutual funds 694.642.20 64.70% 693,572.10 30.119.00 1,070.12 Non-traditional Mutual funds 32,155.98 2.99% 30,181.97 517.00 1,974.01 Total $1,073,774.63 100.00% $1,036,736.60 $35,651.00 $37,038.05 Your Nnandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000'800-308-3140 iiniaahaeo (sat)9asa or loss is the ofference between the current value and tte cost bass and would general be yOUr I &able ga n or loss if the sec only was sold on this date. The unrealltd gag gun or IOSS may need to be agusted for retsen of capita paimems in °mei to determine the reautd gain or ices for tax reporting purposes iniestmtra telurn is the current value minus the a-rount you invested it does not include shares that are not reflecteden your statement. inciudng shares that hate been realizedas either a gin or a loss it also does not include cash dvidends that were not reinvested. Matter of shares PorchaSe Wei Average pace pet shale (S) client investment (S) Cost basis (1) Price per share on May 30(1) value on May 30 (5) Unrealized Oa° gain or losS ($) investment HoldKt return (S) period 1:089.208 27.580 30,04036 30,040.36 29.390 32,011.82 1,971.46 LT 4.905 28.870 141.61 29.390 144.16 2 55 1,094.113 27.586 30,04036 30,181 97 32,155.98 1,974.01 2,115 62 Account activity this month Date Atlitsty DtSCrOtiOn AffOur11 (I) Dividend and internstincorne Taxable dividends May I Dvidend METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I AS OF 04I3CE 14 174.28 contmued next page SDNY GM 00021300 CNP7C0C0305631669NP7003193246 00001 °Slit 030575004 Y123571550000000 Page 45 of 98 CONFIDENTIAL EFIA_00131920 EFTA01274127 *UBS Resource Management Account May 2014 Account activity this month (commis) Dale Activity Descnotion Account name: GHISLAINE MAXWELL Friendly account name: incliv V49935006 Account number: Y1 23571 55 Your Kaancial Advisor: SCOTT STACK MANLYLE CASRIEL 212.821.7000'800'308.3140 Arnosot (I) Dividend and interestiscome (continued) Taxable dividends (continued) May 1 Dividend RIDGEWORTH SEIX FLOATING RATEHIGH INCOME FUNDCLASS I AS OF 200.88 04130114 May I Dividend DOUBLE UNE TOTAL RETURN FWD INSTL AS OF ON 30/ 14 571.79 May I Dividend May I Dividend May I Dividend May I Dividend May I Dividend May I Dividend HSBC TOTAL RERAN FUND CLASS I 19.29 Total taxable dividends COHEN & STEERS PREFERRED SEC & INC FUND I As OF 04/30114 304.22 EATON VANCE FLOATING RATE ADVANTAGE CLIAS OF 04/30/14 311.04 P MORGAN MULTI-SECTOR INCOME FWD SELECT 5115 244.08 T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS AS OF 04/30/14 191.68 BLACKROCK HIGH VELD BOND1AS OF 0413014 261.37 $2.278.63 Taxable interest May 7 Interest UBS BANK USA DEPOSIT ACCOUNT AS OF 090614 1.80 Total taxable interest Total dividend and interest income Investment transactions For mote Informsion stout the price/value shown for restricted securities, see important information about your Statement at the end of Inn doc✓nenl Date Actrely Desolpton Quantity Val* (S) Prise (3) Proceeds Iran inbestment 'remissions (5) Funds smthdiavAlcr 'n*5141041 bola Accrued intern (5) May I Reinvestment METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I DIVIDEND REINVESTED AT 10.74 NAV ON 04J30t 14 AS OF 04130 la 16.227 -174 28 May I Reinvestment RIDGEWORTH SEC( FLOATING RATEHIGH INCOME FUND CLASS I DIVIDEND REINVESTED AT 9.04 NAV ON ON30,14 AS OF 04130/14 22.221 •200 88 May I Reinvestment DOUBLE LINE TOTAL RETURN FUND INSTL DIVIDEND REINVESTED AT 10.93 NAV ON Oat 3O14 AS OF 04131714 52.314 -571.79 May I Reinvestment COHEN & STEERS PREFERRED SEC & INC FUND I DVIDEND REINVESTED AT 13.54 NAV ON Oat 3014 AS OF 04130114 22.468 -304 22 May I Reinvestment EATON VANCE FLOATING RATE ADVANTAGE CL I DIVIDEND REINVESTED AT 11.12 NAV ON 04/ XVI 4 AS OF 04(30114 27.971 -311.04 31.10 $2.280A3 continued next page CNP7C0C0305631690NPVCOIS0246 00004 0514 030575004 y123571$50co gakiYGM0002%14 46 of 98 CONFIDENTIAL EFTA_0013 192 1 EFTA01274128 *UBS Resource Management Account May 2014 Account activity this month (contrivec) Investment transactions (continued) Date &linty Descilpeon rm<etOs bran inwstmeM Dignity Witt (I) Price 0) tiansaalons Funa WIN:Hann la Accrued inseSbnenIS beer (5) keno (S) May 1 Reinwstment JP MORGAN MULTI-SECTOR INCOME FUND SELECT SHS DIVIDEND REMVESTED AT 1037 NAV ON 0413014 23.537 -244.08 May 1 Reimestment T ROVVE PRICE INSTITUTIONAL FLOATING RATE F CLASS DIVIDEND RENVESTED AT 1026 NAV ON 04138114 AS OF 04(30'14 18.682 -191.68 May I Reinwstment 8LACKROCK HIGH YIELD BOND I DMDEND REINVESTED AT 833 NAV ON 04301 14 AS OF 04+ 30(14 31.377 -261.37 Total -$2,259.34 Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number. Y1 23571 55 Your M sandal Advisor: SCOTT STACK MAN LYLE CASRIEL 212-821-7000/800-308-3140 Oate Adrvity Deictebal Amount (I) Money balance activities Apr30 Balance forward $68,798.69 May 2 Deposit UBS BANK USA DEPOSIT ACCOUNT 19.29 May 7 Deposit UBS BANK USA DEPOSIT ACCOUNT AS OF 05106114 1.80 May 30 Closing UBS Bank USA Deposit Account The UBS sant USA Exposit ACCOurit Is your primary sweep cphon $68.829.78 SDNY GM 00021302 CNIWO3C0305631691 NP7000193246 00004 C514 030575004 Y123571 SSO 000000 ►egs 47 of 90 CONFIDENTIAL EFTA_00131922 EFTA01274129 *UBS Yournotes rqsrmuy_._oaoAsss...F. CONFIDENTIAL EFT,00B1923 EFTA01274130 Important information about your statement LEIS Firuncial Services tat. Of* F im or UBS Anemia! Sakes). is a merrter of all orinobel ammo* and cptbis exchages. LES Frerxial Services and LBS Bank USA are rdrect substiates of LES AG and affiliates of LES S.osein UC. Ti. Fim's f tonna' statement is available upon reqra The Fin's ereoske off ices re a: LIB5 ainencul Snows Ix. 1200 Harbor Boulevard Weehawken, to 07086 Ibis Menem represent the any oil icier record of you LES Friend Samos account. Other wards, inapt official to dray-anent containing conflicting date should not be relied Lyon 8 you been, there is an error cr omission, please report it irrmeciately n *Ming to the Ranch Manager of the office sewing your account. Athanti al figures shown ate Wended to be accurate. statement dated-OM not be used for tar purposes Rely sere& onwaLend tax kerns, 6.e., form 1099. Sae. 10425, etc.) whin prepregyour tu return. The Fim required by law to moon to the IRS all Trak dividends. retortion rantrabb driends and tat tdennt eared on securities held on ma amort, net proceeds on sale transactor-6, ad cost base on certain covered worths. Communications with the Finn • Please re-confirm arty oral cormircatorrs in writing to further protect your raids. incladrig your Ned ..nder the Smarties !nest& Protection Act (SEAT • If the Gnats' nstitution on the tcp left of the horn of this statement is ncelE5 Financial Sakes. U3S Financial Services carries yam account as clearing taker by at argerront wah the ticketed institution We irdormed you d this relationship when you opened this accost. h this case. your lads and searain we located a UB5 hornet Server's and rot the Madan; broker. a-4 you nut make enrol of try weer or *Tuition to both linTS. A accort "Lotmanshall be deemed complete ad accurate a not objected to in wring within 60 days. • Plea% divot customer complaints or iNUSS to he Finn's C Relatkns Dna-men X 201.352.1699 crtollfree at 800-354-9103, 8:00 A.M. to 6:00 P.M. ET Monday through Fridap a in wing to LES Financial Sereces Ix., Client Relations Depalment, P.O. Box 766 Union City, NJ 07087. • none of tints or West Cm; about an electronic funds trande (W1 bi puymm or UBS Visedebit card Vansabort, call 62-1000, or wise to UBS Faunual Semen tic„ MOO turbo' Blvd, 6th floor. Weehawken NI 07086. Ann RIONESA Snit Cal or write as soon as you can if jou rile yaw statement Cr receipt is won; or if you need more infamation about a twofer on the 'tanned or nntSt. The Firm or Card Muir as AlfkifblekDdlt her from Imo nh later than 60 days aher to Fim sent you the fro stamen on which the nor problem *Peered. - Nodeyou- name a-4 acorn number Of any) - Describe the n or he wander you me anise about, and .'clan as der& as yoa can why you believe it is an error or why you need more limitation — Provide the dollar amore d de suspected error. The Fin or Cad Issuer wi irionsissete your °implant and evil cared any error ',motif. Please mate all checks payable to the Firm or fie liunceal inetitutien ackated on fie front of this itakimmt h acklitim to 'nig' arrant fees accounts may be subject to mairename lees, chars for late parent for sautes purchases and charges ice unpaid anions in cash awaits. Accounts that we transferred to other hetautions may be subject to a wander fro. UBS Sweep Options UBS offers options for among cash bane; balances to bank deposits al UBS Bale USA and UBS AG Slanted birds (frank Sweep Pregame), moneymedia Indus! krds Namara.* and the In Deposit Meant (DATfor customers with an kierretional Resource Management Accost Through tie Bank Sweep Progarns, cash balances re swept to UISEterk USA up to an intabkhod knit ad then to LES AG Stamford Brandt. or a Money Fund. Deposits at UBS Bak USA are FDIC insured in eccentric* with FDIC rules. For nut Monti:el please vet mewl dioger. Deposits at 1185 AG Stanford Bind. and fates of Money Funds tarot nand by the FIX. %mug, the OA available to cash balances we swept to depose accounts al U65 AG New York Branch and UB5 AG Cayman Bunch Thew deposits are not insund by she FIX. Balances hold at the LES AG Carat Brand, are tempera* exposed to the so ...reign risk of the Caron elands, and tee is no giarantee or °the obligation of UBS AG to tray the betimes while on the UBSC grans Bodis books. Deposes a 185 Birk LEA and each UBS AG Bench are not protected by SIPC. Money Fund shires we protected by SIPC. Ste *UBS Financial Seises Award Protection' bobw Upon you regant, balances in tie Bank Sweep hi:gransa' OA my be withdraw" and shares of a Money Fund my be liquidated, end the proceeds returned to you <flour seostin accord, Rater formation about available sweep options. nothing amen merest rates and yetis, a walk k at www Lax comreseeprekt, from your F Maria ial editor or by calling 800.762.1000. UM Financial Services actor protection The F rrn is a member of the Searees Viveaill Protection Corporaticn (SIPC), *nth protect securities account. of its members up to S500,0:0 including S29),000 for dams kr cash/ The SIPC asset potection "mks XPV to all account that you hold n a palkular capeoly. The Finn, together with certain affiliates, ha also purchased terlarental protection. The madmen amount male to al eligible dent, marten& utter this mocker is 5500 million as of December 10, 2013. kloSet to the pokyconditions ad limitation, cash X the firm is further protected fix Leotette million n the aggegate tor all you accounts held n ape-Ocular capacity A fSleepy of tepoky wring is mailable upon request. The SIPC protection and the supplemental protection both do not apply to. ▪ Corbin Tramiel asses controlled by (and nettled it your account value) but hell away from US$Fine-col Services (e.g.. certain(0 cash al UBS Bat (i$ rain at LES AG Stanlord branch (1) insurn prosiX1S, including variable enmities, and (iv) shares of mutual fade whore such shares are registered diedly n the none of the account holder on re boas ad mach of the applied* issuer or transfer agent); • Certain morel contracts or Moment interest (tg., limited partneserix and phut* placements) tot we rot registered under tie Securities Act of 1903; ad • Commodities corrects (e.g. lotion exchange and mei:us/near resters). nduding futures contacts ad tormodig cation contract. The SIPC potection and the supplemental protection do not apply so these nitn event they otherwise appear on gas statement. Tor SEC proteciiii and the araPlerriental protection do not protect agave changes in fie main vats of you' investments (whether as a rest* of market movement. issuer baicruptcy OthenViit) More information is avalable Ism rapist You may obtan more Mansion abort SIPC. noticing the 58C Brochure, by contacting9PC a 202371.8300or by isitng the UPC websiu at WeWSPICAIEI Dividend ReiWetblbefill Program (Dpi) The ate reflected is an swage price. You may obtan the acb.el price Iron you- Financial Advisor. Onk Wore tire, are purchased under Dli; partial shires will be wen rd the oath wM be deposited your account. The 6viderd retirement price applied by tie issuer may liner from the market plot at which repartial shares we sold Carlekelieu CM, whole units may beheld you' account. If you are entitled to a panel use as smolt of a dviderd naimeol or °terms., the Firm viii era sell panel met at rivulet peke a accept an annum determined by a registered clearing flaky, ailcredit you' accost Investment objectives The rimmert triremes and risk profile we specific to each account and may vary between Please Seise the awn prowling in main of any signikant change in yaw Maxie' situacn or nvestmert objectives. Fix each CONFIDENTIAL wont held, you choose one of tie following .'vestment objectives' • Soda, CunentIrcome. Ii.esbe es seekng the generation of income my. • Juliano °peal approbation Investment seeking growth of propel rather that the generation ol income. • Pialoce Combinaton of lrcome and Capital Appel:lawn Iferesiments seeking both the generation ol name and 'myth of fatC011. °troll risk precise • Consentartve Seeks to mann Sol pectook with low risk and volatility to the accord metal, even if that mewls the Jocose does not generate significant income or mums ad may rot keep pace with inflatire • Medea: Willing to accept sone risk to pirtnal and tolerate some totality to seek hirer returns, • Aggressive: Wiling to accept high rick to principal and high volatility to seek hgh returns over time. Statement liouseholdne We may consolidate al related account strternents with the same sAbess n the wee envelope. Accounts may be related la this purpose berate they have canon who also maintain john acorn relationships wit other dents at the sane address. This practice's known as • househpling ' you prefer to reoehe tdiodual statements mailed in separate —yea may dklive householfing by Ealing your anoxia Advisor. Friendly accourt name The Frendk accord name reflects al ormation that you emend on the Firm's ordne winces webate. II is a curb:mixable 'nide-urn? drown by you to auks you wah spar record...ring It has no legal effect on your axiom. You can change you' hiendk acccunt names. through Crane Services or by contact-9 rurFkancial Advisor. Aaron overview • vats of ma accoonabortifin Net of moats ad • Assets_ Steaks wattle cash balances, sepses for restricted searey lest ), and Global tine Deposits, urrealied marts to market and caftan mats not held by the Fim. Does rot include unPrired assets al the end of the prior and outwit stalernent periods, on pretax iwestmerts, wrested stock options ad amenable stock options • Eire Includes debit bilirces, oaturdirg trorgn loans. credit the, tot sactrit balances. • Casb/reoney balances. Total of uninvested avalable cash balances. plus UBS. Bak LISA deposit balances. UBS AG Stanford Branch deposit balances and money market maws fund sweep balaxes at to case of the statement period. Norwormlocity free credit balances in your accourt are rot segregsed from other balances ad the Fim may use any of these funds in the ordinary course of hexane's. These funds we payabk Loon your darned. This total is includedin to orentpriod closing who. SDNY_G M_0002 1304 EFTA_00B1924 EFTA01274131 Important information about your statement (Continued) 'taw adoration Fix detated at the Finis lending practices and &crosses, aler to yam Clem Relator-ship Arwood or Account Agnomen' aid the General Terms ad Conditions UBS Strome of Credit Practices available in 4camement and Diziosures gdyw mac romarrooridotas. Yaw mete Your astament tenon twat endother assets held lathe exeunt at the end of the staterners period. You may atk fordeivey of f&ty paid seareies at an /time. You may receive sautes used as loan collateral after paying eat balance due on them. k -y securities Iranslened to the Five deist the seater pined are heed al market value as of the end of the sidemen period. • Can bas's in determning the cost basis of the utiles included in this statement, where indicated wan the number UBS FisarcialSorvices to relied co information obtained from sources other tan 1.8$ Frencial Seduces, including nformision Iran another lam a Matt may haw provided to you Financial Advisor. The Finn does not hdrapetently verify a gaunt the acaracy or vardity day irdorrnation provided by sates otter than LEGAuncial Senates. h atlas although UBSFirsatel Services generally acclotee this Hamann as it is received, the firm dos not provide any assurances tat the iicrmatim text "Cost basis" and 1.direalsed gar/loss' is accurate as cd to date of the statement. As such please do not reey on the nlormation to make pachuse a Tale decision& Biqa praxes cer Phenyls*. Accounts transferred to the rim may reflect girl loss rdamatin ongr for the period of tine they ae held a the Frm More hisanical hkanaten canto added by you Fend Advisor. • thredized gain/loss When data is Jailed& eninated turreted suing ban we cictAated fa redvdal saute lots. Re tanacton data for ndvictal be may or may not reflect conn inues. charges motor security margined en ewnts Dividend and otervenwstmeni lots rd systematic padase lots are each canbined to display one averaged lot That • Trade date • [altopresentsthe crigrul transaction trade date. • Callable securities Bath and ;referred stock that the tercets for eat redemption will be selected nthmely by lot ban among all seoseies of tat lot held now name or in nominee nano lee as clients. Call bast idamatin s datted from third parties and is accuracy isnot guatanteed. Other call feats maprost which cot tea weld complete idortnatir sill be provided upon request • Owleficatres of depot (CDs) CDs are FDIC tired Lp to 5250,000 n critical and accrued interest per &costa and per deposity institution, haccadence wt FDIC rules. • Pre value. Prot, distad for route and other products may be higher or lower than th wice that you would teddy recede in the market Prices we obtained from various third party sources tilde to Delve to be retitle, but we do not guerattee their accuracy. — We generaty upe the closing pricewhen aveadde cr the mean of the ad ask prices fagged seaters and <plias a onY bd prices fa OTC stashes. - Less actievb waded securities may be priced ushg a valuation mad or the moo recent pet we °blared and may not reflect an actual market price or lake - Certain positions may appear without a price and will Pak as 'price was rot available' if we re laid* to obtain a pnce for a womb - Deposits or strain derannated 6 currencies otter than U.S. dollars are reflected at the ea:hinge rate as of the statement date. - Fee cerien octet wading 6 non.conformrag deriannatcris. Pee aH qua-gib(lace rake) may have teen 2i:tasted to facilitate piper valuation. To obtain current quotatims, when wattle, camas dos Financial Atm,. • Private irvestmets and dructured protheeb. Mire medrrenst secuntin (natty drect participation acqam and real estate investment its se rtes) and strudded pita are gently highly Akpid. Cent sen_ctared products how not been registered wit. the Securities and Excha- Commenion a under any state acute, laws. We provide estimited sates for private investmem stash is and structured products for ntormatibrul purposes only tasty knot guaranteed. - These values may differ abstantiaby from prices. a any, at whch a ante Pesten' security a structured 'malt may be bough or sold and do not necessarilyrepresent the vale you may receive Won liquidation. - Bird paly intimates of vale cue as a a tenon date ad are &paled to UBS Fna-cial Services on a regukr bass by in independent valuation Jim. - lout general panne- or sparser narrated vaLes, ary, are supplied to 'herrn by the roue, gems' pa-traer or sponsor and may be calculated based as r ean irdonhation Iran that used by Mid parties laden.* their estimated values. - You can obean addiand Harnett' regarding the methodology wed to determine the estinate of value ad She date of to Hamelin tha is the basis forte want by contactrg your Franca' Advisor. - mid party estaded votes my be reflected as •Not peed' newer I et alit. saw n idependere valuation tem RS not suppled or is unable to tip a vale. Mien we become avare that a materialevent has creamed tug May call a petit, reported vase it question. or ten a value would be highly speottive due to the nave id the searity. - When neither al suer, general panne or sponsor estimated sake nor a Uttar estimated value is mead the value of the snob Bait be clitoral from itspurchasepricer - • Dario as to date may ',Idyl.e returnof canal. income a both - 'Crignatrnt see • represents the initial Otero; price per unit and may not reflect year cost basis • Resticeed securities Resercled savdgs generally are rot curtently eemble son public sale. UBSFinatal Services as to mate' price of the unrestricted stock of the same issueras an mputed value for to restricted stock for purpons of this flatomont 0.4, To the relent that rearicled sectrities are 'Pith la sae, the vale retied may be sdonantialh less than the indeed value drown • Est (witirnated) insane. anent yields and rota An (narrate of anal income is based an current dadird and interest rates, 'sating tee stables will be held for me yew from statement date or until matisity, This taint holy a gain& accuracy rd continued income are not guaranteed - Estimated anal itme at anent yield fa certain hoes of stakes could include a tin of prncitalor capeal gars in whith case the est income ard (went yeti would be overstated. - Entreated areal roan and eared yeld and the actual Voune aid yield mitt be luxes higher than thentinated amounts. - An essrnate ol trusteed tome (divdend attar interest) divded by the current make' valtaverage balance is based on the last &trod or Merest payment made by the issuer and assents the stashes/depot will be held for one year from the statement date or until manly. Accuracy rid continued weld we not wombed • Assets not held by WS Francis( Service& Certain assets we rot held by the Fern and not viten the Fern's possession or anti These assets de dopes/cid on yos statement fa informational purposes only. Positions and values presented re Voted by to Syr.; Inn U6SFrancial Services is not resparible for the ?formation and des not panto as accuracy. These wets are rot preened by SIPC or the Fits undemental SIC coverts?. • Revenue shoring and additional compensation. — In addition to commissions on sales and 12b-1 fees received n correction bah the distribution of made had to ardent we Niece our AIMS receive revenue taring Payments from dirribulovs ads advisors of the medal funds that we sell. These anoints are based on two defence cornIfonerAL tbe amant ol sales by UBS of a particular mutual fund family to our clients; and Cs) the asset value of apa-Opt mutual hind family& shares held at the 1mi — We and aJ" alMate abo recewe nemaking and tutted lancet ng lees in consideration der under agent soots that we pray& to the treat fads. These lees generally are pad from investor abets in the mutual fund and are a had dela amount based on the nutter of accounts at the brolendealer holdng maul lads of that fund famiy CONFIDENTIAL — h stern to commisscrs received n connecan wth the sale or distnbikon of curvy contracts and to 'investment trust units to our <lents, we anctor our edit neat noun sharing compensation f rom many of the inesance companies underwriting the amittortracts, debates of to Murat cornets or sponscrs of Metre investment tots we astrbute - On taint also receive trading cornrocars and other corteremin from mutat finds and 'trance commies whose molts we distribute. - Nemeth* as anal fee from UBS Bait OA and tITS AG Stanford Brandi of up to szs per account sweeping to the barks under the UBS Bak Sweep Frograrro. Activity hbirnation resuming catenates and other charges tuned ri connector with tie caudalof rade& includng option transactions has bora included on CCellernrOnS preYOUSly filtrated to you. ani tall be provided to you camptly on retied. Shit gelling f anon engaged in that alli-g a stay. you may hour a change the to certainharming costs for that particular acuity. Open onion Regarding Men or • gxcletillecancelhe ceders tit were not garoded by the tamer( date, open buy at/ tel stop orders are redxed by the anoure of dividends or rights on an ex-dbaderds a arrtits date unless intruded otherwise by yaa. You are respond:4 fa orders that we evetuied dee to your failure to (axe' gosling open orders. thaw To obtain a copy of at currant Client Finery Waite please contact tour Francis' Advisor or yak as timid at witatIGEBstagticAGAWIRY. UBS Bianca' Services a not a bat its WA. Busied Seto, Account RSA and IRMA we brokerage accounts which provide access to barking services a-idproducts though arrangements wet) aft Sated bat sod other thridpaty banks, rod provides access to made and annutty pratects Awed by untamed thimersity insurance comps-as through turate agency subsklivies of UBSFinircial Services Inc. Investment mutat. and ruttyproducts: Not MSC inured • No bank guanine.** May rose vitae RUA. Respite Management Account, Business Services Account 85A, IRMA ad ntematioral Resource Management Accost we registered service marks of UBS Frontal Services he Visa *passe is a registered service mirk of Visa Intonational CBS Visa Signature cede cards and UBS Yea debt cards we eased by UBS Bank USA with prmesion from Vim U.S A Incorporated. UBS FirisrMal Services Inc Fen. 201402 SDNY_G M_0002 1305 EFI'A_00131925 EFTA01274132 UBS 065 Financial Services enc. 299 Park Avenue 25th Floor New York NY 10171.0002 CNP70064989230614 >023Y1 UBS Strategic Advisor June 2014 GHISLAINE MAXWELL 116 E 65TH STREET NEW YORK NY 10065.7007 Account name: GHIS1.424E MAXWELL Friendly account name: Indiv.V49Q3S036 Account number: _3571 SS Your Financial Advisor: SCOTT STACK MANILYLE CASRIEL Phone 212.821.7003800.308-3140 Questions about your statement? call your Finan:ig AdviSCe Or the Value of your account RMA ReSou1C0U me at 800-RMA-1000, account 029023571 on May 30 (1) on lune 30 (1) Your assets 1,073,774 63 1,016,759.23 Visit our website: www.ubs.comainancialseneces Your liabilities 0.00 0.00 Value of your account $1,073,774.63 $1,016,759.23 Items for your attention r Rerninclei tairt rrutual fund shares held in select IRS Investment Achisory Programs will be converted starting in June. See your statement activity for details. Tracking the value of your account S Thousands 1,073.8 1,0168 May 2014 bin 2014 Sources of your account growth during 2014 Value of your account at year end 2013 Net deposits and withdrawals Your ilVeStnent return NW:lendand interest income Chance in market value Value of year woman on An 30, 2014 $0.00 5961,519.35 512,277.21 422,932 67 S1,016.759.23 SDNY GM 00021306 Member SIPC OW70301006493973 W000293741 C0034 0614 030575004 Y123571550111000 Pogo 37 of 102 CONFIDENTIAL EFI'A_00131926 EFTA01274133 *UBS UBS Strategic Advisor June 2014 Your account balance sheet Summary of your assets Value on June 30 (11 Percentage of yOur account A Cash and rrxmey balances 0.00 0.00% B Cash alternatives 0.00 0.00% C Equities 286,385.34 28.17% D Fixed income 698,002.37 68.65% E Non-traditional 32,371.52 3.18% F Corrmodities 0.00 ace% G Other 0.00 0.00% Total assets Value of your account $1,016,759.23 $1,016,759.23 100.00% Account name: GH1SLAINE MAXWELL Friendly account name: Indiy W19935006 Account number: VI 23571 55 Your current asset allocation E Eye on the markets Your A Rancid Advisor. SCOTT STACK MAN LYLE CASRIEL 212.821.7000/800.3083140 Index Percentage change June 20/4 year to date S&P 500 2.07% 7.14% Russell 3000 2.51% 6.94% MSC I - Europe, Australia & Far East 0.99% 5.14% Barclays Capital U.S. Aggregate Bond Index Interest rates on June 30, 2014 3-month Treasury bills: 0.04% One-month LIBOR: 0.16% 0.05% 3.93% CNP70003005498924 NP7000299741 C0M 0644 030575004 VI235715501i y_Gm_00011M.738 of 102 CONFIDENTIAL EFTA 00131927 EFTA01274134 SUBS UBS Strategic Advisor lune 2014 Change in the value of your account June2014(g) Year to date (1) Opening account value 51,073,774.63 $0.00 Deposits, including investments transferred in 175.89 1,158,104.59 Withckawals and fees, including investments transferred out -69280.76 -176,555.24 Dividend and interest income 4,435.13 12,277.21 Change in market value 7,654.34 22,932.67 dosing account value 51,016,759.23 $1,016,759.23 Account name: GHISLAINE MAXWELL friendly account nanse:Indiv V49935006 Account number. 1' I 23571 55 Dividend and interest income earned F01 purposes of its statement, tameability of Inkiest and deldend Income ha been determined from a US tar reputing perspective. Based upon the residence of the account tickler, account type, or product type, sane Interest ardor dell:tend payments may not be subject to united States (UA ardor Puerto Rif° (PR) Income tans. The dent months/ datemem 4 not Intended to be used and cannot be *sea upon for tar purposes. Clients should refer to the apdicade far reporting forms they receive from UBS amualy, such as the Forms 1099 and the Fan 480, for tax reporting infoimabon is the practice Of U85 to file the lisclicalle tar reporting forms with the US Mterni Revenue Service and PR Treatury Debarment and in such forms accurately wary &clench arilor interest a tax exempt or taubie Incase. Pleat consult your indedual tat prepanr. lune 2014 (g) Year to date 12) Taxable dividends 4,106.88 11,945.30 Long-term capital gains 325.55 325.55 Taxable interest 2.70 6.36 Total current year $4,435.13 $12,277.21 Total dividend & interest S4A35.13 $12,277.21 Summary of gains and losses Yaws reported telcw exclude products (or which gans and losses are not demilled. Realized gains and losses Unrealized June 2014 ($) Year to date (I) gains and losses (g) Short term 0.00 0.00 10,672 65 Long term 0.00 0.00 34,019 67 Total 50.00 $0.00 $44,692.32 Your PI medal Adelson SCOTT STACKMANYLYLE CASRiEL 212-821-7000'800-308-3140 Cash activity summary See Account sternly this month for details. attances in your 5neep Ong cos are inducedin the cpenrg and dcaIng Defences rate. FDIC Insurance apdles only to deposit at U8S Bank USA, not todeposits at U85 AG, Stamford Branch or barer deposits placed througti the U8S International Depose account program. SIPC protection applies to money mama sweep hod holdings but rot bag deposits. Sere important inkonnadon about your statement cm the asst two pages cif this document for details. km 2014 (S) Year to date (S) Opening balances $68,819.78 $0.00 Addittons Deposits and other funds credited 175.89 68,761.42 Dividend and interest income 4,435.13 12,277.21 Total additions $4,611.02 $81,038.63 Subtractions Professional management fees and related services -175.89 -175.89 Other funds debited -69,104.87 -6%104.87 Funds withdrawn for investments bought -4,150.04 -11,757.87 Total subtractions 473.430.80 -$81,038.63 Net cash flow -$68,819.78 $0.00 dosing balances $0.00 $0.00 SONY GM 00021308 CNP70003006458925NP7000298741 00004 0614 030575001 Y123571550 11 IMO Page 30 of 102 CONFIDENTIAL EFTA_00131928 EFTA01274135 *UBS UBS Strategic Advisor lune 2014 UBS Bank USA Deposit Account APY Interest period May 7 - Jun 5 Opening UBS Bank USA Deposit balance May 7 $68,819.78 Closing UBS Bank USA Deposit balance Jun 5 $69,104.87 Number of days in interest period 30 Average daily ba bnce $68,848.02 Interest earned $2.70 Annual percentage yield earned 0.05% Account name: GHISLAINE MAXWELL Friendly account name:Indiv V49935:136 Account number. Y1 23571 55 Your investment objectives: YOU have identified the following investment objectives for this account. If you have questions about these objectives, disagree with them, or wish to change them, please contact your Financial Advisor or Branch Manager You can find a ful description of the alternative investment objectives in important information about your statement at the end of this document Your return objective: Current income & capital appreciation Your risk profile: Pitmary - Moderate Investment eligibibty consderat,on - None selected Your account instructions • Vote account is currently coded for margin. • You- account cost basis default closing method is FIFO, First In, First Out Your Mounds' Advisor: scorr STACK MANLYLE CASRIEL 2I2-821.7000/800-308.3140 CNP7030?306498926NP70C0298741 00C04 0SI 4 030575004 v123571SS0 11 biljy_GmiumIlilsog40 of 102 CONFIDENTIAL EFTA_00131929 EFTA01274136 UBS Strategic Advisor sUBS June 2014 Your assets Account naive: GHISLA1NE MAXWELL Friendly account name:Indiv.V49935006 Account number. Y1 23571 55 Sae DM es, income and current va uses Shiasil may be approximate. As a in ult, 94n5 and IOSS45 rot be iaculately reflected. See important onlounabon about yam statement a the end 01 this dxurrent tot more WM:summon Cash Cash and money balances 11:10 ,iy L65 BAN(: USA CEP ACCT 68,819 78 0.00 250.000.00 Openng ['mance on gun 1 fly Closing bane coJun30(S) Pn et per share average On Jun 300) rate Your II sandal Advisor: SCOTT STACKMANLYLE CASRAL 212-821-70001800-308-3140 laradenClIntereSt Oafs in period period Capamount (3) Equities Mutual funds roar ternveSte n the 1014 d S reinvested &Mends ri aces rot include artycash chaidends. a is not alai tinceakerd (t.s0 gain of bat rs the Ofference between the current value and the cost basis aidwould lot for the DurDOSeS 01 determining noticing periods or cost basis. The ShaleS you receive each time you centrally be your tagabie ban 00oss If the seculty was sold on this date me unrealized oao 940 or loss Nimesl digdends become aseparate tax tot may need to be *Med lot return of opts moments In Oder 10determine the rested gain or less for tax Cost Data is the tots purchase cost of the security. Indudno Ninvesteddvidends The COSI baSiS may need reporting purposes. to be aduded fix return or capita owners in order to Oetarnne lte aguSte0 COSI bws la tar rep:yang InveaMent return is the Current value rni nus the amount you i wrested it does not include shares that are not purposes. rHlecte0 on you statement, includ ng shares that have been W1122085 either a gin as loss It also does not ',dude cash dodends that were not reirrteued. Hddng Number of shares Purchase pncel Average price per share (3) Client investment d) Cost basis (I) Price per shoe on Jun 30(5) Value on hy, 30 (3) Unrealizedam) win or loss (S) imestrnent Haling return (S) period 014898/JOE EQUITY INCOME FUND CLASS i Symbol. SOPYX Trade date: Jun 26, 13 1.179.249 16.769 19,77600 19,776.00 19.730 235 .2582 3,490.58 IT Trade date: Jan 14, 14 296.210 18.470 5,471.00 5,471.00 19.730 A26464. 373.22 sr Trade date: Mn 15, 14 283.181 18.549 5253.00 5253.00 19.730 5.587.16 334.16 ST Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 19.730 5578.28 339.28 ST Trade date: Mn 17, 14 298.430 18.469 5,512.00 5,512.00 19.730 5,888.02 37602 ST Total reinvested 26354 19.186 505.64 19.730 519.96 14.32 EAI: 1825 Current yield 1 77% Scanty total 2,366.155 17.647 41251170 41,756.64 46,684.23 4,927.58 5,433.22 COLUMBIA CONWERTGLE continued next page SONY GM 00021310 c ginco0To06498977Ne700379174i 0o034 c6I4 030575004 Y12357155011100) Pogo 41 of 102 CONFIDENTIAL EFEA_00131930 EFTA01274137 *U BS UBS Strategic Advisor June 2014 Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number. YI 23571 SS Your Amends! Advisor, SCOTT STACK MANLYLE CASR1EL 212-821-7000/800-3089140 Your assets Equities . Mutual funds (continued) Number Mang of sharer Purchase pnce' Mem? price per (5) Client investrnmt CS) COst bails (I) Price per share on run 30(S) Value on lin 30 (S) unrethzed0m3 coin of loss (S) long:dent Holding return (S) period SECURITIES FUNDCLASSZ Symbol: NOM Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 19.660 22,553.49 2,030.49 ST Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,942.00 19.660 16,521.87 57987 ST Total reinvested 38.473 19.399 74636 19.660 75628 10.02 EAI: 4891 Current yield 221% Security total 2,026.030 18,367 3646500 37,211.36 39,831.74 2,620.38 3366.74 HARBOR CONVERTIBLE SECURMES FUNDCLASS I Symbol: HACSX Trade date: Jan 29, 13 1,872.780 10.250 19,196.00 19,196.00 11.500 21,536.97 2,340.97 LT Trade date: Jun 17, 13 960.534 10.489 10.076.00 10,076.00 11.500 11)046.14 970.14 LT Total reinvested 17.433 11.318 197.31 11.500 200.48 3.17 EAI: 4599 Current yield 1.83% Security total 2,850.747 10.337 29272.00 29,46931 32,783.59 3,314.28 3,511.59 JP MORGAN INTREPID EUROPEAN INST Symbol: OEM Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 27.720 12,070.73 1,99633 ST Trade date: Aug 6, 13 439.831 23.286 10,242.00 10242.00 27.720 12,192.11 1,950.11 ST EAI: 375 Current yield: 0.31% Security total 875.283 23.211 20,316.00 20.316.00 24262.84 3,946.84 3.94684 MATTHEWS ASIA DIVIDEND FUND INSTL Symbol: SAIFIX Trade date: Jan 29, 13 2.156431 14.849 32,023.00 32,023.00 16.280 35,106.69 3,083.69 LT Trade date: Feb 1, 13 481.951 15.069 7263.00 7263.00 16.280 7,846.16 583.16 LT Total reinvested 23.543 15.841 372.96 16.280 383.28 10.32 EAI: 41,293 Current yield: 2.9844 Security total 2,661.925 14.899 39286.00 39,658.96 43,336.13 3,677.17 4,05013 SIT DIVIDEND GROWTH FUND continued next page CHP70003005498928NP7000298741 00004 0614 030575004 VI 23 571 55011 4Y Gt000pArts2 of 102 CONFIDENTIAL EFTA_00131931 EFTA01274138 UBS Strategic Advisor *UBS June 2014 Your assets v Equities . Mutual funds (continued) Hddng Nurrom of shares Purchase pacer Avetarge pace pet shale (S) Client mvestrotnt Cost basis(S) Price per share on run 30(1) Value on Sin 30 (1) Unrealized8m) gain or ion (S) CLASS Symbol: SDVGX Trade date: /an 29, 13 2,333.831 15.400 35,941.00 35,941 00 18.690 43,619.29 7,678.29 Trade date: Jun 11, 13 624.804 16.569 10353.00 10,35300 18.690 11,677.58 1,324.58 EAI: 4751 Current yield I 36% Security total 2,958.635 15.647 46294.00 46294.00 55,296.88 9,002.87 TORTOISE MLP & PIPELNE FUND CLASS INSTL Symbol: TORIX Trade date: Jan 29, 13 2296.774 13.330 30,616.00 30,616.00 19.240 44,189.93 13,573.93 EA': 4544 Current yield I.23°4 Total 3243500.00 4245.32227 $216,385.34 3•41.063.05 Total estimated annual income: $4.968 Account name: GHISLAINE MAXWELL Friendly account name:Indiv ve9935006 Account number. Y I 23571 55 Your Financial Advisor: SCOTT STACKMANLYLE CASkiEL 212-821-70001800-308-3140 Fixed income Mutual funds Yotai Jemmied is the total d al reinvested Onvdends n does not include any cash I:Nana n is not a tar lot for the purposes of determinng hddng pencds m cost bans. the shoes you receive each time you reinvest d wrench become a separate tax Sol Cost base IS the told purchase cost of the security, inducing arnveSteddvdenclis T re cost basis may need to be ridustedfol return d 0001 payments in order to cetermne the :lusted cost trays for tar reporting purposes. investment Hold ng return (S) period LT LT 9002.87 13,573.93 LT 44208534 veuesked frax)parn ot loss is the onterence between the current vatie and the cost basis and world genertAy be >our !Sable gin orlon if the security was sold on INS date the unedited nag gang loss may need to be alutted foe return at espial payments in :der to determine the married gan or boss for Is reportingdooms investment sewn is It,. current value (gnus the amount you invested. It does not include shares that are not reflected on your statement, indudrg shares that hare been real iced 'neither a gen or alms it alto does net include cash duclends that were not reinvested Hddng Number of shares Purchase puce' Averace pace per share (p) Client investment 01 Cost basis(S) PrKe Per Shit on Jun 30(S) Value on her 300/ Unrealized Oar) gain or 1035 (1) investment Hddng teturn(S) period AVENUE CREDIT STRATEGIES FUND CLASS INSTL Symbol. AC S8X Trade date: Nov 12.13 910.736 11.270 10264 00 10,264 00 11.900 10,837.76 573 76 ST Trade date: Nov 18, 13 912.566 11.300 10,312.00 10,312.00 11.900 10,859.53 547.53 ST Trade date: Nov 25, 13 911.661 11.319 10320.00 10320.00 1.900 10,848.76 528.76 ST Total reinvested 57.231 11.721 670.86 11.900 681.05 10.19 continued next page SONY GM 00021312 cnte7C00?306498929NP7003298741 00034 C614 030579004 Yt 23 571 550 111000 Pon 43 of 102 CONFIDENTIAL EFTA_00131932 EFTA01274139 SUBS UBS Strategic Advisor lure 2014 Your assets . Fixed income . mutual funds (continued) Irking Number of shares Purchase price Arrow pre pet thaw (S) Client investmmt Cost Oath (S) Price per share on Ion 30(1) Value on Jul 30 a) thirernied Rai spin or loss (S) Investment Making Mum (S) potion (1) EAI: 11,044 Current yield: 3.14% Security total 2.792.19,1 11.305 30,896.00 31,566.86 33227.10 1,660.24 2,331.10 8LACKROCK HIGH YIELD BONDI Symbol: BHYIX Trade date: Jan 29, 13 4,811.156 8.200 39,451.48 39,451.48 8.440 40,606.15 1,154.67 LT Trade date: kin 27, 13 2.481.156 7.959 19,750.00 19,750.00 8440 20,940.95 1,190.95 LT Total reinvested 133.978 8.357 1,119.70 8.440 1,130.77 11.07 EAI: 43.609 Current yield: 5.76% Security total 7,426.290 8.123 59201.48 60,321.18 62,677.88 2356.69 3,476.39 COHEN & STEERS PREFERRED SEC & INC FUND I Symbol: CPX1X Trade date: Jan 29, 13 3,002.068 13.487 40,490.57 40.490.57 13.760 41308.45 817.88 LT Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.760 10,191.00 272.60 LT Trade date: Jun 14, 13 751.274 13.309 9,999.02 9,999.02 13.760 10,337.53 33831 LT Total reinvested 91.436 13.470 1,231.72 13.760 1,258.16 26.44 EAI: 13,851 Current yield:6.10% Security total 4,583403 13.443 60,407.99 61,639.71 63,095.14 1,455.43 2,687.15 COUBIE UNE TOTAL RETURN FUND 1NSTL Symbol: DBLTX Trade date: Jan 29, 13 12,4%.155 11.379 142229.00 142229.00 10.990 137,354.71 4,874.29 LT Total reinvested 206.057 10.949 2256.24 10.990 2264.57 8.33 EAI: 47,127 Current yield: 5.10% Security total 12,704.212 11.373 142229.00 144,485.24 139,619.28 -4,865.96 -2.609.72 EATON VANCE FLOATING RATE ADVANTAGE CL I Symbol: EIFAX Trade date: /an 29, 13 7,524.150 11.180 84,120.00 84,120.00 11.150 83,894.26 .225.74 LT Total reinvested 112.240 11.151 1251.67 11.150 1251.48 -0.19 continued next page Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number v1 23571 55 Your 15 nodal Advisor, SCOTT STACK MANYLYLE CASRIEL 212.821.7000'800'308.3140 CNP7000)005498930NP7000298741 00004 OW 4 0305750dt VI 235711501111 IlY Gpit000tqr344 of 102 CONFIDENTIAL EFTA_00 131933 EFTA01274140 UBS UBS Strategic Advisor S 4 Your assets . Fixed income . Mutual funds (cononued) Wiring dumber of shares Putchttse PIKE Average price per shale (I) client investment ft) Cost basis(1) PrKe per share on tun 30(5) Value on h., 30 (1) Unrealized OM gain or loss (I) investment Holdng return CP Period EAI: 33,955 Current yield: 4.64% Security total 7,636.390 11.180 84,120.00 85371.67 85,145.74 -225.93 1.025.74 HARBOR HIGH YIELD BD FD INSTITUTIONAL CL Symbol ItYFAX Trade date: Jan 29, 13 2.660.657 11.239 29,905.78 29,905.78 11.070 29,453.47 -452.31 LT Total reinvested 67.076 11.039 740.49 11.070 742.53 2.04 EAL 11,721 Current yield: 5.70% Security total 2,727.733 11.235 29.905.78 30.64627 30,196.00 -450.27 290.22 HSBC TOTAL RETURN Ft/ND CLASS I Symbol: HTRD( Trade date: Jan 29, 13 3,858.567 10.289 39.704.65 39,704.65 10.230 39,473.14 -231.51 -231.51 LT EAI: 4741 Current yield 1.88% JP MORGAN MUL11-SECTOR INCOME FUND SELECT SHS Symbol: JSISX Trade date: Jan 29, 13 4,784.864 10.260 49,092.71 49,092.71 10.390 49,714.73 622.02 LT Total reinvested 32.814 10.368 340.22 10.390 340.94 0.72 EAI: 41,233 Current yield: 2.46% Security total 4,817.678 10.261 49,092.71 49,432.93 50,055.67 622.74 962.96 METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I Symbol: MWT1X Trade date: Oct 24, 13 7,192.344 10.709 77,030.00 77,030.00 10.640 77,965.01 935.01 ST Total reinvested 62.349 10.745 669.99 10.840 675.86 5.87 EAI: 42,104 Current yield: 2.68% Security total 7254.693 10.710 77,030.00 77,699.99 78,640.87 940.88 1,610.87 RIDGEWORThISEIX FLOATING RATEFIGH INCOME FUND CLASS I Account name: GHISLAINE MAXWELL Friendly account name:Incliv V49935006 Account number Y1 23571 55 Your Pi/sandal Advisor: SCOTT STACKMANLYLE CASR1EL 212-821-7000/800-308-3140 contnued nest page SONY GM 00021314 CNP7000300640931NP700O298741 C0004 0614 030575004 Y12357I 550111000 Page 45 of 102 CONFIDENTIAL EFTA 00131934 EFTA01274141 *UBS UBS Strategic Advisor lune 2014 Account name: GI-IISLAINE MAXWELL Friendly account namelndiv V49939;06 Account number: v1 23571 55 Your II sandal Advisor: SCOTT STACKMAMLVLE CASRIEL 212-821-7000/800-308.3140 Your assets Fixed income . Mutual funds (continued) Purchase pricer MOTO!, Averagi pxe Hddng of shares per share(!) Client investment (S) Cost Oasis el) Pte per share on run 30 (Si Value on tim 30 (1) unrealized044 gain or loss CS/ investment Heating return (5) period Symbol: SAMBX Trade date: Jan 29, 13 6.502.655 9.039 58,784.00 58.784 00 9.070 58,979.08 195.08 IT Total reinvested 90.226 9.057 81721 9.070 818.35 1.14 EAI: 32,432 ardent yield: 407% Security total 6,592.881 9.040 58,784.00 59,601.21 59,797.43 196.22 1,013.43 T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS Symbol: PFFRX Trade date: Jan 29, 13 5,394.060 10.270 55.397.00 55,397.00 10.290 55,504.88 107.88 LT Total reinvested 55.320 10.269 568.13 10.290 569.24 1.11 EAI: 32,278 anent yield 4 06% Security total 5.449.380 10.270 55397.00 55,965.13 56,074.12 108.99 677.12 Total 5686.768.61 $696A34.84 $698,002.37 $1,567.52 $11233.76 Total estimated annual income: 530,095 Non-traditional Mutual funds Teat re.rwestef is the total d at *needed diadends ti does not include any cash awards. n IS natal& lot for the OtaPOSes of determning kiting periods or cost basis. The shares you receive eaCh time you reinvest OWCIOIC/S become a separate tax lot. Cost Pasts is the Iota purchase cost of the security. inducing '<investeddo:lends The cost basis May need tO be aquae° fix return or capital payments in order to Cetermne the singed COS( Oasis lor tam reoonng purposes. tinteolized (WO via or loss rS the differente between the current value and I to cost pass slaws*: 9eneisty be your tamable bran a loss it the sec Laity was sad cc1 thrs date. The unreaalect (tax) cyan d loss may need lo be acEtrsted for return of capita payments In order to determine the rented gain or loss for tax reporting purposes. IlVegthear 1*W (11 IS the current value minus the amount yOulfrveSteCt R CIOtS nOt include Shares that are nOt reflected on your statement, inciudng SAWS that htne been realized as either a cum cc a loss it also does not include cash Ow:tench that were not reinvested. Hddng Norton of shares Purchase puce Average price per share (S) Chem investment CP Cost basis CS/ Pnce per shin on HA 30(1) Value on itti 30 01 UnrealizedOM gain or toss (SI imestmern Hddng return(!) period GATEWAY FUND CLASS Y Symbol. GTEYX Trade date: Jan 29, 13 1,089.208 27.580 30,040.36 30.04036 29.470 32,098.95 2,058.59 LT Total reinvested 9.249 29.128 269.41 29.470 272.57 3.16 CAI. 3514 Current yield 1.59% Security total 1.098.457 27.593 30,040.36 30309 77 32371 52 2,061 75 2.331 16 CNP70009006498932NP70CO238,41 00004 CO 030575004 Y123571$5011 gltliknrGht000lip5,46 of 102 CONFIDENTIAL EFTA 00131935 EFTA01274142 UBS Strategic Advisor *UBS June 2014 Your aSSetS(contfivece Your total assets Vifue o'u it. YJ (1) PeKentaged your &count Cost CS) Bimated *mutt income ($1 Unrethted on of loss (I) Equities Mutual funds 286385.34 28.17% 245,322 27 4,968.00 41,063.05 need income Mutual funds 698,002.37 68.65% 696.434.84 30,095.00 1,567.52 Non-traditional Mutual funds 32,371.52 3.18% 30.309.77 $972,066.88 514.00 2,061.75 Total $1,016,759.23 100.00% $44,692.32 $35,577.00 Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number. VI 23571 55 Your ft nandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000800-308-3140 Account activity this month Date Aclibity Description Mount (I) Deposits and other funds credited Jun 27 Transfer FM Y1 23575 0700 175.89 Total deposits and other funds credited $175.89 Date Actiwty DeKnption Amount ($) Dividend and interest income Taxable dividends Jun 2 Cividend METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I AS OF 093014 172.02 Jun 2 Dvidend RIDGE WORTH SEIX FLOATING RATEHIGH INCOME FUND CLASS I AS OF 05,3*14 205.95 Jun 2 Cividend DOUBLE UNE TOTAL RETURN FUND INSTL AS OF 0930'14 556.26 Jun 2 Cividend COHEN & STEERS PREFERRED SEC & INC FUND I AS OF 093014 305.73 Jun 2 Dvidend EATON VANCE FLOATING RATE ADVANTAGE CL I AS OF 0930114 325.26 Jun 2 Cividend JP MORGAN MULTI-SECTOR INCOME FUND SELECT SHS 86.57 Jun 2 Dvidend T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS AS Of 05,30/14 196.17 Jun 2 Dvidend TORTOISE MID & PIPELINE FUND CLASS INSTIL AS OF 0929'14 263.10 Jun 2 Cividend BLACKROCK HIGH YELD BOND I AS OF 093014 270.57 Jun 2 Dvidend HS8C TOTAL RETURN FUND CLASS I 19.29 Jun20 Cividend GATEWAY FUND CLASSY 127.79 Jun20 Cividend MATTHEWS ASIA CIVICEND FUND INSTL AS OF 0919,14 293.30 Jun 25 Dvidend COLUMBIA CONVERTIBLE SECURMES FUND CLASS Z AS OF 06124/14 219.79 Jun 27 Dvidend HARBOR ICH VIEW BD FDINSITTUTIONAL CL AS OF 092614 409.77 Jun 27 Dvidend HARBOR CONVERTIBLE SECURITIES FUND CLASS I AS OF 06126,14 92.25 Jun 30 Cividend CLEARBRIDGE EQUITY INCOME FUND CLASS I AS OF 092W 1A 228.61 continued next page SONY GM 00021316 CtiP7O3O3OC6498933NP7OCO2163741 COON 0614 030575004 YI23571 550 II 1000 Page 47 of 102 CONFIDENTIAL EFTA_00 1 31936 EFTA01274143 4tUBS UBS Strategic Advisor lune 2014 Account activity this month «oninued Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number: Y1 23571 55 Your Pi sandal Advisor: SCOTT STACK MANLYLE CASRIEL 212.821.70001800-3083140 Date Adak), Descrption Amount (I) Dividend end interestinconte (continued) Taxable dividends (continued) Jun 30 Dvidend AVENUE CREDIT STRATEGIES FUNDCLASS INSTL 334.45 Total taxable dividends 14.10688 tong-term caplet germ Jun 25 Lt Cap Gain COLUMBIA CONVERTIBLE SKURMES RIND CLASS Z LONG TERM CAPITAL 325.55 GAIN AS OF 06124114 Total bag-tens capital gains 32555 Taxable interest Jun 6 Interest UBS BANK USA DEPOSIT ACCOUNT AS OF O6r0914 2.70 Total taxable interest Total dividend and interest income Dole Aaisty DeKroptiOA nun 26 Re Charged INITIAL FEE .175.89 Total professional management fees -S175.89 1.2.70 34,435.13 Amount (S) hes Dao 4;tooly lea(-PI OP Amount (1) -69,102.17 Other funds debited Jun 6 Transfer TO VI 235750100 Jun 9 Transfer TO 111 235750100 Total other funds debited -S69.10427 -2.70 Invesbnent transactions FOI more infornation about the pike value shown for resukted stcuitles, see important informatbn toot your dimmer* x the endor Dos doCiment. Date 4ClaDy DescIptron PA:keels Iron Investment Ouaulty vette (0 Puce (1) ttansacticns (S) Fun CIS 34 tearoom Ice Accrued invesimentsecugln (5) i merest (3) Jun 2 Reinvestment METROPOLITAN WEST TOTAL RETURN BOND FUND C LASSI DIVIDEND REINVESTED AT 10.85 NAV CN 05/3014 AS OF 0930114 15.854 -172.02 Jun 2 Reinvestment ROGEWORTH SEC( FLOATING RATEHIGH INCOME FUND CLASS I DIVIDEND REINVESTED AT 9.05 NAV ON 093014 AS OF 09381;4 22.757 -205.95 Jun 2 Resnwstment DOUBLE UNE TOTAL RETURN FUND INSTL DIVIDEND REINVESTED AT 11.01 NAV ON 0930(14 AS OF 093014 50.523 -556.26 Jun 2 Reinvestment COHEN & STEERS PREFERRED SEC & INC FUND I DIVIDEND REINVESTED AT 13.71 NAV ON 0930,14 ASCII 0930/14 22.300 .305.73 continued next page 01P7COM06449934NP70CO293741 00034 CO 4 030575004 Y123571550 11 glypteGht 000114r7413 of 102 CONFIDENTIAL EFTA 00)319;7 EFTA01274144 (SUBS UBS Strategic Advisor June 2014 Account activity this month (contrived) Investment ttinsections (continued) Date *cunt/ DesolpUon OwnBy vdue (0 price (s) meeds Iran imestment transactions (V Funds Wthddrom to Accrued initS1MenIt bOu001(5) intereS1 (S) Jun 2 Reinvestment EATON VANCE FLOATING RATE ADVANTAGE CL I DIVIDEND REINVESTED AT 11.14 NAV ON 093014 AS OF 093014 29.197 -325.26 Jun 2 Reinvestment JP MORGAN MULTI-SECTOR INCOME RIND SELECT 915 DIVIDEND REINVESTED AT 1036 NAV ON 05/30114 8.356 -86-57 Jun 2 Reinvestment T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS DIVIDEND REINVESTED AT 10.27 NAV ON 093014 AS OF 0930/14 19.101 -196.17 Jun 2 Reinvestment BLACK ROCK HIGH YIELD BOND I DIVIDEND REINVESTED AT 839 NAV ON 093014 AS OF 093014 32.249 .270.57 Jun 20 Reinvestment GATEWAY FUND CLASSY DIVIDEND REINVESTED AT 29.42 NAV ON 091914 4.344 -127.79 Jun 20 Reinvestment MATTHEWS ASIA DIVIDE ND FUND INSTL DIVIDEND REINVESTED AT 16.17 NAV ON 06/1914 ASOF0919/14 18.139 -293.30 Jun 25 Reinvestment COLUMBIA CONVERTIBLE SECURMES FUND CLASS Z DIVIDEND REINVESTED AT 19.52 NAV ON 0924 t 4 AS OF 06 f24Y 11.260 -219.79 Jun 25 Reinwstmtnt COLUMBIA CONVERTIBLE SECURITIES FUND CIASSZ LT CAP GAINS REINVESTED AT 19.52 NAV ON 06/24114 AS OF 0924114 16.678 -325.55 Jun 27 Reinvestment HARBOR HIGH YIELD BD FD INSTITUTIONAL CL DIVIDEND REINVESTED AT 11.08 NAV ON 06126/14 AS OF 092814 36.983 -409.77 Jun 27 Reinvestment HARBOR CONVERTIBLE SECURITIES FUND CLASS I DIVIDEND REINVESTED AT 11 48 NAV ON 082914 AS OF 092914 8.036 -92 25 Jun 30 ReinwStment CLF-ARBRIDGE EQUITY INCOME FUND CLASS I DIVIDEND REINVESTED AT 19.73 NAV ON 0827114 AS OF 0827114 11.587 -228.61 Jun 30 Reinvestment AVENUE CREDIT STRATEGIES FUND CLASS INSTIL DVIDEND REINVESTED AT 11.90 NAV ON 0927/14 28.105 -334.45 Total -84.150.04 SDNY GM 00021318 CNP70303006498935 Ny7000293741 00004 0614 030575004 VI 23 571 550 11 1000 Page 40 of 102 Account name: GHISLAINE MAXWELL Friendly account no/me:Imlay V49935006 Account number. Y1 23571 55 Your PI na nd al Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000/800-308-3140 CONFIDENTIAL EFTA_00131938 EFTA01274145 4tUBS UBS Strategic Advisor rune 2014 Account activity this month COntnVedl Oate Actmty Deicignica Amount (5) Money balance *divines May 30 Balance forward 368.81938 Jun 3 Deposit UBS BANK USA DEPOSIT ACCOUNT 282.39 Jun 6 Deposit U85 BANK USA DEPOSIT ACCOUNT AS OF 06/05/14 2.70 Jun 9 Withdraws UBS BANK USA DEPOSIT ACCOUNT ASOF 06/06114 -69.102.17 Jun 10 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 06/09/ 14 -2.70 Ma 30 Closing UBS Bank USA Deposit Account $0.00 Account name: GI-IISLAINE MAXWELL Friendly account nama:Indiy Ve9935006 Account number: YI 23571 S5 Your lq sandal Advisor: SCOTT STACK MANLYLE CASRIEL 212.821.7000/800.308.3140 The UBS Bank USA DePaut Account IS primary sweep Colon CNP70003:505498936NP7000293741 00004 OM 4 030575004 '1 23 571 550 1 1 1 ky_Gpitocollggerg50 of 102 End of statement for account number Y1 23571 55 CONFIDENTIAL EFTA 00131939 EFTA01274146 Important information about your statement LEIS Financial Services Pc. (the F im or UBS Financial Services} is a merger of all princisel mosey, canon:dry and cptcre exchanges. LES Ft-encial Semites and U3S Bank USA an rdrect sutradares of LES AG and affiliates of LES Sectritin UC. The Fine's Thread al statement is available upon rimiest The Fin* erectile* off ices re a: LES Finacol Semen M. 1200 Harbor Boulevard Weehawken, rU 07086 Ibis statement represents the any official record of yas LES Fe-uncial Semen account. Other words, rapt officiator dominant containing cornicing data should not be relied Loon 8 act believe there is an error or omission, please report it immediately hocking to the Bench Manager of the office cerisemut account. Athakin al figures shown T. Mended to be accurate. statement data shoili not be used for to purposes Rely scleg on wmend tax forms, 0.e.. Form 1099. SW& 10425, etc.) whin prepargyour to return. The Fin, a required by law to report to to IRS all taxabk &foam& reportage rantambh MA:lends and tat Merest eared an acuities held in you accent net proceeds on sale unactcro, and cost base a certain covered margin. Communications whistle Finn • Please re-confirm arty oral corm-orcatons in wring to funher protect your rafts, incbdrig your rite order the Scarifies Inagua Protection Ace (StA). • If thefinance' nsteution cn the top left of the kern of this statement is not 1)85 biaxial Sauces. U3S Financial Services caries you account a Mang taker by anargernent wth the initiated &Maim We Rimmed you of this relagionthijo when you opened this accost. h this case. your Ards and searethae located a UBS financial Services and rot the heocisng broke.. ad you must make recoil of ray ever or *Tuition to both limn. AOoctant gaternrits shall be deemed corrolete ad accurate if not objected to in wen; within 60 days. • Mean divot customer complaints or iNUiieS to he Fiver ;Client Relatenc Dna-Meat a 201.352.1699 atollfree a 800-391-9103, 81:0 A.M. to 6:CO P.M. ET Monday through Files a in voting to LES Financial Sawn lx., Client Relations Depatnent, P.O. Box 766 Union City, NJ 07087. • In case of erten Or Westiars about •-• electronic funds transfer (W1 bi puymm or UBS Visedebit card transaction, call 62-1000, or wise to UBS Fromm' Sermon hc„ 1000 baba Blvd, 6th floor. Weehawken NI 07086. Atm RIVINESA Server Cal a write as soon as you cart it you thiic xis statement or receipt is wag or if you need more Hammier *cut a twofer on the otaternert or rpeeOt. The Firm or Card Issuer as afkaelX muff her from you no later than 60 days aher the Fim sent you the fin staernera on Meth the nor problem *Peered. - Prowde you- name ad accost minter Of any) - Desabe the taw or he transfer you me anise about and nolon an cleat as you can why you believe t is an error or why sou need more infonnation — Proud. the dollar arrant d to suspected error. The Fim or Cad Issuer wil imestigate your complain and MI correct any error promptly. Please mole all checks payable to the Fein or the financial institution intated on the front of this itakment had:Mimeo need., acome fees. accounts may be subject to martenance fees, charges for late parent for securities purchases and charges kr unpaid amounts in cash ascents. Accounts that we transferred to other institutions may be subject to a tinder tee. MS Sweep Options UBS offers opens for among cash basket balances to bait deposits at UBS Bark USA and LES AG Stamford branch Etank Sweep Pregame moneymg/km mutual leads (Morey Fund) and the IntenationalDeposit Accant (0Affor customers with n Inethational Remake Management Account. Through the Bank Sweep Progamt cash balances re swept to UISEak USA up to an egabkhod knI ad then to LES AG Stanford Brandt or a Money Fund. Deposits at UBS Bak USA are FDIC nwed in accordance with FDIC mks. For mcre Hamner, pease keit werwidicgov. Deposes at UBS AG Sleeked Bra*. ad tam of Money Funds ane rot inured by the FCC. %rotor the OA, arvailebk toad, balances we swept to depose accounts at UBS AG New Yak Branch and LES AG Cayman Branch Thew deposits ate not round by the FIX. Balm* Feld at the LES AG Comm Brant, are tempera* exposed to the sovereign risk of the Caron blonds, and there is no 'grantee or otter obligation of UBS AG to .way the boraces while cn the UBSC frank Bradt. books. Deposes a LES Bark LEA and each UBS AG Branch are not protected by SIPC. Money Fund shires ate protected by SIPC. Ste -U3S Fruncial SelviteS Accent Protection' bobw Upon gas regast balms in the Bank Sweep Programsa OA may be wilts" and shares of a Money Fund my be liquidated, ad the proceeds returned so you or your sent 5 accent. Futher formation about available sweep options, nading anent attest rates and mkt>, a aorta k at www dm conliseeprekk from your Franc ial Maar or by calling 800.762.1000. UPS Financial Services inn prate:Ikon The Frm is a molter et the Sea-tabs meter Protection Corporation (SIPC), wheh protect securities account of its members up 10 5500,000 including 5250,000 for deans kr cash) The SIPC asset protection Imes apply to all account that you hold n a palkuM capacity. The Finn, together's*, certain affiliates, ha also purchasechtpplonental protection. The madmen amount payable to al &gide there, cobectoreg trim this protection is 5500 million at of December 10, 2013. kloOrt to the pokyconditions ad lineations, cash X the Firm is further protected fa intette million n the aggregate for all your accounts held n apse:Ocular capacity A IsA copy of to poky wiring is inedible upon requ•st. The SIPC protector, and the supplemental protection both do not apply to. • Certain f racial asses controlled by (and needed your account value) but hell away from US$Fine-MO Sakes (e.g.. certain(* cash al UBS Bat (i$ cash at LES AG Stanfordbunch (i) insurn pro tots, including weiebb enmities, and kg shares of mutual finds where such shores are reentered dreg in the none of the account holier on the boas a-4 math of the applicable issuer a transfer agent); • Certain nwslmert contracts or inestment inteesto (og., limited partnershix and plum plemments) the we rot registered underthe Secunkies Act of 1983; ad • Commodities contacts (e.g, keep ercha-ge and red:usenet.' corevedse ndudi-g futures meads ad tOrrn044 COM contracts. the SIPC protection and et sometime:nal protection do not apply to these assets event theyotherwise appear on as Materna*. Ow SEC piotecien and the saMerrental protection do not protect apace changes in the make vale of your investments (whether as a resift of market mosemenl issuer bankruptcy or otherwise} More information is avalable titer request You may obtan mate infongion abaft Sit. Mixing the 5WC Brochure, by contacting9PC a 202371.8300a by wring the Sift webtim sr YAW/.140‘041 Dividend ROIWOtblbefie Program (DPP) The pee reflected is an swage price. You may obtan the acttel price Iran yar Financial Advisor. Orty Wok tire, at punched under Dli; partial shires wil be won rd tlw cash wM be depotited in your account. The 6viderd reiwnment price applied by the issuer may ale from the make price at which the partial shares ae sold Cadeletiou CM, whole urns may be held in yen account. if you am entad to a panel unt a a result of a dviderd Partnent or otherwise, the Firm viii either sell anal ant at rivulet peke or accept an amount datamined by a regktered Mai* agency, 24 credit you' accost Investment objectives the rammer* objectives end risk profile we specie to each account and rug wry between. Phase /Mee the Fern prompffy in twitrg of any *Heart change in you Maxi& situationOr meomeg objectives. For each CONFIDENTIAL mart held, you choose one of the following inestrrent objecther • Soda, CumentIrcome. l,.esbe es seekng the generation of income cr4. • Achim Capdal Appreciation: Investment waking growth of pirricpal rather than the eversion of income. • Produce Combinatcan oilman. and Capital Appreciative,: Mesiments seeking both the generation of wane and 'myth of peit011. Derail risk prof des • Consearafire Seeks to mantan MOO pecint with low risk and voLaility to the access thecal, even if that meals the accost does rot generate significant income or roan ad my not keep pace with inflaten. • Moderate: Willing to accept sane rids to pinceol and tolerate some votatety to 'seek t4er returns, • Aggress*: Wiling to accept high fa to prempal and high volatility to seek high returns OW( time. State-no-it Itousoholdite We may consolidate al related account statements with the same slices. n the sate eaveixe. Accounts may be related la this purpose beaule they haw owners who also maintain pint accost relationships with other dents at the sane address. This practice's known as • householing 'emu prefer to receive rdiedual statements mated seperate envekpes — yOU Tay Moline householding by offingmut F fluvial Advisor. Friendly accaurt name the Fnendk account nine reflects information that you emend on the FieMs onlne services webste. R o a customizable *niclrurny' chosen by you to artist you with tar record...ming It has no legal effect on your account. You can change yos hiendg account names, through Online Services of by contacti-gmurFeancial Atha,. ACCO‘Olt overview • veto of ma accoontrpornbee Net of assets ad fiabildies. • Assets_ Incases available cash balances, rates for restricted seamy km I, and Global tine Deposits, urrealied maks to market and cectan mats nal held by the Fine. Dom not induct* unwired Stfluitiell assets al the end of the prior and curent stalernent periods, or private nrestrnents, arrested stock options and memeabie stock anions • Entokries Includes debt barges, off nardig margin loan credit the, Pal =cant balances. • Cashkroney balances. Total of uninvested evadable cash balances, plus UBS Bak LISA deposit batences UBS AG Surrroid Branch depose balances and money market mutual fund sweep Sate,, at the case of the statement period. Nonce-mot* kee credit balances in your acorn are rot segregated from other balances and the Fire may use any of these funds in the ordinary course of entwine's. these funds ae payable isson your darned. This total n included in the anent pried closi-g make. SDNY_GM_00021320 EFTA_00131940 EFTA01274147 Important information about your statement (con inued) Lending information Fix detatechnformatton an the Finis landing plotters and dociassres, refer to yea Client Relatership Armoury or Accost Ageomeni at the General Terms at Conditions UBS Statement of Credit Practices available in Agreements andOixiosureS at rota coral arconneelmt. Yaw assets Your oatement Simian siesta( end other anew held in the accoent at the end of the steamer* wed. You may ask for &Piety & full/ paid senates at ry time. You may rests* securities lased as loan collateral after prying any balance due on hem. k -y securities transferredto Me ;ern chtg the statement period are listed at market value as of the end of the Waterton period. • Cast basis. In determning the cost basis of tie males included in he statement, where indicated win he numb*. '1,• UPS Weird& Services has relied an information obtained from sources other tan IRS Financial Senicet including ilforrnsion kern anothe- tem a that yearnss have provided to you Einar-cal Adana. The Finn does not indspendently verify a guarantee the aratacy or vadity day Wornwion groveled by sons oiler than 1**Siuncial Senices. h aicitext although UBS Fina cal Services general& &don fa Hamann at it e rooked, the firm does not provide any astarances that the mammon ender "Cost basis" and "Lhreakzed gar/loss' is accurate as en the date of this statement. As suck please do not rely on this nIcgmation to make &schwa a Sale decisions, keen pupates a *theme's*. Accounts transferred to to Fim may reflect gent loss infamaten only for the period of tine they as held the F rm More historical general in can be added by you Peunchia Advisor. • Unedited gains/losses When data is agildolt eninated untanned gine Imes we ulciAated fa incevilialseasey lots. Re trantictson data for nabistul 101f may or may not !Oka canniness, charges anchor secuityreorgn,:alin events Dividend and °tarn, nwstment lots ad systematic patios kris are each canbined to display one averaged lot. The • Trade date • colann presents the ages' transaction trade date. • Callable securities Ban* and ;referred stock that the span cats for easy recienthan wit be selected mural& by lot Iran among all seo.reies of tat eta held hour name or in nominee nen* lee as <Bente. Call bats* inkrinatkn is obtained from third parties and es accuracy snot guaranteed. Other call featres mate's' which mad affect yetis( complete eacmiaten will be provided upon request • Certificates of deposit (0D4 CDs are FDIC rouged hp to 5293,000 ' pristal and accrued interest per dross and per depositoryinstituter,. Pe accordance rah POIC rules. • Prise/value Pros dig:awed f or securities and oho ;seduces may be higher or lower than Meunier that you would aclualy reek* n the mallet Prices cue obtained from voious third party sources vaniti tee Delve to be rehash. but we do not garalee their accuracy. — We genera, tee the closi-g pricewenn avalabka the mean of the bid ad ask prices fa lined bargees and <peers a on& bed prices fa OTC seostes. - Lest actively waded securities may be priced usiw valuation model or the most recent spree we obtained and may not reflect an actual market rice Or vakat - Certain portico may appear without a peke and will tow as *price was rot available' if we an unable to obtain a pnce f or a wanly - Deposits or secures de-erninated in currencies ocher thin U.S. dollars are reflected at the eachinge rate as of the statement date. - Fa cerien *wines radon in non.conf omng ciensmnalcris. mice and qua-any (face rake) may have been as:listed to facilitatepro:se vdusere To obtain current quotatens, whin wattle, coraad yaw Financial Adescr. • Private hvestenente and structured producb. ?Mate nwOrrem swishes (ixtding drect paticipation reopen and real estate imestment its searites) and stand prodsu ale general& highly &add Certain dristared waists have not been registered will the Securities and Excha- Comension a under any slate wallies laws. We prode estimated vitae for pmate investment wait es and structured products for Pacenlatisrul purposes only. Acasacy knot giaranteed. - These values may differ stbstantiaky from pre'r a any, at vhch a prorate itiesanent security a structured &AO may be toAl-a or sold and do not necessarily represent the vain& may receive uPOn Equitation. - Thal paly tsbmates of vale act as of a certain date and are susplied to UBS Fna-cial Services on a regular bass by in independent vitiation tam. - tsar, general partner or sponsor estimated valan, it ary, are wpWied to to by Ow enuer, general pater or stator and may be calculated based as &Decent information from that used by thid parties to derive tee estimated values. - You can obtan addle's-al rearnaten regrading he methodology used to determine the "Minato of value and the date of he itermatentha is the basis fate est wane by contacting your Financial Advisor. - Th id party *stemmed vitas may be reflected as •Not pied' n wow I sit stens new n Pdependent vitiation tint hes not *spied or is unable to assign a vatae when we became avare that a material event has occured ha may call a pram& reported vats it question. or earn a value would be highlyspeculative due to he nacre on the sanity - When neither an sates, general palm( or sponsor *stinted ate nce a Ord./soli estimated eta if mad e the value of the sourly will be &Relent tan espurchaseprice. - • Dstriss as to date may include return of cased. inCOme a both - 'Origetal snitsee' represents the initial along pee per unit and may not ;elect Will cost basis • Restricted securities Resented secentin general& are rot cuerenty eiwble for publk sale. UBSFina-cal Services owes to motet price of the unrestricted stuck of the sane issuer as an reputed value for en restricted stock for pcepons of this at 'torrent on4, To the eitent that redrined learilion are 'Tube la a the realm rioted may be ssbnantial& less than the inp-ted value town • Eat Destirneted) inccene current yields and rates. An 91tinate 01 meal infOr,, is bawd on current deriders:I at interest rates, assuring tee searitis will be held for one yea from statement date or unit maturity This retinal* it ceW age:Salm., accuracy ad continued income are not guwanteed - Estimated anal income ad cement yield for certain tapes of swishes could include a return of prncpalor capeal gags h raids case the est income Ord current yeldl would be orientated. - Estimated astral icane and went yield and the actual iron e and yield mi;ht be extra higher than the estimated amounts. — An estmate ol aniseed ncome (divdend andor interest) deeded by the current market vatreaverage balance re based on the bet dividend Of tannest payment made by the issuer and wearies she secuitiegdeposes will be held for one year from the statement date or until mab.rity. :twangy at continued weld at not garmiteed • Assets not held by IBS ;rancid Services Certain assess me rot held by the Fain and not whin the fern's possessen or ccrarol. These assets me &sawed on yaw statement for rnformational purposes only. Positions aid values presented as Finned& by the issuing inn UBS Financial Services not reversible for to infamation and des not &manure ns accuracy. these assets we rot prattled by SIC or the Finns supplementalSIC coverage. • Revenue shoring and additional compensation. — In addition to commissions on sales and 12b-t fees rewired n correction wan the distnbution of mutual lend to wardens we anece our fl ab eceive (write haring Pagranto from distributors ardor advisers of the mated funds that we sell. Theseanoints are based on two deferent COM:Onentf- ff.* amantol &elm by UBS of a partnaler mutual find I ami& to our clients, and b) the asset weed a palku Le mutual fund family's shares held at the larn — We and as of orate also recewe nemaking and ormtus pessesoing lees in consideration For Nadir agent woke; that we Fronde to the rukal funds. Thew fees generally are pad from insestor assets in the mutual kind and are a heed Jolla amount based an tie nutter of accounts at the broker-dealer holdng mewl lin& of that fund fmiy CONFIDENTIAL — e, aide& to conmesscro received n connecter. wth the sale or distribUion d a-rusy contracts and snit investment flat units to our <lents, we ands our affiliate marine retina sharing cormsensoen from many of the intrance companies underwritirg the asiity, contracts, *hates d to insurance cargo-en or sponsors of tetra imestment mos we Outshine - Cs affiliates also receive trading commatiso and other compensate° from ,rural Eyck and nsuance ccmpanin whose MEWS we distribute. - Pitmen, n anal fee from UBS Bale LEA and LES AG Stanford flash of up to szs per accost sweeping to the barks under the UBS Bark Sweep Programs Activity hbernationregudrigcannissens and *ter charges ncurred in connexion with tie giecutcri of wades, ndudng option transactions ha been inducted on conbrnrons meow& furnished so you, at will be waded to yOu franptlyatrecpest Short waling Pau we engaged in short selliw a security, you may incur a change the to cerUin barcating costs for that particular security. Open &dem Regarding Wen or • sfx4tilkancefled* orders tat were not yowledbythe statement date, open buy and sel stop orders are refixed by the mount of dividends rights on an exdividerds Cr berigo date unless inetruct•d otherwise by you You are resporobk fa orders that are exeo_ned die coyote 'alum to cancel ensting open orders. Privacy To obtain a cony of as currant Client Fenacy Notice, please contact your Fnancial Achisor or veit our volatile at switaileUDOLOthcaUREIED. UBS Financial Services a rot a brie the RMA. Soonest Soviets Account GSA and IRMA we brokerage /exeunt, which provide access so barking services a-idproducts through areangtenwas yet Alined bats at other thrdpasy banks, and provides access to noura-ce and ennsity proista slued by unaffiliated third.paty insurance ampules through reurance agency subsiiieries of UBS Financial Services Inc. Iniestment, muerte. and artily products: Not VIZ inured • No bank savant.** May Ow vats* RYA. Reroute Management Accost Business Senices Account 854, RMA and ntematioral Resource Management Accost me registered service marks of UBS Francis' Services he Visa *rime is a registered sereice mark of Visa Intonational. CBS Visa Signature cede cads ard LES yea debit cards are weed by UBS Bark USA with of/mission from Yea U.S A Incorporated. UBS Firiandal Services Inc Pi.v. 201402 SDNY_GM_00021321 EFTA_001 3 194 1 EFTA01274148 SUBS UBS Financial Services Inc 299 Park Avenue 25th Roor New York NY 10171.0002 UBS Strategic Advisor• July 2014 CW700578941530714 >2 Y1 0 GHISLAINE MAXWELL 116 E 65TH STREET NEW YORK NY 10065.7007 Account name•- GHISLANE MAXWELL Friendly account name: Indiv.V49935006 Account number: _3571 SS Your Financial Advisor: SCOTT STACKMANILYLE CASRIEL Phone 212.821 -700D/800-308-3140 Questions about your statement? Call yOur FinarKig AdviSO, Or the Value of your account RMA ResourCeline at 800-RMA-1000, account 029323571 on June 30 (1) on July 31 (9) Your assets 1,016,759.23 I ,009,265.73 Visit our websIte: syrow.ubs.cornainantialservices Your liabilities 0.00 0.00 Value of your account $1,016,759.23 31,009265.73 Tracking the value of your account S Thousands 1,016 1009.3 run 2014 1J 2014 Sources of your account growth during 7014 Value of your account at year end 2013 Net deposits and withdrawals 1931,340.65 Your owstment return Dividend and interest income 114589.01 Change in market value 913,336 07 Value of year meow& on 31, 2014 3%009.265.73 9000 SDNY GM 00021322 Ill•mb•r SIPC 0010:03005769453 Ne1000193665 C0004 0714 030575004 Y123571550 010000 Pig* 37 of 100 CONFIDENTIAL EFTA_00131942 EFTA01274149 *DUBS UBS Strategic Advisor July 2014 Your account balance sheet Summary of your assets Value on July 31 ($) Percentage of your account A Cash and money balances 0.00 0.00% B Cash alternatives 0.00 0.00% C Equities 281,077.05 27.85% D Fixed income 696,058.82 68.97% E Non-traditional 32,129.86 3.18% F Commodities 0.00 000% G Other rl 000% Total assets Value of your account $1,009,265.73 $1,009,265.73 100.00% Account name: GHISLAINE MAXWELL Friendly account name: Indiy VA993S0C6 Account number: VI 23571 55 Your current asset allocation Eye on the markets Your K Randal Advisor. SCOTT STACK MAN LYLE CASRIEL 212.821.7000/800.308.3140 Index Percentage change July 2014 Year to date S&P 500 -1.38% 5.66% Russell 3000 -1.97% 4.83% MSC I - Europe, Australia & Far East -1.96% 3.08% Barclays Capital U.S. Aggregate Bond Index Interest rates on July 31, 2014 3-month Treasury bills: 0.03% One-month LIBOR: 0.16% -0.25% 3.66% Cele7000,7005789454 NP700318366500C04 0714 0305750N Y1 2357155001MgyGm0001M2338 of 100 CONFIDENTIAL EFTA 00131943 EFTA01274150 SUBS UBS Strategic Advisor . ; Change in the value of your account July2014 (3) Year to date (I) Opening account value 31,018,759.23 50.00 Deposits, including investments transferred in 2,701.07 1,160,805.66 Withcfrawals and fees, including investments transferred out -2,909.77 479,465.01 Dividend and interest income 2,311.80 14,589.01 Change in market value -9,596.60 13,336.07 Closing account value 51,009,265.73 $1,009,265.73 Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number. VI 23571 55 Dividend and interest income earned For purposes of ths statement, taiatIsty of interest and 6 ad/Ad income has been determined horn a US la reporting perspedno. Based upon the residence ce rho *count holder. *count type, or product type, scene interest and,* dvidend payments may not be subject to United Slates (US) ardor Puerto Rico (PR) Income tarn. The dent momhy statement is not Intended tote used and (amen be Reed mon to tar purposes. Clients should refer to the mica, tat reporting forms they receive from UBS smugly, such as the Forms 1099 and the ROMS 493, for tar reporting Imoimaion R is the practice 01 U85 to file the splicer* tar mooning loans Wth the US Interred Revenue Service and PR rieasury Department and In such forrns accurately classify chfclends andece Interest Jetta tempt or tan! Incur*. Please consult your inchadual tar prepare,. July 2014 (1) Year to date (S) Taxable dividends 2,311.80 1 4,2 57.10 Long-term capital gains 0.00 32555 Taxable interest 0.00 6.36 Total current year $2,311.80 $14,589.01 Total dividend & interest 32,311.80 $14,589.01 Summary of gains and losses values reported beton exclude products for which gore and tosses are not classified. Realized gains and losses Unrealized July 2014 (5) Year to date ($) gains and losses (5) Short term 0.00 0.00 7,961.29 Long term 0.00 0.00 27,134.42 Total $0.00 $0.00 $35,095.71 Your financial Advisor: SCOTT STACK MAN LYLE CASRIEL 212-821-7000/800-308-3140 Cash activity summary See ACCOUM adenly the month for decals. Balances in your Sweep Options are induad I n the opening and dosing balances vela. SDK Insurance apes only to deposits at UBS Bank USA, rot to deposits at UBS AG, Starreced Ranch or bank deposits pieced I luouctr the UBS Internahonal Deposal Account peogarn SIPC prole< tion applies to money market sweep fund lidding: but not bank deposits. SeeImportant intonation about your statement on the last two pages of this document for Stab. July 2014 (5) Year to date (S) Opening balances $0.00 $0.00 Addkions Deposits and other funds credited 2,701.07 71,462.49 Dividend and interest income 2,311.80 14,589.01 Total additions $5,012.87 $86,051.50 Subtractions Professional management fees and related services -1,281.39 -1,457.28 Other funds debited -1,628.38 -70,733.25 Funds withdrawn for investments bought -2,103.10 -13,860.97 Total subtractions -$5,012.87 -388,051.50 Closing balances $0.00 $0.00 SDNY GM 00021324 0/P70307005789455 NV7003191%65 00034 0714 030575004 Y573571550010000 CONFIDENTIAL Pug* 30 of 100 EFTA_00131944 EFTA01274151 UBS UBS Strategic Advisor July 2014 UBS Bank USA Deposit Account APY Interest Period Jun 6 - Jur 7 Opening UBS Bank USA Deposit balance Jun 6 $69,104.87 Closing UBS Bank USA Deposit balance Jul 7 $0.00 Number of days in interest period 32 Average daily balance $0.86 Interest earned $0.00 Annual percentage yield earned 0.00% Account name: GHISLAINE MAXWELL Friendly account name:Pithy V49935:106 Account number Yl 23571 55 Your investment objectives: You have identified the following investment objectives for this account If you have questions about these objectives, disagree with them, or with to change them, please contact you Franco' Advisor or Branch Manager You can find a full description of the alternative investment objectives in important information about your sratemenrat the end of this document Your return objective: Current income & capital appreciation Your risk profile: Primary Moderate investment Nigibi5ty consderabon None selected Your account instructions • Your account cost basis default closing method is FIFO, First In, First Out. Your financial Advisor SCOTT STACK MANLYLE CASRIEL 212-821.70001800-308-3140 CNP7C009001089456NP7OCOI88665 COCO* 07I4 030575004 vl2357ISSOOI igtkiywc000llil3250 of I CO CONFIDENTIAL EFTA_00131945 EFTA01274152 UBS Strategic Advisor *UBS July 2014 Your assets Account name: GHISLAINE MAXWELL Friendly account name:Inch', V49935006 Account number. Y1 23571 55 Some pnces, income and current vaues shown may be compliment. As a *Sue. gains dndlosses may nol be accuralely refkcled. See rmporunt inlosenabon about your statement a the end of ths docurnem for more informs:ion. Equities Mutual funds Iota! remvested is the told d at renvestecidwdends II does not induce any cash dividends. rI is not a tat lot for the purposes of determining hold no periods or cost basis. The shares you receive each come you reinvest d %Wench becomes separate tax lot. Cost bass is the told purchase cost of the security, inducing renvesteddvdends The cost basis may need tote adusted for return Cl capta payments in order to deterrrene the alusted cost bars for tae reporting purports. Your Sisandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000/800-308-3140 unreakzed (fax)gain or loss is the difference between the currenlv.alue and tit cost bass aid would generaty be your tagbie gan a loss it the sec cony was sold co ths date. The unreaszed gag gan or loss may need to be Austed tor return of <apt% parems in older to determine the realized gain or loss for tax r nveMerst:geo te purposes. the current value ml nos the amount you imeged It does not include shares that ark not reflected on your statement, Inoue/ ng Shares that have been realized as either a gin et a loss. It also does not iidude cash dadencts that were not reinvested. Hddng tinter or shaves Purchase DOW AVelect pace per share (S) Client investment (S) Cost Wait (S) PnCe per Share Onful 31(S) Value on Jul 31 (1) Unrealized (ar) 9414 or loss (5) imestment Hddng return (5) period CLEARBRIDGE EQUITY INCOME FUND CLASS I Symbol. SOPYX Trade date: Jun 26, 13 1,179.249 16.769 19,776.00 19,776.00 19.390 22,865.64 3,089.64 LT Trade date: tan 14, 14 296.210 18.470 5A71.00 5.471.00 19.390 5,743.51 272.51 ST Trade date: Jan 15, 14 283.181 18.549 5,253.00 5,253.00 19.390 5A9066 237.88 ST Trade date: /an 16, 14 282.731 18.529 5239.00 5239.00 19.390 5,482.15 243.15 ST Trade date: Jan 17, 14 298.430 18.469 5,512.00 5,512.00 19.390 5,786.% 274.56 ST Total reinvested 26.354 19.186 505.64 19.390 511.00 5.36 EA': 1826 Current yield 1 800/0 Security total 2.366.155 17.647 41251.00 41,756.64 45,879.74 4,123.10 4,628.74 COLUMBIA CONVERTIBLE SECURITIES FUND CLASS Z Symbol. NCIAX Trade date: Dec 19,13 1,10.177 17.890 20523.00 20523.00 19.310 22,151.98 1,628 98 Sr Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,942.00 19.310 16227.73 285.73 ST Total reinvested 38.473 19.399 746.36 19.310 742,91 -3.45 EA/ 1881 Current yield 2.25% continued next page SDNY GM 00021326 CNF7O0O93O5789457NP7OO3183665OOCO1 0714 03057tiObt Y123571550010000 Page 41 of 100 CONFIDENTIAL EFTA 00131946 EFTA01274153 T UBS Strategic Advisor July 2014 Account name: GNISLA1NE MAXWELL Friendly account neme:Indiv V49935006 Account number: Y I 23571 55 Your Asandal Advisor: SCOTT STACK MANLYLE CASRIEL 212-821.7000/800-308.3140 Your assets Equities Hddrlg Mutual funds (continued) Number of aharet Purchase puce Mei.ge peke per sham (S) Client investment Cost bask (I) Price per shore Value on Unreallred Gee Investineut Haldng on lul 31 (I) Jul 3I (S) gain ad= (1) Mum (I) weed Security total 2,026.030 18.367 36,465.00 3721136 39,122.63 1,911.26 2,657.62 HARBOR CONVERTIBLE SECURMES FUNDCLASS I Symbol: HACSX Trade date: Jan 29, 13 1,872.780 10.250 19,196.00 19,196.60 11.390 21,330.96 2,134.96 LT Trade date: Jun 17, 13 960.534 10.489 10,076.00 10,076.00 11.390 10,940.48 864.48 LT Total reinvested 17.433 11.318 19731 11.390 198.56 1.25 EAI: 3599 Current yield 1.84% Security total 2,850.747 10.337 29272.00 29,469.31 32,070.00 3,603.69 3,198.00 JP MORGAN INTREPID EUROPEAN INST Symbol: JFETX Trade date: Aug 1. 13 435.452 23.134 10,074.00 10,074.00 26.640 11,600.44 1,52644 ST Trade date: Aug 6. 13 439.831 23.286 10242.00 10242.00 26.640 11,717.09 1,475.09 ST (Al: 475 Current yield: 0.32% Security total 875.283 23.211 20,316.00 20,316.00 23,317.53 3,001.53 3,001.53 MATTHEWS ASIA DIVIDEND RJND INSTL Symbol: MIP(X Trade date: Jan 29, 13 2,156.431 14.849 32,023.00 32,023.00 16.440 35,451.72 3,428.72 LT Trade date: Feb 1, 13 481.951 15.069 7263.00 7263.60 16.440 7,923.27 660.27 LT Total reinvested 23.543 15.841 372.96 16.440 387.05 14.09 EAI: 11,293 Current yield: 2.95% Security total 2.661.925 14.899 3921%.00 39.658.96 43,762.04 4,103.08 4.476.04 SIT DIVIDEND GROWTH FUND CLASS I Symbol: SOVGX Trade date: /an 29, 13 2,333.831 15.400 35,941.00 35,941.00 18.310 42,732.44 6,791.44 LT Trade date: MD 11, 13 624.804 16.569 10353.00 10,353.00 18310 11,440.16 1,087.16 LT (Al: 3769 Current yield 1.42% Security total 1958.635 15.647 46294.00 46294.00 54,172.60 7,878.60 7,87860 contsoued net pogo CNP7C003005789458 NP7000189565 00004 0714 030575004 VI 23 571 550 Oligthlywc000tils2742 Of 100 CONFIDENTIAL EFTA_00131947 EFTA01274154 UBS Strategic Advisor (SUBS Lily 2014 Your assets e Equities . Mutual funds (continued) Wiring TORTOISE MLP & PIPELNE FUND CLASS INSTL Symbol. TOM Trade date Jan 29, 13 EAI: 3544 Current yield 1 28°/0 Total 5243.500.00 Total estimated annual income: 54.987 %moo of shares Purchase puce Averary race ter share (S) Account name: GHISLAINE MAXWELL Friendly account name: Indiv V499350D6 Account number. Y1 23571 55 Client mvestrntn1 CS) Cost Price per she/. basis (I) on lul 3t (1) value on unrealized 0a.) lul 31 (1) coin 01 1°T) Your /I nandal Advisor: SCOTT STACKMAtaLYLE CASRIEL 212-821-7000'800-308-3140 investment Hold ng !elan ft) period 2296.774 11330 30,616.00 30.61600 18.440 Fixed income Mutual funds Total reinvested d the told dal reinvested dodench n does no include any cash chic:ends. it is not a tav lot for the purposes of determin op hcidnig periods or cost baffs. The shares yOu receive each time you reinvest dedench becane a separate tax Cost Ana n the told purchase cost of the security. indudng reinvested dvdends The cost basis mai need to be aciusted for rearm d opts payments in order to determne the nulledCOSI basis for tar reporting purposes. 5245,32227 42152.51 11,736.51 11 ,736.51 LT $211977.05 $35,754.77 $37.577.05 UnreaVed (rad gam cfrt loss is the dfference between the current ;rave and the cost basis and world generally be )our taxable gam a loss if the security was sold altos date. The retreaded Rind gar or loss may need lo be ad usted for return of cap ti parnents in order to deterrrine the realised gan or loss for tar repelling ambits imAntnent return is the current ydue minus the anount you invested, t does not include shares that ae not reflected on your statement, indudng shares that hare been reined as either a gain a a loss It also does not include fah ChldendS that were not reinvested mddng Number of shares Purchase pricer Average price per share (S) Client investment (S) Cost basis (1) Price per share onto 3i (0 value on Jul 31 (s) unreSized(ta4 gainOr1M (1) investment Had mg return (1) Mord AVENUE CREDIT STRATEGIES FUND CLASS INSTL Symbol: ACS8X Trade date: Nov 12, 13 910.736 11.270 10,264.00 10264 00 11.770 10,719.36 455.36 ST Trade date: Nov 18, 13 912.566 11 300 10,312 00 10112 00 11.770 10,740 90 42690 ST Trade date: Nov 25, 13 911.661 11.319 10,320.00 10,320 00 11.770 10,730.25 410.25 ST Total reinvested 57.231 11.721 670.86 11.770 673.61 2.75 EAI: 11,2% Current yield 3 82% Security total 2,792.194 11.305 30,896.00 31$66.86 32,864.12 1,297.26 1,968.12 BLACKROCK HIGH YIELD BOND I Symbol: BHYIX Trade date: fan 29, 13 4,811 156 8.200 39,451.48 39,451 48 8.300 39,932.59 481.11 LT continued next page SONY GM 00021328 ChIPT03033057139459hwhoc010966500Cot 0714 0305790o4 Y123S7i s5001o000 Pug* 43 of 100 CONFIDENTIAL EFTA_00131948 EFTA01274155 SUBS UBS Strategic Advisor July 2014 Your assets . Fixed income . Mutual funds (continued) Hulling Number of shares Purchase puce' Ave,age peke petals', (5) Client invettinfot (f) Cost basil (S) Price per share on Id 31 (1) value on Jul 31 (S) unedited Ran coin orlon (1) investment Hddng Winn (5) period Trade date: kin 27, 13 2.481.156 7.959 19,750.00 19,750.00 8300 20,593.59 843.59 LT Total reinvested 167.258 8373 1,400.58 8300 1,388.24 -12.34 EAI: 13,580 Current yield: 5.78% Security total 7.459.570 8.124 59201.48 60,602E6 61,91443 1,31136 2,712.94 COHEN & STEERS PREFERRED SEC & INC FUND I Symbol: CP>IX Trade date: Jan 29, 13 3,002.068 13.487 40,49D.57 40,490.57 13.670 41,038.26 547.69 LT Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.670 10,124.34 20594 LT Trade date: Jun 14, 13 751.274 13.309 9,999.02 9,999.02 13.670 10,269.91 270.89 LT Total reinvested 113.763 13.527 1,538.94 13.670 1,555.14 1620 EAI: 43,852 Current yield:6.12% Security total 4,607.730 13.444 60,407.99 61,946.93 62,987.66 1,040.72 2,579.66 DOUBLE LINE TOTAL RETURN FUND INSTL Symbol: DBLTX Trade date: Jan 29, 13 12A93.I55 11.379 142229.00 142.229.00 10.940 136,729.80 -5,499.20 LT Total reinvested 256.068 10.957 2,805.86 10.940 2,801.38 -4.48 EAI: 47,168 Current yield: 5.14% Security total 12,754.223 11.372 142229.00 145,034.86 139,531.19 -5,503.68 -2,697.82 EATON VANCE FLOATING RATE ADVANTAGE CL I Symbol: DFAX Trade date: )an 29, 13 7,524.150 11.180 84,120.00 84,120.00 11.120 83,668.54 -451.46 LT Total reinvested 141.347 11.151 1,576.21 11.120 1,571.78 -4.43 EAI: 43.963 Current yield: 4.65% Security total 7,665.497 11.179 84,120.00 85,69621 85,240.32 •45589 1,120.32 HARBOR HIGH YIELD BD FD INSTITUTIONAL CL Symbol. KYFAX Trade date: Jan 29, 13 2.660.657 11.239 29,905.78 29,905.78 10.920 29,054.37 -851.41 LT contnued net page Account name: GNISLAINE MAXWELL friendly account name: Indiv V49936006 Account number. YI 23571 55 Your Anuncio! Advisor SCOTT STACK MANLYLE CASRIEL 212-821.7000'800-308.3140 CNP7000900S769460NP7003189665 00001 0714 03057SOClit Y123571S5001ligtfficsmoccaas2944 of I CO CONFIDENTIAL EFTA_00B1949 EFTA01274156 UBS Strategic Advisor *UBS JUly 2014 Account name: GHISLAINE MAXWELL Friendly account nun*: Indiv.V49935006 Account number. `el 23571 55 Your Financial Advisor: SCOTT STACK MAN LYLE CASRIEL 212-821-7000/800-308-3140 Your assets Fixed income . Mutual funds (continued) Purchase cad Number Average price Hddng of owes per share (I) client investment (1) Cost basis) Price per share on lul 31(5) Value on Jul 31 (S) Unrealized0M gain orIoss (6 investment Hddng return (6 period Total reinvested 67.076 11.039 740.49 10.920 732.47 4.02 EAI: $1.721 Current yield: 5.78% Security total 2,727.733 11.235 29,905.78 30,646.27 29,786.84 .859.43 -118.94 FISBC TOTAL RETURN FUND CLASS I Symbol: HTRIX Trade date: /an 29, 13 3.858.567 10.289 39,704.65 39,704.65 10.260 39,588.89 -115.76 -115.76 LT (Al: $745 Current yield 1.88% JP MORGAN MULTI-SECTOR INCOME FUND SELECT SHS Symbol: /5ISX Trade date: Ian 29, 13 4.784.864 10.260 49,092.71 49,092.71 10.340 49,475.48 382.77 LT Total reinvested 43.015 10.373 446.21 10.340 444.78 -1.43 EAI: $1,178 Current yield: 2.36% Security total 4,827.879 10.261 49,092.71 49,538.92 49,920.26 381.34 827.55 METROPOUTAN WEST TOTAL RETURN BOND FUND CLASS I Symbol. MWTIX Trade date: Oct 24, 13 7,192.344 10.709 77,030.00 77,030.00 10.810 77,749.23 71923 ST Total reinvested 77.270 10.763 831.73 10.810 835.29 3.56 EAI: $2,093 Current yield: 2.66% Security total 7269.614 10.711 77,030.00 77,861.73 78,584.52 722.79 1,554.52 RIDGEWORTH SEIX FLOATING RATEHIGH INCOME FUND CLASS I Symbol: SAMBX Trade date: Jan 29, 13 6,502.655 9.039 58,784.00 58,784.00 9.020 58,653.94 -130.06 LT Total reinvested 112.152 9.059 1,016.08 9.020 1,011.61 -4.47 EAI: 42.4.11 Current yield: 4.09% Security total 6,614.807 9.040 58,784.00 59,800.08 59,665.55 •134.53 881.55 T ROVE PRICE continued next page SDNY GM 00021330 0070003005789461 NP70C010366S C0001 0714 030575004 Y1235715500103C0 Page 45 of 100 CONFIDENTIAL EFTA 00131950 EFTA01274157 4tUBS UBS Strategic Advisor July 2014 Your assets . Fixed income . Mutual funds (continued) Hddng hturroes of shares Purchase puce Average pxe per share (S) Client investment (I) Cost Omit (5) Price per Share on's/ 31 (S) Value on Jul 31 (5) unrealizedOar/ 93inorlos'. (5) tmestrnent Horsing return (I) Period INSTITUTIONAL FLOATING RATE F CLASS Symbol. FCFRX Trade date: Jan 29, 13 5394.060 10.270 55397.00 55397.00 10.240 55235.17 •161.83 LT Total reinvested 72.253 10.274 74237 10.240 739.87 -2.50 EAI: 32,285 °Arent yield: 4.08% Security total 5.466.313 10.270 55397.00 56,139.37 55,975.04 -164.33 578.04 Total 5686,768.61 6698,537.94 5696,058.82 42,479.15 69,290.21 Total estimated annual income: 530.282 Account name: GHISLAINE MAXWELL Friendly account name:Indiv V49939;06 Account number: Y1 2357 1 55 Your 15 sandal Advisor: SCOTT STACK MANFLYLE CASRIEL 212-821.7000/800-308-3140 Non-traditional Mutual funds r.la ee ",bre:f '.014 cr a. re nvested dinclends it does not moues any cash dsadench is notate( lot for the outpours of determining Stoking periods or cost bast; The shares you receive each time you revuest cludends become a separate fax tit. Cost bases 6 the total purchase cost of the security. Ind udng ronvesteddudends Ire cost basis may need to be °dusted for return of capita payments in order to determine the adlusted cost baps fa tat repsOng Irpeettrnera resurn is the current valve minus the amount you invested It does not include shares that we not purposes reflected on your slaternent, tncludng shares that have been realized as either a con a a loss It also does not allude cash dvdends that were not reinvested. Hddng Hunter of shares Purchase Pried Average price per share ($) Client rilveStrnent (5) Cost basic (i) Price per share on Iii 31 (1) Value on Jul 31 (S) Unreatind(tai) gain or loss (5) imetuneot Holdrig return (s) Period GATEWAY FUND CLASS Y Symbol: GTEYX Trade date: Jan 29, 13 3,089.208 27,580 30,040.36 30,04036 29.250 31,859.33 1,818.97 LT Total reinvested 9.249 29.128 269.41 29.250 270.53 1.12 EAI: 1514 Current yield 1 60% SePrity total 1,095.457 27.593 30,040.36 30,309.77 32,129.86 1,820.09 408980 Unrealized NO gain or loss is the cillerence between the current value and the cost basis aid would general/ be your tacit ban or loss if the stc pity was sdd m tHs date. The unman() ga0 On or las may need to be fated for return of capital payments In order to determine the reisazed gain or ices for tax Waling purposes. CNP7C003005789462NP70C0188665 00034 0714 030575004 Y123511 S50 0l lictliWGM000§4303146 of ICO CONFIDENTIAL EFTA_001 3 195 1 EFTA01274158 * UBS Strategic Advisor UBS lUly 2014 YOGI. $35.50.5(contnued) Your total assets [guides Mutual funds Mad innern* Mutual funds Non-traditional Total Mutual funds Account activity this month Account name: GHISLAINE MAXWELL Frie nd ly occount name: Indiv.V49935006 Account nurober. Yl 23571 55 Your Mnandd Advlsor: SCOTT STACK MARI LYLE CASRIEL 212-821-7030(800-308-3140 'icke on Jd 31(S) PeKenta9ea your accouni COSI -1 (I) Estmated smutt incorre UrgedatO on or Im (1) 281,077.05 27.85% 245,322.27 4,987.00 35,754.77 696,058.82 68.97% 698.537.94 30.282.00 -2,479.15 32,129.86 3.18% 30.309.77 5974,169.98 514.00 1220.09 51,009,265.73 100.00% 135,783.00 535,095.71 Dele Ac11Jry DescrIallon Arrounl IS) Deposita and other binds credited Jul 2 Transfer Jul 14 Transfer FM VI 23568 7100 FM VI 23575 0100 1.41968 1281 39 Total deposits and other funds credited 12,701.07 Ode Aclitily De:aj:ann Ammat (S) Dividend and interestinoome Taxable dividends Jul I Dividend METROPOUTAN WEST TOTAL RETURN BOND FUNDCLASS I AS OF oe 3tY 14 161.74 Jul 1 Dvdend RIDGEWORTH SEIX FLOAT1NG RATEHGH INCOME FUNDCLASS I AS OF 198.87 06131714 Jul I Dividend DOUBLE UNE TOTAL RETURN FUND INSTL AS OF 0613014 549.62 Jul 1 Dvdend COHEN & STEERS FnEFERRED SEC & INC FUND 1AS OF 0930114 307.22 Jul i Cividend EATCN VANCE FLOAT1NG RATE A DVANTAGE CL I AS OF C6/30/14 324.54 Jul i Ctvidend 1P MORGAN MULT-SECTOR INCOME FUND SELECT SI-IS 105.99 Jul I Dividend T ROWE PRICE INS11TUT1ONAL FLOATING RATE F CLASS ASOF 0030/14 174.24 Jul I Dividend KLACKROCK HIGH YELD BOND I AS OF 093014 280.88 Jul 1 Dvdend MSK TOTAL RETURN FUND CLASS I Jul Il Dividend SIT DRIDEND GROWTH FUNDCLASS I AS OF 07/10,14 189.41 Total taxable dividends $2.31130 Total dividend and bittrast income $2311.80 19.29 Die Achwy Descryption Arrearit (1) Jul 24 Fee C ha rg ed QUARTERLY FEE -1,28139 Total professional management feet 41.28139 Fem SDNY GM 00021332 CNP700C5005769463 NP7003199665 00004 0714 0305750C4 Y123571550010000 Page 47 of 100 CONFIDENTIAL EFTA_00131952 EFTA01274159 SUBS UK Strategic Advisor )u&2014 Account activity this month (antilvec0 Cate Actiety Descopoon Amount IS) Other hada debited Jul 2 Transfer TO Y1235750100 -19.29 Jul 3 Transfer TO Y1 235750100 -1,419.68 Jul 25 Transfer TO Y1235750100 -189.41 Total other funds debited -$1.628.38 Account name: GHISLAINE MAXWELL Friendly account name: Indiv W9935006 Account number. Y1 23571 SS Your It Bendel Advisor. SCOTT STACK MANY LYLE CASRIEL 212-82 I-70001800-308-3140 Investment transactions For malt information about the wird4w shown for restricted securities, see Important informatbn about your statement at the end of this document. Ode acthity Desciption Ouantity Vaue (5) Price (S) Proceeds from inwstment transactions(!) Funds withdrawn fa nwestmentsbourht (S) Accrued dewed (3) Jul 1 Reinvestment METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I DIVIDEND REINVESTED AT 10.84 NAV ON 06/3044 AS OF 093014 14.921 .161.74 Jul Reinvestment RIDGEWORTH SED( FLOATING RATEHIGH INCOME FUND CLASS I DIVIDENDREINVESTED AT 9.07 NAV ON 09301 14 AS OF 0630/14 21.926 -198.87 Jul 1 Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL DVIDEND REINVESTED AT 10.99 NAV ON 06/ 30a 4 AS OF 06/30114 50.011 •549.62 Jul Reinvestment COHEN & STEERS PREFERRED SEC & INC FUND I DIVIDEND REINVESTED AT 13.76 NAV ON 06134 I 4 AS OF 06,3914 22.327 -307.22 Jul Reinvestment EATON VANCE FLOATING RATE ADVANTAGE CL !DIVIDEND REINVESTED AT 11.15 NAV ON 05/ 30II4 AS OF 0E/30114 29.107 -324.54 Jul I Reinvestment JP MORGAN MULTI-SECTOR INCOME FUND SELECT SHS DIVIDEND REINVESTED AT 1039 NAY ON 06130114 10.201 -105.99 Jul 1 Reinvestment T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS DIVIDEND REINVESTED AT 10.29 NAV ON CO 3C1I4 AS Of 0613014 16.933 -174.24 Jul 1 Reinvestment BLACK ROCK HIGH YIELD BOND I DIVIDEND REINVESTED AT &44 NAV ON 0930'14 AS OF 06,3914 33.280 -280.88 Total -$2,103.10 CNP70009005789464 NP7000189665 00001 0714 0305750dt Y12357155001WiyGmcoolins348 of I CO CONFIDENTIAL EFTA_D0131953 EFTA01274160 *UBS UBS Strategic Advisor July 2014 Account activity this month (continued) Date AChnly Description Arn3unt ft/ Money balance activities bin 30 Balance forward $0.00 Jul 2 Deposit UBS BANK USA DEPOSIT ACCOUNT 19.29 Jul 3 Deposit UBS BANK USA DEPOSIT ACCOUNT 1,400.39 Jul 7 Withdrawal UBS BANK USA DEPOSIT ACCOUNT ASOF 07103114 •1,419.68 Jul 14 Deposit UBS BANK USA DEPOSIT ACCOUNT 189.41 Jul 15 Deposit UBS BANK USA DEPOSIT ACCOUNT 1281.39 Jul 25 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 07/24/14 • 1281.39 Jul 28 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 07/2514 -1ES.41 Jul 31 Closing UBS Bank USA Deposit Account IOAO Account name: GHISLAINE MAXWELL Friendly account nairte:Indiv V49935006 Account number. VI 23571 55 Your PIsandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000/800-308-3140 the UBS Bea USA CepCnt ACCOunt Is your primary Sweep coton SONY GM 00021334 CHP70001005769465NP701:0183665C0001 0714 030S75004 Y123571550010300 Page 49 of 100 CONFIDENTIAL EFTA 00131954 EFTA01274161 *UBS Your notes CNP71X109005709466NP7000189665 WON 0714 0305750N 7.57 , 1%°°1904YGM000E‘t4S550 01 100 Et, 0 statement for account numb.. Y1 23571 SS CONFIDENTIAL EFTA_00 131955 EFTA01274162 Important information about your statement %BS Fiaancial Stain Inc (8w rim or UnFirwrocialSereket Is a mentor of al pavasal security. canmodity aid cows edurges UBSinacbl *Yee and UK BanIUS4 ay ilia subtal ant of UBS AG and /farm of LOS Sooskies u.0 lhefrnts instal swain it eatable upon *cunt the Fn's exeClerealneS at a U3S Fmasdal Swim fric 1200 Haber littlwad Yaohaak at NI 07086 lhis stuntmen reprewcohe only Octal reaed of >wain Emma Servies axount Other MOM* except onset tat documents. coating conletn3 data shouldnot be ;teed upon if you Wow More n at enact 0•16001. floe add it rrynaliatc n wring to Mel3fach Matur of to oft to sect; you amount Alalaagh al no tow are emended b be arrate. ST aithint data Todd rot be used for tat puposes Re9 soken on ye tend to lam be.. Form 1099. SOB. 1041S. etc) thin peeping sour ingot." Mot in is remand by Ian to recon to he RS al tato) le dPidends. atonal. non Laub* evelvinds ad watt non tuned en secuntes heU n sour account net proceeds on sae vanuctons aid cost baysoncotan curd Seamitoel Cammunicillom with Be Firm • PINS. reconfirm ay oral OrnnAlCatorts tO further meted yaw mint ncbdng mingles under the karma; Wen, Protection Act (SPA) • rl Che frurtal instrlann on the top end the lint of the stagnant is not IBS FitinfaalSonna instal Sento canes SW accurd as dearkg tineby areigenwti not the adicated matron We Intoned sou of no rotate, Mn you opened this account In this cat you heds and sand is re looted a 185 Wurioal Won aid not the drodurg broker. aid you roust mate a report of any woe or amain to both in All aCCOunt subareas shall be deemed complete rid acar ate d not objected to n wrung Wein 60 clays • Please direct custard 0:mutantsa irgumat to the taw: Chord Ralits Dlyitlerit 201-35216990r Ionia. a 1500-354-9,03. 8 00Am toe 03 1' Fd ET Moir( throup nay. a In retng to uBS hnnual Ulna. IrK. Clem Raton, Neater •int PO Box 766 Unon City NI 07(07 • ti case of errors a WHOM abu!an ekoomc boas transit.' (711 bit parnmt ce us Yet data cad threadtoos, call 806762.1000 or vote to U3SEnanCal Sows hot IOCO Harbor .6th I bat We€havkae, N) 070.86. Ann INWISSA Savoie Cal a wee as soon as pa cart d ?whisk your stawnem or Wept 6 atOrg Oe d you need more intonation Lout atbrofcr on the mourns or ',apt The Fen a Card Mow (as atOlOble)niug her Iran sou nO tiethin 60 OA alter the femur you the fist statement on rein the ors or problemtowed - Revile sow runt ad accow number (II art - Deady he MO. Or the winter pu re wage abed. ad eolan as deity as sou On My pu Came 4 is al error or au you need mire elan), ion - Fronde the data arum d the stnpoced 1119 Woof Cad low wit ihatigateyOtr<011ptint ale will MIK! any nor pronvly Plowmake al Maks pays. to the Pallor to bowie want ncicaed cot tv kw of this Pawnee h akt tal to agar axOult feces. account may be snap to mannonce feet charge: Ice Ise pyre,* for saurtes pUrchno andchars fa srpad amounts I oath axunts Accounts ma are natant 10 Mini Marton, may be :Lena to a mauler lee UPS Sweep Optim UPS offers °Mos tot swept? cach batrcet baaxes to bank deposits at UBSBart. USA aid UtS AG Stretford anal (Bark Swap hogrons). moneyMarket Mita hods None, hats) arid the hurristional Depot Accown C0Alfor dustmen with as intonational Comte Management Amount Walt. Iht Eta Sweep fr011ann. CO. Wanes re swept so LOS Bat USA up b a eta awed Wee and thee 10 LBS AG Stamford Brand a a Matey Furd Deposes at LOS Bat USA are CDC MOW, n accordance with rules For rum :leonine pare out warn lac got Deposits a LIPS AG Seaford Branch ad *Wet d Maley Fin& nria allured by the FDC. Through the On evadable to ram Agana; aro snout to deposit accounts a IBS AG lleetYork Win and UBS/4 Caplan (neon Monti/opal% ire na nwed by the CDC Balseces het ate WS AG Catlin Binh ate two/wily oposed TO The SO apes 6* of theCarnal lilts and mete is no guinea olser obloaten of US$ AG to way thememos she. on the LOS Cayman's Bran's boas Deposits al URS Bat USA rd each UPS AG Brach at 6:4 pnwod by SIC Money Fund shies se proteaed by SPC See 'UPS foaled Sewn Account Rotation' be Open you repo batrmes b he Bat Weep Programs or OA maybeMIX/at ad Owes of a Monedund maybe hatted rd thewends returned to putt you, Winton 'anti Further nlanbign Lout aultle sot *puts. iodating wart mutest ram and siens n tit** a woes itscariswelyiens from your f natal thisor cc by eating 806762-1000 UPS Irearecial Services meta reunion The Firm is a reenter of the Saunas rweate tants Como:wet (SPC2 WO protects mottles wools of es motes to to 1500000 (nada; 1250.000 for dams for <all) the SPC tap actectal tout am), Id all mows nay:ethic' n a prate, extanty The fart touter swell onan II dates. has also pordups1 uppiancotat vendee The rtuanum =Guy payable to all NOW cant, coax-brogue* Mi; protecion 6 SSW melon as of Dinette tO. 2013 Wars to he poky ardour and fritatent can at he Pon ifunher protected for up to SI 9 mdkn n he anegae for all your axotnisheU n a pointy capatay A full may of the poky *Ordng 6 Nara. upon ,t9ast The SIC protection at fie supplemental prawn° both do not Split° • (enaranaial axes controlled Wand hauled n rot arrant value) but had Nayfrom Sermon (eg. coon (loth a UPS Bark UT cat at U3S AG Stamford brads. (d) mutate sodas nclawg web* arta I es. ad Oil than of mutual ludo rage WO shays re reg awed testy n the nine 01 the aoo,rt holier on the hocks and remit of tie rob:able OW a trader agent). • Cent rentarimni contexts or nforment mere,', (09. 'mad worships aid vitae plawents) to are not registered video the Sorts Act of '933. at • Corms:dew casino to 9. fast in,thar90 and preits metal contract madh9 foxes commas and o nwoOY *Oen antrads The SCC protection and me ntplarviotai prowton do not tay to these assetsWM d they Ottenyee epoxyco/at mammon The SEC prouder, and tit %upturn% protaton do not protect again dun?, a the motet vain. Of 'air tiestnintsedether as a result a mato zwernint. moo bat -coda of Plisamtsd More iWmuons tails Poem most Yo.t may obtan ewe domains about SEC, Mdudrgi the SPC Braria• by cormwrg SPC at 202-37i/330Oct by Wing tie SIC nitrite ahow Swat? Dividend Re Werment Program OW) the pan ref *Chi 6a anger pna Tat may °bean the actual gaze ?ran sour rounoal Annor Only ramie nres are Futtoad talet•PIP. partial Mates wit be soli and the cured be deposed in sots amours lee dlion-C1 wives/neck prod ailaphed by the issuer may die from tee main prima aids the pail Mao st• sold Cactielit Only %tole unit try be held in you wont I pu are entitled to apt:aloe as a rend dab/tend paten or othanvice. tie inn w1 ether al partial ices at mate price a accept an wool Onanstal by a tegiSteed &any army. am credo you account leyermentoglealts The nwitnient obeciees and et prof le are spelt to esti acoxim aid may vary bowel Rea noise the inn pommy n wrong of any tar(Cant Ott I your divisor shunt or neestirwo awed; For eads account hell )Cu choose one 01 she fo berg neestmed objects • Pecvluco Conon: :Nome Ineelenents retain; the generation of inome only • Arline Qpilairopannon hvennunts inning growth of pa to.' fah. than the ginelatOn of nate? • AreacceCOmenafen of Incorre and ChaTtAlreemclal mantweits seeing both he gierwaion of Mona aid 9romh d prnoPal Oswalt risk panics • Consent., Sets to %wreath intim ultimo% Wh low risk aid vax lily 10 the =ant opal. Pit if ma means the amount does not generate ignif ant 410)(r*Of returnsal eta/nokeep p.xe with it 1010 • AbWrai lAillna to accept omen* to am:0 at tolerate virrinclailitym sot higher Multi • AinreSIO., wen; to axed hgh tilt tO;rnopal ad hgh vanity 10 Wahl' rag/agree brae Statement lleucchoklier We may consolidate al WPM ZecOnt Statefilftili tan the sane a ren n the sweet...lope Ace:sturdy curetted he this rcnow bead they hat wren eho aim matain pent nowt relaionsho rah Wu dents at the sane address this prat 6 Moan as howelooldn9 • I pi( peels to rewire inflator noterrents mind e maw* CONFIDENTIAL dwarves — you nay WM. tont Oleg by ding your f rowel Adeae Friendly account name Te*Friendry attest nano ref kat Oared., that you entered ai the Hens online steces mince It 6a customizable *mutant' chosen by you a aza Sou will you reorteryto It he no legal dad on you wcoum l'Cu on cage ens Finlay ataint names. trout Onto Senors Ce byettacun; SN &taxa tdebor. Attune wayiew • vabe of sea wounaprfecod NB 01 diet and liadlnp • Asia InClutki *alio* ad bagman wits lot remitted away ) rid Gkbof Tao Deposits unrinlizod maks to motet cents wets not held bythee-an Does not mcbdeunpnad onbiltelassets dve .old the per and curet staterrem pooch ce White ntstriallv awned Volt col de altleoeCit.lb le stodt options • Otattes hada (Al batman. (outdomar tors. pet Mt short accoum bates • Cosh/irony balances Tots of teireossed online can biancos. pkt U1S Bat USA deposit bather. UPS AG Stamford Stanch depose balances and nxner matte ennead lam sweep balaxes. a the close of the statement pent/ wctommo ty We own batmos yol ant art not segrema ed from a back and Me Emma., use any a there tons n the e of es baits These funds ▪ payabio tpon wur demand total 6 naiad in no cow twit dosi-9 value Lending information fa detaiNtl olcemaion onthe rivtlentlegp • aClati and dicloctst et, tea to yaw Clint RPM beitp Agret.hitli or Accorrt Auwaiml aid the General Tans at Condemns UPS Statuses% of Ciede Practices fl ab* n agfeemeat anti tccttures a sdedshiraggsgraga=a= Your auto Yof Statintenl itintaSSFOSit*S and other aSSes held n the aombni at the end of tie Amerman wit You may at foe doted of Ivey paid 9Xuribef at ay tine You may receit stavio used a ban collated ter Pat9.alian balance cue on nem Any sennties trandened b clang the others period att lined a motet halters a the end of the statement pencil • Cost basic h dettanhng the cos: tuns of the sedates induded n the statement SWe nutted von the rafter '1: UBS Firuntai Streceshas rebid on Warrant Maned from sources other than 105 f raid Swats. naidng nlarnalon Iran wed Ids or mat you may hate pivoted to your lawful Anna TheFilm dots not naintedently wity Or guranttelho nay a vaidey of sty itormaen provided by sources otter Man USS ennui SerrOS it addtien Shout LOS Fivtdal Sends goodly updates this dormaxn as c e wetted the Wm does rat provide away:otos ha the nf tomato %rider 'Cost ball' a 'Iantired ganittv is a:actual V* die of this eatenwu As such please do not rely cn this Worm* ion to rule corollas' a tae eedsces. la tat mooted a otierrien Acccunb Unstated to the fen may reflect ginnoss nformann only forme pared of time they ay held a the Pim Morehinorol Hamann Cal be added by yew FinarUal Adda • Untested galnelbses who data is scalable acrt74.,1 Jr-nal :e6 lanai:WS r2 fact ale; tte SDNY_GM_00021336 EFTA 00131956 EFTA01274163 Important information about your statement (continued) iirvidiallormity kits The tazarion data for iniimbal Ian mayor may not ref ea cc mifsems Chages ardor Stormy worgincateen mews DIASend and other rerworewn kits and **miff padre kin re rods Mottled 10 disfracone awased lot lhe • bade dire' <Maim 'resents the veinal Croatia, baledate • GUNN workies bends and crefortd stork that the Mar calt foe ealyrwlerptionml be selected nmaliary by lot torn emceed 8A secretes of that owe WI:Inoue flanea n wenn* nave for as dents Cat Notre Wormier, is attired dem thrd palm aid es wry rs not guramed Orne call learn Wryeast slosh could ilea WE Campine informal:in we bepeoulded Lipp. (Pal • Caracoles elf deposit (CDs) COI die MC nsussd up lo 12993.000 n pampa and salad Wire/ pa depositor and per deposno-y institution n accord-ma with rubs • pricenrokie Pncescroplemar Wanes anSothr produce, inar be hiller a Ewer than the prior that you would Kluane reohve in the market ewes are °Maned Iron aims lid pity mines Much we terve to be nibble but we do not gamine tea away - Wo nary use der doing prize who, aralabb sr the mean or rebid aid ask aces Ice Isted WIPE and *proms 01 on y fed peas for OTC smelts - fez ammo/ traded stashes maybe priced usnga cabmen model a them, roam pia we obtained MOmg reol rep lea an ENO maker Me or van - Chan position may somata mbar ()Ana and will show a'price was not mailable' if we are ruble to *bran a ace Sr a security - Deposes a Searles denominated n oaderides other tan USOolbrs are rep Wed a the en:Purge/se as of the zaterrunt date - For certan 'entities vadeg noreccatirmin dernmriatali. pct and gurney daceWire) mat hale been Mewed,' Imitate proper vaison To obtain CUM17 WAN." Wan 'alarm mama yew Fesancial ktecOr • Meade liweetmems and strummer producm Omani Mostrwre secure* anotedng direct paskpaion woman aid realmut+ ninftem tam Mint** aid sincived preload are §40traly hghli ilia (erteln nructrol pfediCIS taw het been returned with the Seanss and &Mane Canmssisn a under any Rate SeCuriteS tem We provide ellmaed caws fa private mestrriere stances ors] stinted prodims br Wein enalpubows only Amnayb not 9ozahleOd - fi e* yaws maydiffer sthstantally from pices ft re at who acreage mestrnew securty a structured warm my be tour a sold aid do not netts:ally represent the ear you MY MOW. upon 14 ,4aton - And prey egmaes of vibe are as of a anan Ore aid at sampled to UISS Franca Savers on a regu bros by an ndeperstfent valances Irm Iffur Baal Partner or orcezor estimated yams d my. ace stapled to trt•Frm by the ISSUer, general partner aspranor and may be *eluted based on (filigree* Nervation from that umd by thrd parses to claire thee eStimat(d VANS - You cal cbtan adieu:nal itcrmawn regaling the rrehodolow used to determine the mimeo of Vibe rid the date of the heonn.von that Is the bass fir the Mine hyaena:Mg your Anoxia Adrifor - 11,k0 parry eslinated vibe; may be reflected as 'Net Feted' n seater 'Wawa whin an OlepenSent valuation firm An nOt stippled et a untie to assign a vibe when we boson* awl. that a rtmerr wort hoc warred tha may calla crevisuser tenoned valance rows*.'. Ce Wren aver* Would be hghly speculatote duo to the mire of the seamy - Men witlm n Mua general banner a manor (*mated vAre nOr 3trdpay ell Mated war if petwdel the waited re marry wit Indifferent ton ns poshest dna - 'Oilibtiorn to die' mer Mcbderwlm of TAMS, .cane a both • Oftwi iris we' rereSents. the glINdlollwing pine per ialk rid may not Sloe sow sot bath • 1111211Cted SIONitilS Restricted swarm gcotraty ere not arrentry WOE for pa* sale IRS indexer reran Wel the mat* price of to tormaidod stock of rho sane Muir a an Muted YEE Ice the rewitsed nods br purposes of mssznexent on* TO the erten Sim testiMed wailer it WO* for sale. Me vela reCeried nay be manumit, less man the imputed yaw Mows • ESL Named) naene. Mann yields and ran. An tillMatt of fraud mome is based on amen, caoRind and Wren ram. awing ew smarties will be held for ale year from Pawner date or snel ITUttely This estimate is ong a guideline. accuracy and Oxnard Wane se not sairrieed - :dated Maul mons and anent WV ler cerlan Wiese, wanes mold hduie a erten of wincga or CMIul ganS n Minh Ore the en Wane Wed amen yell) wool! be overtired - Earnated Maui worm aid anent Wel aid dal data boort and Wed night be Immor hgher thre the whored amoans - An mediate of incualged income (dvidr4 mace Waist dulled by the °were make, valxiagraft belriCe a tired Co the laSt dieziend or mews pagrew nude byte issuer aid assesses the sena imidepoir s MI be hind f cr one wur Wen the statement dale or trod =trey Amer" aid Confound wrld ae not guaranteed • AveM• not held ley WS Enemata Sentima Certan MEM ale sot heldbyteBret awl not calm the Inn's posseSsm or anttol Thee Erb re mplawd m yam statement foe Wonnarronal pommel onb Position aid ears presented am prosEed byte eying lion LES lnancia Stems n not remonsble for this nformaim and does net gunge is =tory niese assets are nee presented by SRC cr the laws supplemental SPC coverage • Revenue diming and addklenelmergensatiem - et 4dilitil4I to mmenissem on saes aid Obil lees rwmad n conneacin with the dotrturon of mutual finds to ow clientswe atria or *Mae re0Nee Kibbe Mann; papenUfrornanbutorsaMor 'orison of the nom, rinds that we sell These roads are bred on her &Swint arrponints the mouth 01 Saleby IRS et a patCuLT mutual lurid fang to ow Memo red Id One amt vale of a primer mama laid fang. sharer WM a few Inn - We rid as Etre also melee retesekng and onmetzprocesung leas in consideration for trailer agent WVI:01 That we preside to rho minor funds Thme fees generale we pad Am imenor awn in the writual hind end re a 1ind dote of a.ri bawl on the runt. of =ants at the troker-deaer holckE mutual I rads el Mai had Imiy - In ea:Ilion to cormssionS 'Moved n ornection wen the sale or darbution of arnurymrnracz ad unit inuntrrere t11.01 'lit WOOF dwell, we mob:tour aft reCee* r mere* doing OrrptelSiatrn from maga( The romance companies inclemenired de anmey ccenracts aeifros of the notance cornea-nil Or SpOnSMS Of the Lind dvedMell mists we drubs. - Ov an elan also recerretradirG comensocrisaM other conmenution horn menial finds aid amerce Corcalies whose moats we dim bre - Wereceiveas mina fee train LBSBask USA ail UBS ibg gardord Bralch of up to 125 pet a:Count werepng to to hanks ink, the LOS Baal Sweep Program ASA, Informatim regardng corevniWen and other throe ironed n annection win the (volition 01 Rafe& naking cption ramactons has been nclElen cis ardonrons remote* lunthod to you. aid yell be I:milord to you reornpiir on reCuell OMR selling el you at engaged in theft Wile nosed you mai rasa diagedueso cenan berrowng costs for that palsula 'softy Open widen 4 92409 *Den "gocideiliCanCelled • orders that Wife not Pelted by the Staernens date Open buy axl Sell Step ceders se mixed by the amount of dwdendsa reps on cmdlidndsor eynnlos date unless mewled otherwise by you YOu at remOrnble I or orders lha are executed due to ysur faits. tO cancel exdirg open orders Tax witholdiw en Enrbutions from UK Pinola,' SWAMI IRAS Feder tar law retires LES .mica Salvias to YANA exam tar from yor stable RA dlorlbut sm. W t you may dem riot Iona. nom. Sr. wehhell or instead. you may acct a have lee withheld a brae a n a lead anoint at you loose Mer Sion ea ratan n ef reCt untl reveled by you You nuy revoke your election a syt Me by many anew amen If sou dal not haw meat room.? tar torten, Iron 'OUT dattutiOAS. yOU maybe velment,* tot the payment of rimmedtan you may nor pnxamA the moans wtherd and yew Minted law ye/minis at not eguar to bar we:4100os Privacy To can a copy ot anent Owe Peery Naha per* mntan yew Fria-Mal:4mm arrestor websne al mow viz <momentary UBSCinaxial Savizos 6 not a bat The WA. Fusems SOVCeSAaant BSA art iRMA abOrteerage aatilltS eflICh provde axes to ball ng se-wit and prcdhOS ttrough marines wed related balks avI other tied partybasks aid reviles cowls to Pim and amity proMects isund by unall Mated tad {tarty etvranCe corners through OLISICe agency subsiaa nor MSS Fnazial Simian tic threpmait. mean. and amuly prodirCIS Not IOC bored • No batik gormless* ME lose mew row Monte Mmartrent accomt Business Swims Accoint BSA. PPM and /sterna...nal Remote Mmagerrent CONFIDENTIAL ACCOLftt ao registered serene mats of UBS .,arch Services Vic ilea S5031100 is a inhered smite mak of visa Iniernmaial WS Ora Signahre COE Cards aldIEG debts tads are issued byU(358ml USA tech mewerstion from ca u S A imorperaird UK Financial Servioes Inc Rev 201407 SDNY_G MS10021337 EFTA 00131957 EFTA01274164 SUBS U85 Thancial Services hc 299 Park Avenue 25th Floor New Yorl. NY 1 01 7 1.CCO2 ONP70057829750014 X1 Y1 0 UBS Strategic Advisor August 2014 GHISLAINE MAXWELL 116 E 65TH STREET NEW YORK NY 10065-7007 Account name: GHISLANE MAXWELL Friendly account name: Indtv. V49935C06 Account number: _3571 SS Your Financial Advisor: SCOTT STACKIAANLYLE CASRIEL Phone 712.321.70(11800.308.3140 Questions about your statement? Call year Einarcia Adv60: Cr de Value of your account RMA Resourceline at 800-RMA-l000, account 029023571 on July 31 (1) on August 29 (1) Your assets 1,009,265 73 I ,023,896. 74 Malt our twebslte: www.ubs.cornifinancialsenAces Your liabilities 0.00 0.00 Value of your account $1,009,265.73 $1/323,896.74 Items for your attention , Certain mutual fund shares held in PACE Multi Strategic Advisor and Strategic Wealth Portfolio were converted in July and August. See your statement activity for details Tracking the value of your account 1 Thousands 1 009 3 1,023.9 ha 204 Aug 2014 Sources of your account growth during 3014 Value of your account at year end 2013 Net deposits arid viett4ratiM YOur nest ant return: Dividend and interest income 516.83632 Change in market value 525.758 36 Value of your account on Aug 29, 2014 S1,023896.74 1981,302.06 SDNY GM 00021338 Member SIPC C HP70307005782975 NP7003Isei 56 00004 0814 03 0575004 Y1235715501013000 ►age 33 of 90 CONFIDENTIAL EFTA_00131958 EFTA01274165 SUBS UBS Strategic Advisor August 2014 Your account balance sheet Summary of your assets Value on August 29 (1) Percentage of yOUr account A Cash and money balances 0.00 0.00% B Cash alternatives 0.00 0.00% C Equities 289,894.05 28.31% D Fixed income 701,312.61 68.50% E Non-traditional 32,690.08 3.19% F Commodities 0.00 000% G Other 0.00 000% Total assets Value of your account $1,023,896.74 $1,023,896.74 100.00% Account name: GHISLAINE MAXWELL Friendly account name: Indiy VA99350% Account number: Y1 23571 55 Your current asset allocation Eye on the markets Index Percentage change August 2014 Year to date SW 500 4.00% 9.89% Russell 3000 4.20% 9.23% MSC I - Europe, Australia & Far East -0.15% 2.93% BarclaysCapital U.S. Aggregate Bond Index 1.10% 4.81% Your Amadei Advisor. SCOTT STACK MAN LYLE CASRIEL 212.821.700018003063140 Interest rates on August 29, 2014 3-month Treasury bills: 0.02% One-month LIBOR: 0.16% CNP700C9005782976 NP70031981 56 COON OW 4030575004 VI23571550 MalliyGtkocoyiesg 34 of 90 CONFIDENTIAL EFTA_00131959 EFTA01274166 UBS Strategic Advisor SUBS August 2014 Change in the value of your account August 2014 (3) Year to date (S) Opening account value $1,009,285.73 $0.00 Deposits, including investments transferred in 0.00 1,160,805.66 Withdrawals and fees, including investments transferred cut -38.59 -179,503.60 Dividend and interest income 2,247.31 16,836.32 Change in market value 12,422.29 25,758.36 Closing account value $1,023,896.74 $1,023,896.74 Account name: GHISLAINE MAXWELL friendly account naivie:Indiv V49935(X)6 Account number. Y1 23571 55 Dividend and interest income earned For pun:tows of ins statement, ramOtty of mines! and dn.:Jena income has been determined fray, a US tax reporting penned:ie. Bald upon the residence of the account hokkt account type, or product type, some interest ardor dvidend payments ma/ not be sublect to United Slues (US) ardor Puerto Rico (PR) income tarts The talent month Statement is not intended to be used and cannot tie reked uPOn for purposes. Chests should refer to the applictie tar reporting forms they receise from OBS annualy, such as the FORTIS 1099 and the Rams 480, for reporting informakon It IS the practice Of 1185 to file the Asclicatie tai tenoning forms with the US Intern.S Revenue Strike and PR Treasury Depaitment and in such forms accurately &very dildenct arca oi interest as lax everrpt or taabk interne. Pk** consult yak indvdnal tax prep**, August 2014 (3) Year to date (I) Taxable dividends 2,247 31 16,50441 Long-term capdal gains 000 325 SS Taxable interest 0 00 6.36 Total current year $2,247.31 $16,836.32 Total dividend & interest $2,247.31 $16,836.32 Summary of gains and losses values leporled telow exclude products for which gam and losses are not classified Realized gains and losses Unrealized August 2014 (1) Yea, to date ($) gains and Awes (1) Short term 0.00 0.00 7,951 38 Long term 0.03 0.00 39,566.65 Total $0.00 $0.00 $47,518.03 Your II nandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-70001800-308-3140 Cash activity summary See account activity this month tot detals. Balances in your Sweep Options are indudedln the opening and closing Mantes value. FDIC insurance 4:priet only to deposits at UBS Bank USA, rot to deposits at UBS AG. Starr/o/d Er an(%) or bank deposits placed throusn the UBS Intemdiond Deposit Account plogrant SiPC protection applies to money market sweep find holdings but nzt bark deposits. See important inSormation about your statement on the last too pars ti this document for coals August 2014 (8) year to date (S) Opening balances $0.00 $0.00 Additions Deposits and other funds credited 0.03 71,462.49 Dividend and interest income 2,247.31 16,836.32 Total additions $2,247.31 $88,298.81 Subtractions Professional management fees and related services 0.00 -1,457.28 Other funds debited -38.59 -70,771.84 Funds withdrawn for investments bought -2,208 72 -16,069.69 Total subtractions -$2,247.31 -$88,298.81 dosing balances $0.00 $0.00 SDNY GM 00021340 CHP7C00?005782977NPIOCOlseis6 00004 08'4 030579004 Y123S7I SS0100000 Page 35 of 90 CONFIDENTIAL EFTA_00131960 EFTA01274167 UBS UBS Strategic Advisor August 2014 UBS Bank USA Deposit Account APY interest period M 8 - Aug 6 Opening UBS Bank USA Deposit balance Jul 8 50.O0 Closing UBS Bank USA Deposit balance Aug 6 50.00 Number of days in interest period 30 Average daily balance 5453.87 Interest earned 50.00 Annual percentage yield earned 0.00% Account name: GNISLAINE MAXWELL Friendly account name:Indiv V49935006 Account number. YI 23571 SS 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 Fmancial Advisor or Branch Manager. You can find a ful description of the alternative investment objectives in important information about your staremenrat the end of this document Your return objective: Current income & capital appreciation Your risk profile: Primary - Moderate Investment eligibibty consideration None selected Your account instructions • Your account cost basis default closing method is FIFO, First In, first Out Your financial Advisor. SCOTT STACK MAN:LYLE CASRIEL 212-821-7000/800-308 3140 CNP7OX00057029713NP7000190156 00004 %I4 030575004 VI 2357ISS0 l09 yGm0002fiesq 36 of 90 CONFIDENTIAL EFTA_00131961 EFTA01274168 SUBS UBS Strategic Advisor August 2014 Your assets Account name: GHISLAINE MAXWELL Friendly account name:Intim v49935006 Account number. Y I 23571 55 Some Dices, income and current vaues shown may Ix applonmaa. AS a itsul. galas aidlOsses may nol be accuralely reflecied. Set ;wawa infosotabon spout your statement a the end of ttvs dxurnem for more Infornason. Equities Mutual funds Iota remodel is the 'WA d at reinvested chedends II does rot include any cash chic*nds. Is rot a la lot fix the purposes of deteimming hoid mg rends or cost basis. The shares you receive each brre you (times' d %Wench become a separate lax lot. Cost basis is the told purchase cost of the secunty, indudng reinvested dudends The cost basis may need to be Ousted for return Cl capita payments m woe' ba extern...etc the amusted cost bars la tar repareng purposes. Your Pi sandal Advisor: SCOTT STACKMANLYLE CASPJEL 212-821-7000/800-308-3140 Unrealezed (fax)gain or loss is Ihe dfference between the currenl value and t 1* cost basis and would genera to your taiade gan or loss if the sec wily was sdd cis the date. The unreakzed (tag gan or loss may need to be aMusted for return of apt.% Payments In order to determine the mated gain of loss for tar mooing punxoes. ;freedmen( serum is the current value minus the amount yOu invested It does not include shales trial are not (electedon your statement, includngshareS that have been realized as either a gin Cr a loss a also floes not .'dude Cash cludencls Thal were nol reinvested. haireber Purchase WO/ Average pace Client Cost Protect, share value on unrealized0M worriment Honing Haring of shales tat shaft (3) investment (3) 158615 (S) cn Aug 29(S) Aug 29 (s) gain or to% (3) return (s) period CLEAR8R0GE EQUITY INCOME FUND CLASS Symbol SOPYX Trade date: Jun 26, 13 1,179.249 16.769 19,776.00 19,77600 20.100 23,702.90 3,926.90 LT Trade date: Jan 14, 14 296.210 18470 5,47100 5.471.00 20.100 5,953.82 482.82 ST Trade date: Jan 15, 14 283.181 18.549 5,253.00 5253.00 20.100 5,691.94 431394 ST Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 20.100 5,682.89 443.89 ST Trade date: Jan 17,14 298.430 18.469 5,512.00 5,512.00 20.100 5,998.44 486.44 ST Total reinvested 26.354 19.186 505.64 20.100 529.72 24.08 EAI: 1826 Current yield 1 74% Security total 2.366.155 17.647 41,251.00 41,756.64 47,559.71 5,803.07 6,308.71 COLUMBIA CONVERTIBLE SECURITIES FUNDCLASS Z Symbol: NCIAX Trade date: Dec 19, 13 1,10.177 17.890 20,523.00 20.523 00 19.940 22874.70 2,351 70 ST Trade date: Feb 19, 14 8.40.380 18.969 15,942.00 15,942 00 19.940 16,757.17 815.17 ST Total reinvested 38.473 19.399 746.36 19.940 767.15 20.79 EAI: 1881 Current yield 2.18% continued nod page SDNY GM 00021342 CelP70307005782979 NV70031%156 00004 0814 030575004 Y123571550100000 Page 37 of 90 CONFIDENTIAL EFTA 01)13196? EFTA01274169 T UBS Strategic Advisor August 2014 Your assets . Equities . Mutual funds (continued) Hddng Number of gores Purchase pincer Average price Ferran (f) Client investment (I) Cost basil(S) Price per share en Aug 29(f) Value an Aug 29 (f) unreAred eel gain Or las (S) Ineestrnted Hddng return(!) period Security total 2,026.030 18.367 36,465.00 3721136 40399.03 3,187.66 3,934.02 HARBOR CONVERTIBLE SECURMES FUNDCLASS I Symbol: HACSX Trade date: Mn 29, 13 1,872.780 10.250 19,196.00 19,19600 11.520 21,574.42 2,37842 LT Trade date: Jun 17, 13 960.534 10.489 10,076.00 10,076.00 11.520 11,065.35 989.35 LT Total reinvested 17.433 11.318 197.31 11.520 200.83 3.52 EAI: 4599 Current yield 1.82% Security total 2,850.747 10.337 29272.00 29,469.31 32,840.60 3,371.29 3,568.60 JP MORGAN INTREPID EUROPEAN INST Symbol: OEM Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 26.690 11,62221 1,548.21 LT Trade date: Aug 6, 13 439.831 23.286 10242.00 10242.00 26.690 11,739.09 1,497.09 LT EAl: 475 Current yield: 0.32% Sootily total 875.283 23.211 20,316.00 20,316.00 23,361.30 3,045.30 3,045.30 MATTHEWS ASIA DIVIDEND R./ND INSTL Symbol: MIRX Trade date: Mn 29, 13 2,156.431 14.849 32,023.00 32,023.00 *see 35,753.62 3,730.62 LT Trade date: Feb 1, 13 481.951 15.069 7,263.00 7263.00 16.580 7,990.75 727.75 LT Total reinvested 23.543 15.841 372.96 16.580 390.34 17.38 EAI: 11,293 Current yield: 2.93% Security total 2.661.925 14.899 392E6.00 39,658.96 44,13431 4,47575 4,848.71 SIT DIVIDEND GROWTH FUND CLASS I Symbol: SOVGX Trade date: /an 29, 13 2,333.831 15.400 35,941.00 35,941.00 19070 44,506.15 8,565. IS LT Trade date: fun 11, 13 624.804 16.569 10353.00 10,353.00 19.070 11,915.01 1,562.01 LT EAI: 1769 Current yield 1.36% Security total 2,958.635 15.647 46294.00 46294.00 56,421.16 10,127.16 10.127.16 continued next pogo Account name: GNISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number. VI 23571 SS Your A nandol Advisor, SCOTT STACK MANY LYLE CASRIEL 212.821.7000/800.308.3140 CNP70003005782960NP700019815600004 OBI 4030575001 VI2357155010%A com0002/Riss 38 of 90 CONFIDENTIAL EFTA_00131963 EFTA01274170 UBS Strategic Advisor *UBS August 2014 Your assets a Equities . Mutual funds (continued) Hddng TORTOISE IVLIa & PIPELNE RIND CLASS INSTL Symbol. TORIX Trade date Jan 29, 13 EAI 1544 Current yield 1 20% Total Total estimated annual income: 54.987 Number of shares Purchase mice Average pace per share (S) Account name: GHI5LAINE MAXWELL Friendly account naino:Indiv. V49935006 Account number. Y1 23571 55 client tnvestrneml 2296372 13.330 30616.00 Cost Price per share basis ft) on Aug 29 (I) Your N nandal Advisor: SCOTT STACKMANLYLE CASRIEL 212821-7000/800-308-3140 Value on Unrealized (tan Investment Hotting Aug 29 (S) gain or loss (I) return (5) period 30,61600 19.670 45,177.54 14,561.54 14,561.54 LT Fixed income 5243,500.00 Mutual funds Total tort.- r. the iota of as reinvested dexknds n does not include any cash dvdends. it Is not a tar lot for thi, P1400105 of determInng hddnQ periods or cost baso The shares you receive each lire you reinvest dvdends become a separate tax lot. Cost boos is the total purchase cost of the security. Ind udng reinvested d %teem% The cost basis may need to be ado:NO for return d capital payments in order to detennne the acIluStedC09 bags for ray reporting purposes 5245,32227 3219,094.05 544,571.77 $46,394.05 ("tweak:el (rad gain of loss is the dfference between the current vdue and the cost basis and hood generally be )bur taxable gam or loss if sec Oh was sold on cinte The urtrerAged Oa/Ono( loss may need lo be adurted for return of capni p4menis in order to deterrrine the realised gin or lass for tan rePOning purposes hwvntmenf return is the current vat* minus the amount you invetted t does not include shares that ae not reflected on rur statement, indudng shares that hare been red iced as either a gain cc a loss it also does not include cash dudends that were not reinvested Frldng Nuirber of shares Purchase Average pnce per share (S) Client investment (3) Cost balls Price per shut cn Aug 29 ($) value on Aug 29 (5) unrealized (tail gain or lOSs (s) irriestmern Honing return (5) CertEd AVENUE CREDIT STRATEGIES FUND CLASS INSTL Symbol: ACSBX Trade date: Nov 12, 13 910.736 11.270 10,264.00 10,264 00 11.850 10,792.22 528.22 ST Trade date: Nov 18, 13 912.566 11.300 10,312 00 10,312 00 11.850 10,813.90 501.90 ST Trade date: Nov 25, 13 911.661 11.319 10,320.00 10,320.00 11.850 10,803.18 483.18 ST Total reinvested 57.231 11.721 670.86 11.850 678.19 7.33 Ea 31,256 Current yield 3 80% Sectrity total 2,792.194 11.305 30,895.00 31$66.86 33,087.49 1,520.63 2,191.49 ERACKROCK HIGH YIELD BOND I Symbol: BHYIX Trade date: Jan 29, 13 4,811.156 &200 39,4 51.48 39,451.48 8.420 40,509.93 1,058 45 LT continued next page SDNY GM 00021344 c encoOmos71329En Nezoc0b931560oCos Cala 03057%04 vt23571550100000 Page 39 of 90 CONFIDENTIAL EFTA_0013 1964 EFTA01274171 UBS UBS Strategic Advisor August 2014 Your assets . Fixed income . Mutual funds (continued) Nclenn Number of shares Purchase pied Average price per thaw (5) Client investment CS) Cost basis(!) Price per share on Aug29 (5) Value on Aug29 to Unrealized 003 gin or loss (5) imesunent mum (S) HOldirig period Trade date: kin 27, 13 2,481.156 7.959 19,750.00 19,750.00 8.420 20,891.33 1,141.33 LT Total reinvested 202.497 8.360 1,693.96 8420 1,705.02 11.96 (Al: $3,567 Current yield: 5.65% Security total 7,494.809 8.125 59,201.48 60,894.54 63,105.29 2,211.74 3,904.80 COHEN & STEERS PREFERRED SEC & INC FUND I Symbol: CPXIX Trade date: tan 29, 13 3,002.068 13.487 40,490.57 40,490.57 13.740 41,248.41 757.84 LT Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.740 10,176.19 257.79 LT Trade date: tun 14, 13 751.274 13.309 9,999.02 9,999.02 13.740 10,322.50 323.48 LT Total reinvested 136.347 13.551 1,847.66 13.740 1,873.41 25.75 EAI: $3,852 Current yield:6.05% Security total 4,630.314 13.445 60,407.99 62255.65 63,620.51 1,364.86 3,212.52 DOUBLE LINE TOTAL RETURN FUND INSTL Symbol: DBLTX Trade date: )an 29, 13 12,496.155 11.379 142229.00 14222000 11.000 137,479.71 -4,749.29 LT Total reinvested 310.215 10.954 3,398.23 11.000 3,412.37 14,14 EAI: $7,185 Current yield: 5.10% Security total 12,806.370 11.370 142,229.00 145,627.23 140,892.07 -4,73515 • 1,336.92 EATON VANCE FLO/41114G RATE ADVANTAGE CL I Symbol: DFAX Trade date: )an 29, 13 7.524.150 11.180 84,120.00 84,120.00 11.090 83,442.82 -677.18 LT Total reinvested 171.341 11.145 1,909.74 11.090 1,900.17 4.57 EAI: $3,986 Current yield: 4.67% Security total 7,695.491 11.179 84,120.00 86,029.74 85,342.99 •68675 1222.99 HARBOR HIGH YIELD BO FD INSTITUTIONAL CL Symbol: HYFAX Trade date: Jan 29, 13 2.660.657 11.239 29,905.78 29,905.78 11.080 29,480.08 -425.70 LT contoued next page Account name: GHISLAINE MAXWELL friendly account name: Indiv V49935OO6 Account number. YI 23571 SS Your Mounds' Advisor, SCOTT STACK MANLYLE CASRIEL 212421.7000? 800-308.3140 CNP70009005782902 NP7OOO198156OOO:4 %I4 030575004 Y12357155O lOgaticGmOOO21Was 40 of 90 CONFIDENTIAL EFTA_00 I 3 1965 EFTA01274172 *UBS UBS Strategic Advisor August 2014 Your assets . Fixed income . Mutual funds (contrived) Wiling Nurrbee or shares Purchase Mel Average price per share (I) client investment (1) Cost Oasis (1) Price per snare al Aug 29 (1) value on Aug 29 ($) unreanzedaa4 gain or loss (1) investmmt ticking return ($) period Total reinvested 67.076 11.039 740.49 11.080 743.20 2.71 EAI: $1,721 Current yield. 5.69% Security total 2,727.733 11.235 29,905.78 30,646.27 30223.28 -422.99 317.50 HSBC TOTAL RETURN RIND CLASS I Symbol: HTRIX Trade date: /an 29, 13 3.858.567 10289 39,704.65 39,704.65 10.310 39,781.82 77.17 77.17 LT (Al: $783 Current yield 1.97% JP MORGAN MULTI-SECTOR INCOME FUND SELECT SHS Symbol: .1519< Trade date: Ian 29, 13 4,784.864 10.260 49,092.71 49,092.71 10.320 49,379.79 287.08 LT Total reinvested 54.221 10.366 562.08 10.320 559.56 -2.52 EAI: $1,195 Current yield: 2.39% Security toter 4,839.085 10.261 49,092.71 49,654.79 49,939.35 284.56 846.64 METROPOUTAN WEST TOTAL RETURN BOND FUND CLASS I Symbol. MWTtX Trade date: Oct 24, 13 7,192.344 10.709 77,030.00 77,030.00 10.890 78,324.63 1,294.63 ST Total reinvested 92.556 10.771 996.97 10890 1,007.93 10.96 EAI: $2,047 Current yield: 2.58% Security total 7,284.900 10.711 77,030.00 78,026.97 79332.56 1,305.59 2,302.56 MDGEWORTH SEIX FLOATING RATEHIGH INCOME FUND CLASS I Symbol: SAMBX Trade date: /an 29, 13 6,502.655 9.039 58,784.00 58,784.00 9.020 58,653.94 .13006 LT Total reinvested 135.228 9.053 1224.23 9.020 1219.76 -4.47 EAI: $2,456 Current yield: 4.10% Security total 6,637.883 9.040 58,784.00 60,00823 59,873.70 -134.53 1,069.70 T ROWS PRICE Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number. VI 23571 55 Your Mnandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000/800-308-3140 c-onvnued nest page SDNY GM 00021346 CNP70003005702%3NP701:0193156 00004 0011 030575004 Y1235715501000;0 Pap 41 of 90 CONFIDENTIAL EFTA_00131966 EFTA01274173 *U BS UBS Strategic Advisor August 2014 Your assets r Fixed income • Mutual funds (contrived) Hddng reurron of shares Purchase puce Averag. pxe ;el share (1) Client investment (S) Cost basis (I) Prue per Ptak cri Aug 29 (S) Value on Aug 29(5) unrealizedOm) gain or lots (5) irnestment Holding return (S) period INSTITUTIONAL FLOATING RATE F CLASS Symbol. PFFRX Trade date: Jan 29, 13 5394.060 10.270 55397.00 55397.03 10.230 55,181.23 •215.77 LT Total reinvested 91.038 10.267 934.73 10.230 931.32 -3 41 EAI: 32,282 Current yield. 4.07% Security total 5.485.098 10,270 55397.00 56.331 73 56.112 55 .21918 71555 Total $686,768.61 $700,746.66 $701,312.61 $565.95 $14.544.00 Total estimated annual income: 530330 Account name: GHISLAINE MAXWELL friendly account name:Indiv V49939X6 Account number. Y1 23571 55 Your lq nancial Advisor SCOTT STACK MANLYLE CASRIEL 212-821.7030/800-308-3140 Non-traditional Mutual funds Toler teinveste4 is the told dal reinvested dwdends a does not include any cash dyldends. II is not a lar lot for the purposes of determining hold rg periods or cost basis The shares you receive each time you reinvest dwdends become a separate tax CI. Cost Ana 6 the total purchase cost of the security. inducing reinvested dvdends Ire cost basis may need to be actin:redfor return ci capita payments in order to deterrent the aclusted cost basis for tat reponng purposes ttnte.iked NO gum or loss is the Ofference between the current value and the cost basis and would tanelary be yaw Ratable Once loss if tho sec oily was sold cn urn date. The unealued (tag canoe loss may need to be altrited tor return of Captalmmems in order to determine the reazed gain or las for tax (Moiling Purposes. 'ornament team is the current vat, minus the amount you invested it does not include shares that are not reflected on your statement. .nciudng shares that have been realized as either a gin a a loss It also does not .Nude cash d VcIends that were not rei retested Hddng Hunter of sham; Purchrt Once Average pace per than, (1) Client investment (5) Cost basis (3) Pre* per share 01 Aug 29 (S) Value on Aug 29 oil Unreatind (tat) gain or lots (1) imettrnet1 ticking return (5) period GATEWAY FUND CLASS Y Symbol: GTEYX Trade date: /an 29, 13 1,089.208 27,580 30,04036 30,04036 29.760 32,414.83 2,374.47 LT Total reinvested 9.249 29.128 269.41 29.760 275.25 584 EAI: 3514 Current yield 1 57% Security total 1,095.457 27.593 30,040.36 30,309.77 32,693.08 2,380.31 2,649.72 CHP70309005782984 NP7000198156 03034 CEO 4 030575004 Y123571550 10911§g yGm0002liese 42 of 90 CONFIDENTIAL EFTA_00 I 31967 EFTA01274174 sUBS UBS Strategic Advisor August 2014 VOM. aSSetS(commuecl) Your total assets Eguities Mutual funds rund income Mutual funds Nos-traditional Mutual funds Total Account activity this month Account nanie: GHISLAINE MAXWELL Friendly account name:Indiv.V49935006 Account number. Y1 23571 55 Your !Mandel Advlsor: SCOTT STACKMAMLYLE CASRIEL 212-821-7030/800-308-3140 value an Aug fl (S) Fexentage d your mault con ,....u...s 01 Eflmate0 annual mcccre (S) unremred gan Or 10'4 (S) 289,894.05 28.31% 245,322.27 4.987.00 44,571.77 701,312.61 68.50% 700.746.66 30.330.00 565.95 32,690.08 3.19% 30.309.77 5976,378.70 514.00 2.380.31 51,023,896.74 100.00% 535,831.00 347,518.03 Ode Actlety Dexl:410n Amount (S) Dividend und interest imorne 1-webte dmdends Aug 1 Cividend METROPOUTAN WEST TOTAL RETURN BOND FUND CLASS I AS OF 07731/14 165.24 Aug 1 Cividend RIDGEWORTH SEIX FLOATING RATEHGH INCOME FUNDCLASS I ASOF 208.15 07131/14 Aug 1 Cividend DOUBLE UNE TOTAL RETURN FUND INSTL AS OF 07/31/14 592.37 Aug 1 Dirdend Aug 1 Cividend EATCN VANCE FLOATINGS RATE ADVANTAGE C L I ASOF 07131/14 333.53 Aug 1 Cividend )P MORGAN MILT-SECTOR INCOME FUND SELECT >IS 115.87 Aug 1 Duldend T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS ASOF 07/31/14 192.36 Aug 1 Duidend BLACKROCK HIGHVELOBOND I AS OF 0713014 292.48 Aug 1 Cividend Total taxable dividends $224731 Total dividend und interest income $224731 COHEN IP STIERS PREFERRED SEC & INC FUND I ASOF 07/31/14 308.72 HS8C TOTAL RETURN FUND CLASS I 38.59 Date Desomen Anatol (S) Aug 4 Transfer TO Y1235750100 Total other funds debited eher funds debited -38.59 -53859 SIDNY GM 00021348 CNP703030057132985 NP70001931 56 00001 0314 030575004 Y123571550100000 Page 43 of 90 CONFIDENTIAL EFTA_00131968 EFTA01274175 *UBS UBS Strategic Advisor Aught 2014 Account activity this month (Contrived Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number. Y1 23571 55 Investment transactions For more Infoirnehon Snout the prkei value shown for restricted secuatles, see important Mformation Soot your statement at the end of this downent Date Actnity Description QueOlity Value (S) PAce CS) Proceeds fron Investment transactions 0) FundS withdrawn fcr imestmems bought (1) moved imeres1 (S) Aug 1 Reinvestment METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I DIVIDEND REINVESTED AT 10.81 NAV ON 07/31/14 AS 0,07/31/14 15.286 -165.24 Aug 1 Reinvestment RIDGEWORTH SEC( FLOATING RATEHIGH INCOME FUND CLASS I DIVIDENDREINVESTED AT 9.02 NAV ON 0713 U14 AS OF 07/31114 23.076 -208.15 Pug 1 Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL DV1DEND REINVESTED AT 10.94 NAV ON 07/31/14 ASOF 07/31/14 54.147 -592.37 Aug 1 Reinvestment COHEN & STEERS PREFERRED SEC & 01C RIND I DIVIDEND REINVESTED AT 13.67 NAV ON 07/31/14 AS OF 07/31/14 22.584 -308.72 Aug 1 Reinvestment EATON VANCE FLOATING RATE ADVANTAGE CL I DIVIDEND REINVESTED AT 11.12 NAV ON 07/31114 AS OF 07/31114 29.994 -333.53 Aug 1 Reinvestment .IP MORGAN MULTI-SECTOR INCOME FUND SELECT 5115 DIVIDEND RENVESTED AT 1034 NAV CN 07/31/14 11.206 -115.87 Aug 1 Reinvestment T ROWE PRICE INSTITUTIONAL BOATING RATE F CLASS DIVIDEND RENVESTED AT 10.24 NAV ON 07/31/14 AS OF 07/31114 18.785 -192.36 Aug 1 Reinvestment BLACKROCK HIGH YIELD BOND I DIVIDEND REINVESTED AT & 30 NAV ON07,31114 AS OF 07131/14 35.239 -292.48 Total -12.208.72 Your Knandal Advisor: SCOTT STACK MANY LYLE CASRIEL 212.821.7000/800.308.3140 Date Activity Oescription Arrount IS) Money balance activities Jul 91 Balance forward $0.00 Aug 4 Deposit UBS BANK USA DEPOSIT ACCOUNT 38.59 Augs Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF MEW 14 -38.59 Aug 29 Closing UBS Bank USA Deposit Account The UBS Bank USA Depnst Account Is your primary sweep apt on $0.00 CNP700090057132996 NP70031931 56 00004 0814 C80575004 Y123571550 10%ffic GM 000211l9gg 44 of 90 End of statement for account number Y1 23571 S5 CONFIDENTIAL EFTA_00131969 EFTA01274176 Important information about your statement Fnancial Brun Inc (tern or WS FawnI Skin/. IS a menher of al prinkalsecunty. caserndk and epsks et/urges OBSF Pm% Nvces and UPS Bank lint en Mina siubmliras of UBS AG and kiln% of WS Sane% LLC lhefentstnacial ~mere it astable noon remis the knits heaths ahem Se a U3S kuodal Stwhis hc 1200 Harbor Bobby% WuNink en NJ 07086 lInssuumem represents cribrofIcial record of >cm IIBS Fmancial Sauces haunt Other records. %apt oppal tar donna. conuhng ØBØ dau should not be teed upon if you bens% twit 6 an make whin pen • or A ~hack n tung» helkanch ~no of he osp: mens your ithrum %scup al Sans awn ant Wended b be mono. swiroint Nand] rot be used for tatbubo% 48 solely on yediend la lams. . Fan 1099. MN. I CrelS etc) Mn pinning yourIh return her no is mph% by 14.4 10 reton tott RS al thank dirndl. repent/le non- ladblp dvdsmds ad lane sten tamed en mantes held n pa teen rin proceeds on sak tranuctons, sod ma bacon con% coed scorn Cemmunicedona wit Vs Firm • please re ccal.mi airy oral onernenons nsmn9to further peen your 'Wm %Wing you* rglos undo' the kanks foreta Protection Act (SPA) • 6/he fink 'Nikon onto top Wt cd Ilse km of this stamens 6 not UIS ~oaf ~vs. UBS Fennel Set-item:en yote anise as death; broke by aringement nth the INNS %Chinon We Wormed you ot thsrebtionshp :Men you owed tit account In this cap pit olds ant utnips ote heated a WS Ruspa Sinn and not the etreditng broker. aid you must nearer:et of my shoeOran% to Nth Um All nowt swans shrine deemed camp» end acar ate d rex objected Co n ~try whin 60 days • itemse direct custernen aterplants pilos to the Prins On Rohn Worm% at 2014S/1699*r talk% al $00-354-9,03. 8 00A NI to 6 CO PM ET ~Ay Pinup frid y. a in sting to uBSIlinancsal Sendes Clerrl Relitions Depattrrent PO Box 766 Union City NI 07(07 • Ts cast of «mors mesons about so ekmons lufg, trend« (sn bill Penn; or 15$ Visa MN cad trashions, call æO762.1000 « nrce to WSWaned Wm% hc. 1050 nabor BW .6th I bat ~bin N) 07086. Ann ins/SsA smite: CM hones won as you cart Ay:tithes/a unto( recept 6 vlOrg only% need nut detain Loot *trader on the slam% ei magi The kin ce c xd mew (as SP katile) must hear trom you no det« than 60 days alter the fri sent you the kst taxmen on endo bie ara or probkm ~mid - ProArk you nant ad mant inter (il and - Describe IN error or lee ranter you se knee Lou ad khan as clearly æ you can doe you belie. C is al error a why you need mete Manion - Prokle the dot% nun, et the summed wee The km orC ad hoer mil Instigate yotacmplant ad NIco:Tea any emor promptly hose mote al d-recks payable to the Fenor temaril nuluin, ndested on Ps front of to Zan% h addlion to tin knit fees. nounn may be kibta to mamma« km nu: lor me payee's far matte: Barderaa aid clukel Ice aped arens n oafs abcosnts Accounts ta are ann.] to otter nittutems may be %pa to a Pane% NIBS Sweep Options UBS Oka Oplailler ~Cat banes. Names to bad deposits at Mtn uSA arid WS AG %Nord tams (Bark Sword AN") : %hey market mutual Nils Proncy Evils) arid the Thwyntional Ghost Axon alfor customers tok as mentioned emote% Wriagenent account hicugh then% Smesalegrains. can balances re swept so WS Bat USA up ki a egabkhed lean and esi to WS AG Stair-lord Bran& a a Many Fura Deposes at WS Bat WA are 'OK enured n eon:Saxe with FOK Ns For non dannacin one nut ten klic 9,v OPpOnt5 41,5 AG Halted Brant ad tomcats -67 Funds rend nsured by the FCC. lØ th Ors. Juno to can Inn% am crap? to «WM accounts a lfilS AG ~York Branch and WS AG Caplan BUN, These deposits are net need by the FDIC Banes %Si If the te$ AG Wynn Bran re empowily hissed to he swamp ri-S of the C hmaii nat. and Mere h is gunmen other °Nuns of WS AG to May tne Dann Mode on the WS Caymans Brach's boda. Deposits a IC Bat VSA and tab WS AG Branch any n01 proem% by SPC Money Fund sham are peon% by Sec See 'WS boson Seen Mann Retealon- Now Upon pus rP4a.2, banes n the flank Sweep Program or OA may be nonsem ad Shaes of a Pane/ Fund maybe Nair% aid tnessocceM returned to you a your %onus towns fisher nlangn tout subtle weep hymns. exbdng dart sewn ram ard pens. 6 ....little x www ubsoselsweepoitels Mom your f ruin Nhor a by calling 806762-1000 tat Fesentbl Shakes nets peettekim The Fern n amine( of the Snubs ryes« Proteaion CObOrahn (WO. Mum protects seosnies xcocens of es makes sts to 1500000 Welkin; 1250000 for dams for Nag he WiC an ;oxen«, tarter Øhlo alletatens ~pun% n apannthhady The Firm 'opt wen cenan aliltes. ha ad pet:bawd skpienuntat grobann she merman anoint payable to all NIP% {Bonn. colkchrokunder *Ps motedon e WC mike, as of ~Ws In 2013 Babied tote pokcyarditiorn ad~fit can at he cem SUt«ØP0Ø fa up b SI 9 milk n *be adi aegis% toe al pur axotnishipb n a sancta capack afell copy ol he poky timOng aukbles/Pon m}ie2 The SIC peonen and he supplenta enact, both do not SPIT to • Count hen axes controlled bylad %Ad% n your nowt vim) but hell asw rom te5 findal Sermon (eg. Chan (0øn a LIBSBark, MUSS?' a ks AG Stamford bunk nsuramehochat ixkicmg Taub» anti% ad Minim of mutual finds rite sulis shags re my he% deny in te nano d the axon hob« on he bon and records of the acilabb en or toner agent • Conan nventro conna-tt or nor% inn kr 9. fried parohreships and prvae ~ens) that ate nix registered Vade the Smurnes Act of 1933. and • Correrorkinconirmunig . Prop tong* aid minus meal antacid, ncleclep turves commas and OkmandnY %0e1 contraCts The SIC protection and the apil~alprotrabn do not pp; to Msse assetshen A helot!~ »pea ate staxinenn The WC pronr:n and the swpWrwit pritteCISM do not holed pans* Man% n the market eh» Of yov ewes neat end% z arrim ff matel mown% Ør branaPKY of I'llscrake) Moen Womixon e ratable...pm divest Yat may ',bun ekre erfornwern and WC. hedudn9 the WC Brodin by caning SEC at 202.37 W300 ix by mitng tie SPC webyte ~swell Dkieleni Re kovesment Program IMP) the pnæ rekered is a arnje knee TOu Ma) °hen the &tulip-ate9n" your firing adroor Wry Wide nes are manna% knife OR P. paneltam kil te toll and me ash nil be deposnel n you amours lhedvhend Nina.% prize kipplitd by the issuer nog Offs from the mint ix% ye Midi the paul tees cm sold Caste-blip Only rank unit flay be ist in pv szoint s you re ontind <p enman sank of a en% ~nag or ~Me. tie Finn wll ether 3?-1 panel rants a makt price a accept an atom, densond by a centred Wang agercy. and cede you account lavettmenteblealvet he eminent obrives and Mt prof in are specic to each &Øm and inny vary between Stem ahem the Inn month, in wring of any mnicanc erase h your Nunn station or enestirgro cbscen For pad, nowt held you choose one of MeSolow% mestment Wachs • Pedigo fumy,: :Nome imosinstnts waking tly• phut kin d harmonly • Mime CaPinfilPPAPJOOn klingrrallt *Eking growth e sneXpal fans thane generten of name • Ante Conked/en of income and CyX.dx0flonfIf annstnns satin both he gnat« of race and Town d enopal Gesell risk profiles • Conanom Seeks tomimen klia minipill van km risk and plank to the roan net wen 4 that means the %Pam does net gmernesgmlicht income« (Sant atel may nce keep pace won in114no • Aitttketia Vining so amp! faneril to Laden' end tolerate owe mix eity » se* higher pens • Aggrrtase Wdng to axed ngh risk Hi~ aid hgh minty» %thigh returns am urne Statement locketheklinr We rrtay consoldate el rented hook, statements wet te selt ar}itr.S Mille Sane er,~ Accounts envy be relined for tin Inn Nun they he. wan eho a% maintain lent Noun rehionshps Ø otwe. dana te sane ahem, nu puttee 6 known as nomettoldng • I you peels to make %% MS tacmmt,mti%n ~at* CONFIDENTIAL nolcom — you my nine focuseholleg by at% your Enamel Admor Monday mount name ThftimdN aØ nane ref Sots mfarreticn that you neck on the km% wine senses %see It 6 a cutoinkblo -nrume- mosen by you a azh you wth your ~mph] it hin no %a effect on your ~UM You can Make pv Frondk aØ navies. hroup OnIne Sens of ble:ntalinj »NS &tarot, AO•bc< Auxitim %endow • Vabe of war acouraposkno NB of asses and Inns • ntaett Inch*" 'rabble can bala-cm vlkbtlp resumed wank/ t Gkbal Tr% Depositn unreal.% marks to maket ad eertan aZets not held by hp Ern Does not ncihnunpnad stintedassets a he en1 of the mer and men Illtentent pent a Mir% emsonents, unrested stork col ens and erns* b sØ plom • Oakes %Wes Mot bastes. outstandingmaw loan. crehl Me short account banes • cassonny banes tots of unnzed nubk W blanks. DV; WS Bank VSA Min balancob OBS AG Surd% Branch depose balances and mcnennorlk awn NO sweep banm a the dose of the Nina P40:4 Noniamencdify free Cledn banes n yeti, .10:Ounl ~not segrepsed from oakbanes ~the Fionrnay uce any ol these hads n the ordny course of damns, Rome funds an Nike kon purden% This 1St 6 Indked in he arrant pm% doseg mkt Lend hg information For detakd /Hofmann on he/ ril'> lend% praci us and dodos% Sato youClem R4aliteititp Ahern% or Account anonym ad the General Tin and Cceditom ORS khan of Cfecle Practicesman h 49nemer4" erdeeckaires YØ iiM re/man inMmiM.ny Your ants Yof Yak-Mini nines sehertes and other assetstin n the moon a he ed et the Pain% pa% You may okt for dtlime of !Lay paid .4turits, zany Ins You may recent mane; used a ban collseri aber PhmStiminn batance at on tern Any punties tranned U4 Meng lee summer: period are lit% a swim Tama ol the eidet the Nan% period • Con bash r, detenneing the croX basis cf the wakes naked n the staierrin SW? Mks% in he number 15$ Worn Stivashas eel% on %anion Oblained from sources other lean IBS Ennui Senf [es. netudng nlarnation Iran woks fen or ha you may hate plOidtd 10 your Nan Ante The En Met not independently vedy or guranhe to annoy en eXidey of any Mormacn mended by sources other tan WSFraioal SeNtes Ni Phan Stough WS Fink, Sakai gennly updates his isform nul as 16 reGtred tie NA does roc (*hide any ~ads tha tie ruanion vider 'Cost bait' and -lwerieril ganloss" is haute a of he die of this strewn As SM please do rutt rely «, this informalkin to stefanten er sae derimes. laid( punk% cr New% ~on Pained to the ern marrellect gwyb,s nformaks oily forte period of the theyreheld a the Pens Iterehinormil Months Cat be added by pv Ewan% And • t/nteditedgelnabsom %Ism data i hair% name% areal% lash: ism ye chtsted ter SDNY_GM00021350 EFTA 00131970 EFTA01274177 Important information about your statement (continued) kithwithalimaity kis the tathaakin data la inlinthal lots mayor may non ref kta cc missans Chaves am stormy reorsuncann mows Direfend and other remnants Sots and *tartaric padre lots re eats 0>nbried to disclai one nosed lot the • 'Bade cobrm peesents the or Oar Irathar Kin traledare • Callable workin Ponds and weekend stock mat the nos cart for early redemption wit be mimed repair* by lot tom among 8A Jemmiesof that ape MU in our rant to n panne. nave for cis dents Cat Mare 'Mama no is °Maned rtom thrd prim aid is array rs rot quaked Other call leases may most vassth could affect year complete olormi Ion vol toprovided open renmest • Cerrifrates cif deposit (CDs/ Ws are XX cued ups, 1293.033 n enema aid salad Mired pa thstoseor end per dmonto-y antihero. rt acid:Masa with SDK inks • pricertielue Pisces cloplmd fa Manes an, other produce, mae be highor a bwer that To prat that you would aaualle ream* in the make; Axes are °Maned from rattan meth party sources intsidi we belethe to le retitle, but we do not gramme eel' xcur•cy - Wo gmoraly coo the doingprize who, aralebk cr led mean a IM bid aid ask aces tor lam] *WPM and optunoralybd pines I or OTC smarm - let dandy traded warner maybe priced tang a mime. rootlet &Shenk, roam Ma we obtained ald may rein :Oka an data maker enamor data - Main positions may amtha without ay.:tan:I roll show a 'price was not mailable' if we re amble to obtain a pee for a stormy - Deposes a Searles denominate." n orrendes other Man U S Oaten re ref Wed a the t :I urge Ae as of the to neat date - For oertan marines vadog n nonathoming clethmnaktoS. VC, and quality dace vale) may hae been adenoids, fapmare proper vabram To obtain CUrOWY: WAN." MOO aniakk. threw yaw* Savona Advent • Meets Iniestmtms rend summedproduce. Omar therms acumen ancbdrig direr pathrpation progran and real ectate ntharnem nun Mathes/ aid Product products at IMMO, hghle ilkOdd (elan Milt/ ed FICALCIS KM het beer) regmeted own the Swimmers and ecaanal Canmsslon a under any Stare SeCiattei Pals We Monk eStmred vatem kr Mink re, estmett seamen. art seniors products lot Mortal noalpupown only AccuraCY a rot 9Urahleed - She* values maydifkr sthstantally from foxes, Ray a With wpm mesernere soatya nructured manta nay be Mar a sold aid do not nom:ally reposent the vast you may reamunser Inuidann - to rd pay eslmaes of vale as as of a ran tae aid re sampled to ItS Mega Sawn on a regt bast by an thlepentfent valerian iron Sentra Parmace spinsor Sowed Wks.. d ay. awe stapled to te rem by the Miwer, general pawner a swear and nay be °Waled based co al knot Mormarton from that used by thed pates to dente thee eStinatedVaiai - You car obtain addannal internam, regaling the methodology used to determine the elms, of VIM and the dare of the hronnacon Ma Is the bans fa the Mann hyaena:Mg wur Finrdal Athisor - Mad parry *thawed valvesmaw be calmed as .Not pnCeril n 'moral SWAP% *hell an nlepenant valuatner Ins has not applied a n male to assign oaths when we Nome away Thal a Mi.:fill wort ha cm:caredthat may oda crensusly mooned wake itho Ckethal. Ce whin a vaith model be hgthy speculathe duo to the ruisre of the smarty - Men Nether an nom general wow a sponsor (*mated vine 3 ihraparty MI Mated vane is prowled the Mut Or Me matey wet DT:INTIM am is Tram Ana - 'OMaiutioas to thee' may nicba rerun of cmrtal. .,cane a both • Coinki uml siee* re:reams the gaol Miro; ante per ash tab may not aorta you cost barb . hMa.d securities Resincrediecumes gcneaty ere not crank eligible for alplc lale US'S indexer acmes uses the mina precool the inersubtod mock of the sane Minas ncuted With for the rewitsed cloth for pwposa of m6 sadexereorth To the &t en tai resented warner are alb* lot sale. Me wake ecemsd may be surtuantlrly ass man the knouts] aim town • Esc Onirillted) ncaiE arraityiklds and rates. An 4.21Matt 01 anal name is based en rumen thethind aid Mom ram awning M. acuities will to held rot one yet from Bremer' date or nntil nasty lho rtilimat. is on 3 guogine. accuracy and Unglued Mane ere not thuralreed - Ed Muted ato' mome and orreor ythed la Galan hrtesol worts mule nduisi drawn of mexpr or GLIM pith in Math Olathe en Mare (and anal yeld)would be imitated - Earnated Nita name rid cument y eft end The aCtur Mom and amid night be lowers hgher thth the taknated amens - An nava ol snaked income Ovid'sd anchor fleetest) dvdeel by the °them make, vas, ate 'apr balreth ts toad Co the WI Mosul or excess parent nude by the over ant manes the sear* imideposas rill be Mldfa one wor arms the statement Mame tritthrtharty Amway" aid Conflated Mid tre not guarantee, • Meet not held by WS Plummier Sava Calais assay, ad not MNbytekm ad not WM, the SOWS possrano or motor Garth asses re deplaad co your ski...sera for informational poposesonle Posrtions ark ram presenied re mailed by the issung filth IRS pnascia Sfethors noel reiponsba kr this nfornrion arid does net thrall.* is accomy Mese assets tenet proemial by SVC re the kiwis supplernereal Sat coverage • Revenue diming end addbanalcompensatlen. - et 4dditial to onthissom on stars aid 12bil lees rimmed n conneaco with the dart:Non of inutta finds to our chink we mace ow *Mae reawe revenue Mann; papenUfrornanbutorsandor »ikon of the mane rinds that we sell These amounts are based an nvo &forint ccerponints tie Afton, Of SakSbyUBS 01 a MilCulr Mutual fund retry to me Greens. ad the met raze of a primly moor lad fangs shamlard a ilw IMs - INe aldose- *Are abo read., retenekng rid owntusprocesung lees in ortvdeithon for trailer agent amines man we prow:aro the maual fund; Thew fees genet" at pad loom immix ram in the mutual laid ad re a tbid CIOVSTOUll bawl on the turner of nails at the troker-deala hoking mutual It:Vsof era raid Isniy - In aktion to comma:of teemed et ornedion wen the Salre or darbution of arnury sad lnif •s.sl•,r.•5 ton snas to Ott dents we and cr our Mdla,erecevereme e Mang Othrptniabth Min maryof The romance corrpanth. inclerwring the athuityccrinas artilaksol the harried cornhais CeSpenien of to tint nvestrient moos we dattute - Our attires also meltetrading COMMISWISeN other componution trim mental nobs and nmake Oarthalies Most roans we Ms-Bhutto - We recast as antral fee ram LBSBant USA ad USS AC Stanlord Braids Or up to 125 per a:Courie sweeping to to baits ink. the UBS Bonk Sweep Program Aetaltp Information moaning corimidcos and other charges enured n monsoon with the mambos of Valet natOng option travottons has been madded co ccednuthons Prouty lunched so you. and MI be 'writhed to you pimply on maw, Senn selling It you reengaged in tort Ming a wacky. you may ens a dirge43*th with Innowng costs la that pakarla 'softy Open wden 4 9arding Open Ce igooditiliCarKelled • orders that were nor Melted by the Adernent date. Opel buy rd Sell Step cram ere teamed by the amount of dividendsa tghis on • andiedinchor 'eagles die unless mewled orherwiso by you YOu ae revOnible foe orders lhal are executed due to your foam to canal ethirg open ceders Tax witholdirymen fairbutionw foam UK Sinaloa' SentiOn IRAS Federal tar tar regureS LOS lelalcia Servia5 to withhold income tat from doer umblo MA Melba lax tut you may 4a opt lobar. ranno tar wehholl or. instead you fl ay ilea to haw let weanild. a arm or n a lead anoint as you depose Yet frelOn sea reran n ef leCt until reWled by you You myrevel* your Makin a any tine by manly anew eacten a you der not hate enunto roam tar watioNd Iron your diminutions. you maybe reversible la the payrnart of tthared ran You may nod marina d tie moults wt old and yes estinard in premises re nos equal to y0.1 lag CelipTiO1 Privacy To Mean 3 copy of arose-4 (Wire Stinky at pare contal you F maxi& tin out webine Y. now vas comilmioneolip Urn Misread' Semites 6 not a bark the RNA. Fusnms Sauces Amenni BSA and ahtik ere betherage aatilltS Sleds provide axes to bath ng services and produces trough anaigewnts wen affirmed bats set other Mkt partybalks ad provide; mans to thurroi and ready prothas imad by unartileted 'ha/party Moran" memories through ethisice b)ttICy subsea -vend MSS Fnakird Saviors tic lierestmmt. II5Ulatt andomit/or product, riot FDC holed • No batik gummier* May lad van MAA Resource Mmarterini &comm. Business Wynn Axone SSA. irMA and enema/nal Resonrce Mathgthren CONFIDENTIAL ACCOLftt ap regineted fence mats of OBS Friaxial Sete/tin kx Yea S5(131100 it a regiebcrod smitemath of vita kthernimaial lEtS Wa Svnabre cede fads ad LEG Wa debut cads re issued byMSBath USA with mammon from yea u SA roorpsearcd UBS Financial Sernoes Inc Rev 201407 SDNY_GM_00021351 EFTA_001 3 197 1 EFTA01274178 *UBS UBS Financial Services Inc. 299 Park Avenue 25th Floor New York NY 10171.0002 CN470055526170911 X17 Y1 0 UBS Strategic Advisor September 2014 GHISLAiNE MAXWELL 116 E 65TH STREET NEW YORK NY 10065.7007 Account name: GHISLANE MAXWELL Friendly account name: Indiv. V49935006 Account number. Y 1 23571 SS Your 6nancial Advisor- SCOTT STACK MANILYLE CASRIEL Fficoe: 212-821-7000'800-308-3140 Questions about your statement Call your Financial Advisor or the Value of your account RMA Resourceline at 800-RMA-1000, account 029323 571 on August 29 a) on September 30 (5) Your assets 1,023,896.74 1,009,316.80 VisItour voebilte: www.ubscoffillinancialservices Your liabilities 0.00 0.00 Value of your account 51,023,896.74 51,009,316.80 Tracking the value of your account ThcLfianC$ Sources of your account growth during 2014 Value of your account at yea' end 2013 10.00 Net deposits and ' 0":7 EON 3 withdrawals 1981263.47 • Vow nostrum t return • Dividend and interest income 420,472.38 Chance in market value 47,580 95 Value of your account Aug 2014 Sep 2014 on Sep 30. 2014 $1,009.316.80 SDNY GM 00021352 Member 3IPC CNP703030C6557617NP70CO29330003C04 0914 0305750047123571550 1103C0 Page 33 of 100 CONFIDENTIAL EFTA 00131972 EFTA01274179 SUBS UBS Strategic Advisor September 2014 Your account balance sheet Summary of your assets Value on September 30(8) Percentage of your XCOUnt A Cash and rrxmey balances 0.00 000% B Cash alternatives ace 0.00% C Equities 281,512.43 27.89% D Fixed income 695,258.78 68.89% E Non-traditional 32,545.59 3.22% F Commodities 0.00 000% G Other 0.00 000% Total assets Value of your account 11,009,316.80 $1,009,316.80 100.00% Account name: GRISLAINE MAXWELL Friendly account name: Indiy V499350% Account number: Y1 23571 55 Your current asset allocation Eye on the markets Index Percentage Change September zol 4 Year to date S&P 500 -1.40% 8.34% Russell 3000 -2.08% 6.95% MSC1- Europe, Australia & Far East -3.81% -0.99% Barclays Capital U.S. Aggregate Bond Index -0.68% 4.10% Your ARandal Advisor. SCOTT STACK MANLYLE CASRIEL 212.821.70001800.3083140 Interest rates on September 30, 2014 I One-month LIBOR: 0.16% CW7000300655261 8 NP7003293800 00084 0314 0305750N VI 23 571 550 11MtivGtkoccatigs334 of 100 CONFIDENTIAL EFTA_00131973 EFTA01274180 UBS UBS Strategic Advisor September 2014 Change in the value of your account September 2014 (3) Year to date (S) Opening account value $1,023,896.74 $0.00 Deposits, including investments transferred in 0.00 1,160,805.66 Withdrawals and fees, including investments transferred out -38.59 -179,542.19 Dividend and interest income 3,636.06 20,472.38 Change in market value -18,177.41 7,580.95 Closing account value $1,009,316.80 $1,009,316.80 Account name: GHISLAINE MAXWELL Friendly account naMe:Indiv v49939006 Account number. Y1 23571 55 Dividend and interest income earned For cuipop.f, of ins statement, ta.ati:ity of 'merest ano ckncieno interne ivy, been determined non a US tat reporting nerved's. eased upon the residence of the account hold,,, account type, or product tme some interest ardor dvidend payments mar not be subiect to United States (US) ardor Puerto Rico (PR) Income tarts. The (lent month statement is not intended ho be used and cannot be weed upon for tar purposes. Clients should refer to the appktie tar reporting font,' they recent from 185 annualy, such as the rens NM and me Eons 480. for Is remning intorMatiOn It IS the Make Of U85 to file tht Spkatie tar tenoning foams with the US intend Revenue SenSt aid PR Treasury ()Mailmen*. and in such form accurately cIssify cilicknct ardor interest as tar exempt or taable income. Mese consult you Induct's' tab PrePais September 2014 (1) Year to date IP Taxable dividends 3,636.06 20,140 47 Long-term capital gains 000 32555 Taxable interest 0 00 6.36 Total current year $3,636.06 $20,472.38 Total dividend & interest $3,636.06 12O172.38 Summary of gains and losses Yaws reported telcw exclude products tot which gam andlosses are not classified Realized gains and losses Unrealized September 2014 (1) Year to date (S) gains and Asses (4) Short term 0.00 0.00 4,042.10 Long term 0.00 0.00 25,298 49 Total $0.00 $0.00 $29,340.59 Your II sandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000'800-308-3140 Cash activity summary See account activity the month tot delah. Balances in your Sweep Opbons are indudedin the cpenng and closing balances roue. FDIC insuunce *chat only to deposits at uss Bank user, rot to deposits a UBS AG, Stamrced Penh or bank deposits paced thiough the UBS intemaiortzi crow Account progtam SIPC protection applies to money market sweep find hddings but nal bank deposits Seeimportant inktimation abOut you( statement on the last two pages ci this document for <Mak September 2014 (5) Year to date (S) Opening balances $0.00 $0.00 Addkions Deposits and other funds credited 0.00 71,462.49 Dividend and interest income 3,636.06 20,472.38 Total additions $3,636.06 $91,934.87 Subtractions Professional management fees and related services 0.00 -1,457.28 Other funds debited -38 59 -70,810.43 Funds withdrawn for investments bought -3,597 47 -19,667.16 Total subtractions -$3,636.06 -$91,934.87 Closing balances $0.00 $0.00 SDNY GM 00021354 c tinzcOdadOisSSZEii 9 NP7003290800 COCCI 0914 030579004 Y12357155011000) Page 35 of 100 CONFIDENTIAL EFTA 00)31974 EFTA01274181 *UBS UBS Strategic Advisor September 2014 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. You can find a full description of the altemanve investment objectives in Important information about wor statement at the end of this document Account name: GHIRAINE MAXWELL Friendly account name:Indiv V49935;106 Account number Y1 23571 55 Your ratan: objective: Current income & capital appreciation Your tisk profile: Pnmary - Moderate Investment eligibinty consderation - None selected Your account instructions • Your account is currently coded for margin. • lots account cost basis default closing method is RFO, First In, First Out Your Amends' Advisor SCOTT STACKMA:1%Ni" CASFOEL 212.821.7000/800.306.3140 CUM:009006552620 NnOCOnia800 COON 0914 030575004 Y123571550119itiiwmtgoollger5536 of I CO CONFIDENTIAL EFTA 00131975 EFTA01274182 *UBS UBS Strategic Advisor September 2014 Your assets Account name: GHISLAINE MAXWELL Friendly account name:Indiv y49935C06 Account number. Y1 23571 55 Some prices, income and current values shorn may Ix Epproximale. As a reste. gains aid losses may nol be &wady refkatd. Set Aporhan inkamation about your statement a the end of ths dxumem for rm. infornason. Equities Mutual funds Iota rent-tea d the iota dal reinvested dwdends II does rot include any cash dsich ads. a is not a la lot for the purposes of determining hold na periods or cost basis. the shares you receive each time you remiesi d %Wench becomes separate tax Pt. Cost bah; is the tots purchase cost of the security, inducing reinvested ci udends The cost basis may reed to be &lusted for return Cl cams payments in order so deterrryne the alusted cost bars for la repdaing purposes. Your II nodal Advisor: SCOTT STACKMANLYLE CASRJEL 212-821-7000/800-308-3140 tin fealaed (far) gain or loss is IM dfference between the currenl value and th cost bass aid would genera be your taut* gan a loss if the seculty was sold on ttes date. The unreas2ed gag gan or loss may need to be fl ushed for return of caatal payments In older to determine the 'edam' gain or IC61 for tat reporting purposes. /ointment realism is the current value mews the amount you imele0 It does not include ShaltS INK are not (elected on you, statement, mowingshares that haw been realized as either a gan or a IOSs It also dOeS not include eathdoclends then were not reinvested. thrrber Purchase owe Avelage pace Client Cost Price oer Share Value on Unrealizedurn imestment Hddrig Etching of shares per Shale 4s/ investment (3) DaSIS(3) 041 Sep 30 (SS Sep 30 (5) gain or losi (Si return (S) Celled CLEARBRIDGE EQUITY INCOME FUND CLASS I Symbol. SOPYX Trade date: Jun 26, 13 1,179.249 16.769 19,776.00 19,776.00 19.690 23219.41 3,443.41 LT Trade date: /an 14, 14 296210 18.470 5,471.00 6471.00 19.690 5,832.37 361.37 ST Trade date: Jan 15, 14 283.181 18.549 5253.00 5,253.00 19.690 5,575.83 322.83 ST Trade date: /an 16, 14 282.731 18.529 5239.00 5239.00 19.690 6566.97 327.97 ST Trade date: Jan 17, 14 298.430 18.469 5,512.00 5,512.00 19.690 5876.09 364.09 ST Total reinvested 26.354 19.186 505.64 19.690 518.91 13.27 EAI: 1826 Current yield 1 77% Security total 2366.155 17.647 41,251.00 41,756.64 46,589.59 4,832.94 5338.58 COLUMBIA CONVERTIBLE SECURITIES FUNDCLASS Z Symbol: NCLAX Trade date: Dec 19, 13 1.147.177 17.890 20.523 00 20.52300 19.190 22,014.33 1,491 33 ST Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,942.00 19.190 16,126.89 184.89 ST Total reinvested 53.109 19.394 1,030.01 19.190 1019.16 -10.85 EAI: 4967 Current yield 147% continued next page SDNY GM 00021356 Chie70007005552671 WT003218800 00001 09i4 030575004 Y123571550110000 Page 37 of 100 CONFIDENTIAL EFTA_00131976 EFTA01274183 4tUBS UBS Strategic Advisor September 2014 Your assets . Equities . Mutual funds (Coannued) Hddng Hunter of shares Purchase wet Amp? peke geisha'. (S) Client investment IS) Cost Oasis (1) Pnce per Share on Sep 30(1) Value on Sep 30 (S) unresIndOs3 vain °floss (S) Investmed Hddng return (S) period Security total 2,040.666 18.374 36,465.00 37,495.01 39,160.38 1,665.37 2.695.38 HARBOR CONVERTIBLE SECURMES FUNDCLASS I Symbol: HACSX Trade date: Ian 29, 13 1,872.780 10.250 19,196.00 19,196.00 11,150 20,881.49 1,685.49 LT Trade date: Jun 17, 13 960.534 10.489 10,076.00 10,076.00 11.150 10,709.95 633.95 LT Total reinvested 27.030 11.272 304.70 11.150 301.38 -3.32 EAI: 3589 Current yield 1.85% Security total 2,860.344 10.340 29272.00 29,576.70 31,892.83 2,316.12 1620.82 JP MORGAN INTREPID EUROPEAN INST Symbol: OEM Trade date: Aug 1, 13 435.452 23.134 10074.00 10,074.00 25.700 11,191.11 1,117.11 LT Trade date: Aug 6, 13 439.831 23.286 10242.00 10,242.00 25.700 11303.65 1,061.65 LT (Al: 475 Current yield: 0.33% Security total 875.283 23.211 20,316.00 20,316.00 22,494.77 2,178.76 2.178.76 MATTHEWS ASIA DIVIDEND FUND INSTL Symbol: MIPIX Trade date: Jan 29, 13 2,156.431 14.849 32,023.00 32,023.00 15.780 34)328.48 2,005.48 LT Trade date: Feb 1, 13 481.951 15.069 7263.00 7263.00 15.780 7,605.19 34119 LT Total reinvested 52.286 16.005 836.87 15.780 825.07 -11.80 EAI: 11,445 Current yield: 3.40% Security total 2.690.668 14.912 392E6. 00 40.122.87 42,458.74 2,33587 3.172.74 SIT DIVIDEND GROWTH FUND CLASS I Symbol: SOVGX Trade date: Jan 29, 13 2,333.831 15.400 35,941.00 35,941.00 18330 43,712.65 7,771.65 LT Trade date: Jun 11, 13 624.804 16.569 10353.00 10,353.00 18730 11,702.58 1,349.58 LT (Al: 3769 Current yield 1.39% Security total 2,958.635 15.647 46294.00 46294.00 55,415.23 9,121.23 9.121.23 continued next page Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number, v1 23571 55 Your inandd Advisor. SCOTT STACK MANY LYLE CASRIEL 212.821.7000/800.308.3140 CNP70003006552622NP7000293800 00004 0914 03057500T VI 2357155011igtffiymcoocaliss738 of 100 CONFIDENTIAL EFTA_00131977 EFTA01274184 *UBS UBS Strategic Advisor September 2014 Your assets e Equities . Mutual funds (continued) Hddng TORTOISE & RIRELNE FUND CLASS INSTL Symbol. TORIX Trade date /an 29, 13 EAI: 3544 Current yield 1 25% Total $243,500.00 Total estimated annual income: $5.215 Number of shares Purchase poor Averary pace per share (9) Account name: GHISLA1NE MAXWELL Friendly account name:Indiv V49935006 Account number. Y1 23571 55 Client investment C91 Cost Face per sheet basis el) on Sep 30(9) Your 1isandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-70001800-308-3140 value on Unrealized Oa.) investment Hold rig Sep 30 (S) goIn °floss (I) return(S) period 2296.774 13.330 30,616 00 30,616 CO 18.940 43,500 89 12,834.89 12284.89 LT Fixed income Mutual funds Total teinvestef d the total of at reinvested dydends n does not include any cash dvicknds. e Is not a tar lot for the purposes of determirenq hddnig pencels or cost baSzt. The shares you receive each time you reinvest dvdenck become a separate tar lot. Cost basis is the total purchase cost of the security. inducing reinvestedduo/ends The cost basis rnsy need to be ousted for return d capital payments in order to detesmne the oa tared coo Teal for tar reporting purposes. 3246,17722 3291,512.43 535,335.18 338,012.93 Untraleed (rat) gain or loss is the dfference between the current value and the cost basis and would ceneraly be your ramble San ce loss 4 the security was sow awes date. The urred,zed Rad CgIn a loss may need lo be adusted for return of capti payments in order to deterrent the rewired gain or loss for tar reporting putpCezeS hwestmerrf meter is the current value minus the amount you invested k does not include shares that ale not reflected on )our statement, Ind udng shares that hare been marredas either a gain a a loss It also does not include cash I:sedan:is that were not reinvested Hcldng Winter of shares Purchase pricer Average price cal shale ($) Client investment (S) Cost basis (1) Price per share on Sep 30(9) value on Sep 30 (I) unrealized Om) gainOr1M (I) trnestment Hold *a return (5) Wed AVENUE CREDIT STRATEGIES FUND CLASS INSTL Symbol: ACS8X Trade date: Nov 12,13 910.736 11.270 10,264.00 10,264 00 11.460 10,437.03 173.03 ST Trade date: Nov 18, 13 912.566 11 300 10,312.00 10.31200 11.460 10,458.01 146.01 ST Trade date: Nov 25, 13 911.661 11.319 10,320.00 10,320 00 11.460 10,447.63 127.63 ST Total reinvested 57.231 11.721 670.86 11.460 655.87 -14.99 (Al: 51,256 Curent yield: 3.93% Sectrity total 2,792.194 1 1.305 30,896.00 31,566.86 31,998.54 431.68 1,102.54 RACK ROCK HIGH YIELD BOND I Symbol: 8HYIX Trade date: /an 29, 13 4,811 156 8.200 39,451 48 39,451 48 8.200 39,451 47 -0.01 LT continued net page SDNY GM 00021358 CelP7C009305552623 NP7003218800 00004 0914 030575004 YI 23571 SSO 110000 Pug* 39 of 100 CONFIDENTIAL EFTA_00131978 EFTA01274185 UBS UBS Strategic Advisor September 2014 Your assets . Fixed income . Mutual funds (continued) Hating Number of stores Purchase Pled Average price per share (1) Client investmmt (S) Cost bailt (S) Price per share Value On on Sip 30 (1) Sep 30 (S) unrealised Gal Investment Holdng vein of loss (s) Mum (S) period Trade date: km 27, 13 2.481.156 7.959 19,750.00 19,750.00 8.200 20,34548 595.48 LT Total reinvested 237.868 8.369 1,990.88 4200 1450.52 -40.36 EX $3,562 anent yield: 5.77% Security total 7,530.180 8.126 59201.48 61,192.36 61,747.47 555.11 2,545.99 COHEN & STEERS PREFERRED SEC & INC FUND I Symbol: CPX1X Trade date: )an 29, 13 3,002.068 13.487 40,490.57 40,490.57 13.560 40,708.04 217.47 LT Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.560 10,042.87 124.47 LT Trade date: km 14, 13 751.274 13.309 9,999.02 9,999.02 13.560 10,187.27 188,25 LT Total reinvested 158.926 13.578 2,157.90 13.560 2,155.04 -2.86 (Al: $3,853 Current yield:6.11% Security total 4,652.893 13.447 60,407.99 62,565.89 63,093.22 527.33 2.685.23 DOUBLE LINE TOTAL RETURN FUND INSTL Symbol: DBLTX Trade date: /an 29, 13 124503.155 11.379 142.229.00 142,229.00 10.940 136,729.82 -5,499.18 LT Total reinvested 362.069 10.960 3,968.62 10.940 3,961.03 -7.59 EAI: $7,112 Current yield: 5.06% Security total 12,860.224 11.368 142229.00 146,197.62 140,690.85 -5,50877 •1,538.15 EATON VANCE FLOATING RATE ADVANTAGE CL I Symbol: EIFAX Trade date: )an 29, 13 7,524.150 11.180 84,120.00 84,120.00 10.960 82464.68 -145532 LT Total reinvested 202.179 11.137 2,251.73 10.960 2,215.88 -35.85 (Al: $4,010 Current yield: 4.74% Security total 7,726.329 11.179 84,120.00 86,371.73 84,680.% •1,691.17 560.56 HARBOR HIGH YIELD BD ID INSTITUTIONAL CL Symbol: MIA% Trade date: /an 29, 13 2.660.657 11.239 29,905.78 29,905.78 10.720 28,522.24 -1,383.54 LT continued next page CNP700030416552624 NP7000293800 00004 0914 030575004 Y123571550 1 1 ligthiwGpkgocaggsg40 of I CO Account name: GHISLAINE MAXWELL friendly account name: Indiv V4993S006 Account number. Y1 23571 55 Your Komodo! Advisor SCOTT STACK MANLYLE CASRIEL 212.821.70001800-308.3140 CONFIDENTIAL EFTA_00 I 31979 EFTA01274186 *UBS UBS Strategic Advisor September 2014 YOU/. assets . Fixed income . Mutual funds (corionued) Account name: GHISLAINE MAXWELL Friendly account name:Indy.. V49935006 Account number '0 23571 55 Your Mnandd Advisor- SCOTT STACKMANLYLE CASRIEL 212-821-700(V 800-308-3140 Purchase Owe/ Nurrber Cost Pnce per share Value on Unrealized (00 investment HolcIng Wising of shares Average nei eiretet invest Cltleg Oasis 0) on Sep 300) Sep 10 (f) gain or loss (f) return 01 period Total reinvested EAI: $1.712 Current yield: 5.78% Security total FISBC TOTAL RETURN RIND CLASS I Symbol: MINX Trade date: /an 29, 13 EN: $795 Current yield 2.00% JP MDRGAN MULTI-SECTOR INCOME FUND SELECT SHS Symbol: 151SX Trade date: Jan 29, 13 Total reinvested EAI: 41,359 Current yield: 2.74% Security total METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I Symbol. MWTIX Trade date: Oct 24, 13 Total reinvested EAI: $1,985 Current yield: 2.52% Sectrity totai lt DGEWORTH SEIX FLOATING RATEFIGH INCOME FUND CLASS I Symbol: SAMBX Trade date: Jan 29, 13 Total reinvested EAI: $2,499 Current yield: 4.20% Security total T ROVVE PRICE 100.864 10.942 1,103.71 10.720 1,081.26 -22.45 2,761.521 11.229 29,905.76 31,009.49 29,603.50 -1,40599 -302.28 3658.567 10.289 39,704.65 39,704.65 10.310 39,781.82 77.17 77.17 LT 4.784.864 10.260 49,092.71 49,09231 10.210 48,853.45 -23926 LT 69.226 10.356 716.93 10.210 706.80 -10.13 4,854.090 10.261 49,092.71 49,809.64 49,560.25 .249.39 467.54 7,192.344 10.709 77,030.00 77,030.00 10.810 77,749.23 71923 ST 106.394 10.786 1,147.67 10.810 1,150.12 2.45 7298738 10.711 77,030.00 78,177.67 78,899.35 721.68 1,86935 6602.655 9.039 58,784.00 58,784.00 6920 58003.68 .780.32 LT 160.424 9.047 1,451.50 8.920 1,430.96 -20.52 6663.079 9.040 58,784.00 60235.50 59,434.66 -800.84 650.66 convnued next page SDNY GM 00021360 CNP70003006%2675 NP700O298800 00004 0914 03057500t Y123571550110000 Page 41 of 100 CONFIDENTIAL EFTA_00131980 EFTA01274187 UBS UBS Strategic Advisor September 2014 Account name: GHISLA1NE MAXWELL Friendly account n am,: Incliv V49935:106 Account number Y1 23571 55 Your Knandd Advisor: SCOTT STACK MANY LYLE CASRIEL 212-821-7000/800-308.3140 Your assets Fixed income . Mutual funds (contrived) Purchase price Member Average pace Hddng of shares pet share (S) Client investment (S) Cost basis (S) Price pet share on Sep 30 (1) Value on Sep 30(S) unreal:edam) gain or loss (5) investment Hddng return (I) period INSTRITI0NAL FLOATING RATE F CLASS Symbol. PFFRX Trade date: Jan 29, 13 5,394.060 10.270 55397.00 55,397.CO 10.130 54,641.82 •755.18 LT Total reinvested 111,228 10.260 1,141.27 10.130 1,126 74 •14.53 EAI: 32,290 Cisrent yield: 4.11% Security total 5.505.288 10.270 55 397 CO 56.538 27 55,768.56 -769.71 371.56 Total $686,768.61 9703,36948 9695.258.78 -98,110.90 $8,490.17 Total estimated annual income: $30,433 Non-traditional Mutual funds T.TJ (l a- re nvnted dwie rids n does not tnclude any cash chldends. I is not a ten lot fu the purposes of determining had rg periods or cost basis. The shares you receive ezh tint. you reinvest dm:Sena become a separate tax Sol. Cost Ewa 6 the total purchase cost of the security. Ind udng reinvested dvdends the cost basis may need to be alusted for return if capita payments in order to deterrnne the adlusted cost basis for tar reponrq purposes reflected on your statement. includng shares that have been realizedas either a gan or a loss It also des not include cash dvdends that were not reinvested. Purchase Price Number Average prze Client Cost Price per share Value on Unrealized (tan immanent Hddng Hddng of shame per share (5) investment (s) basis (1) on Sep 30(5) Sep 30 (1) gain or loss (S) return (5) Period GATEWAY FUND CLASS Y Symbol. GTEYX Trade date: Jan 29, 13 1,089.208 27.580 30,040.36 30040.36 29.520 32,153.42 2,113.06 LT Total reinvested 13.285 29.275 388.92 29.520 392.17 3.25 EAI: 3501 Current yield I 54% Security Wad 1,102.493 27.600 30,040.36 30,429.28 32,545.59 2,116.31 2,505.23 Unteolged (tag gam or loss 4 the df(erence between the current value and the cost basis and would german/ be your Ratable Ono: lots if sec oily was sdd on des date. The unrealued gas) gan or loss may need to et ads rated tor return of raptal pagnems in order to determine the rested gain or ICCS for tax (Mating purposes. Investment terum is the current value minus the amount you imeSted it does not include shares that are not CHP70309306552626NP7003298800 03034 0914 030575004 Y123571S50llictiky_Ghtcohliso/42 of IC0 CONFIDENTIAL EFTA_00 1 3 198 1 EFTA01274188 UBS Strategic Advisor L BS J Your assets -,-,-, Your total assets Equities Sued income Non-traditional Mutual funds Total Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number. VI 23571 55 Your !Mandel Advisor: SCOTT STACKMAPILYLE CASR1EL 212-821-7000M800-308-3140 PeKentard COSI ESUrvate0 Urueath Vane on Sep 30(0 your &coon' bens (II annud inccm, ckin Ivy. i.S) Mutual funds 221,512A3 27.89% 246,177.22 5,215.00 35,335.18 Mutual funds 695,258.79 68.89% 703,369.68 30,433.00 8.110.90 Account activity this month 32,545.59 3.22% 30,429.28 501.00 2.116.31 $1,009,316.80 100.00% $979,976.18 $36,149.00 $29,340.59 Ole Activity DeiCrnitan Amount (S) Dividend and interest income Taxable dividends Sept Dividend METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I AS OF 0e2914 150.70 Sep 2 Dividend RIDGE WORTH SEIX FLOATING RATEH1GH INCOME fUNDCLASS I AS Of 227.27 082914 Sep 2 Cividend DOUBLE UNE TOTAL RETURN RAID INSTL AS OF 082914 570.39 Sep 2 Cividend COHEN & STEERS PREFERRED SEC & INC FUND I AS OF OF52914 310.23 Sep 2 Cividend EATON VANCE FLOATING RATE ADVANTAGE C LIAS OF 08129/14 341.99 Sep 2 Cividend 117 MORGAN MULTI-SECTOR INCOME FUND SELECT SHS 154.85 Sep 2 Cividend T ROWE PRICE INSTTRITONAL FLOATING RATE F CLASS ASOF 08/29/14 206.54 Sep 2 Cividend BLACKROCK HIGH VELD BOND 1 AS OF 082914 297.82 Sep 2 Cividend HSBC TOTAL RETURN FUND CLASS I 38.59 Sep 19 Cividend MATTHEWS ASIA DIVIDEND FUND INSTL AS OF 091814 463.92 Sep 24 Cividend GATEWAY FUND CLASSY 119.51 Sep 25 Cividend COLUMBIA CONVERTIBLE SECURMES FUND CLASS Z AS OF 0924114 283.64 Sep 26 Cividend HARBOR POGH YIELD 60 FDINSTTTUTIONAL CL AS OF 092914 363.22 Sep 26 Dvdend Total taxable dividends Total dividend and interest income HARBOR CONVERTIBLE SEC URMES FUND CLASS I AS OF 092514 107.39 $3,636.06 $3,636.06 oat Activity Description Amoult (1) Sep 3 Transfer TO '1235750100 Total other funds debited Other funds debited -38.59 -$38.59 SONY GM 00021382 CNP70003006552627NP7000293800 00004 0914 030575004'n23571550 110000 Page 43 of 100 CONFIDENTIAL EFTAJO131982 EFTA01274189 *UBS UBS Strategic Advisor September 2014 Account activity this month C0ntnued Investment transactions Account name: GHISLAINE MAXWELL Friendly account namerlridiv V49939X6 Account number: VI 23571 55 rot more infoendion about the pliceivalue shown for remitted setuotles, see important information about your :tatement at the end of this datum-lent Dale ACtnity Desteption Quantity vdue (S) vote (S) Proceeds Iron tnwsurent transactions (S) Funds v4thdtavm la Fmerments Ocuslu (5) Accrued interest (S) Sep 2 Reinvestment METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I DIVIDEND REINVESTED AT 10.89 NAV ON 08129'l 4 AS OF 092914 13.838 -150.70 Sep 2 Reinvestment RIDGEWORTH SEV FLOATING RATEHIGH INCOME FUND CLASS I DIVIDEND REINVESTED AT 9.02 NAV ON 08'2914 AS OF 08/29 14 25.196 -227 27 Sep 2 Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL DVIDEND REINVESTED AT 11.00 NAV ON 06 2914 AS OF 0E/2914 51.854 -570.39 Sep 2 Reinvestment COHEN & STEERS PREFERRED SEC & INC FUND I DVIDEND REINVESTED AT 13.74 NAV ON 08/29'14 ASOF 08(2914 22.579 -310.23 Sep 2 Reinvestment EATON VANCE FLOATNG RATE ADVANTAGE CL I DIVIDEND REINVESTED AT 11.09 NAV ON 0&2914 AS OF 062914 30.838 -341 99 Sep 2 Reinvestment JP MORGAN MULTI-SECTOR INCOME FUND SELECT SHS DIVIDEND REINVESTED AT 1032 NAV ON 0812914 15.005 -154.85 Sep 2 Reinvestment T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS DIVIDEND REINVESTED AT 10.23 NAV ON 08/2914 AS OF 08,29/14 20.190 -206.54 Sep 2 Reinvestment BLACKROCK HIGH YIELD BOND I DIVIDEND REINVESTED AT &42 NAV ON 092914 AS OF 062924 35.371 -297.82 Sop 19 Reinvestment MATTHEWS ASIA DIVIDEND FUND INSTL DIVIDEND REINVESTED AT 16 14 NAV ON 091E/14 AS OF 091614 28.743 -463.92 Sep 24 Reinvestment GATEWAY FUND CLASS Y DIVIDEND REINVESTED AT 29.61 NAV ON 09123114 4.036 -119.51 Sop 25 Reinvestment cowmom CONVERTIBLE SECURITIES FUND CLASSZ DIVIDEND REINVESTED AT 19,38 NAV ON 092414 AS OF 092814 14.636 -283.64 Sep 26 Reinvestment HARBOR HIGH YIELD BD FD INSTITUTIONAL CL DIVIDEND REINVESTED AT 10.75 NAV ON 33.788 -363.22 Your 15 nancial Advisor SCOTT STACK MANLYLE CASRIEL 212-821.7000'800-308.3140 092914 ASOF 092914 continued next page 0071:009006552628 NP700O298800 00004 0914 030575004 Y123571 $50 I I %Ow GMpoolN96344 of I CO CONFIDENTIAL EFTA 00131983 EFTA01274190 taUBS UBS Strategic Advisor September 2014 Account activity this month (contrived] lavesbnent transactions (continued) Brc<eHIS ban Funds investment withdrawn la Accrued Dale *Only DesCipban Ju.aity %Aut. (S) Hite CS) irseratieeis invesenenis 0toctil (S) merest IP Sep 26 Reinvestment HARBOR CONVERTIBLE SECURITIES FUNDCLASS I DIVIDEND REINVESTED AT 11 19 NAV ON 09/ 2514 AS OF 09'2914 Total -53,597.47 Account name: GHISLAINE MAXWELL Friendly account name:Inch:, V49935006 Account number: Y1 23571 55 Your Nnandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000/800-308-3140 9.597 .107 39 Date Aug 29 Balance forward Sep 3 Deposit Sep 4 Withdrawal UBS BANK USA DEPOSIT ACCOUNT As OF 0903114 -38.59 Sep 30 Closing UBS Bank USA Deposit Account Tne UBS Bank USA Deport Account your primary sweep cpbon ACIrvity DtSChPbOrl Amount (s) Money balance activities UBS BANK USA DEPOSIT ACCOUNT 50.00 38.59 5000 SDNY GM 00021364 HP70003305552079 N7700329930000034 08i4 030575004 5/Q.357i550110030 Pegs 45 of 100 CONFIDENTIAL EFTA_00131984 EFTA01274191 *UBS Your notes C NP70009006552 630 NP7000293800 00004 0914 030575004 V123571550 II iglyky_Gm_000114S6546 Of I00 End of staternent for account number N't 23571 85 CONFIDENTIAL EFTA 00131985 EFTA01274192 Important information about your statement Fnancial Sakes Inc ~rem or WS Fahrecial Sea". IS a menher of al papal secunty. aterrndk aid opals edurges OBSf had Nwas and UK Bank Ilk en had attar" of 18S AG and Milian of WS Saudis LLC lbef teas Chad ~age it ?We upon read the amts heake of fish at at U3S Pandal Stas hc 1200 Harbor Be/Aka %%NAP" NJ 07086 his sutsnem apneas.* «Not [Dimmed of purldS fmanar Se was acceunt Other records. %opt °Heal tai dommenn. conuhng ØBØ dau shouldnot be id% upon d you bane hon 6 an actor Nikon plea • on it ~daily n wring» helkam ~apt of the Wm:nuking your storm Although al form tan antimo% b be stone. Pairoint data Todd roe be used for tar puposes key solely on pasts lx lams. . Form 1099. Sat 10425. delft% unpaid your tar return heath is rapedby 14.4 10 reton to he RS al than le dirdals. 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Ann ahstasA sates CM Ovate./ don as you cart d put% wet stammtor recept 6 wort (also need are dun" Loot strafe( on the statement of red" The kin ce Cad new (as ap kale) must entom you no Later tan 60 days alter the fri sent you the kst Hama on hihish the once or probkmaperd - Pekin/ you nine ad notsil number (il any - Describe the error or he wafer you se wive abaft adept» as clearly æ you can why you Nike e t al error a why you need mete Mandion - erode the dot% ~urn et he %peed at The km orC rd Ma% ~rip* yotr or:~ al sill omel any ecor pronhtly hose mar al dyed, peytto to the Fenor tc I nail %laden ndead on te front of the Paean, 11addl.:en LO regtsW aravit fees. asounb may be objets to mammary fa Main lor depayee,* tar sank: Durham; aidchair Ice srpad fl ints n tzei acents Accounts hat Pee Unkind to oat nit tutens mar be %pa to a bailer lee. NIBS Sweep Options Utt5 Okra 0~11 for ~Cat bakdes. Nags to bad &pods at Willa uk an! utS AG Stanford ban (Bark Set" nosy"): aney market mutual Ihnds Monty fiats) arid the harrutionalDepost Accra% alfor customers with al enemabonad amuse Management Account laugh Oak" Sweep frograins can bates re swept no WS Bat USA up no a eslabIted kyle and ken to 185 14 Stamford Bran" a a Macy Fad Deposes at WS Bat USA are WC enured n acoodap wen HAS niks For ex" itananon plate nut am be 9,v OPpOnt5 41,5 AG Halted Branch ad hams d Maner funds and isred by the FIX krough the Din addable to can balm% as crap? to «pod accounts a liBS AG ~TN Branch and WS AG Caplan Ban?, Thera Sash are rice need by teeFDIC Bannon NU If the te$ AG Chan Bran re Nyman& epoad to too strata rip of the C hmaii dap and here h en qua:mace other do Stand o4185 AG to May the Nan onde on the WS Caymans Brach's boces Deposits a IC Bat USA and each WS AG Branch and primed% by SPC MontyFund hats are waled by WC See 'WS Neat Seats Mann Rotedon' Now Upon you rP4a.2. bataes n he Bank Saw Programs d OAmyprewt4awn.agn3esofaMXityFuld ~TN spatted and the phocceM Nand to you a you socuitos Atretkell fustier edema% tout »slate keep dank exbdng gam mums ram and pens. 6 ....little x www ubsoorrisweepyidls Intn your f natal Ør a by calling 806762-1000 UBf FeeeratiolSordas meta prebaten The Fern 6 a amber of the Secure% »bena Protection COpOran (WO. Wish protects seosnies xcocens of es meads tan to 1500000 ("bag 1250.000 for dams for Fasil he la an coxene, tinx‘ Øylo all %ants ~punt's'' , apanafahhatty The firm together wth cenan ablates. ha aho pet:bawd nesdantat gronaun inenurenum anovt payable to all Nigble cake, colks-thdrunder potetion o 550) mike, as of Words It 2013 Skal tote pokey arditiorn aid ~no cat at he fem Skrus protected fa .p ith SI 9 al" n he aggregte toe all put axoterishieN n a pa wls "path A-Toll copy ol he poky want 6 kaki% Won ~ 2 Te SIC prowl% and he supplemental promotion both do not aPni to • Cenardnad tans controlled by (and %AA% nay newt van) but held asw romieS Satin (eg. «wan (0øn a LIBSBard (a/fah MU% AG Stamford ban". OD %teat Tench= act kg Taukt arrikt rd lMhw., of ritual lads rare sun shags re mg pored ~in tr naua d tne aeon% hob« on the bodes and records of the aplable Nis or trader aged). • Conan nveninern conna-tt or nakent inane k 9. laid ~then and prvae ~ens) that ate na register" yanda the aurnes Act of 1933. and • Correndh% contras W g . fornp aohao ad Kean meal contract %Wed futures commas and 0/fHT0dAT Whalcontraes The %X protection and the apil~alprotrabn do not welt these assets am d hey otenitse »pea a e t swamis The WC prot%ron and the swpWrwit pritteCISM do not Foal pans* dunges n the rakes vatn d yov "era", hat« z argon d matel %dank rzutif hanaPtO or "Pea) Moen Womixon e ratable...pm nquest Yat may ',bun more information anol WC. necludng the WC Brodum by anizing SEC at 202-37I 4300 ix by Nod M SPC webs% ~swell Dkieleni Re kreesment Program IMP) the pay rekved 6 an artaje pia TOu Ma) °bean the &tulip-ate9n" your /tuned Aboor Why whole nes are pad% knife OR P. panel shoes wil be sob and me as, nil beans/ad n you amours lhe OWN% Nina.% prize tippled by the nnuer nog Offer from the main Øre dun the podia anna am sold CasIshilipe Only whole unit flay be NJ to pur await t you re entitled to moat ha mamma dad...Said wrist or odwene, to Finn wit ether 3?-1 pathal was at madet price a accost an arm% dame% by a registered Wag agency. and cede you account havettndertetolealvite The ~wens obrives audit prof Ware tat< to each &Øm and ink vary tettest Stem adrehe the inn knob, in hang of any ;gram, arge h your Mancha dual% Or eivestirgre cbadm For "doan:Dud held. you choose one of herolow% tasted% objects • Pedigo fumy,' :Nome imesentnts sending tie Banal" d lameON • Maid CdPtalrIPPAPJOOn klingrrallt *Eking growth e playa rant than ;Id generation of Mine • twat Coreladon of income and Cynt.dx0~IfIf enensrans seeing both he geint« of tame ad Town cI pencial Oventll risk profiles • Consated Seeks tomimen htir pinata( wth kid risk ad "la lik to tie aka herd. eon rl that means the aocouni does not gee te spencer income« (Sant atel myna keep pace nth in114no • Aitttketia Vining so amp! soma Mt to Laden' end tolerate virradaty» seek Ph:paeans • Aflame Wdng to axed hgh rid dadoPal and hgh voladtpo )telnign returns/an tont Statement ineueebekling' We nay consolidate el edited achnt swamis Mt the selt ar}itr.S Mille Sane er,~ Accounts may be retried for his Fepose bØ they he. "run who adi maiman lent account rdaionshus nth otte dents ei the salen adass The prate 6 known as 'howelnoldng I you peels to regne indirdual flaterttenbintikd n ~at* CONFIDENTIAL ormolopm — you may air* ficuseholleig by wan; your Fnmed Adkor Friendly «aunt INTIM Waken:9r aØ nane %has mfarreticn that you emend on fit Henn online sates websee It 6a custoinInble 'mamma man by you yo azh you wth your ~hying it nt no %a effect en pour ~UM You can mange pv trendy akin navies. hroup OnIne Sands or blomuling »NS &tarot, AO•bc< Meant sankes • Vala of war accourogoakto la of ashes and Nukes • ntaett Inch*" hatable can bolach Nalco resumed wank/(m) nd Gkbat TaltDepositt unrealized marks to maket and artar abets not held by he Fan Does not nciadeunsmad sinantelassets a henna of the mer and meat Illtentent pant a fondle ~ankh unrested it" plom ad arcistb sØ deem • Oakes hcbdes Øl balances. outstanding mar loan. credit leie. short account Naas • casstrody bean Tots of vansiod hatabath blanch. ph; WS Bank USA deposit bata or. OBS AG Surdal Branch depose balances and money max anal lied sweep bata n. a tedose of the state" P40:4 Nondoirencdik free nedi) Nam n yeti, .10:Ounl ~not speepted from oat- balaxes the Fe/nerdy use any of these furds n ihe ordinay a a course of it dy s tvsnass Died funds pap dun yd. deand tea incbded in he arks pax, doseg value Lending information For detand stoma:in on dye/ rni> lend% piano% ~muros Mer to youChem R4aliteititp Agrana or Account Arta", asa the General Tat and Cade" WS Stamen of Cale hakes table h 49nemer4" erdeeckaires YØ HP., /dawn- "mat/ own Yew ate Yof Yak-Mini mares Såp ins and other assets the account a he ed et the Niemen Ned You may dR for %limn ol !Lay paid .4turits, a 4,y tme You may rake senenien used a ban collate" ate pavery ay band we on hem Any dunks ten% a> ts he dieing he Nang period are lited s sweet Tan of the erd of the harem period • Con bash ti detskeing the coP basis cf the dashes sodded n the suited" Were %Wed wth he number WS Sandal Smashes yea on intuit" ion Obtained from sources other tears 1135 finsda Serves. rdtudng nlarnation Iran atta few or ha you may hate W./kW 10 your Nast Mew the firm does not independents vedy or gan nato anracy er vXidny of any /nyman fronded by sources oter than IBS f nasal Seats addtion ahoughVBS Fiundal Nam gamily upWes his Manual as c 6 Nested the ken does not (*hide any ~ands IN tie nf «mat% under 'Cost bates' ad 'anti% gannish' is ante a of he die of this swami As such please do rot rely on this in1 «mat Ian to makepurchase or sae derides. laid( purpods cr knew acccunn naked to thee en ma/ reflect gabs, nformaik oily for the period of titre theyadheld X the f en, korehinorhal "ant" Cal be added by pyr hrunsal AØ • Omitted galnabmes %tn data h hat% •5m-e-0`- Jrnalyil latn:,;ys yycY.niale,fce SDNY_GM_00021366 EFTA JX)131986 EFTA01274193 Important information about your statement (CCel (Muted) kidvidalscOrity Ions 11* Vacationdata fa Nadal lots mayor may not eel onmissess. Chavesalder SeCuntyleoroincalon averts Dalfe deer ore rens:awe lets and *Kau* padre lots at each Wetted 10 %SOS one Sward tot the • lrade dr.' colas presents the asps, waists traNdete • Callable marbles Bonds andpeeked trod to the nos calt foe eaty rsderpbon ad beskald crust-tidy by lot torn amcsj 8A sonniesof that ape Winos name a n sensate nave for es clones Cat leas 'Mesta co is Standtom thrd pale; and is wry 6 rot %Waited Otis call leases miryeast vasch could Sett Ski Cantle% olorma kin esd beprodded open regent • Cremates of deposit (CDs) Ws ale MC roved INV S2SOCCO n pampa' ad scud Serra pa &pouter and per clepotio-y tnliMim. n acordena with rules • priadvalue Puss cloplkoed ICJ Wades aid Other produces 'nay be hots a lower tan Yep pep coal you Yreul Khalif ricewe in the matte PrCeS are CI:planed from sicus toed paly soon Sudi webelated be relate. but we do not %rads VS a:cracy - Wo nay use to dosng ors when salable a the mean or the bid ter ask paces fa feted SedirceS and opuses or on b bd prces for OTC seared - let amt.% bald securim maybe priced rung a disco mock, a %end Mani pia we obtaned ant may nol re lea an add matte price or WM - CenanpouonS may £pea wMad aprize and rot shoe/arose was not mailable' if we are enable to obtan a prise for a security - Deposes a stories dencrtmated n artendes Other Man LI S Cotters are ref Wed a the saturgerae as of the dawned date - for dens 'entities tmdem tr noreccenormive denomnatais. mce and quality race valid mar hae been Wpm:deo frigate prepays's/an To obtain crown matrons. San salable. metal yos Fermi rimer • Preen Mtn ars ms and traduced product. Plicate inesendre seas* dnetnIng direct pridpation pagan aid real estate rt.Stroem ten Seaulted aid finch ed paductS aegermeay hght ilia Id Celan drucsed podia s hare no been reordered on% the Bloomed and en2haVk Co nmalon a unsafe any State *Cured" Wm We von* estmred misses la innate mermen stainers ad striate, prodsis tor donna sapwood only Acaurarye not 9UnnWed - Them yams maydiffir mintentally from pices, if a'w al whim a ;Nate imestmere seamy a StruCtured sods, maybe licuOt a foe aid do not necessity represent the war you may roman upon halidaten - Med paly flimaeS Of valet are aS Ot a ran Oae aid at sunned to GCS Insole Savors waspUr Date by an Wenn:fent miration Inn Psua Tenni Permit cd sponsor Sewed vire if my. are striated to te Frm by the our general panne a swear and maybecab-SW bred en different Nervation from that our by thfd panes to doo.e thee estimated vats; - You car obtain addeenal itcrmatcn regaling the mettodology used to determine the enmae of Vlibt and the date of the hfonnacon ma Is the bass fir the vino by apeactiN your Pesdal Adds - Thad parry minuted earsmay be reflected as 'NM prime n snivelrumens two an inlesseneent valuator" firm Isnot %poled mesa:le to assign a yam when we tummy awl. %Manson* trot hat oo,sredtha may olla menus,/ reporsed lobe too (NO'S. Ce when aurae vexed te hglify "'torah* duo to the nacre of the seamy - then ruitlw an Eva portent parer a sponsor eginaud oar me 3mrdpmyesIehaedvane is mended the Nue of the nasty wA bedadant ton nt pstraa Ana - '0arbaiodi to on' not Vebde redo of (£Sara scene a both • OOPS um sk`e* re:feignses owl oaring puce per sit ad may not rifled you. cod bath • belied searitias Restricted serrates gmerafy ae not and/ Sob* for %tic sale UPS foaled, Stress Was the make price of is tonestrided stock of the sane our a a, mutedvan lathe rearMed stoic ibr proses of moue:enamor* To the omen dare rest, hied Saner serge* for Sale. Me Slat reCeked may be manumit, less Than the deputed aim shoal • It lodiritatod) nes amen yields and rams. An tulnwe of emir mome is based on amen, cleeSsnd and :.are ram awry the rorities wettest held fee one yea, from Patented date a sokl manly The estimate a ony a guidrine. accuracy aid Centoued name se not %scooted - EdMuted royal some and amen yie4I for Cerlan Vase, series mold brute arisen of plocpr or carve OAS n Midi Olathe ea Heise laid anent veld/soul! be overstated - Earnated anus .come nd cuvantsrield aid the actua name and yield night be lowers hghwthar the reivated amens - An nava. ol "naiad interne Ovid'd actor retest chard by TheCorea make, var. nap balaCeetSed Co the laSt deradd or mired payhd nude byte nos and estates die sear* kirk/pods MI be held'a ones,. tom the statenst %Sot wild misty AoavICY aid coMnued mid ae not guaarceed • Ames net held by WS If inertial Sontiom Conan WPM ate cot heldbytekm ad not ends the Inn's postdate, or antel These asses re eeptend m your sratensom foe Sonnatronal popoSesody Position ad rases preVeled are peoided by the issung fins. IRS Fnand$ Sew., t not reparable for this afeemgbn aid does net 9.kirlitte Ey armory TheSe assets tenet protected by SPC re to WWI suppleinreaf SP( coverage • Itananua during and addkiendereepensatiem - ti additi741 to comnissom on ski and 12b1 lees reamed es conneam with the dartuton of vulva fsodS toot chentS we mice ow *Are Nome /Web! Mann; papunts from daltbutors soder adeison of the nuts, finds ma we sell These *norm are bred an two drawer, aerporents the amount 01 saksby IRS of a yr itcuLn mutual her limey to medents. ad Id the me vabe of a priory mbar far fangs shamMal a the lien - We alder ant* cep Rada retecenng aid onvemprocesung lees in orredeiron for t aisle( agent awl ee teat we sonde to rhemoual funds Three lets genet" re pad torn incisor stem, tithe mutual fume end to a tiad delta anorem basal on the narrow of axamisat the brow-dear honing mttual Ism:hot ma he'd family - In addl on tecomertslienS Masted et consaion writ the sale or darbutan N arouty over= ad irk irrentrnere tool units to or clones, we and a our aff darn Nome redeem Prang compensation Iron mrryof The masor companies todervenry the a-cu/ty coducts atilses of the norance corms:6 Of Veined Of the VA elueSelleell PUPS he darts. - Ott /MS'S alSo receke traeirg come/sums air other compensation from mina feeds ad mucads Corrnalies ekes proorts we - We receive al anus fee Mtn USISBalli USA en1UBS AG Manion/ Bookie of tip to RS pee rcount swioNag to to balm Ink, lee IRS Brit Sweep Program ASA, Informatan respedng contr.-oder* ad other charges m annecrion win the ereartion of wales nchring cpbon namactons has been nciatled on conlinnrons reyoulay Kindled to you. and well be pemirel to you reornpiir on WWII *OM Selling If you at engaged in short 'Oho a warily. you may rids a chageweto anon basowng cons foe tna palouLv rarity Open Orden 4 9arding open '9000.tilanCelled • OrderS that Wire not merited by the strement dete. opei buy rd sell stop ceders at related by the amount of deedends or rotas on • etdiddindsor eandlos /are unless rummer othenyito by you You ae rimensble for orders that are executed dad to purr false te Canal orating open ceders Tar witheldito en ekirbutions town WS Pinatas' Senna, IRAs Triad me Saw repines .45 snnda Services to withhold rooms ta from yos sable UM develba arn tut you may den net lobe. roosts "Shell or. instead. you may Nett tra has lee wetted a ar ae a n a lead anoint as you choose Yes Moon %gateman n ef Sect until reeled by you You may rester your election a at; t Me by many anew ;Vann If you do rot haw onouto home tar wafter Iran 'Cur dartuliOnS. you maybe re%OriSble foe the perdu of essixedtak You may nod pin atm d tie awns washed and yet estimated to payments at not equal to Wu' lee Oblipti01 Privacy To atm a copy otos( wren Clive Away flake. pare mntaci ye Niro:al:4mm centime err Y. mow pis c o ememeneolry UBSinaxial Servos 6 not a bat The WA. Fumes, SOVCeSAaant BSA and MIA 3e beckerdoe latiritS vklldl provide access to bat cep services ad produces though anrodunts with affilaud bats aid oche tied party basks and scads aeon to Om rid mut y prods.= iSfeed by untall Meter tadpanty Morena cows through mince agency subsibr es of UtS Coaxial Session he Sense& man. and amuly products rot FOIC haired • No bank SWUM** May lose yam Seth Rdeudt 2Analereol &coy" Business Wean ACCoen1 SSA. INAA and estemabedal RdOsCe lettiagerren CONFIDENTIAL AO:ount are registered service mats of UPS Fnaxial Swims Inc Yea S5naturo it a misted service mabar of visa Imernmcnal IRS Visa Signature re& cm:haul IRS dia den cads to issued by Meant USA wth mymoyon from yea U S A normeatem UIKFnanoaldervieeslnc Pet 201407 SDNY_G MS10021367 EFTA 00131987 EFTA01274194 *UBS 1.435 Financial Services Inc. 299 Park Avenue 25th Floor New York NY 10171.0002 CNP7005749011 1014 VI 0 Account name: GHIStANE MAXWELL Friendly account name: Indiv.V499350C6 Account number. Y I 23571 SS Your linancial Advisor- SCOTT STACK MANILYLE CASPJEL Phone: 212-821-7000/800-308-3140 Questions about your statemerat? Call your Anancial Advisor or the RMA Resourceline at 800-RMA-1000, account 029323571. UBS Strategic Advisor October 2014 GH1SLAINE MAXWELL 116 E 65TH STREET NEW YORK NY 10065.7007 Value of your account on September 30 IS) on October 31(1) Your assets 1,009,316.80 1,015,667.54 Visit our webilte: Your liabilities aoo aoo www.ub5comainancialservices Value of your account 11,009,316.80 31,015,667.54 Tracking the value of your account S incur,and$ Sources of your account growth during 2014 Value of your account at yer end 2013 5000 Net deposits end • 0"fl I,Ots withdrawals 1931291.46 • Your investment return • Diiidend and interest income 523,466.78 Chance in malign value $10.963 30 Value of your account *) 2014 00 2014 on Oct 31.2014 3%015.667.34 SDNY GM 00021368 Member SIPC CNP700303005740m NP7003193196 COON 101e 030575004 v123571550000000 Page 33 of 94 CONFIDENTIAL EFTA_00131988 EFTA01274195 SUBS UBS Strategic Advisor October 2014 Your account balance sheet Summary of your assets Value on October 31 (9) Percentage of your account A Cash and money balances 264.68 003% B Cash alternatives 0.00 000% C Equities 283,462.38 27 91% Ct Fixed income 699,505.14 68 87% E Non-traditional 32,435.34 319% F C orrmodit ies 0.120 000% G Other 0.00 000% Total assets Value of your account $1,015,667.54 $1,015,667.54 100.00% Account name: GHISLAINE MAXWEU. Friendly account name:IndivVd9939206 Account number: VI 23571 55 Your current asset allocation Eye on the markets Index Percentage change October 2014 Year to date S&P SOO 2.44% 1099% Russell 3000 2.75% 9.90% MSC I - Europe, Australia & Far East -1.45% -2.42% Barclays Capital U.S. Aggregate Bond Index 0.98% 5.12% Your Nnancial Advisor. SCOTT STACK MANLYLE CASRIEL 212-821.7000'800.308.3140 • Cash and money balances may include available cash balances. LIES Bank LISA deposit account balances, VBS AG Stamford Branch deposit account balances and money market mutual fund sweep balances See the Important information about yoor statement on the last two pages of this statement for details about those balances Interest rates on October 31, 2014 3-month Treasury bills: 0.01% One-month LIBOR: 0.16% O47000B0057480i 2 Ne70C0i$3796CO204 t014030575001 ri2357155000akeGiumolling 34 of 98 CONFIDENTIAL EF1'A_00131989 EFTA01274196 *UBS UBS Strategic Advisor October 2014 Change in the value of your account October 2014 ($1 Year to date (I) Opening account value 31,009,316.80 $0.00 Deposits, including investments transferred in 1,300.00 1,162,105.66 Withdrawals and fees, including investments transferred cut -1,272.01 -180,814.20 Dividend and interest income 2,934.40 23,406.78 Change in market value 3,388.35 10,969.30 Closing account value $1,015,667.54 $1,015,667.54 Account name: GHISLAINE MAXWELL Friendly account new*: rutin v49935Go6 Account number. Y1 23571 55 Dividend and interest income earned For cuiposts of Iris statement, raiab:ity of ',linen ant do income NY; been determined Iran a US tre repotting peripedive, good upon the residence of the account hokkt account type, or product type, some interest ardor dvidend payments may not be subject to United States (US) ardor Piano Rico (PR) Income tarts. The dient month statement i5 not intended to be used and cannot be reed tam for IM oncosts. Clients should refer to the at:oloade tar reporting forms they recent. Iran 185 annualy, such as the fOrMS 1099 and the Forms 480, for tar reporting information. It IS the Make of U85 to file tht ZOGliCatrt tar tenoning forms with the US Interna Revenue Service and PR Neasury Department and in sue h forms accuratey usury diidenct ardior interest altar exempt or taabk income. Mese corxult your induclual tax prepare( October 2014 (s) Year to date (5) Taxable dividends 2,934 40 23,074 87 Long-term capital gains 000 325.55 Taxable interest 0 00 6.36 Total current year $2,934.40 $23,406.78 Total dividend & interest $2,934.40 123,406.78 Summary of gains and losses Values reposed Nino, exclude products for which gain and losses are not classified. Realized gains and losses Unrealized October 2014 (1) Year to date (1) gains and kisses (4) Short term 0.00 0.00 4,008 90 Long term 0.00 0.00 28,720.06 Total $0.00 $0.00 $32,728.96 Your II sandal Advisor: SCOTT STACKMANLYLE CAMEL 212-821-7000800-308-3140 Cash activity summary See Account edit the month to deta Balances In your Sweep Options are induCedin the cpenng and closing balances yaue. FDIC insurance andier only to deposits at UK Bank USA, not to deposits at LOS AG, Stan-lord Er and, or bank deposits placedthrongs the UBS Inteinaiona Deposit Account migrant SiPC cxotedion applies to minty market sweep hod holdings but not bar* deposits Sterinportant ineermation about your statement on the last No pages Ci this document for detals October 2014 (1) year to date 04 Opening balances $0.00 $0.00 Addions Deposits and other funds credited 1,300.00 72,762.49 Divdend and interest income 2,934.4C/ 23,406.78 Total additions $4,234.40 $96,169.27 Subtractions Professional management fees and related services -1,27201 -2,729.29 Other funds debited 0.00 -70,810.43 Funds withdrawn for investments bought -2,697 71 -22,364.87 Total subtractions -$3,969.72 -$95,904.59 Net cash flow $264.68 $264.68 Closing balances $264.68 $264.68 SDNY GM 00021370 c fie700010057480i 3 NV7003193796 00(104 1014 030579004 Y121S7ISS000C000 Page 35 of cs3 CONFIDENTIAL EFTA 00131990 EFTA01274197 UBS UBS Strategic Advisor (itioher 2014 UBS Bank USA Deposit Account APY Interest period Sep 8 - Oct 6 Opening UBS Bank USA Deposit balance Sep 8 $0.00 Closing UBS Bank USA Deposit balance Oct 6 $38.59 Number of days in interest period 29 Average daily balance $6.65 Interest earned $0.00 Annual percentage yield earned 0.00% Account name: GHISLAINE MAXWELL Friendly account nacnoilridiv V49935:236 Account number: Y1 23571 SS Your investment objectives: You have identified the following investment objectives for this account If you have questions about these objectives, disagree with them, or with to change them, please contact you France' Advisor or Branch Manager. You can find a full description of the alternative investment objectives in Important information about your sratemenrat the end of this document. Your return objective: Current income &capital appreciation Your risk profile: Primary • Moderate investment eligibility consideration None selected Your account instructions e You account cost basis default closing method is FIFO, First In, First Out Your Ignendal Advisor SCOTT STACK MANY LYLE CASR1EL 212-82 I-7000! 800-308-3140 CNP21;00300574:30i Ne70C0193796 C0004 1014 030575004 Y123571550 C0Mic GM 000211991 36 of 98 CONFIDENTIAL EFTA_0013 199 I EFTA01274198 UBS Strategic Advisor T October 2014 Your assets Account name: GHISLAINE MAXWELL Friendly account name: lndiv vegg35O06 Account number. Y1 23571 55 Same rimer, mane and current vduts shown may be EpprOxirevene. AS a rest, gains MC110ssesM not be accuralely reflected. Set Aportant infomabOn about your statement a the end of the d:cumem for more infornason. Cash Cash and money balances Cash and money balances mai include avalade cash balances, UBS Bant USA depdsn account balances. UBS AG StanSord Branch depow account balances and money market mutual fund sweep balances UBS Bank USA deposit account balarxes are insured by the FOC vAlhn applIceble limits, but are not protected by StPC bets AG Stanford Brant h deposit account balances sie not insured by FDIC and se not protected by WC Money Market sweep balances are protected by 5$C but Ene not insured by the roc. See the Important information about your statement at the endof this docunent for delaih about those balances. Hddng U35 BANK USA CEP ACCT Openng Maurice Cloung Wince on Od I (0 on Oct 31 (I) Price Pet share on Oct 31 (1) Average rate Your ftnand/4 Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000'800-308-3140 DnIckncl Interest Dgsm period period Cep annual (1) 0.00 264.68 Equities Mutual funds total reinvested n tar tots ct a reinvested dvdench. II does not induce any cash chicerds. II is rat a tar lot for the purposes of determining had ng periods or cost basis. The shares you receive each lute you reinvest dedends become a separate tax fol. Cost bast is the total purchase cost of the security. indudng renvesteddvbends. The cost basis may need lobe ad uSted for return of rapid payments in order bD determne the aCluSled COSI bars for !a< reporting purposes. Purchase OW/ ofmi shreat s er Ape vettasr aiPreC e(se.) Hddng CLEAN:1110CE EQUITY INCOME FUND CLASS I Symbol. SOPYX Trade date: fun 26, 13 1,179.249 16.769 19,776.00 19,776 00 20.310 23,950.54 4,174.54 LT Trade date: /an 14, 14 296210 18.470 5,471.00 5,471 00 20.310 6,016.02 545.02 ST Trade date: Jan 15, 14 283.181 18.549 5253.00 5253.00 20.310 5,751.41 498.41 ST continued next page Client investment (1) 250.000 00 Unrealted(tait)gam or loss is the dfference between the current value and t he cost bass and would generaty be your ramble gan or loss if the sec may was sdd on tars date. The unreakred (lag gan or loss may need 13 be &Added for return of capital payments In order to determine the recited gain or loss for tax fr7estme)iwgn purposes. I n is the current vane rilnus the &Mont you I rreeged It does not include shales Mai ale not reflected on yorisiatement, mcludng Strati that hthe been realtedas either a gun or a loss It also does not include cash d Pclends that were not reirwested Cost Price per Owe basis (S) on Oct 31 (8 Value on Unreai2ed nth) iniewnent Hating Oct 31 (3) gpin or loss (5) return (5) period SDNY GM 00021372 CNP7000g005748015 NV7003184796 00004 1014 030575004 Y123571550000000 Pegs 37 of 98 CONFIDENTIAL EFTA_00131992 EFTA01274199 UBS UBS Strategic Advisor October 2014 Your assets . Equities . Mutual funds (continued) Meng turbo of shires Purchase puce Meta.? peke pet sham (f) Client investment 0) Cost bask (S) Price per share on Ck1 31 (5) Value on Oct 31 (5) yore/Med Cm4 coinorlon (S) imestment Heeding Mein (I) period Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 20.310 5,742.27 503.27 ST Trade date: Jan 17, 14 298.430 18.469 5,512.00 5,512.00 20.310 6,061.11 549.11 ST Total reinvested 37.214 19.333 719.47 20.310 755.82 36.35 EAI: 1865 Current yield 1.79% Security tots 2,377.015 17.657 41251.00 41,970.47 48277.17 6,306.70 7026.17 COLUMBIA CONVERTIBLE SECURITIES FUNDCLASS 2 Symbol: NCIAX Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 19.300 22,140.51 1,617.51 ST Trade date: Feb 19, 14 840.380 18.959 15,942.00 15,942.00 19.300 16219.33 277.33 ST Total reinvested 53,109 19.394 1,030.01 19.300 1,025.00 -5.01 EAI: 4967 Current yield 2.46% &easily total 2,040.666 18.374 36,465.00 37,495.01 39,384.85 1,889.83 2,919.84 HARBOR CONVERTIBLE SECURITIES FUNDCLASS I Symbol: HACSX Trade date: Jan 29, 13 1,872.780 10.250 19,196.00 19,196.00 11.190 20,956.40 1,760.40 LT Trade date: Jun 17, 13 960.534 10.489 10,076.00 10,076.00 11.190 10,748.37 672.37 LT Total reinvested 27.030 11.272 304.70 11.190 302.47 -2.23 EAI: 1539 Current yield 184% Security total 2,860.344 10.340 29272.00 29,576.70 32,007.24 2,430.54 2,735.24 JP MORGAN INTREPID EUROPEAN INST Symbol: JFEDt Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 25.250 10,995.16 921.16 LT Trade date: Aug 6. 13 439.831 23.286 10242.00 10242.00 25.250 11,105.73 863.73 LT (Al: 475 Current yield: 0.34% Security total 875.283 23.211 20,316.00 20,316.00 22,100.89 1,784.89 1,784.89 MATTHEWS ASIA DIVIDEND FUND INSTL Symbol: MIPIX Account name: GHISLAINE MAXWELL friendly account name: lndiv V49935006 Account number. Y1 23571 55 Your A sandal Advisor, SCOTT STACK MANY LYLE CASRIEL 21242 1.70001800.308.3140 continued next page CNP700030057030I6 NP7OCOte8796 00004 1014 030575004 vi2.347i44000114thlwGMthao2Agra 38 of 98 CONFIDENTIAL EFTA_00131993 EFTA01274200 UBS Strategic Advisor T October 2014 Account name: GHISLAINE MAXWELL Friendly account new*: Indiv V49935006 Account number. Y1 23571 55 Your Mnandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000/800-308-3140 Your assets Equities . Mutual funds (continued) Number Wiring of shares Purchase Pixel Average Pace per share (1) client investment (1) Cost basis (S) nice per share on Oct 3t (1) Value on Oct 31 (1) UnrealizedCad coin or loss (I) Investment Noting return CP period Trade date: Mn 29, 13 2,156.431 14.849 32,023.00 32,023.00 15.880 34244.12 2,221.12 LT Trade date: Feb 1, 13 481.951 15.069 7263.00 7,263.00 15.880 7,653.38 390.38 LT Total reinvested 52.286 16.005 836.87 15.680 830.30 4557 (Al: $1,445 Current yield: 3.38% Security total 2690.668 14.912 3928600 40,122.87 42,727.80 2,604.93 3,441.80 SIT DIVIDEND GROWTH FUND CIASS I Symbol. SOVGX Trade date: /an 29, 13 2333.831 15.400 35,941.00 35,941.00 19.150 44,692.86 8,751.86 LT Trade date: kin 11, 13 624.804 16.569 10353.00 10,353.00 19150 11,965.00 1,612.00 LT EAI: $766 Current yield 1.35% Security total 2,958.635 15.647 46294.00 46294.00 56,657.86 10,363.86 10,363.86 TORTOISE MLP & PIPELIVE FUND CLASS INSTL Symbol: TORIX Trade date: tan 29, 13 2296.774 13.330 30,616.00 30,616.00 18.420 42,306.57 11,690.57 11,690.57 LT EAI: 1544 Current yield 1 29°A Total $243500.00 $246,391.05 $213,462.38 $37.07132 $3956238 Total estimated annual income: 55.251 SDNY GM 00021374 CNP700030057*8017 NP7000168796 00001 +we 030575004'023571%0000000 Page 39 of 98 CONFIDENTIAL EFTA 00)31994 EFTA01274201 UBS UBS Strategic Advisor October 2014 Your assets (continued) Account name: GHISLA1NE MAXWELL Friendly account name:Indiv V49939C06 Account number. Y1 23571 55 Fixed income Mutual funds Total rent:led n the told d S reinvested dadends II Wei reOl Indio, any cash diadem:ff. A is rot a lm lot for the purposes of desermiong hotting Periods or cost bass. The snares you receive cub tint you reinvest cledends become a separate tax lot. Cost base is the told purchate cost of the security. Ind udng '<Invested clvdendS Tte cost basis may need to be aclusted for return ti (OW payments in order to clelconne the ail usted cost basis for tax reporting purposes. Your 15 nancial Advisor SCOTT STACK MANILYLE CASRIEL 212-821.7030/800-308-3140 Umeakzed frav)gagn °floss rs the dfference between t he current \Sue and the cost basis and would generavy be your la able on or loss 4 the security was sold on Was dale. The unreanted eaN on a loss may need to be &dusted for return Cl capta pa/menu in ceder to deter/nine the 'edited gain or loss Ice lac reporting purposes investment secure, is the current vaue menus the amount you invested it ckm nce include shares that be not reflected or you statement, inducing shares that hare been red red ae either a gain ce a loss It aso Wes net include cash dedendt that were not reinvested Hddng Number of shafts PurchaSe Once' Averacy once pet Shale (S) Client inveStMent 0) Cost baS IS (S) Pnce per shut on Oct 31 (5) Value on Oa 31 (1) unrealizeddad gain or loss (5) investment Holding return LSI Period AVENUE CREPT STRATEGIES FUND CLASS INSTL Symbol: Acsax Trade date: Nov 12, 13 910.736 It 270 10264 00 10,264 00 11.340 10327.75 63 75 ST Trade date: Nov 18, 13 912.566 11.300 10312.00 10.312 00 11.340 1034830 36.50 ST Trade date: Nov 25, 13 911.661 11.319 10320.00 10,320 00 11.340 10338.23 18.23 ST Total reinvested 85.763 11.631 997.55 11.340 972.55 -25.00 EAI: 41,300 Current yield: 4.06% Security total 2,820.726 11 307 30396.00 31.893 55 31,987.03 93.48 1,091.03 litACKRCCK HIGH YIELD BONDI Symbol. 814VIX Trade date: ran 29, 13 4,811.156 8.200 39,451.48 39,451.48 8.240 39,643.92 192.44 LT Trade date: run 27,13 2,481 156 7 959 19,750.00 19,750.00 8.240 20,444.72 694.72 LT Total reinvested 272.133 8.348 2271.85 8..240 2,242.38 -29.47 EAI: 13.555 Caren! yield: 5.70% Security total 7,564.445 8.127 59,201.48 61,473.33 62331.02 857.69 3,129.54 COHEN & STEERS PREFERRED SEC & INC FUND! Symbol. CPAIX Trade date: Jan 29, 13 3.002 068 13.487 40,490 57 40,490 57 13.610 40,858.14 367.57 LT Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.610 10,079.90 161.50 LT Trade date: tun 14,13 751.274 13.309 9,999.02 9,999.02 13.610 10,224.84 225.82 LT contwued next page CNP7C0C90057480I 8NP7000188796 C0004 1014 03057%04 yingli SSOCOMOilY_GM_0002/Pat 40 of 98 CONFIDENTIAL EFTA 00131995 EFTA01274202 UBS Strategic Advisor *UBS October 2014 YOLK assets a Fixed income a Mutual funds (conOnued) siddrig taunter of states Purchase Wrrer Average price per same so Client investment (1) cost basis (1) nice per stet on Oct 31 (9) value on unteallnd dad investment Hating Oct 3i (t) gain °Host (1) return (51 periui Total reinvested 181916 13.575 2,469.64 13.610 2,47528 624 EAI: 43,853 anent yield: 6.05% Security total 4,675.883 13.447 60,407.99 62,877.63 63,638.76 761.13 3230.77 DOUBLE LINE TOTAL RETURN FUND INSTL Symbol: DEILTX Trade date: /an 29, 13 12,498.155 11.379 142229.00 142229.00 10.970 137,104.76 -5,124.24 LT Total reinvested 410.341 10.958 4,496.72 10.970 4,501.44 4.72 EAI: 46,996 Current yield: 4.94% Security total 12,903.496 11.367 142.22900 146,725.72 141,60620 .5,119.52 -622.80 EATON VANCE FLOATING RATE ADVANTAGE CL I Symbol: DFAX Trade date: Jan 29, 13 7,524.150 11.180 84,120.00 84,120.00 10.940 82,314.19 -1,83581 LT Total reinvested 232.674 11.114 2,585.96 10.940 2,545.45 -40.51 EAI: 34,041 Current yield: 4.76% Security total 7.756.824 11.178 84.120.00 86.705.96 84,859.65 .1.84632 739.64 HARBOR HIGH YIELD 80 10 INSTITUTIONAL CI Symbol. HYFAX Trade date: Jan 29, 13 2,660.657 11.239 29,905.78 29,905.78 10.850 28,868.13 -1,037.65 LT Total reinvested 100.864 10.942 1,103.71 10.850 1,094.37 -9.34 EAI: 11,712 Current yield: 5.71% Security total 2,761.521 11.229 29,905.78 31,009.49 29,962.50 -1,04699 56.72 HS8C TOTAL RETURN FUND CLASS I Symbol: HTRIX Trade date: Jan 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.390 40,090.51 385.86 385.86 LT EAI: 4795 Current yield 1.98% JPMORGAN UNCONSTRAINED DEBT FUNDCLASS SELECT continued nest page SDNY GM 00021376 CNP70003005740I 9 NP7000193796 00001 1014 030575001 Y12357I 550 000 Page 41 of 98 Account name: GHISLAINE MAXWELL Friendly account nerne:Indiv V49935006 Amount number `el 23571 55 Your Maenad Advisor: SCOTT STACK MANLYLE CASRIEL 212-821-7030800.308-3140 CONFIDENTIAL EFTA_00131996 EFTA01274203 *UBS UBS Strategic Advisor OCtOber 2014 Account name: GHIRAINE MAXWELL Friendly account name:InclivW19939:/06 Account number. Y1 23571 SS Your K nancial Advisor SCOTT STACK MAI/LYLE CASRIEL 212-821.7600/800-308-3140 Your assets Fixed income . Mutual funds (continued) Purchase puce/ faurrbet Avefarit Foxe Hddng of :hates par share (S) Client investment (a) COSI bath (I) PIK< per shire on Oct 31 (1) Value on Oct 31(S) unrealizedOM gain or lost (5) imestrnent Hddng return (S) period Symbol: 1SISX Trade date: Jan 29, 13 4,784.864 10.260 49,092.71 49,092.71 10.230 48,949.15 -143.56 LT Total reinvested 84.915 10.329 877.11 10.230 868.68 EAI: 31,353 Current yield: 2.74% Security total 4,869.779 10.261 49,092.7t 49,96982 49,817.83 •151.99 725.12 METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I Symbol. mwnx Trade date: Oct 24, 13 7.192.344 10709 77,030.00 77,030.00 1aaso 78252.70 1,222.70 LT Total reinvested 1 19.997 10789 1,294.72 10.880 1,305.57 10.85 EAI: 11,923 Current yield: 2.42% Security total 7312.341 10711 77,030,00 78324.72 79,558.27 1,233.55 2.528.27 RIDGEWORTH SEIX FLOATING RATEHX3H INCOME FUND CLASS I Symbol: SAMBX Trade date: San 29, 13 6,502.655 9.039 58,784.00 58,784 00 8.920 58,003.68 780.32 LT Total reinvested 183.895 9.031 1,660.86 8920 1.640.34 -20.52 EM: 32,521 Current yield: 4.23% Security total 6.686.550 9.040 58,784.00 60,444 86 59,644.02 -800.84 860.02 T ROWE PRICE INSTITUTONAL FLOATING RATE F CLASS Symbol: PFFRX Trade date: /an 29, 13 5,394.060 10.270 55,397.00 55,397.00 10.140 54,695.76 •701.24 LT Total reinvested 129.545 10.242 1326.82 10.140 1313.59 -13.23 EAI: 12,314 Current yield- 4 13% Security total 5.523.605 10.269 55397.00 56,723.82 56,009.35 -714.47 612.35 Total 6686,768.61 $705,853.45 6699,505.14 •$6,34$A2 112.736.53 Total estimated annual income: $30,373 CW76069305748020 Nr706018879600004 1014 030579004 y123571$50 COMCGM0002Figer 42 of 98 CONFIDENTIAL EFTA_001131997 EFTA01274204 0.1( assets UBS Strategic Adviscr Non-traditional Account name: GHI5LAINE MAXWELL Friendly account name:Indw ve9939CO6 Account number. Y1 23571 55 Mutual funds Tc.ta: ee rNe,rel t'.o-')130d remeitedprlends rt does not Include any cash dui:en:Is. It is Mt alai lot let the purposeS of deterninsno Aoki rg periods Or COA basn. The shares you receive each hrre you reinvest d mama become a separate tax lot. Cos/ basal iS the told purchase cost of the security. Inducing reinvesteddudends The cod basis may need to be Ousted/cc return N (dos pa)ments in order b3 teterrnine the adusted cost Oasis for tar redOnng purposes. reflected on yarr statement, tncludng shares that haw been realizedas either a gain or a loss it also does not incluck Cash d %Wends that were not peinvested. Purchase DOCti Mater Average pace atria Cost Price per SAXE. value on unrealizedtag inestment Heed no ticking of shares per share (SS investment baSISOS) on Oct 3t (1) Oct 31 (1) gain or loss (S) return (5) period GATEWAY RIND CLASS Y Symbol. GTEYX Trade date: Jan 29, 13 1,089.208 27.580 30,040.36 30,040.36 29.420 32,044.50 2,004. 14 LT Total reinvested 13.285 29.275 388.92 29.420 393.84 1.92 EAI: 1501 Current yield 1.54% Security total 1,102.493 27.600 30,040.36 30,429 28 32,435.34 2,006.06 2,394.98 Your Pi nandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000/800-308-3140 Unreakzed (MO gam or is the Ofference between the current vaue and the cost bass aid would gentian, Ise your tenable can or loss If the Set wily was Sad on IM date. me unreatret (tag on Ce ICAS may need to be attested for return of capital paymems In order to determine the reared gain or ices for tae reporting purposes. f eamtrer tearn is the current value rrinus the amount you invaded. n does not include shares that are not Your total assets Cash equities Value on Oct 37 (1) Percentage of your accouni Cost taus (1) Es%mated annual interne (1) Unrealized gain or loss (I) Cash and money balances 264.68 0.03% 264.68 Mutual funds 283462.38 27.91% 246,391/5 5,25110 37,071.33 fixed income Mutual funds 699,505.14 6817% 705453.55 30.97310 -6,34142 Non-traditional Mutual funds 32,435.34 3.19% 30,429.28 501.00 2,006.06 Total $1,015,667.54 100.00% $982,9313.56 $36.125.00 $32,728.96 Account activity this month Date Activity Oescnolicn Oct 16 Transfer FM ':`750100 Total deposits and other funds credited Deposits and other funds audited ArrOunt is) 1,30000 91,300.00 SONY GM 00021378 c hie7c00e3os74021 Ne7003s$3796 CoCCse 1014 030575004 YI23 57i5500000GO rags 43 of 96 CONFIDENTIAL EFI'A_00B1998 EFTA01274205 *UBS UBS Strategic Advisor October 2014 Dividend and interest income Taxable &Attends Pees Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number. Y1 23571 55 Your Fi nancial Advisor. SCOTT STACK MANLYLE CASRIEL 212-821.7000800-308-3140 Date At-linty Description Amount (I) Oct 1 Dividend METROPOUTAN WEST TOTAL RETURN BOND FUND CLASS I AS OF 0913914 147.05 Oct 1 Dividend RIDGEWORTH SEIX FLOATING RATEHIGH INCOME FUNDCLASS I AS OF 093014 209.36 Oct 1 Dividend DOUBLE UNE TOTAL RETURN FUND INSTI. AS Of 09130 14 528.10 Oct 1 Dividend COHEN &STEERS PREFERRED SEC & INC FUND 1 AS OF 0930/14 311.74 Oct 1 Dividend EATON VANCE FLOATING RATE ADVANTAGE CL I AS OF 09/30/14 334.23 Oct 1 Dividend • MORGAN MULTI-SECTOR INCOME FUND SELECT SHS 160.18 Oct 1 Dividend CLEARBRIDGE EQUITY INCOME FUNDCLASS I AS OF 0930 14 213.84 Oct 1 Dividend T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS AS OF 0930/14 185.55 Oct 1 Dividend AVENUE CREDIT STRATEGIES FUND CLASS INSTL AS OF 0930 14 326.69 Ott 1 Dividend BLACKROCK HIGH VELD BOND IAS OF 093914 280.97 Oct 1 Dividend HSBC TOTAL RETURN FUND CLASS I 38.59 Oct 10 Dividend SIT DWIDEND GROWTH FLNDCLASS I AS OF 100914 198.10 Total taxable dividends Total dividend and interest income Date Actinty Description .934.40 02.934.40 Arnow* (S) Oct 24 Fee Charged QUARTERLY FEE • 1,272.01 Total professional management fees 41.272.01 Invesbnent transactions Fat m:ut I nfOunctiOn about Ifs bike/value shown for restricted SeCuntleS, we Important Mitormatiort above your statement at the end of thn docrment PP:Ceti:IS Iran Fundt ithestMent withdrawn fcc Accrued Date *flinty Oescepuon Quantity who (F) nice (S) transactions (s) etheSltrltIllS bOUCPI (i) Interest (S) Oct 1 Reinvestment METROPOLITAN WEST TOTAL RETURN BOND 13.603 -147.05 FUND CLASS I DIVIDEND REINVESTED AT 10.81 NAV ON 09/30,14 AS OF 093914 Oct 1 Reinvestment RIDGEWORThl SEIX FLOATING RATEHIGH 23.471 •209.36 INCOME FUND CLASS I DIVIDENDREINVESTED AT 892 NAV ON 093914 AS OF 09'3014 Oct 1 Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL 48.272 -528.10 aVIDEND REINVESTED AT 10.94 NAV ON 093014 AS Of 093914 Oct 1 Reinvestment COHEN & STEERS PREFERRED SEC & INC FUND I DIVIDEND REINVESTED AT 13.56 NAV ON 090914 AS OE 093014 22.990 -311.74 continued next page CHP70309005748022 Ne7000188796 00004 1014 030575004 v12357i 550 00M1 yom0002Pitips 44 of 98 CONFIDENTIAL EFTA_00131999 EFTA01274206 *UBS UBS Strategic Advisor October 2014 Account activity this month (contrived) Investment transactions (continued) Odle Attlee" Description Dignity Wive (S) Pike (5) Proceeds trap inwpment transactions (t) Funds vattickawn fa insnimenIs bcgiOt (1) Accrued 'merest (1) Oct 1 Reinvestment EATON VANCE FLOATNG RATE ADVANTAGE CL I DIVIDEND REINVESTED AT 1096 NAV ON 09i 30114 AS OF 09'30114 30.495 -334.23 Oct 1 Reinvestment JP MORGAN MULTI-SECTOR INCOME FUG SELECT SHS DIVIDEND REINVESTED AT 1021 NAV ON 0930'14 15.689 -160.18 Ott 1 Reinvestment CLEARBRCGE EQUITY INCOME RIND CLASS I DIVIDEND REINVESTED AT 19.69 NAV ON 0930114 AS Of 09'30/14 10.860 -213.84 Oct 1 Reinvestment T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS DIVIDEND REINVESTED AT 10.13 NAV ON 09/30,14 AS OF 0930/14 18.317 -185.55 Oct 1 Reinvestment AVENUE CREDIT STRATEGIES FUMD CLASS INSTL DIVIDEND REINVESTED AT 11.45 NAV ON 092914 ASOF093094 28.532 -326.69 Oct I Reinvestment BLACK ROCK HIGH YIELD BOND I DIVIDEND REINVESTED AT 820 NAV ON 0913014 AS OF 0913014 34.265 -280.97 Total -52,697.71 Date Admity Descripbon Amount (I) Money balance activities Sep 30 latent* forward 80.00 Oct 2 Deposit UBS BANK USA DEPOSIT ACCOUNT 38.59 Oct 14 Deposit UBS BANK USA DEPOSIT ACCOUNT 195.10 Oct 17 Deposit UBS BANK USA DEPOSIT ACCOUNT 1.300.00 Oct 27 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 10/24/14 • 1272.01 Ott 31 Closing MIS Sank USA Deposit Account 8204.88 Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number. VI 23571 SS Your PI nandd Advisor: SCOTT STACK MANILYLE CASRIEL 212-821-7000,800-308-3140 The 1.18S Ban& USA Depost Account IS ycor primary sweep anon SDNY GM 00021380 CNP70003005748023 NPI000168796 C0004 1014 030575004 Y123571550000000 CONFIDENTIAL Page 45 of 98 EFTA 00)32000 EFTA01274207 *UBS Your notes CNP70003005748024 NP70:0189796 00004 1014 030575004 YI23571 550 00MyGEL0002/fairi 46 of 98 End of statement for account number Y1 23571 55 CONFIDENTIAL EFTA ((1132001 EFTA01274208 Important information about your statement UBS Friancial Snobs Wc (he rim or UBS FairecialSerinn). is a member of al wrapalsecunty. catrodety aid imam e4nirges UBSfirsocial kences and unbar* USA at indirect subutrin of uBS AG and Whom of uBS Stosities LLC lb. f tens Maxis( saws« it ~fable Loon Owen the hilt meat* abets at a LOS Onatial SavMs he 1200 Haber &mint Weehmk en NI 07086 Me statement represses the ity oftsiklrectxd of )ourUBS financial Senses nut Other ream* inapt Manta< docunents. co ~hog confleng dau stubnix be Mad upon rl you Were that 6 an ena a ones«. pleat noon ii ~dimly n Wring to tel3rath Manager of to office smog you amount Whough al inger, town attended es be ace toe. °rent drag -gull rot be used for tar Nooses Rey saki 0 'emend ta< km be.. FOrri 1099. 5498. 10125. etc) when peeteng your ta< velum tefen isfecund by Ian to regon tote IRS al tax) le dialends. repents'e non- Mabee evdends and metre ten tamed en secants Mb n par account net proceeds on sale tranUctern, ved ma bar On «nab award worth Ornitemlicollons with Rho Frm • Neale reconfirm any Ord Conera~ons n wrung to further protect your nrjel, rullvig you* rgin under the kortes then Protection Act (SPA) • ate honor ionic/en Ont. top kin of the armt of the lain-ren1 it not 165 ~oil Sense tan Snyder Sentes Cats yea acasew as °trig EL-ekesby anigement with the Mated mituton We Wormed you on tens retronthp when you owned els aCCart In the cam Sr heft ans %ark ies re looted a LOS Frunoal Spites and not the rtrOdurg breeer. Aid you Mug ~tarn:set of my ma Or OneSS be) to limb fln All aCCOure SUCerentS Shall be darned complete aid acarre I n% objectedto e. vasteg eaten 60 ciao • Phase drna cusweer asoplants a antires to the Irrnav Chet Ration Dwayne-nag 201-3521699 or :okay* a $00-354-9,03. 8 00AM ton 03 P fd El ~day theou9's Indef. co in sting to tesim aned' Serves enc. Clem Religions Depaittnt PO Box 766 Unon Crey NI O7(°7 • RI case of woes a getgom abcut an ekcsong togs wand« (711 bid pasmmt ce U3S sin? debb cad traltactkoS, call iÖ-762.1O00 or wee to LBS Mensal Sernal6 hc. 1000 Harbor Tad . 6th lbw. We€taMt N) O70136. Ann arshUSSA Sever Cal ix were£ soon as au an d youth nle yox se mantor recept 6 worg oe if pus need ma, Wcnnatioy tout atra-ofer cn the statement or reap( The Fem «Card bur fa ap ~mug hew tom you ro We Mal 60 days alter the fret sere you the fist statement on Wet the wee or problemwrit - nth. you nine aid aoromt nvetser (il ngt - Dearite te eat or the water you ae wive god. ad war» as deady you can sty you Mite t is al error or sty you need tee nIcemx - FroWle te &ix ~um of te supeaed The km ocC ud two val ~gag yotr ~plant anl eel cortex an/ewer pronptly float* mXo al checks payed* b tee Armor te tarsi' nation ndsaled on et front of St slaernent ake ors to regtea aXouit ht. axoart to be hbaci to mainmast. let charges la we payment for ~rue purchase; ved Usages fcs vpad anoints I crib accents Accounts ta aPtranftEd tO otlw entutons may be %bra to a banner lee. UBS Sweep Optima U85 oners ocean la ~cn bans. baxeces to bank &pouts as UM Bart USA aryl RCS AG Stamford branch (Bark S red t ump hosting ebre/Oy market meted hat Peoneo Fin Tekorntional >cost Accown (0Alfor customers MIS a mentalmat Reroute letragernent Account through gear* Sweep frograns. cal. benches re swept to RCS Bat USA up is at matted kw and then to Ult5 IC Stanford Brant. a a f !Pima Furd Deposes at tes Bat USA are WC enured n accordaxe each fen: rules For ewe Wataion prone out Awn Ids 9>w Deposits/AVE* AG %anted Brant and glares cdPerna funds ream nsured by the (DC. through the OA amiable to ash brat», as wept to «posit accounts a UBS AG Nett° Branch and MSG Caplan Brant These deposits arena mired by the fl)K BalsamIntl a the WS AG Cares Beath ere urreporaily <.pined TO the S6eiregn rt of the Casual bands, and tve is ra wine« O'er Obipitirr Or 1.65 AG eo May the Dimas win k m the CRS Caemaas era's Docks. Deposes a WS Bat USA and each UBS AG Branch arvrot potted by WC Money fund shies are tweed by WC See 'WS Final Sevses Ai:aunt Ittealon - below. Upon you <haws ba s n to Bat Sweep Programs or OA may be vithaarsi rid shags of a lebney fund maybe :spaced and the proceed: returned so you a you wane% tang Furrier rittni‘len tow aailIsle hemp tacos. nnueng anent items rates and awls. d 'mitt a wren 45‘ nun tweepyelli born you tn.r(Of Advibr a by ',Ong :300.7t.2., "00 1185 fireemeial Shebat ettum Condon The Fen o a totes el The Masts Neese Protection Corpora. m (SPC). Wit prows %gushes accounts oft marbles to to 1500.000 (ncbderg 1250.000 for dams for mt) The 5SC mot awes«, !fiat spy to all ermontr tirylerheld n apat aIrcipacin The firm together Loth ceases Alves. h£ also puxham1 sLppientotos groseden The mains/en anoint payable to all eiigbbe dirt colectoolnunte It prince:on c 5501 miller, as of December IO. 2013 Sikem tote pokya:editions end hwatan cat ate fen etsler protected fa up so SI gmilkn n the aggregate for all yaw axoutUheU is a palicula cafaay A full °spy of to poky honing it math upon ree-leg The SIC parettan rd fine supplemental rascal both do not VA, to • etnantnacii tams controlled byvad housed 'Lynn accent vauo)but hell away from ifIS flower Seto» (eg. anan (kcal, ZUBS tart (i)cat ales AG Stained brands. CO nsuratermcbay nekrong web» arun le ad (b) shims of maul finch act sigh shares re mg mewl Wooly n de nine el the acorn tile< on the becks and mart of he xplablt cow a banger agent). • (e'en notarnet contexts or mearment toot (erg. limed ~flips and wore plaxnents) tat are rice Interred Vida the ~toes Aci of 1933. and • COrni»dhret COnlrX11(09 . troy «change rid preims nets ~gat ncLedhg tuna commas ans tommotto) count contracts The SK protection and the girplarriotaon do not achy to thise assetstend they et!~ appea char statements The SIC proteasn and do sLppbewit feertecton do rot ;need mans, changes n the manet vibe d yov Met -WU Meether as a result 40 matel notrrent. tun batanotcy or oilmmiR) More Womy.ona wait Milan request vov may obun rive inorrnxim about WC. hdudng the MK Brodkin. by comxteg SPC at 202-3 718300 byxtung the Mk mtisse al re•lv Sec pm Dividend Re knestent Program OW) the cox reeleCed ism wasp pnce Yeti rat °tan the actual ace horn your karma Abner Orly Wok Mae are picerwod inlet OR le pa-MItat ml be sob and lie cash oil be defensive:I n yaw asmur tap dvilend renregn erg price tippled by the issuer may defer ton te matt vise siethdn the baba Tae .1.1 sold Castebliou Only Whole und may be held in your axoust e you re entked to 'paths int as area°, of adividend parfait or othenvin, te green w6 ether tel partial rats awralea price a acts% an rows detanlred by a regrstred (bang egexy anti cede yov amount Investment oblealves The mesonenn obscures and na prof than sot.< to each account and nay wry between flea. thee the lint praptY n teeing of any natant dia e h yam' fnano..1 stuanm a neaten/4 ~we; for ea h account heist you choose one of the o loving mestnxt otecties • Petrov Coma: tome Inrcrenents whin; the regale° of nameonly • °These CarsartAPpistoon kwennonts seeking gromh d prrcpal rapa than ;re grfar On of Mine • Rockin Cornasktessn a/encore and CAMIAPPTanon ~two tedeg both to gerwaion of nowt ad grown d prnalsai Overall ebk profiles • Consmaw Sets tomenen htia titbit why kw rite and totality to the eaten twat Pen d ha ment the account does not generstesgtant townies returns rd ma/rifekeep pace with lod 'Oaf • Moamar 1.4662 m ammt some MA to Omani end tolerate some stalky» sot tigher Mann • Aggrespse Wring to apsept hob ngt ter xnaPal ad hgh venality» welt» tegument< firm Statanenrhoumbolding' Vyn rnayconsoklate al teed ccohnt statements with the omit roams n the sane awelopo Acorns insy be for :tio arrow beano they haw owthr who So mantle on, account relaionshess rat Mrs dents at the fare adaelf the wades e know, as botch:Ming 'apt paler to realm intent...a suterwentsmstd is apse CONFIDENTIAL eneeltpe — yOu may decke IscusehokIng by Ming ytur Frunoal Advsor Friendly mount name The Shen* asmun nare fetes Maranon that au entern] On the Hrn'S celne sevnes webste It as eta:Wirer...able fnarkrumel chow by you to ac ea your resagfeept-g n ha no liga ONO en sour noise Yolu cal Matt you Randy axkilt nats. through Onto Se noes of byoximaing ps &taxer Asreor. Aurount overview • vibe of sea 2ttarnaperflen, Na of assets and liedips • Axons !there aoaltk urn bakrces when la rotted warily <at rid Global TieDepots unrealized mat to market ad rotan anas not held byte Ian Dom net ncladeunonced seardtolasseh ateeMol the bra and cum« stromms pipet a Press OW45~11, uwesed nods col ins and ~citable stock options • Crahkees hcbdes APR balances. °Ashman) magn loans. credit Wm stet *scout bates • casestanty bases TOM of unrwesiod evadable car baton. Mx 165 Bat USA Moot balmin;. LOS AG Start ad Brach depose balances ad maw( Make( «ulna fund sweep balsam a the dose of the statement pent/ Non.arernollty free credit bans h yes ampra arena segregate from onesbalances and tee Fornmay use ay et these !Ards n the ordinry course of its Wiens lime bras repayable upon yea demand rho Male Inclaflod in no anew wind dosig value lending information fa dialed olotaton on tee rn's »Meg pan it and cliciturec Sato ems C hem LtealbMro Agneersan or Account Agenntint and the Cann Tema and Contest UBS %anent of °Me Halltes mat» n ngeneanet eta Demboules X 322a5Shiragaet ard i2Sa= Your Wigs Val Stalateiffil ~CPS teorites ad otur 315(4Sheld n the accoum at the col or te Slinernee peed Yee may dt foe Matey re fully pal seorites a ref Inte You may rewire seareim used a, ban collated abl< PWA).Alan balance Ore On them Pea slottettrailerredbthe dieing te simmers period ate listed a ameba rehear Of the end oe the sugment pencil • Cost bask n detecting the con basis of two sedates 'alluded is the stain" Sene witted web he number '1: UBS inatt Streseshas feted on inlarnation °beaked hoer sources other tan IBS theta Senses. noadng nloanation Iran new fit or tat you may hie provdeg to you' RnicW Mace The Finn does not hilmendenly mayor gwnseete nay er vadby of any kkirmaon fronded. by sources Ow ta USSfnarcalSentes it addnen Stage. UBS Fnaxial Serf ern generally update t6 fl otsam as t 6 woad the km does rot prod& ay ~roes that she en «matron Vida COP base ved -Unretred gansm" is afar lee a of the die of the nett AS Ash please do not rely en this informal:into rate novenas' er Me deossen. Ice la purpOs45 a aneneer ~rib ellilated to thee ern may reflect rib» nlormaim onlyfor the prod of tine they at held X the fit Morehinonal matneon cal be added by yea Finanaal AcInfOr • Unntalteed pairs/loam When data i araiabk iserriven antal ]ara Rises a, elated fee SDNY_GM_00021382 EFTA 0[)132002 EFTA01274209 Important information about your statement (continued) Wiridualsoorier lots lhe exertiondata fa idinzbal lots maya may not rel led connksarts. Wages ador sewer norgunitalin weals Dielfend aha (Met rerveamom lots and systornme pupae lots re eat combned to dtaide one ~add hat The • Wade dae (Warm wesents the «gnat *mat en traiedae • QUM" norltits Ponds and preened St0d, tat the iS9air (alb for ealy rtderploOn MI be SeleCted rrpalialy by bt tan snag al StforiteS Of that 6~ hike in out name a n ~nee na.• for as chime CalIcahn Merriam is Manedfrom 'bed patio redes 'carry 6 rot ~awed Otte call I eatimi ~yeast v"Kli could ailed yell ~plate drama kin nma be prodded ofral 'Pant • Cordrcates of deposit (CDs) (Ds are MC Mad apt 1293.0:0 irt whopal ad squid resems pre dcportor aid pa depository inliblion n axcidanoi with WC rules • ~value Prices CkplaWd fa »Oases and Otte ~CI may be hr.' ce btu., the t e prim that yoke Muff alually receive in die ~kg PrCeS are °Waned from vanxis red party sources dud. webete/eh) te reality but we do not gamin tee away - you ~rat, the tva dcong pm* alien a'abblo cv the mean os rebid aid ask pies Ice load modes and oaten oronybd puts la OTC soared - Lot Jana/ pad soviet maybe Fad omga valance InOcItt a Tenn, Warn ;rite we Maned and rnay nOl Mlect an aduil matte pee or valre - Swain p011iOnS may appear ~Ian apex ad ell show z 'pace was not available' if we are usable to obtain a woe for a smarty - Deposit a Wane, denrirennd n ~pm other than U S dultirs are rel Pet« a the endurgorde m of the Panne date - For cenan *cubes vageg ei nowantirmlig dentidateds. price aid Quality dace vale) may hat boon Maned% lament dope< **man To obtain anent quotas:a. Men avallablo. WOO yat Snared Adige • P$vn Iniesmems and endured produau Potato ~were sexurrim Cnclidng direct paler' pain, prOgrall aid real estate ~swear Matt ,fronteg aid studded pew/mu 'agenda, fighte died (elan stripdam reads luw not Dom rettioned wit the StKortbeR and en:ha»t Commss,on a defer any stare *writes Om We provide eslmaed vales Ia ideate ~limed ^real ad ~aped products lor akin onalpueown only Managua rot 9n. 011~ - thee views maydifter ohnintally from MCC" Bay at alien artsai mourned *way« structured podia maybe Idiot a soli aid do not nocest.aily ~wont the wale you may rodeo upon liandron - gm rd patty eumaes of vale are as of a anan daci and at Siepbed lo USS inroad Saviors on a regu baps by an ndepentlent yabation Inn Perin Praia or gaud' mimed valos{ any. ate ~Ind to PeFenby tie mom general partner ip watt and may be Cabialed based daleed dfornation from that used by thed palts to donee thee estimated mhos - You can anain addeenal Mermaid, regaling the mededology wed to ektennine the tamale e wake aud the date of the idoirnamn he if the base fa the manse by enlacing your kvicial ~her - 11,k0 parry ~rated walesmay be reflected as 'Not *need is soda swamis *tun an idependint valuauMI IT twin* Paided Ground:re to ~go a vwo when lei bacon» men that a maw* wore ha warred that may alla p~tusly reponed wale too wegai. ce ~naves read be highly SpeZulatree duo to to rutue of the rorty - Men n1~ an isSue, real panne< a Sponsor esimated vi no'atrdpnyegmed vane if prOvde4 the wive of tie mo/4 wi bedmam) toni p.rehast pod - -Digrbutions to dat' may holm* rein of cola. wane a both - • 0nSlena lat sine* rieneosits Ile natal attiring pnCe prunes red may not rend you coo barb • itesmiaed securities Resincted "fames generaty are not aamhtytagtle for pdok la* UBS aalaria Strozes vies the market price of the ennestridod stock of the sane oscar a n wound value for the reguided nod t, purposes of Oisszeake:ent onk To the omen Iui reStrKted sonnies re ebgblo lor Salo the.ral.it iteted may besubeNntity less nun the invited what town • In. (minnedl ha ms. armatyialds and ran. An tinmam of at mome is based on mirth waked aid memo des awning the upteties WS be held for one yea from maenad date «uurhl iniony The ellirdte 6 Onbr a guffaw*. aCCuraCy and OXItnued iKomo ac not g,urameed - Ell noted annual ~me ad dram raaf lor caftan hiliesol worries mud ~de a return of ernicOM or gall pas en Out Cade the tit inca* la» darter yekb would be ovenund - Eurnated amid ~se and Qom, 141.1 and the actua none and yeld mght be lowers hgher than the estimated amount - An re Mate of snaked ~me <deaden! ado merest dated by the wired make, valdnatft balars e based m O* W ~Send or meted parent made by te ewer and ~es Ise swam iddipotat wil he MO* one nut ban the states rint date oreud mrurty Aida" ad continued red at not guaanteof • Asia net held by Pinandal Sonia Certain assess are not held byte Snn ad not wain the Unws possession or ant& rhea assets re «played en your statemem for Montwonal mesaone, Pothens ad vases presented re potbod byte eying lien U6S F nancia Seems b not reponsble ion this iddmaion and doemt geraitee es notary nieSe assets genot prOleCled by SVC Cr the arras sepplernomal SP( (wimp, • Revenue Waring and addkbnal wow:~ - h additen to mminissom on sale; awl 12b.1 hen ridded in tonneau" with the deututon of trued funds toon dents we alder our that mew redeyeSwing paynenu from essubutors ardor »ion of the annual ends tat we sell Peso remits are bated on two different amounts 0 the amount el suksby uBS or a Olt COW (Mull had lamas to ouderhes. ad Id One tad wad ol a pamlirruoval fund fan y% 9~1~ a the Inn - We aid aa aflame aim ricer., retradrng rid ormeempromsvng lees n mreidetaton lor bender agent sewees true we proud to rho mutual funds Thew lees gentralli re pad Peen Manor horn in the mutual lad aid are a tired doll* anoum basel on the ruled of acoxnts at the troteddeater holdingmutual hinds el ha find lardy - m aids ion momentum 'weeded n meeton wen the tabor ~Wuhan of arnutyminracu ad Leh ;wetiaac tin unit to our dents. we ad sour arras» rec~ mend tang COPpenSancei Iron Werryof Vie rourance °moaner. indemnity to a-rety ccnexti altibis of the inapanot conerird «mouton «te ure eat DUOS we clurtute - Ott aldaes also re:eatrading communism/1~er carpi/nation from munual held, and imtrax, Corre.T1in tpOie protibxts we dist boe - We remit.* an anus tee kooles Bad USA ad USS AG Stanford Walt of up to 125 pee mcoure ~win to to barks Leda the Liner* Seep Programs Aellaity Moonated rogardrg cornmidom and ot hen charges nosed ti connection wit the ~mien of vales. ~hang option Vaisactons has been n0Á5 m anInsaons prevoudy fun chef to you. and wit be peon~ to you pommy On Neuld Short Sling If you ay engaged in tort Wing a washy you may nar a (have deal canal beam" Costs Ice that paleula *o.dty Open weden Walling Open te '900clailarlailtd • orders that more not oreiteg by the *dement date open buy ad fell stop odes re waxed by the amount of &MOMS« rghli on al oedindintor mingles dato unins mended othewito by you You are rel»MblefOr Orders thil are eacuted day to your raise to canal wrung open orders Tax witheldng en crabutione ban UK Financial SennOl . Federal tar law dudes UBS inadal Seeges to withhold now* lac from >cis Isubla IRA &Mai Km. but you my °teapot What, men-ans.( witt1011 or instead. you nay Wet to has lax weeded a eras or n a lead amount as you choose Vox Neaon war tomato is effect MU tasked by you You mayreed* your election a a-ry lino by ~Jig anew el eten a you do not hare tough income to. waned Iran your donbutions. you maybe repOnSble r the parntre of ~axed tax you may nar pen atie. it ve ',wanes Meted ani yet, estimated law payments seint NVï tO yOu. tacobli~ Privacy To obtain Jeeredow anat (Nee Privacy Anti a. please of nu pas F natal Minor tension, webs* a: aim Lex convonianeary U3Sfinaicial Seams á not a bait the WA. Busnes SkirsiCOSACCOut BSA and MIA aelortamage laurel led porde access to bat no ,cruces ns prodtds trough anangements wIt armah brats rid other Mkt party balks and proud aocosmo bend and anafy prodids iswed by urea dated thrd {tarty ~ran, contemn*, through ~dice agency lubS153 es of UBS Financial Saviors ho meetmrt. ~farce, ad annuity products Not IOC haired • NO bank guannum May lose wale ROM fteSOUCeNtana~ acoxnt. Buwess Seven ~pant BS* WM and ~mahout Resound lAtaament CONFIDENTIAL ~own at registered sonde mats or UBS Friandal Services Yea Squid, is a agitated »dice ~O. ol visa numwoul U3S Visa Signals* cededadl<adsaMlaBS Wa dad cads ae issued by USS Ba* USA frith wymtwon from v ea u S A harparred US'S Financial ServiOes Inc Rev 201407 SDNY_GM00021383 EFTA_00 132003 EFTA01274210 *UBS MSS Financial Services 299 Park Avenue 25th Floor New York lifY 10171.0002 CNP70056752691114n Y1 0 UBS Strategic Advisor November 2014 GHISLAINE MAXVVEU. 116 E 65TH STREET NEW YORK NY 10065.7007 Account name: GfreStAblE MAXVVEU. Friendly account name: Indiv.V49935006 Account number. Y 1 23571 SS Your Nnancial Advisor- SCOTT STACK MAN1LYLE CASI4EL Phone: 212-821-70001800-308-3140 Questions about your statemeiY7 Call your Financial Advisor or the Value of your account RMA Resourceline at 800-RMA-1000, account 029023571 on October 31 (51 on November 28 (1) Your assets 1,015,667 54 1,019,697.22 Visit our website: www.ubscornifinancialservices Your liabilities 0.00 aoo Value of your account 11,015,667.54 31,019,697.22 Tracking the value of your account S Thcur,arICS Sources of your account growth during 2014 Value of your account at yea. end 2013 5000 Net deposits and 1O19.7 withdrawals 5930,983.19 • • Your Meg:nenI return Di*lenclard interest income 527,726.07 Change in market value 510,982.% Value of your account on Nov 211, 2014 $1,019.697.22 0(1$314 143v2014 SDNY GM 00021384 Member SIPC CNP7000T005675269NP7003191999 00004 1114 03057500i Y123571550010000 Page 33 of 96 CONFIDENTIAL EFTA 00132004 EFTA01274211 sUBS UBS Strategic Advisor November 2014 Your account balance sheet Summary of your assets Value on November 28 (5) Percentage of your account A Cash and money balances 2,109.27 0.21% B Cash alternatives 0.00 0.00% C Equities 282,745.65 27.73% D Fixed income 702,153.39 68.85% E Non-traditional 32,688.91 3.21% F Commodities 0.00 000% G Other 0.00 000% Total assets Value of your account 11,019,697.22 $1,019,697.22 100.00% Account name: GHISLAINE MAXWEU. Friendly account name: Indiy V49935006 Account number: VI 23571 55 Your current asset allocation I N. Eye on the markets Your A Randal Advisor. SCOTT STACK MAIst LYLE CASR1EL 212-821.7000/800-308-3140 Index Percentage change November 2014 Year tO date S&P 500 2.69% 13.98% Russell 3000 2.42% 12.56% MSC I - Europe, Australia & Far East 1.37% -1.08% Barclays Capital U.S. Aggregate Bond Index Interest rates on November 28, 2014 One-month LIBOR: 0.15% 0.70% 5.86% CNP70003005675270NP70031919990CC04 1114 030575004 T123571 55001ftiliyGitoorilless 34 of 96 CONFIDENTIAL EFTA_00I 32005 EFTA01274212 *UBS UBS Strategic Advisor November 2014 Change in the value of your account November 2014 (Si Year to date (S) Opening account value $1,015,667.54 $0.00 Deposits, including investments transferred in 0.00 1,162,105.66 Withcfrawals and fees, including investments transferred out -303.27 -181,117.47 Dividend and interest income 4,319.29 27,726.07 Change in market value 13.66 10,982.96 Closing account value $1,019,697.22 $1,019,697.22 Account name: GHISLAINE MAXWELL Friendly account name: Indiv vegg35c06 Account number. Y1 23571 55 Dividend and interest income earned for purposes of ths siatemeni, tatabSty of molest and drec1ena income has been determined Iran a uS tar reporting sterspNline. Based upon the residence of the account holdet, account type, or product type, scale interest andor dvidend payments may not be subject to United States (US) ardor Puerto Rico (PR) Income tarn. The dent mom* statement is not Intended to be used and ramol be Reed upon for sac purposes. Clients should refer to the applicale lac reporting foam they receive from U8Sannualy, such as the FOrMS 1099 and the Penns 480, for tax reporting (Memnon_ it is the practice of u85 to tile the appicaue let reporting forms with the US Mimed Revenue Service and PR Twenty oepannent. and in such fount accurately dairy dndends andra Interest al tae erupt or teak Moyne. Mae coinuli yens Incledual ter preparer. November 2014 (S) Year to date (S) Taxable dividends 2,469.22 25,544.09 Long-term capital gains 1,850 07 2,175.62 Taxable interest 0.00 6.36 Total current year $4,319.29 $27,726.07 Total dividend & interest $4,319.29 $27,726.07 Summary of gains and losses values reported below exclude products lot which gent and lostes are not destined. Realized gains and losses Unrealized November 2014 (5) Year to date ($) gains and losses (3) Short term 0.00 0.00 4,773 46 Long term 0.00 0.00 27,969 21 Total $0.00 $0.00 $32,742.67 Your IIsandal Advisor: SCOTT STACKMANLYLE CASNEL 212-821-70001800-308-3140 Cash activity summary See Account sandy this month for deals &lances In your Sweep00cm are indudedin the opemnig and closing blames vela. FDIC Insurance appal only to deposits at UK Bank USA, not to deponts a UBS AG, Starreord Branch or bank deposits placed through the UBS Intern/bona Depose accent pogrom SIPC protection applies to moray menet sweep fund holdings but rot bent deposits. Seelmportate informanon 'beeper statement on the last two paws d this document for debits. November 2014 (S) Year to date (S) Opening balances $264.68 $0.00 Additions Deposits and other funds credited 0.03 72,762.49 Dividend aid interest income 4,319.29 27,726.07 Total additions $4,319.29 $100,488.56 Subtractions Professional management fees and related services 0.00 -2,729.29 Other funds debited -303.27 -71,113.70 Funds withdrawn for investments bought -2,171.43 -24,536.30 Total subtractions Net cash flow Closing balances -$2,474.70 $1,844.59 $2,109.27 -$98,379.29 $2,109.27 $2,109.27 SDNY GM 00021388 CNP7C003005675271Nn700319199900C04 1114 030579001 Y123571$50 010000 CONFIDENTIAL Page 35 of S6 EFTA_00 32006 EFTA01274213 UBS UBS Strategic Advisor November 2014 UBS Bank USA Deposit Account APY Interest Period Oct 7 - Nor 6 Opening UBS Bank USA Deposit balance Oct 7 $38.59 Closing UBS Bank USA Deposit balance Nov 6 5303.27 Number of days in interest period 31 Average daily balance $501.88 Interest earned $0 .00 Annual percentage yield earned 0.00% Account name: GHISLAINE MAXWELL Friendly account name:Indiv V49939X/6 Account number. Y1 23571 55 Your investment objectives: You have identified the following investment objectives for this account if you have questions about these objectives, disagree with them, or with to change them, please contact you Franco' Advisor or Branch Manager. You can find a ful description of the alternative investment objectives in important information about your sratementat the end of this document. Your return objective: Current income & capital appreciation Your risk profile: Primary - Moderate Investment eligthnty consvIeratton None selected Your account instructions • You account cost basis default closing method is FIFO, First In, First Out Your Pi Bendel Advisor: SCOTT STACK MANLYLE CASRIEL 212-821.7000/800-308-3140 01P7C0C0305675272NPVC019199900C04 1114 030575004 Y123571S500licfpwGht00021fer 36 of 96 CONFIDENTIAL EFTA_00132007 EFTA01274214 SUBS UBS Strategic Advisor November 2014 Your assets Account name: GHI5LAINE MAXWELL Friendly account name:Indiv v49935036 Account number. Y I 23571 55 Some pnCeS, incOMe and current vd ues ShOwn may CeapprOximene. Asa ref tin. cairn aid lOsses may nol be accurately reflected. Set revenant Antonia:ion etiout your statement a the end of ths ctcumeMfOr TOM intorno, on. Cash Cash and money balances Openngbaance Hddng on NOV 1 (P) Cash 000 LI858ANI: USA DEP ACCT 264 68 CIOPAO WI/MC! on Nov 28 (5) Price per sh&F on NW 28 (1) Ave rd;le tate Your Pi sandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000'800-308-3140 Dividend interest Dais in period period Cap amount (1) 2,109.27 0.00 250,000.00 Total 3264.68 $2,109.27 Equities Mutual funds Tetalternvested s ine loaded reinvested dvidends It (feel nos include any cosh ChideDOS. P IS not a ta lot lot the purposes of determining hold no periods 0r cost basis. The shares you receive each one you reintesl d wands become a separate tax lot. Cost IMPS is the tow purchase cost of the security. indudng *livered d vidends The cost basis mar need lobe adusted for return of Cagle payments in order 10 determine the actusted cost Ots tor tax report no purposes. Unrealized (tad gas or loss 6 the °defence between the anent value and kr* cost tuft endwould genwaty be your taaabe gan or loss If the security was sad Co tin date. The unrealized (tax) gan or loss may need so be attuned for rtt um of septa parents in order to determine the reazed coin of loss for tax reporting purposes. Meteorite( teem is the current yak* minus the amount yOu I mend It does not include shales Thai are not reflects on your statement, includnoshares that have been 'edited GO either a gin a a loss It also does not include cash &admen that were not reinvested Hddng Norber of shares Purchase price) Avelag%p,ce pe r shaft ($) Client investment ft) Cost basis (S) Price per shore Cl Nov 28(1) Value on Nov 28 CS) unrealizeddart gain or loss (I) imestment Hach.; return (S) period CLEARBRIDGE EQUifY INCOME FUND CLASS I Symbol: SOPYx Trade date: km 26, 13 1,179.249 16.769 19,776.00 19,776.00 20.790 24,516.59 4,740.59 LT Trade date: Jan 14, 14 296.210 18.470 5.471.00 5,471.00 20.790 6.158.21 687.21 ST Trade date: kin 15, 14 283.181 18.549 5253.00 5,253.00 20.790 5,887.33 634.33 ST Trade date: /an 16, 14 282.731 18.529 5239.00 5239.03 20.790 5,877.98 638.98 ST Trade date: Fan 17, 14 298.430 18.469 5.512.00 5,512.00 20.790 6,204.36 692.36 sr Total reinvested EAI: 1865 Current yield 1 75% 37.214 19333 719.47 20.790 773.68 54.21 continued next page SDNY GM 00021388 c NP70004005675273NP7003191999 00034 1114 030575004 Y123571550010000 ►egs 37 of 96 CONFIDENTIAL EFTA_00132008 EFTA01274215 4tUBS UBS Strategic Advisor November 2014 Your assets . Equities . Mutual funds (continued) Nurrbet IWdng of shares Purchase puce *vein peke pat sham (I) Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number. Y1 23571 55 Client Cost Price per shoe involtrnmt d) bask (1) an Nov 29(1) Value on Nay 29 (S) Your Anancial Advisor SCOTT STACK MANLYtE CASRIEL 212 821-7000/800 308 3140 Unrealized Gaul imesureent Hddng gain of lost (1) plum (5) period Security total 2377.015 17.657 41251.00 41,970.47 49,418.14 7,447.68 8,167.15 COLUMBIA CONVERTIBLE SECURITIES FUNDCLASSZ Symbol: HOAX Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 19.450 22,312.59 1,789.59 ST Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,942.00 19.450 16,345.39 403.39 ST Total reinvested 53.109 19.394 1.031101 19.450 1.032.97 2.96 EAI: 4967 Current yield 2.44% Security total 2,040.666 18.374 36,46500 37,495.01 39,690.95 2,195.94 3225.95 HARBOR CONVERTIBLE SKLIRMES FUNDCLASS I Symbol: HACSX Trade date: lan 29, 13 1,872.780 10250 19,196.00 19,196.00 11.210 20,993.86 1,797.86 LT Trade date: Sun 17, 13 960.534 10.489 10,076.00 10,076.00 11.210 10,767.58 691.58 LT Total reinvested 27.030 11.272 304.70 11.210 303.01 •1.69 EAI: 4589 Current yield 184% Sect-city total 2,860.344 10.340 29272.00 29,576.70 32,064.45 2,487.75 2,792.45 JP MORGAN INTREPID EUROPEAN INST Symbol: JFEIX Trade date: Aug 1, 13 435.452 23.134 10074.00 10,074.00 25.860 11260.78 1,186.78 LT Trade date: Aug 6, 13 439.831 23.286 10,242.00 10242.00 25.860 11,374.03 1,132.03 LT EAI: 475 Current yield: 0.33% Security total 875.283 23.211 20316.00 20316.00 22,634.81 2,318.81 2,318.81 MATTHEWS ASIA DIVIDEND RIND INSTL Symbol MIMI< Trade date: Ian 29, 13 2,156.431 14.849 32,023.00 32,023.00 15.710 33,877.53 1,854.53 LT Trade date: Feb 1, 13 481.951 15.069 7263.00 7263.00 15.710 7,571.45 30845 LT Total reinvested 52.286 16.005 836137 15.710 821.41 -15.46 EAI: 41.445 Current yield: 3.42% continued next page CNP700C0005675274NP7000191999000041114 030575001 v123571550 Ol Igthtiysm0002114319 38 of 96 CONFIDENTIAL EFTA_00 I 32009 EFTA01274216 *UBS U BS Strategic Advisor November 2014 Your assets . Equities . Mutual funds (contnued) siddno faurrt r of stares Purchase puce' Averatt pie nicse al i ) Client investment CO Cost basis (I) Price per share on Nov 2801 Value on Nov 29 as) Unrealized ISO spin or loss Investment Hdd ng whim (S) Period Security total 2,690.668 14.912 39286.00 40,122.87 42270.39 2,147.52 2.984.39 SIT DIVIDEND GROWTH FUND CLASS! Symbol: SOVGX Trade date: Jan 29, 13 2,333.831 15.400 35,941.00 35,041.00 19600 45,743.03 9,802.08 LT Trade date: Sun 11, 13 624.804 16.569 10,353.00 10,353.00 19.600 12,246.16 1,893.16 LT EA1: $766 Current yield 1.32% Scarily total 2,958.635 15.647 46294.00 46,294.00 57,989.24 11,695.24 11,695.24 TORTOISE MLR 8.inIPELPIE FUND CLASS INSTL Symbol: TOM Trade date: Ian 29, 13 2.296.774 13.330 30,616.00 30,616 00 16,840 38677.67 8,061.67 8,061.67 LT EAI: $744 Current yield 1.92% Total $243,500.00 $246.391.05 $232345.65 $36.354.61 $39245.65 Total estimated annual income: 15.451 Account name: GHISLAINE MAXWELL Friendly account name: Indsv v49935006 Account number. Y1 23571 55 Your N sandal Advisor: SCOTT STACKMANLYLE CASNEL 212-821-70001800-308-3140 Fixed income mutual funds este(' 4 the IOW a at '<Invested &mien& n alas not include any cast, dviCends II Is rat a Ia. IL, lot the purposes of determinng hdcing periods or cost basis. The shares you receive each time you reinvest dvdench Scorn. a separate tax kit COST basis is the Iola purchase cost of the Warily. Ind udng reinvested <1st:lends The cost basis trey need to be </dusted for return d cql WI payments in order to Chtermne the erg usted cost haat for tax reporting purposes vrneeized (torlgan alas d the dfference between the current Wart and the cost basis and wotnd generally be your iautre gam or loss 4 the security was sold on this date. The unrealized (lax) gan a loss may need to be otnted for return o( capital payments in order to cbterwine the realized gain or loss foe lac reponing purposes tnvetnent return is the current clue rrinus the amount you Invested. a does nit include shires that se not reflected cn your statement, inducing shares that hare been red ired aa either a gain a a 1074 It also it,., nct include cash dsidencls that were not reinvested Hddng Nurrber of shares Purchase price' Average rex! pet share (S) Client investment (S) COSI basisel) PrKe per Share at Pow 28(1) Value on Nov 28 (S) UnrediZed 844 gain or loss (S) Investment Had ng return (5) period AVENUE CREDIT STRATEGIES FUND CLASS INSTL SymbO1. AC sax Trade date: Nov 12, 13 910.736 11.270 10264.00 10264.00 11.210 10209.35 -54.65 LT Trade date: Nov 18, 13 912.566 11.300 10,312.00 10,312.00 11.210 10229.86 -82.14 LT contoued next page SDNY GM 00021390 CTIP7C0C030567527SNP7003191999 OCCO4 1114 03057%04 Y123S71SSOOIC000 Pap 39 of 96 CONFIDENTIAL EFTA 00132010 EFTA01274217 T UBS Strategic Advisor November 2014 Your assets . Fixed income . Mutual funds (continued) Mang Hunter of flutes Purchase puce' Average peke per share (f) Client integre/It (I) Cost basil (1) Price per share on Nov 29(f) Value co Nov 29 (f) unrealized sita-0 imestmem Hddng gun of lost (f) return (5) period Trade date, Nov 25, 13 911.661 11.319 10,320.00 10,320.00 11.210 10219.72 -100.28 LT Total reinvested 85.763 11.631 997.55 11.210 961.40 -36.15 (Al: 11,300 Current yield. 4.1 I% Security total 2.820.726 11.307 30,896.00 31.893.55 31,620.33 -273.22 724.33 81ACKROCK HIGH YIELD BOND I Symbol: BHYIX Trade date: )an 29, 13 4,811.156 8.200 39,451.48 39,451.48 8.210 39,499.59 48.1I LT Trade date: Jun 27, 13 2,481.156 7.959 19,750.00 19,750.00 8.210 20370.29 620.29 LT Total reinvested 308.713 8.335 2,573.27 8.210 2,534.53 -38.74 EAI: 43.572 Current yield: 5.72% Security total 7.601.025 8.127 59201.48 61,774.75 62,404.41 629.66 3202.93 COHEN & STEERS PREFERRED SEC & INC FUND I Symbol: Cmax Trade date: /an 29, 13 3.002.068 13.487 40.490.57 40,490.57 13.660 41,008.24 517.67 LT Trade date: Feb 6, 13 740.625 13.391 9,91&40 9,918.40 13.660 10,116.94 198,54 LT Trade date: kin 14, 13 751.274 13.309 9,999.02 9,999.02 13.660 10262.40 263.38 LT Total reinvested 204.934 13.579 2,782.91 13.660 2,799.40 16.49 EAI: 43,853 Current yield: 6.00% Security total 4,558.901 13.448 60,407.99 63,190.90 64,186.98 99&08 3,778.99 DOUBLE LINE TOTAL RETURN FUND INSTL Symbol: D8LTX Trade date: kin 29, 13 12,498.155 11.379 142,229.00 142229.00 11.010 137,604.69 4,624.31 LT Total reinvested 456.563 10.959 5,003.78 11.010 5.026.76 22.98 EAI: 36,917 Current yield: 4.85% Security total 12,954.718 11.365 142,229.00 147232.78 142,631.44 -4,601.33 402.45 EATON VANCE FLOATING RATE ADVANTAGE CL I Symbol: BFAX continued next page 04'700090056752M NP2000191999 001)01 1114 G30575001 V123571 550 0144,04,wGm00021fer 40 of 96 Account name: GHISLAINE MAXWELL friendly account name: Indiv V49935006 Account number 'et 23571 55 Your K nancial Advisor SCOTT STACK MANLYLE CASRIEL 212-82I.7000P800-308.3140 CONFIDENTIAL EFTA 00132011 EFTA01274218 *UBS UBS Strategic Advisor November 2014 Account name: GHISLAINE MAXWELL Friendly account naine:Indov V49935006 Account number. VI 23571 55 Your Mnandd Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000/800-308-3140 Your assets Fixed income . Mutual funds (cor/nue:1) Purchase Mei Nurrber Average price Hiring or shires per share ($) client investment (1) Cost basis ($) Price per share an Nov 28(0 value on Nov 28 0) Unrealized (MO gain or loss (1) investment HolcIng return 01 Period Trade date: /an 29, 13 7,524.150 11.180 84,120.00 84,120.00 10.950 82389.43 • 1,730.57 LT Total reinvested 263.466 11.093 2,922.82 10.950 2,884.95 -37.87 (Al: 44,057 Current yield: 4.76% Security total 7,787.616 11.177 84,120.00 87,042.82 8527439 -1,768.44 1,154.38 HARBOR HIGH YIELD BD CD INSTITUTIONAL CI. Symbol: HYFAX Trade date: /an 29, 13 2,660.657 11.239 29,905.78 29,905.78 10.770 28,655.28 -1250.50 LT Total reinvested 100.864 10.942 1,103.71 10.770 1,086.31 -17.40 (Al: $1,712 Current yield: 5.76% Security total 2,761.521 11.229 29,905.78 31,009.49 29,741.58 -1,267.90 -164.19 HSBC TOTAL RETURN RIND CLASS I Symbol: HTRIX Trade date: /an 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.440 40283.43 57878 578.78 LT (Al: $775 Current yield 1.92°A JPRAORGAN UNCONSTRANED CEBT FUND CLASS SELECT Symbol: .ISISX Trade date: lan 29, 13 4)84.864 10.260 49092.71 49,092.71 10.210 48,853.46 .239.25 LT Total reinvested 98.719 10.315 1,018.32 10.210 1007.92 •1040 (Al: 31,401 Current yield: 2.81% Security total 4,883.583 10.261 49,092.71 50,111.03 49,861.38 -249.65 768.67 METROPOUTAN WEST TOTAL RETURN BOND FUND CLASS Symbol: MWTIX Trade date: Oct 24, 13 7,192.344 10.709 77,030.00 77,030.00 10.930 78,612.32 1,582.32 LT Total reinvested 131.864 10.797 1,423.83 10.930 1,441.27 17.44 (Al: 41,860 Current yield: 2.32% Security total 7,324.208 10.712 77,030.00 78,453.83 80,053.59 1,599.76 3,023.59 RIDGEWORTH SOX FLOATING continued next page SDNY GM 00021392 CNP70009305675277NP70C0191999 00001 1114 030575004 vi2357i 550010000 Page 41 of 96 CONFIDENTIAL EFTA 00132012 EFTA01274219 *U BS UBS Strategic Advisor November 2014 Account name: GNISLA1NE MAXWELL Friendly account name:Indiv V49935006 Account number. VI 23571 55 Your II nodal Advisor: SCOTT STACK MAN LYLE CASRIEL 212.82 I -70001800-308a 140 Your assets Fixed income . Mutual funds (continued) Purchase we ranter Avera7 pxe Hddng of Nowa per share ft Client investment (1) Cost Oasis co Price per 'hese on Nov 28 0/ value on Nn 28 (o) unrealized0M gain or Ion CS/ Investment return (I) Helping Pilled RATEHIGH INCOME FUND CLASS I Symbol. SAMBX Trade date: Jan 29, 13 6,502.655 9.039 58,784.00 58,784 00 8.920 58,003.68 •780.32 LT Total reinvested 209.185 9.018 1,886.45 8.920 1,865.93 .2052 EAI: 32,550 Current yield: 4.26% Security total 6,711.840 9.039 58,784.00 60,670 45 59,869.61 -800.84 1,085.61 T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS Symbol. PFFRX Trade date: Jan 29, 13 5394.060 10270 55397.00 55,397.00 10.140 54,695.76 -701.24 LT Total reinvested 150936 10.227 1,54372 10.140 1,530.49 -13.23 EAF 32,351 Current yield- 4.18% Security total 5,544.996 10.269 55,397.00 56,940.72 56,226.25 -71447 829.25 Total $686,768.61 $708.82457 $702,153.39 -15,871.57 $15.38438 Total estimated annual income: 530,348 Non-traditional Mutual funds rotas romrcsrof is the tots 0181 reinvested dadends does not include any (ash di/leePIS. A IS riot alai lot foe the purposes of determining hold rg periods or cost basis. The shares you teenye tan ter* you reinvest dradends become a separate tax kit Coat bases is the tots purchase cost of the security. Inducing reinvested d Wends the cost bast may need to be agusted fix return ce capItd portents in order so determine the adjusted cost basis tor ter rep:icing purposes. NcIdng GATEWAY RIND C LASS Y Symbol- GTEYX Trade date: /an 29, 13 Purchase p056 Marton Averatge race of shares per share ft Client investment (I) tweaked (6o) gam or loss is the Ofterence between the Caren' value and the cost basis end would genet* be your rabble gen or loss if the sec wily was sold as tin date. The unreaNed gm) gen or toss may need to be adjusted for return of opted paytnems In order to determine the rezeized gain or loss for tax feratillg purposes imestment tetu to is the current value minus the anount you I wrested it does not include shares that are not reflected on your statement, includng shares that haw been realized as either a gin a a loss It also does not aclude cash dedench that were not Ni wonted Cost basis CO Prose per share co Nov 28 (1) Value on unrealizedOP) Investment Hddng Nov 29 (1) gain or loss (I) return (S) period 1,089.208 27.580 30,040.36 30.04036 29.650 32,295.01 2,254.65 LT continued next page CNP70309305675278NP70C0191999 03004 t 114 030575004 V12357155001MyGiuggipijirg 42 of 96 CONFIDENTIAL EFTA_00B201 3 EFTA01274220 *UBS UBS Strategic Advisor November 2014 Account name: GHISLAINE MAXWELL Friendly account name:Inc:iv ve9935006 Account number. YI 23571 55 Your PIsandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000/800-308-3140 Your assets Non-traditional . Mutual funds vonnnued) Purchase pixel Arc e a prstse) Client Cost PIK< per share Value on unrealized Ina In estment Honing Siddng ofNusrhrat si share ineestmenl (S) bads(!) on Nov 28(1) istyr (1) gain or toss(!) return (5) period Total reinvested 13.285 29.275 387392 29.650 393.90 4.98 EAT 3501 Current yield 1 53% Secuity total 1,102.493 27.600 30,040.36 30,429.28 32,683.91 2,259.63 2,648.55 Your total asset Value on Nov 28 IS/ Percenta your accouni Cost taus (1) Es:mated annual incase (5) urireamed gan or loss (1) Cash Cash and money balances 2,109.27 021% 2,109.27 Equities Mutual funds 202,745.65 27.73% 246391.05 5.45100 36354.61 Fixed income Non traditional Mutual funds 702,153.39 6835% 708,024.97 30,348.00 4271.57 Mutual funds 32.688.91 3.21% 30,429.28 501.00 2259.63 Total $1,019,697.22 100.00% $986,954.57 $36,300.00 $32,742.67 Account activity this month Dade Actilty Description Ammer' (S) Dividend and interestincome Taxable dividends Nov 3 Dividend METDOPOUTAN WEST TOTAL RETURN BOND FUND CLASS 1AS OF 1031114 129.11 Nov 3 Dividend RIDGEWORTH SEIX FLOATING RATEFICH INCOME FUNDCLASS I AS OF 10'31114 225.59 Nov 3 Dividend DOUBLE UNE TOTAL RETURN FUND INSTL AS OF 101 31/ 14 507.05 Nova Dividend COHEN & STEERS PREFERRED SEC & INC FUND I AS OF 1031/14 313.28 Nova Dividend EATON VANCE FLOATING RATE ADVANTAGE CL I AS OF 10/31/14 336.86 Nov 3 Dividend 1PMORGAN UNCONSTRAINED DEBT FUND CLASS SELECT 141.22 Nova Dividend I ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS AS CF 10/31114 216.90 Nova Dividend BLACK ROCK HIGH YIELD BOND i AS OF 103 ir 1 4 301.42 Nov3 Dividend HS8C TOTAL RETURN FUND CLASS I 38.59 Nov28 St Cap Gain TORTOISE MLP & PIPELINE FUND CLASS INSTL SHORT TERM CAPITAL GAIN ASCA 11/25/14 59.33 Nov28 Dividend TORTOISE MID & PIPELINE FUND CLASS INSTL AS OF 11/2914 199.87 Total taxable dividends $2A6922 SDNY GM 00021394 cisf7CoOmoss7S779Nrimodi9I99900004 ii 14 030575004 Y123571550010000 ►age 43 of 96 CONFIDENTIAL EFTA 00132014 EFTA01274221 SUBS UBS Strategic Advisor NOvember 2014 Account activity this month (Conti-wed) Date Actnay Otscrgstinn Dividend and interestincorne (continued) Long-term capitol gains Account name: GHI5LAINE MAXWELL Friendly account name: Indiv 1/49939066 Account number. YI 23571 SS Your Anandal Advisor: SCOTT STACK MAAY LYLE CASRIEL 212.821.7000800.308.3140 Amour (S) Nov 28 It Cap Gain TORTOISE MID & PIPELIPE FUND CLASS INSTL LONG TERM CAPITAL GAIN AS 1,850.07 OF 1112914 Total long-term capital gains 1,850.07 Total dividend and interest income $431929 Dee Achilly Description Amounl Other funds debited Nov 19 Transfer TO Y1 235750100 -303.27 Total other funds debited -$30327 InvesbnentUansactions Fa more I nfomation about tee price value shown for restricted st<usities, See importent information &bout your statement at the endof this document. Dee Actinty Descapaon Charity vat* CS) Pace (S) emcees:1s km insestrnent isereatices co Funds withdrawn for accrued investrnents bcogrit (S) Interest ID Nova Reinvestment METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I DIVIDEND REINVESTED AT 10.88 NAV ON 10131/14 AS OF 1031114 11.867 -129.11 Nov3 Reinvestment RIDGEWORTel SEIX FLOATING RATEHIGH INCOME FUND CLASS I DIVIDENDRONVESTED AT 8.92 NAV ON 1013014 AS OF 10131/14 25.290 -225.59 Nova Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL DIVIDEND REINVESTED AT 10.97 NAV ON 10/31/14 ASOF 10'31/14 46.222 -507.05 Nov3 Reinvestment COHEN & STEERS PREFERRED SEC &INC FUND I DVIDEND REINVESTED AT 13.61 NAV ON 10/31/14 AS OF 1031114 23.018 -313.28 NOv 3 Reinvestment EATON VANCE FLOATING RATE ADVANTAGE CL I DIVIDEND REINVESTED AT 10.94 NAV ON 10/31/14 ASCE 10'31114 30.792 -336.85 Nov3 Reinvestment 1FMORGAN UNCONSTRAINED DEBT FUND CLASS SELECT DIVIDEND REINVESTED AT 10.23 NAV ON 10/31/14 13.804 -141.22 Nov3 Reinvestment T ROWE PRICE INSTITLIRONAL R_OATING RATE F CLASS DIVIDEND RENVESTED AT 10.14 NAV ON 10/3014 ASOF 1031114 21.391 -21690 Nov3 Reinvestment BLACK ROCK HIGH MELD BOND I DIVIDEND REINVESTED AT 674 NAV ON 1 or3v 14 AS OF 1031114 36.580 -301 42 Total -$2,171.43 CNP703C0005675280NP7000i91999 0000t 1114 030575004 v12357i S5004§myGrk pocepsis 44 of 96 CONFIDENTIAL EFTA 0{1132015 EFTA01274222 *UBS UBS Strategic Advisor November 2014 Account activity this month (Contnued Date Money balance activities Oct 31 Balance forward $26448 Nov 4 Deposit 1185 BANK USA DEPOSIT ACCOUNT 38.59 Account name: GHISLAINE MAXWELL Friendly account narne:Indiv V49935006 Account number. Y1 23571 55 Activity Description Your Nnandal Advisor: SCOTT STACKMAN1YLE CASNEL 212-821-7030/ 800-308-3140 Arrounl IS) Nov 20 Withdrawal 085 BANK USA DEPOSIT ACCOUNT AS OF 11119!74 Nov 29 Closing UBS Bank USA Deposit Account The UBS Sant USA OepoSit ACCOunt is your POW/ sweep coign -303.27 50.00 SDNY GM 00021396 CNPTCOCE4305675201NP7000191999 00004 1114 030575004 Yi2357i 550 010000 Page 45 of 96 CONFIDENTIAL EFTA 00132016 EFTA01274223 *UBS Your notes CNP700090056752$2 NP70:01919,39 00004 1114 030575004 Yi 23571 550 01 igNtlyGNA00021flybir 46 of 96 End of statement for account number Y1 23571 55 CONFIDENTIAL EFTA ((1132017 EFTA01274224 Important information about your statement 1185 FnancialSentnes Inc Ofarim PUBS FinaidalSerices). Is a mentor of al paspal seamy. canthodey aid opus's edunges 1185 f inatbal threw and USSBanithaer ere nlioct tiiibtalirin of ulltS AG and theism of PBS Seoskie LLC lheF gess Metcalf sawn if wattle upon Mead the frths execute* of lees at a U3S Petaled SIMPS he 1200 Haber lirculema Mohawkern NJ 07086 1116 Alta/leen represems The nay of cal weed of your PBS f mama Swathes account Other *cords. except WealLae do wered. cowering walking data should not be Wed upon If you thew ewe at a Or 02161.01. pleat moor, n rrenediaver it wring to theerach Mthaper of the once smingyur woum Athough al no tom areintended m be ia<0.010. seawall exa Todd rot be used for sac puposes tea sold/ on ehr.end to lam 0e., Fan 1099. WO. 10425. etc) when prepaird your tee nom thee in is requite by Ian 10 recon tote RS al throb le diedends. °month!. non Web* dvdends ad taut* mew weed on saunas held n your acCoun nee proceeds on sale tranUcto:nl, and cost baleenwain awed %edam Cemmtmicallone with the FS,n • Moe reculfern any oral OlivranClons n writing tO furter pound your nirts Wide/ your roars undo the *antes Myer Proteden Act (SPA) • dive frundal instrumon onto top key 0 the lent of the Italenunt 4 not LOS ChInCul Sava. PBS Fesaxial Semencaries you aroma th e:leering Croke by aongemeral w6 the adeated nthuton We Intoned liou on the rthationsly Men pa opened tit mew in the case you hrds am wadies se located a les Frunoal Saws aid not tee rfrOdu:n9 broker. aid you mat male a report of thy eta aortic:sem to teeth Wm. All account statn*rts Shall be deemed wee roth. and aurae 6 n-A oblate:Ito el vamp Mtn 60 dres • Please direct cuslemer asnpbnua paste tee mr: Client Reialions Nommen s 2014521699*r tolled al 000-3544103. 8 00AM to 6 CO PM Fl Wiley thrOup friday. a n retng to PBS flonyncul Sentet Clint Relation, Department PO Box 766 Pnon City NI 07037 • ti case ol *mesa Whom about m ekmone hots transfer (WY bit parnmt ales Veal WM cad tralsadont call 100-762-1000 or we to LOS Friend* Serum tic, WOO Harbor SW. 60 Iba. Weefutheuth. N) 07486, Ann INWOSA Sava.: Cal a boas soon as ye caat d you th nk too stawnem or recept 6 %VON Or 4 $4., need more Worthen tout atraohr on the owned of mem The Fan a Card Muer (as atOlOble)must hear from mu no tater thth 60 days alter the fret salt you the fro Pawnee on Muth the era or problem errata - hoed. you nine ad scow number 0 alp - Deerite the em. Or the vane you ae were abaft aid mean asclearlyas ye On My yeti WIN* A is m error or My you need awe thermthyn - hoed. the dollar ammo of the steamed Ma the Fern or C ard Suer WI neridate veer OP-94rd a+1 will weed any thror promptly Plowmake al dugs pad:4 to the Armor the email nulnon mica.: le e to front of the stairway heeded, to reguk• axOtilt fees, atOurit mar be abed to manunanee feet Pages for tatopayment securte: purchath andohne; for aped aroults n cat xcotnts Accounts ma ire traldernid le Olhir. mildews :nay be :tetrad to a vender fee UPS Sweep Optim 085 offers opals for Tempelcash balances. baxes DS* deposits m PDS Bark IBA ad PEG AG Sodom Mem ark Sweep hoseavng away market natal finds (Money Fen:Wand the havermal Depose Accoant 00Alfor custemers Mt n memthona *souse Managernent Arsounl %mgt. teas* Sweep 'Myra Gan balances are swept it WS Bare LISA tO b an eslabIshed Mr and the,, to LES AG Stantere Brandt a a Mthey Fund Deposes at LOS Bale USA are FOC muted n accordance WA MO: mks For exit itemaion parse rut www the thy Deposes a PPS AG HaTdord Prat aid tares ot Melee Funds aanoi tuurth by the FCC. Through the On rabble to eaf balances aro sew to depose accounts a LISS AG NearYork 513'41a-id PBS/4 Carman EMMY flasetlythels tie Fa nosed by the FDIC Balavery head al the MAO Carty Brat re twpowily oposed to the smear risk of theCarnal Maths, and there is en Was tethr other °albite., of 165A6 to repay thebatmen the on the LOS C.4.1‘11'S Brad's boas Deposits at UBS Bat USA ad ea& PPS AG batch aro mei preeected by SIC Money Fund toes are weeded by WC See %IBS Mato* Seven Account Rotation' below. Upon per reg./02, balrees n to Bak Sweep Program or OA mw be reatxtarth the Owes of a Mthey Fund maybe liquidated, and the pouted' retuned to you a pa maims lanll Furor ntennagn tout theatre sem" °woos. twang cram mew tees and yields, a weathers www itscarisweeptheds Iron your F nye*, &Seiler a by caring 806762-1000 UK amend& Services ecotone peewee, The Finn a a /rafter of the Securnes meter Protection Coporaben (SRO Whim prows-used-meth scours of es neaten eat to 1500000 Wadding 1250400 for darns lor Call) 7n• SSC We pampa tones *Palo allsawn the you hold n easiest:7**W The Fret together cerum Abates. ha also pu•chnnel upplonental proloasin The rnionnuin anount payable to all de** dent, coltamerundw the protection 4 5505 Wien as of Decerter la 2013 S.Med tome pokymarten, aid Imtatoni cat at the Fon 4 Cunha' prowed for up to $I 9 mike n the anegte ton an your a:cantshell n a petiole caper* A fa (boy ol the poky ontrdng 6 //arable upon red.re2 The SIC wieder' and lye supplemental procauth both do not iSlolY to • Cenardnaxii assets controlled MOM Mined rawer exam Mtn) but held away from 1(15Anti:ill Sawn (e g. anal Ocala, aUBSBa&Wcat at UPS AG Stamford bran*. Ith mutate podelt nadayemobe rrun le ad Mtn of mutual lads yko'• suet taws we registered rfrealy in the nine of the accost Wier on the books and words of to aplobb Eva a under agent • Conan netarrani contra" or noesbneat ntortit to 9. Weed pathways aid pevae plawents) tat ore not registered thew the Semmes Act of Ian. the • Comm:Mum comrade Co 9. fordtherechangothd peethus metal ardnat ncledthg tenses comas ard farfFethY °91M contracts The SSC protection ad the pepper:mirth protectith do not apply to these assets then it they OtteeMe appear:ajar nthernenn the SIX prewar and the spathes* prOtea9n do not pined thanst Wert n the note raw 0 par Mestinents0AMOter as visual of mato rearrent. ewe bearuptcY of PtisPlefe) More Wormaon re salable yen request Yar may obun me idormaten tout SSC. hdudra9 the SIC Brochure by causing SiC at 202 -37143300 ec by voitng fie SP( I./finite al vmw Weal) Dividemi Re threwnent Program OR/P) the pm theleCed ear average pace tea may °Dian the actualoretan your hiart2al Aboor Only Mole shim • Futtiardid adrC P. paha Ines wit be sold and the cash wit be deposited in per attars the *Mend mummer pm tippled by the mud may deter from the InXIIt ;Me a Mar the petal :hats re sold CasloWliou Only Whole unts my be held in you lIOuNt Spa are entitled to op/haltat at a 'rub of pored or Mame*. the Fien wel ether partialWes, maket price a axe's an null deiermred by a registered drama grey. andcede you account levesenemeblealves Tee Awn/lien, cApaves and nth profile are speck to add scow aid my way *them Hem Owe the inn pomp* in eirm9 of any uthkant thanpt in your flow* stuatam Cr n. ere Obrectivec For oath aceourc hell you choose one of the bleeding nrestmed obectbes • Padua Cu net Mow Westin/on seaiinj the gnaw in d ilcorne only • ACM.* CaPAVaPp10400n kotellnwils544ing 9fooah pnxpi male than tee gemeaton of name • wailer Conatheath of Income red COPOIAPPeWOOn Inottralt loot iv both he gerwaion of r90.10 aid 9"imeh P prncPal Orwell risk pitfalls • Commuter Seeks to 'Wean htiai priMpat Me Ica risk ad totality tome accost omit wen rt ma meths the account does not ginersesathdom incomeor mums ath myna keep pace wth inl Won • AlloSeas %Wing to map: %Aso rii to 01,4A rod tolerate wee Ma ley m seek higher means • A496•59.0 Ming to axial hgh Mt to pampa ad ugh vanity.° wet MS reams ober inte Statement lamershekling" We may consolidate al felled scout StatallEnIS with the salt addits in tie Sane Mokpo ACootntsrnry be relined fa *it Fees beano they haw owner; rho In maven oat mount rilinonshps wit other dents al the 53,0E address MS peactce t Mom 'howetroldn9 • d you pale to maybe indented fl ower,' mailed it fetinte CONFIDENTIAL ervelothe —you ,try deck. house holing by ding your Framed Motor Frimiehr WORM An flakier.* exam nave rehab Warman that su enters on the Hrws thine sans webste It ea custoinimbh *manna* chosen by you Ui az6t you wth you ritardterpng n by no leg* effect on our now you on mange you* Frealdai exatht names. through On** Swat or by °enacting paa &laud next. Account eveview • vabe of scot axountepx OW NO 01 asset and liabillteS • A908 Ilbaltk, !walk* aril Lubin'. whin lee ronadod twurity (ea ) nd Global-me Depotet weirted males to market and Meta, AMOS not held byte Fin, Does not nciededonard smultelassets a the era of the per andcuret tuterrem prods a Watt remmems. unwed Pod col Me and meabibb stork °Mons • Otheres bads ebbe ballICK. Oulaarldni.)mrgn loan. creel Ine, short account banes • Cab/MAW bison toes of utlivened wableah baancen. the UTS Batt USA emote ealthers PBS AG Start ad Stanch depose balances and ironer maw mewl I ind sweep Wines al the dose of tte statement weed Non.cornincd Ey trey midi, batman iN year 'Mount are not segregaed from °etre bataxes rid the Fmanay use any OF these lards n the ordiwy course of ashen*, Mese funds repayable upon pa mound The total included in tie arrow peri7d cloth; value Lendip information Fr 4/tend erlonnaon on the F revs Heard petits and didocures Mato youClem 0.Na bents Athownwe or Acceent Armen; and the General Tams ad Condemns PPS Staftneu of (tele Fractresarafaba n AginotonCis and CecIzatas a ay A, hhk ••,v•••O•••A•ap,..‘ Yewsuet YO-r statement menses senotes and other asses held n the .m,umt it the end of the swam* wed You may aft for deinty of Iveypaid writes ar arc tone You may rec.*? searrim used a ban oilseed acer Path9.alinr balanCe die On them My wuntes trameened to the Ming the sowers period are tided a °ward wawa 0 the erd of the statement period • Gest basic hdeterrnhng Newt NM of the writes suluded n the statement Wart? Missed wth the nutter -1.• 1BS firuncid Servemeth Pled on imams on Waived from sources other that LOS Frew* Peaces. oldng tharnalon Iron rater fin or tat you Tot hat prAttlfd lo rut Puna AdV60( Mt Firm clots net nagendently vertyOr guarantee to an racy a vaieby of thy mammon provided by saws of to MP natal Sewed m addtion Stooge PPS Uwe., Were: generaly updates this damned as c 6 ranted tie P.m 600 riot Droulde any asstrams that the ntcnnalion ender 'Cost base and 'I-unlined gaiybn a a:actual to date of this SIMON* AS suet, please do not rely en this ird °warm to make curthase a srle datums la la purpous a otherece ar-Oxint U/Illenal to the fen may Wm giriath nformaim orly for the prod of time theyreheld at* Cim StorehMoreal nlarnatnn car be added by you Feruna.11 Mew • tanteeretedgalnerbses thhor data e araiable OVMated unto* t.: le dal rte: ter SDNY_GM_00021398 EFTA 00132018 EFTA01274225 Important information about your statement (CentelUed) Marichalsomitty lots The tamxtion data he lot mly a may not tetra cemnksans, Wages ace 'emery reorgunitaim moms Dalbil ad Wier rearmament lots and 'roman "stat lot re oat COribned tO dtfley One aretra;ed hat The • Trade daft' cobrm presents the myna, tramkt Fin bakdate • CANN nook° Bonds and pahreted STOO, that te issue' (alb for ealy rederphon %al be selected npasialy by lot tom array a warnsof that Awe lep in out natte a fl normre flan for as dents (al Nate Warnsgel is Weaned kom thrd pub aid di acoraq ri not gnawed Otte Call leases may tot he mt could aka yell ~pine nfomuw. wd bewailed open asgel . Catarraal deposit (CDs) (Ds are MC rued up» 1293.000 n "nodal aid salad nttrelt pe donator and par Mummy rotate" ei amordan" with in: rules • pricomaluo Pncesckployed foe nooses another' products mar be hyt« ce lower that the peat tal you vauU mtualle rectum in the make PrCei are obtaned Iron van:•.$5 lid pity SCurCei Mai webete/eh/ te relablr. but we do not gamin tea an. acy - We saner ay me the dcnng pin when *WIMP er the mean or in bid aid ask wars ter Ivied sea/cm aid opts« or on bd sects la OTC twee' - In kayo,/ calm seaman maybe wood omga mbar. nadel ce the~ (pant pia we Maned aid may nol rel lea an asut matt par or wan - C stain positrons may appear entert asprut ad sill show a 'once was not nibble' II we te tank to obtan a vice for a storey - DepbUll Oe SearkeS den:anal& n he erroes other tal U S mitt are ref Wedeln< cad urge f ge as of the noweront date - For rerun 'earns pony nnonandormisg demennatat prce aid Pm nifty dace vake) may hat beat alpaedm lard...Ile prow vaus.cn To obtain Cursint quaaaii. Men anfable, aimed yam nano" Atbtor • /Mona Ineennums and eenacid produaL twat. 'mostmere saturens reolidng direct pariMpation progran aid realestate most rede Mitt Same* aid StrOctured pneduCIS ere rneraly bgbly diQUO (elan structieed raw s ham nee bom regaered anti the ~P ies and Evandte Canna:so «UMW any state securns lam We peon" estmSed valas for wine nwumere second aid It:unwed prodrus br edam.* maul"», only Acideracyo rot 9unneeml - Thee vanes maydiffer samearmally from sly al Mot agnate nwstmere securest" structured 'moan:maybe boor a foe aid do not necniaily repeesent the yam you my rede,, upon "Union^ - Th rd prty enmaes of vabe are as ot a rerun dae aid re 'Applied so !SS inroad knouts on a result bass by an Welton:Sent vairation fern - "n8 genteel Par'este crowns« "Oman yank if any. are 9.Cpled to te Erin by the mum general prime or mama and may be ablated timed on Ohm* Wormarion from that usedbytend pates to dooie thee estimated vans - nun, obtain addnenal mastmaten regaling the ~logy used to determine the minim of van aid the dace of the Montano On It Ow bait (ce On *striae hyaena:UN gene Anoxia isolator - Mkt parry ~0 vent may be reflected as 'NM pekoe in sewed mamas aeon an 'nlepanfent venom firm Ins Mt e.ppled 04 is talkie to assigna van sited we bacon> awn that a naaal wedha warred that may al la unties", reponed value too welton. a whin auks nark be highly speartawe due to the nacre of the tatty - Men neither an imp* general panne a sponsor emend vinenor a ihenpany ea mend value is prowled the the warty wi beditunt tot its pschm pia - likarbutions to dare may inch* retire of ntal. name a both - • Ongnai tat sue' rteestnts the naval olleng pene per ...lit a-,5 may not maxi your oost bad • Itiemiatel securities Restricted "curries ;merely ere not anon Hyde foe pfok la* UM rancid *van uses the mirk« proof te triennia« sleds of the in mu« a an wowed vak* for the redeemed stock pun: °Sid Cd Mean. vitae., TO the raam that restricted servile re ebgkile la se*. the ken fecund may be subitzitirly less Than the imputed wine shovel • Et Notinetod) SM.% currontyiolds and ran. An estimate of mina name is based on mown, canknd end :ono ran. zoning to kmaties till be held for one yea from slammed date or Arne nasty This estimate is Onbr a gurkeine. aCCuraCy and cannued monies, not gurameed - EstMated aralkial income ant atmvit Meet for tenon Vent WO% iteS mold liduk argent of Fr etcPS or nary( gans n wilt case the tit recent Ltdanent yak) wouli be oven's», - Mutated am," omme aid anent Meld aid the ectua nook and yeid night be boar ligher than the col-nand storm - An tonneof smoked name (dvidens/ andor merest) chafed bythe cameo main veneerer a" ballus e based COIN IN dmasnd or mire" party made by te mar and askartes te seta indepotas wel be held'« one yea from the statement dap or inte ~trey Amman and contained red in not gasket, • *stank held ley UBE Pinandal Sonia rerun Mal erft not heed byte Firn ad not within the enn's possession or astrol Them assets re deptkod on ycur statement for irdormannal punks only Poulims maws presented re prittled byte inung film UM F ', antra Sermon o not "'ambled" this ineernabn and does not guanine es aCanCy !bee asels Tenet prOleCted by SK or te Fern's supplemental SP( coverer • tavonuo Sating and addkbnal computation. - h additim to 'minimum on saki and Mil km noted in tonneau" with the &Union of ~al finds to ow Mint we anti OW 'tine redeye renrue troy papent f corn adubutors and" addson of the mini &ads tat we soli lbeso amants arebased at two "nest aerporents fJ the amount Of saksby aces ot a maculaemu" had limey to ow dents. wid the ant van ol a primly TINY Iwid fray' trot Mid a the Inn - We and as *Are an wen retnutng and ormnsprocesting lees n ~man lor tongs( agent raken that we 'moa t° rho nrual kind' The" fees generake re pad km Motor asmi in the mutual luid aid ere a trud doll? armmuil bast' on the emiter of nouns at the Moker-dealer holdingmutual liras of hat find lank - in Mt an to renown' rented n ornedion watt the sale or Marti/ton of armory convect aid wit itsesh,n+5 trot units to al dent, we ass/moue eisrie recs. mom* tang COmpenSabon Iron re/two' The memo> coronet. indemnity ow amuity convect Oda; ol the natant" commies Ce SWIM of the urn eat TrUStS YSP ~tote - Our alines also recen trading commbouns ant over conmenution kom meniel holds and omit »-ra? 0:~in tow procixts we di,. huh? - We receiver anus tee from ktf $ Sank USA aryl USS AG Stanford Beath ol up le 115 per a:Coure snoting tote banks inn tee UBS Bra Swap Prograns *al* lidoonahm royardng ooremiams aid other Marrs ironed ri annecbon wit the walion ol vales nickdry option tram:scions has been nckailed on ardeonons proem* Itmthed to you. aid nil be presided to you pimply on ~Oa Short selling you ayengaged in ton st4hg atarhyy you may nar a Mate Are to roman known cost for that palm" shanty Open ardent Re'ifiding Open a '900dailariCeiled • Ordenthat were not ermuted by the foment dam open buy axl Yell lap ceders re mixed by the amount oldnedendltr rghli en al mdiridendlor noughts date units, mewed otherwise by you You a'. respomble I or orders Ina are omitted die to your lane to cancel entry open orders Tax witheldkity on ~ono tom Urn Financial Semites IRAs Federal tat taw retires18S rewind Servicedo ~hog income tar from you tactile IRA &talker:en. tut you my *a not lobate kenne to wnNti or. instead. you nay elect a has tar withheld a Ira, or n a Ind anoint as you choose Yas noon vel went n affect until reined by you You may time* your election a soy lto by ~mg anew eleann If you do rot haw erowto ncome tar wolteldIrcen your distributions. you maybe remonsble fix the payrnox of tsvnxedu. You may nat pecans it the anoints vatinef ani your •:•Itiruted law payments se not Nun tO yoV lacobl4aticn Privacy To Wean a copy of ow ammo (Wm haag Amin pax. contact vas F natal Admor «Meow webs" a: yymy wiz conworentiorrs U3SFinaicial Smokes wat oboe; The OM. Sweet 544i1CeSeccouit BSA and IRMA re brokerage =tee' rumdm pruede access to bat me services and produCtS enough matrons wit 01~ binks rid ono tit pally balks and provdes access to namm and amity "roerups bind by renal Mated tra party entrance conpami Haig% namm agency orbsear es of uSS humid Satins he automat. mean". and annuity products test FDIC heated • NO bank 9.,3(3010.• May lose van FOAt. ReSOLICeNtaiagforeni aaant. Business Sermon ncomt am. IWAA and ~manna Resurce Maugentint CONFIDENTIAL Account am manned sewn mats of USS Fritandal Serve's Inc Yea Synature is a radiated service meekol Yin nximmonal 1.85 Ursa Signabre credt cads and U3S Visa den cards ere issued byU(3580k USA nth mammon from to muSA imarporsca UM Financial ServiOes Inc Rev 201602 SDNY_GM_00021399 EFTA _00132019 EFTA01274226 4`UBS UBS EMancial Services Inc. 299 Paek Avenue 25th Floor New York SW 10171.0002 UBS Strategic Advisor December 2014 CNP7008072441 1214 X13 Y1 0 GHiSLAINE MAXWELL 116 E 65TH STREET NEW YOFe NY 10065.7007 Account name GH1SLANE MAXWELL Friendly account name: Indiv.V49935006 Account number. Y1 23571 SS Your Nnancial Advisor. SCOTT STACK MANILYLE CASRIEL Phone 212.821.7000/800.308-3140 Questions about your statement? Call your Finarog Advisor or the Value of your account BMA itesourceline at 800-RMA-1000, account 029023571 on November 28 (3) on December 31(S) Your assets 1,019,697.22 1,011,812.53 lAsIt our websIte: www.ubscomainancialservices Your liabilities 0.00 0.00 Value of your account $1,019497.22 $1,011,812.53 Tracking the value of your account Thousands 1.019.7 101143 • • Mau 2014 De( 2014 Sources of your account growth during 2014 Value of your account at year end 2013 Net deposits and Wthdravals S930,989.19 Your rivestment return Dhidendard interest income $44610.94 Change in market value 413.78660 Value of your octant on Dec 31, 2014 S1,011.81253 1O00 SDNY GM 00021400 Member SIPC CNP7001C008072441 NP70C0305739 00001 1214 030575004 Y123571550 101000 Pogo 35 of 104 CONFIDENTIAL EFTA_00132020 EFTA01274227 SUBS UBS Strategic Advisor December 2014 Your account balance sheet Summary of your assets Value on December 31 (11 Account name: GHISLAINE MAXVVEU. Friendly account name:Incby V49939J06 Account number: VI 23571 55 Percentage of your account A Cash and rrxmey balances 9,359.42 093% B Cash alternatives C Equities Value of your account 0.00 272,408.66 $1,011,812.53 0 00% 2692% Your current asset allocation E A Total assets $1,011,812.53 100.00% Eye on the markets Index Your Nauru:14 Advisor. SCOTT STACK MANLYLE CASRIEL 212-821-7000/800-308-3140 . Cash and money balances may include available cash balances. VBS Bank LISA deposit account balances, VBS AG Stamford Branch deposit account balances and money market mutual fund sweep balances See the Important information about your statement on the last two pages of this statement for details about those balances S&P 500 Russell 3000 MSC I - Europe, Australia & Far East Barclays Capital U.S. Aggregate Bond Index Interest rates on December 31, 2014 3-month Treasury bills:. 0 04% One-month LIBOR: 0.17% Percentage change December 201 a year to date -0.25% 13.69% -0.00% 12.56% -3.44% -4.48% 0.09% 5.97% CNP703100C6072442 NP7000305739 COON t214030575004 Y123571SSOIOMAWGrumolAgm36 of 104 CONFIDENTIAL EFTA [10132021 EFTA01274228 SUBS UBS Strategic Advisor December 2014 Change in the value of your account December 2014 (Si Year to date (S) Opening account value $1,019,697.22 $0.00 Deposits, including investments transferred in 0.00 1,162,105.66 Withdrawals and fees, including investments transferred cut 0.00 -181,117.47 Dividend and interest income 16,884,87 44,610.94 Change in market value -24,769.56 -13,786.60 Closing account value $1,011,812.53 $1,011,812.53 Account name: GHISLAINE MAXWELL Friendly account native:1M's, v49935(x)6 Account number. VI 23571 55 Dividend and interest income earned rot cuiposes of tins statement tatatttity of 'etes] arts cLoCierKlinforile has been determined (rain a Lr5 tar reporting pinged's°. Bawd upon the residence of the account holder, account type, or proluo twat, some interest ander dsidend payments may not be subject to United States (US) arch Puerto Rico (PR) Income tarts. The nent month statement is not Intended to be used and canto be raked upon for lac purposes. Clients should refer to the atslicaole tat reporting forms they serene Iran U85 annualy, such as the forms 1099 and the CCM) 480, for tine rebelling information It Is the adage Of U85 to file the aspliCaUe tas reporting forms vAth the US interne Revenue Senile< and PR Treasury Deportment and in such forms accurately Usury dticknct anace Interest as tax exempt or taatAt income. Mese consult your Irschodual lax prepare( December 2014 (1) Year to date IS) Taxable dividends 8,199.06 33,743 15 Long-term capital gains 8,685 81 10,861 43 Taxable interest 0 00 6.36 Total current year $16,884.87 $44,610.94 Total dividend & interest $16,884.87 $44,610.94 Summary of gains and losses Values reported below exclude products for which gam and losses are not classified Realized gains and losses Unrealized December 2014 ($) Year to date (s) gains and loses (3) Short term 0.00 0.00 1,926.95 Long term 0.00 0.00 6,046.09 Total $0.00 $0.00 $7,973.04 Your N sandal Advisor: SCOTT STACKMANYLYLE CASILEL 212-821-7000800-308-3140 Cash activity summary See Account activity the month for dela Is. &lances in your Sweep Options are induCed in the cisenng and closing balances eau.. FDIC insurance *plies only to deposits a uss Rank USA, rot to deposits at LOS AG. Slarrionl Branch or bank deposits paced throw") the UBS intemaiorui Deposit Account program. SIPC protection applies to money market sweep held hddings but nal bank deposits. Seomportent information about your statement on the last two pages ci this document for detals December 2014 (5) Year to date (s) Opening balances $2,109.27 $0.00 Additions Deposits and other funds credited 0.00 72,762.49 Dividend and interest income 16,884.87 44,610.94 Total additions $16,884.87 $117,373.43 Subtractions Professional management fees and related services 0.00 -2,729.29 Other funds debited 0.00 -71,113.70 Funds withdrawn for investments bought -9,634 72 -34,171.02 Total subtractions -$9,634.72 -$108,014.01 Net cash flow $7,250.15 $9,359.42 Closing balances $9,359.42 $9,359.42 SDNY GM 00021402 OW70010308072443 NP7003305739 00004 1214 030575004 Y12357155010100) Pegs 37 of 104 CONFIDENTIAL EFT.A_00132022 EFTA01274229 *UBS UBS Strategic Advisor December 2014 UBS Bank USA Deposit Account APY interest Period Nov 7 - Dec 4 Opening UBS Bank USA Deposit balance Nov 7 $303.27 Closing UBS Bank USA Deposit balance Dec 4 $2,128.56 Number of days in interest period 28 Average daily ba bnce $433.36 Interest earned $0 .00 Annual percentage yield earn:: 0.00% Account name: GHISLAINE MAXWELL Friendly account name:Indiv V49935006 Account number: VI 23571 55 Your investment objectives: You have identified the following investment objectives foe this account If you have questions about these objectives, disagree with them, or wish to change them, please contact you Fe:uncial Advisor or Branch Manager. You can find a full description of the alternative investment objectives in important information about your sratemenrat the end of this document. Your return objective: Current income &capital appreciation Your risk profile: •nmarj Moderate investment eltg ibt5ty consideration None selected Your account instructions • You account cost base default closing method is FIFO, First In, First Out Your linencial Advisor: SCOTT STACK MANLYLE CASRIEL 212-821.7000/1300-308.3140 O11:70310003072444NF70C0305739 00004 1214 030575004 v123571S5010NykyGh0001440338 of 104 CONFIDENTIAL EFTA_00132023 EFTA01274230 *UBS UBS Strategic Advisor December 2014 Your assets Account name: GHISLAINE MAXWELL Friendly account name:Indiv vegg350D6 Account number. Y1 23571 55 Some OnCeS, inccale and Current vanes ShoeM may be approximase. AS a resit gam dndlosses may riot be accurately relkded. See portant infarenebOn about your statement a the end of ttis Cbcumem fOr TOM inform son. Cash Cash and money balances Casts and money balances may include avalaole cash balances, UBS Bant USA &post account balances, UBS AG Stardord Branch &pout account balances and money market mutual fund sweep balances. UBS Bank USA deposit account balances are insured by the FOC All h n applicable limits, but are not protected by StPC 1185 AG Stanford Branchdeposit account tor/antes are not insured by FDIC and ase not protected by SIFC Money market sweep balances are protected by SEC but ale not insured by the FDIC. See the rmportant information about your statement a the endof this docunent for detaih about those balances. Hddng Opertng bdence on Dec 1 (I) Cloung tultrxe Pate Per shale Average DSc/endInterest Days in on Dec 21 (I) on Dec 21 (S) tae period petted Cepmount (1) Cash 2.10927 0.00 LES BANK USA DEP ACCT 0 00 9359.42 250.000 00 Total $2,109.27 $9,359.42 Your Si sandal Advisor: SCOTT STACKMANLYLE CAMEL 212-821-7000/800-308-3140 Equities Mutual funds Total reinvested is the told d at reinvested dadends a does not include any cash Ossdends. It is not a law lot for the purposes of deterrnning Pad ng pe obis or cost base. The shares you receive each turn you reinvest d %Wends become a separate tax tot Cost bass is the total purchase cost of the security, Ind udng reinvested d vdends The cost basis may need to be altidedfoe return of carltal payments in order to chterrnne the adlusted cost bar's to tar reporting purposes reflected on your statement, includng share: INA hare been realized as either a gin a a loss It also cries not include cash dvdends that were not oelneested PurChaSe Wee Harber Average price Client Cat Price per share Value on unrealized lo) Investment Hddng Hddng of sharps per share (1) investment CO basis (s) on Pet 31 (5) DK 31 IS) grin or loss (5) return (1) period 0.EAR8ROGE EQUITY INCOME FUND CLASS I Symbol SOPYX Trade date: km 26, 13 1,179.249 16.769 19,776.00 19,776.00 20.690 24,398.66 4,622.66 LT continued next page Unlashed (tarigam or kass n the Ofference between the current value and the cost Days aid would genera ,/ be your tmatre gan or loss if the security was sdd on Ms date. The unreaSzed(ta0 gan or loss may need lo be aClusted for return of captal pz,mems In order to determine the reedited gain or IMS for tax riner l estrinligenf re purP:triS the current value m n us the amount you Invested It does not include ShareS that ale not SDNY GM 00021404 G*70310003072445 Ny7003305739 MON 1214 030575004 Y123571550 101000 Pan 39 of 104 CONFIDENTIAL EFTA_00132024 EFTA01274231 UBS UBS Strategic Advisor December 2014 Account name: GHISLAINE MAXWELL friendly account name: Indiv V49935006 Account number. VI 23571 SS Your 14 nancial Advisor SCOTT STACK MANLYLE CASRIEL 212-821.70001800-308.3140 YOLK assets Equities . Mutual funds (continued) Number Hddng of shares Purchase price Average price per share (3) Client interfaith-a (5) Cost bade (1) Price per shoe investrneot an Der 31 (I) Value on Dec 31 (1) unrealizedCoe pain orlon (5) return (5) Hddng period Trade date: /an 14, 14 296.210 18.470 5,471.00 5,471.00 20.690 6,128.58 657.58 ST Trade date: Jan 15, 14 283.181 18849 5253.00 5253.00 20.690 606.01 ST Trade date: Jan 16, 14 282.731 18.529 5239.00 5,239.00 20.690 61030 5,849.70 5185901 ST Trade date: Jan 17, 14 298430 18.469 5,512.00 5,512.00 20.690 6,174.52 66152 ST Total reinvested 47.254 19.672 929.61 20.690 977.69 48.08 EAI: 4940 Current yield 1.90% Security total 2,387.055 17.671 41251.00 42,180.61 49,388.16 7,207.55 8,137.16 COLUMBIA CONVERTIBLE SECURMES FUND CLASS Symbol. NCIAX Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 18.840 21,612.81 1,089.81 LT Trade date: Feb 19, 14 840.380 18.969 15,942.00 15.942.00 18.840 15,832.76 -109.24 ST Total reinvested 99.567 19.037 1,895.52 18.840 1,875.84 -19.68 EAI: 5989 Current yield 2.52% Security total 2,087.124 18.380 36,465.00 38,360.52 39,321.41 960.89 2,856,41 HARBOR CONVERTIBLE SECURITIES FUND CLASS I Symbol: HACSX Trade date: /an 29, 13 1,872.780 10.250 19,196.00 19,196.00 10.550 19,757.83 561.83 LT Trade date: Jun 17, 13 960.534 10.489 10,076.00 10,076.00 10.550 10,133.63 57.63 LT Total reinvested 174.169 10.594 1,845.25 10.550 1,837.48 -7.77 EAI: 9683 Current yield 2.15% Security total 3,007.483 10347 29272.00 31,11725 31,728.94 611.69 2456.94 JP MORGAN INTREPID EUROPEAN INST Symbol: JFEIX Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 24.000 10,450.85 37685 LT Trade date: Aug 6, 13 439.831 23.286 10242.00 10242.00 24.000 10,555.94 313.94 LT Total reinvested 33.043 24.353 804.71 24.000 793.03 -11.68 EAI: 4812 Current yield 3.72% Security total 908.326 23.252 20,316.00 21,120.71 21,799.82 679.11 1,483.82 continued next page CNP70010008072446NP7003305739 00004 +214 03057500J YI 2357155010 glypsymc000ll420540 Of 104 CONFIDENTIAL EFTA_00132025 EFTA01274232 *UBS UBS Strategic Advisor December 2014 Account name: GHISLAINE MAXWELL Friendly account nerne:Indit V49935006 Account number. VI 23571 55 Your Nnandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000/800-308-3140 Your assets Equities . Mutual funds (continued) of nusrrbeesf Hefting ) Purchase Duce' Aptveilasigilpenw Client investment (S) Cost basis (I) Pike Del share on Dec 31(1) Value on Dec 31 (5) Unrealizedeta) coinorloss (I) investment Holcing reign IP period MATTHEWS ASIA DIVIDEND RIND INSTL Symbol: MIPDC Trade date: /an 29, 13 2,156.431 14849 32023.00 32,023.00 15.260 32,907.13 854.13 LT Trade date: Feb 1, 13 481.951 15069 7263.00 7263.00 15.260 7,354.57 91.57 LT Total reinvested 52.286 16.005 836.87 15.260 797.88 -38.99 EAI: 31.445 Current yield: 3.52% Security total 2,690.668 14.912 39286.00 40,122.87 41,059.59 936,71 1,773.58 SIT DIVIDEND GROWTH RIND CLASS I Symbol: KNOX Trade date: Jan 29, 13 2.333.831 15.400 35,941.00 35,941.00 17.310 40398.61 4,457.61 LT Trade date: kin 11, 13 624.804 16.569 10353.00 10,353.00 17.310 10,815.36 462.36 LT EAI: 5748 Current yield 1.46% Security total 2,958.635 15.647 46,294.00 46,294.00 51,213.97 4,919.97 4,919.97 TORTOISE MLP & PIPELEE RIND CLASS INSTL Symbol: TORIX Trade date: Ian 29, 13 2296.774 13.330 30.61600 30,616.00 16.500 37,896.77 7,280.77 7280.77 LT EAI: 4377 Current yield 0.99% Total 1243,500.00 6249,81136 1272,408.66 622.596.69 628908.66 Total estimated annual income: 55.994 SDNY GM 00021406 CNP70310008072447Nr/000305739 C0004 1214 030575004 YI 23 571 550 101000 Pug* 41 of 104 CONFIDENTIAL EFTA_00132026 EFTA01274233 *U BS UBS Strategic Advisor December 2014 Your assets (continued) Account name: GHISLAINE MAXWELL Friendly account namenIndiv V49939X6 Account number: Y1 23571 55 Fixed income Mutual funds rota! reinvested is the Iota d at renveSteddodends n does nob include arty cash dedench. n is rot a tag lot for the purposes of deierminng hdcing periods or cost bees. The shares you receive each time you reinvest dvdends become a separate tax lot. Cost bases is the told purchase (051 Of the security. indudno renveSteddvdend5 Ire cost basis may need to be aClustedfOr return d Ctatal payments in order to determine the al usted COst basis for tax reporting purposes. Your Ignancial Advisor. SCOTT STACK MANLYLE CASRIEL 212-821.70001800-308-3140 gmealge0 (fav) gam or lass is the dfterence between t he current wave and the cop basis and would gemreily be your testable gam a loss lithe security was sold baths date. The urreaated ONO von Cr loss may need to be "dusted for return of captd pafinems in order to determine the reeked On or loss foe lax :tooling purposes tovestotent :eruct) is the current vaue m nus the amount you invested it dyes not include shares that me nen reflected on your statement, tnd udng shares dial hoe been red cod ea either a gan ce a loss It dso does not include cash dvdends that were not reinvested Nm•ber Purchase PRO AvelaCy price Client Cost Prue per share Value on Unrealized day imeurnent Holdrg widno or shares per shale Cs) investment (51 basis (S) on Dec 31 (5) Dec 3111) gain or loss (5) return SO period AVENUE CREDIT STRATEGIES FUND CLASS INSTL Symbol. AC SE0( Trade date: Nov 12, 13 910736 11.270 10264.00 10,264 CO 10270 9,808.62 .455.38 LT Trade date: Nov 18, 13 912.566 11.300 10312.00 10,312.00 10770 9,828.33 -483.67 LT Trade date: Nov 25, 13 911.661 11.319 10320.00 10,320.00 10.770 9,818.59 •501.41 LT Total reinvested 130.968 11.334 1.484.41 10.770 1,410.53 .73.88 EAI: $1,321 Ostent yield: 4.28% Security total 2865 931 11.298 30,896.00 32,380 41 30,866 07 .1,514.34 -29.93 BlACKRCCK HIGH YIELD BONDI Symbol. B1-1YIX Trade (Late: Jan 29, 13 4,811.156 8.200 39,451.48 39,451.48 7.880 37,911.90 -1,539.58 LT Trade date: lun 27,13 2,481 156 7.959 19,750.00 19,750.00 7.880 19,551.51 •198 49 LT Total reinvested 483.349 8.194 3,961.04 7.880 3,808.79 -152.25 EAI: 13.654 Cureot yield: 5 96% Secisity total 7,775.661 8.123 59,201.48 63,162 52 61,272.20 .1,890.32 2,070.72 COHEN & STEERS PREFERRED SEC & INC FUND Symbol. CPXDC Trade date: /an 29, 13 3.002 068 13.487 40,490 57 40,490 57 13.580 40,768 08 277.51 LT Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.580 10,057.69 139.29 LT Trade date: Ain 14, 13 751.274 13.309 9,999.02 9,999 02 13.580 10202.30 203.28 LT continued next page CNP703100C0072448 NP7003305739 C0004 1214 030575004 Y123571550 IONykyGhtoocitule742 of 104 CONFIDENTIAL EFTA (1(1132027 EFTA01274234 (SUBS UBS Strategic Advisor December 2014 Your assets r Fixed income a Mutual funds (contrived) Hddng Nurrber or shafts Purchase PIKE Average price per share (I) client investment (S) Cost basis (S) Pnce per share on Dec 310) value on Dec 31 (I) Unrealized0aq gain or loss (8 investment Hddng return 01 period Total reinvested 254.157 13.581 3,451.90 13.580 3,451.45 -0.45 EAI: 33,865 Ciorent yield: 5.99% Security total 4,748.124 13.449 60,407.99 63,859.89 64,479.52 619.63 4,071.53 DOUBLE LINE TOTAL RETURN FUND INSTL Symbol: DBLTX Trade date: Jan 29, 13 12,496.155 11.379 142229.00 142,229.00 10.970 137,104.76 -5,12424 LT Total reinvested 501.547 10.964 5,49905 10.970 5,501.97 2.92 EAI: 36,811 Current yield: 4.78% Security total 12.999.702 11.364 142229.00 147,728.05 142,606.73 -5,121.32 377.73 EATON VANCE FLOATING RATE ADVANTAGE CL i Symbol: EIFAX Trade date: /an 29, 13 7,524.150 11.180 84,120.00 84,120.00 10.790 81,185.57 -2,934.43 LT Total reinvested 295.427 11.078 3,272.79 10790 3,187.66 -85.13 EAI: 34,089 Current yield: 4.85% Sectrity total 7,819.577 11.176 84,120.00 87,392.79 84373.23 -3,019.56 253.23 HARBOR HIGH YIELD BD FD INSTITUTIONAL CL Symbol: HYFAX Trade date: Jan 29, 13 2,660.657 11.239 29,905.78 29,905.78 10.270 27324.94 -2,580.84 LT Total reinvested 199.092 10.551 2,100.72 10.270 2,044.67 -56.05 EAI: 11,572 Current yield: 5.35% Security total 2,859.749 11.192 29,905.78 32,006.50 29369.62 -2,6a6.av -536.17 HSBC TOTAL RETURN FUND CLASS I Symbol: HTRix Trade date: Jan 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.250 39,550.31 -154.34 -154.34 LT EAI: 4760 Current yield 192% JPMORGAN UNCONSTRAINED CEBT FUND CLASS SELECT Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number. Y1 23571 55 Your Mnandd Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000/800308-3140 continued next page SDNY GM 00021408 CNP70010003072449NP70C0305739000011714 0305750041123571550101000 Pogo 43 of 104 CONFIDENTIAL EFTA_00132028 EFTA01274235 *UBS UBS Strategic Advisor December 2014 Account name: GHISLAINE MAXWELL Friendly account name:Indiv V49939b06 Account number: Y1 23571 55 Your II sandal Advisor. SCOTT STACK MAMLYLE CASRIEL 212421-7000800-308-3140 Your assets Fixed income . Mutual funds (continued) Purchase pima hinter Average pexe Hddng of shares per share (I) Client fiwestrnern (1) Cost axis (1) Prue per shire on Dec 31 (a) Value on Dec 31 tat Hefei/IndOM gain or loss (A Imestment return (I) Heating period Symbol: 1SISX Trade date: Jan 29, 13 4,784.864 10.260 49,092.71 49,092 71 10.030 47,992.18 .1,30053 LT Total reinvested 195.127 10.179 1,986.33 10.030 1,957.12 -29.21 Eat 32,176 Current yield: 4.36% Security total 4,979.991 10.257 49,092.71 51,079.04 49,949.30 .1,129.74 856.59 METROPOLITAN WEST TOTAL RETURN BOND FUND CLASSI Symbol. MWTIX Trade date: Oct 24, 13 7,192.344 10.709 77,030.00 77,030.00 10.900 783%.55 1,366.55 LT Total reinvested 161.826 10.821 1,751.12 10.900 1,763.90 12.78 EAI: 11,824 Current yield: 2.28% Security total 7354.170 10.712 77,030.00 78,781 12 80,160.45 1,379.33 3,130.45 RIDGE WORTH SEIX FLOATING RATEHIGH INCOME FUND CLASS I Symbol SAMBX Trade date: Jan 29, 13 6.502.655 9.039 58,784.00 58,784 OD 8.750 56,898.22 1,885.78 - LT Total reinvested 236.115 9.004 2,126.03 8.750 2,066.01 -60.02 E41: 12,594 Current yield: 4.40% Security total 6,738.770 9.039 58,784.00 60,910.03 58,964.23 -1,945.80 180.23 T ROWE PRICE INSTITUDONAL FLOATING RATE F CLASS Symbol: PFFRX Trade date: Ain 29, 13 5,394.060 10.270 55,397.00 55,397.00 10.020 54,048.48 -1,34852 LT Total reinvested 169.294 10.218 1,729.87 10.020 l$%.33 -33.54 641: 12,342 Current yield: 4.20% Security total 5,563.354 10.268 55,397.00 57,126.87 55,744.80 -1,38106 347.81