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efta-efta01306974DOJ Data Set 10CorrespondenceEFTA Document EFTA01306974
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efta-efta01306974
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EFTA DisclosureText extracted via OCR from the original document. May contain errors from the scanning process.
cit UBS
Your financial Advisor:
SCOTT STACFMAN0LYLE CASA'S.
Phone
UFIS Financial Services M.
Private Wealth Management
299 Park Avilluort
26th Floor
New York NY 101 7 1-0002
AY26000614S73 t21a xt 2 Y1 0
Questions about your statemera?
Call your Anancii Advisor or the
AMA Resou•cebne at 800.AM0.11:00.
account
%sit our website:
www taalComtnamialsennces
Your investment objectives:
You have identified the following
investment obrectives for this account. if
you have questions about these
obrecbves. disagree with them, or wish to
change them, please contact your
Financial Act...nor or Branch Manager You
can find a ful description of the
alternative investment obpaives n
smportent v,formeeon about wet
statement at the end of this document
Your return objective:
Conant income & captalappreciapan
Your risk profile:
Primary. Madinat.
investment eligibiliry conscleratoan None
selected
Resource Management Account
December 2018
Account name: MONTPELIER TRUST
Friendly account name: Morepeler Cash
Account number:
Value of your account
on November 30 (S)
on December 31 (a)
Your assets
0 00
Your liabilities
0.00
Your account instructions
• The account record was sgned by your
financial Advisor and approved by a
Principal d the Firm
0 00
• Your account is currently coded for
margin
0.00
• Your account cost bass defatit closing
method is REd. Fro In, First Out
Value of your account
$0.00
Change in the value of your account
December 2018(11
$0.00
Yea. to date (1)
Opening account value
Deposes, including investments
transferred in
$0.00
$0.00
1,000,000 00
,000,00000
Withdrawals and fees,
including investments transferred out
Closing account value
-1,000,00000
1,000,000 03
$0.00
$0.00
Member Sift
AP260C01c00614573 P26000031273 00004 rare 031952393
I Iowa
Page 13 of _o
SDNY_GM_00324701
EFTA_00197476
EFTA01306974
*UBS
Resource Management Account
December 2018
Cash activity summary
Aaount name:
MONTPELIER MST
friendly account nano. Mon tseher Cash
Account number:
Set Account acmay trio merited ce Mak Sedarxts in your Sweep Opt of6 are °Judea in de cpening and
dosing becomes due. CDIC onsumme aciat toatom dt ut2 Bank USA and ca banis pankpating in Ore
OS CLIC insured Dtp09I Picgatn. it does not net to deposits al UBS AG, 5:taxa &SO 51K
pceectron apples so money rootlet sweep fund ncecilnos but rot bank depools See mooc(Unt Wink/ton
about rya SfetfatAf on the last MO coat d this occtimem to'OloO•
December 2018 I'D
Year to date I7)
Opening balances
additions
$0.00
$0.00
Deposits and other funds credned
1,000,000.00
1,000,000 00
Total adeltoons
$1,000,000.00
$1,000,000.00
9.ktractlons
Other funds debited
-1,000,000.00
-1,000.000.00
Total subtractions
-51,000,000.00
-$1,000,000.00
Closing balances
$0.00
S0.00
Your Ilmandd Advisor:
SCOTT STACK matiyis CASRIEL
APZ6000100051 4574 F26000O3I 273 0001$ 12i El 031952333
110000
Pane 14 of 20
SDNY_GM_00324702
EFTA_00197477
EFTA01306975
UBS
Resource Management Account
December 2018
Account activity this month
Amount nano:
MONIPEUER TRUST
friendly amount name: Mon
ler Cash
Account number:
Voir Nitanciei Advisor:
SCOTT STACK/AM/LYLE CASRIEL
Oat.
Achaty
Oncnpiron
nun 15)
Deposits end other fends credited
Dec IA
Transfer
MI Y1
I,000.000 00
Total deposits and other fends credited
Stoocto00.00
D.O.C.
AC/1111)
Des< ipbon
amount IS/
Other rends debited
C>,), 14
Transfer
TO Y I
•1,00c00000
Total other funds debited
-$1.000,000.00
M260C0100051457S1260X031273 00004 1218 031952383
110000
Page 15 of 20
SDNY_GM_00324703
EFFA_00197478
EFTA01306976
*UBS
Your notes
AF260001000614576 176=31273 00004 12113031952383
110000
End of statement for account number
Page 16 of 30
SDNY_GM_00324704
EFTA_00197479
EFTA01306977
Important information about your statement
LB5 Frwreial Genoa et. (the Firma UBS Fiumed
Stew.* g a member ol akprropYØy, commcdty
and opt" eschrtes. UBS Favorer Seneca rid LEG
Bark USA re rdred oJavdresd UPS AG and
/data of tS5 Soots U.0 the Fim's I ~col
'lament n avolablt tcat "goal 1he Fern', ~nine
often ere at
LIkS Fan/ SeeOcts
1200 Warta Boulawd
Wed-onion N/020136
IM flat~
nCiKentc the ony official/acted of sy
LB'S Faint.% Servide a«Ount Gibe. rartattt. ew.e9I
*fled to documertx tonlonrig tor/dreg OS shodd
re4 be rated kdatet F you bete.. the.. 6 an erra a
amoren. ItIontattat it ~tidal/
et "sawn [Glee
Branch ~con d the office seng >as accost
Al~
at hoe« tram, re chatted lobe acne's&
%Snort dytt trail nos be road kon tar proposes ray
*4: cysts^ romd tor lon" be. Fonn 1099. 5498.
1
t ic )Mne tapreVas to mum the Fern s
round ty taw to fØ
to the RS all untie drdlerek,
reportable not-tarabb &r•;~ and Webb Merest
toned cer morale, Ned n your accul. net crane*
ce, eite If areaC cen. en! (061 Ltd», on (Man <Ø
tow des.
Communkarlions with the Pima
• Flom reconfirm an/ oaf ccorruncabone n ~tow
so~
pad you ntrts. " 1-elag yew er
Seden
Vdfa 1M ec
amnia Prosechat Act (SPA)
• II the final«. ~Idolon Te lp Mai ci te trace
of Nitener%e not CBS Fare/ Sama. UBS
rucx.el SeA'04 "tees your xco," at (IPM
Øa
by war«
*di the rekted "Ind tan
We donned loud Ihs rebdOntrkti ohtnya.r
aperod. the «tart n rho pea. ytt.• (tall eat
wood es se locord M UBS fnan<Nl Sent anal na
the ntsc ern tacks. ard pa Ins, nuke 3Ø
of .ay ma a *meson to both I enn
• A; drdbed ti tre secant ecrementa, you mal
omdy us of any era; or trod ~ding dwelt
reflected a your siderrent *inn 30 dots alter n was
malodor mole roil*.
• Bow area ~anti (trota%a
m's (tant
mat
a «dlr..%
81,0 A.M. to 6.00 PM.
IT Wady throv0h
e
.
in Are r010 L85
Farad Saves 1".. (lent Re‘dons Department.
P.O. Bo. 766 lt.en City, lb 07087.
• Al stremenla shell be darned condos ref donee
not objectedto in
drys
• for Try wroc
or keel ~side
itstUS Cat
• h arse of .non a ~ha
oboid an ele(norK
'rids &ender (61),
1
Oraa•clebit
cod transectens, cal
a whew UBS
roved Sew«nc,
6th floor,
~ha..."
NI 02086, Alin RMNBSA Swan
<Off trite a $001% ,one. t you Wyk yte
%stemena rued is aidtp a lyou need more
idoontionebad a tanner as tie gatemen, a
mar" the Fn., or Cod brow fat appliceble)rnasi
her faner no lita tun 60 days ails tee firm
ant yam led tea attempt at dead the Era or
Foible" ~rod
- Pronde vas noe* ard alert nunte GI any)
- Waal:ern. ara or the wander yo tetigle
about and espial as doily as ou <n win >ar
Mere t is en sea a whiney reed tae
ricemacri,
- ~a
the dollar owe of tre a-ceded <my
The Firm er Cad boar ml nvest5ote your <replant
rd welcomed of mar prarptb• For alloyed .,or,
~hap LEK We debit cod trareactas. 0 no id*
mane ohot 10 Pace.« cloys lodd IhS, we allode
yet acorn la IN. area" you Mr* es n mod to thel
you wit Pate tro use or ~money dung re tita> 4
tam te to complete at belgilen
Plane make all aegis payable to therm or tre
financial na&ekn nda%edan tre from of to
turement In additionto regular %care fees, accounts
may be alene[ to reran".
'es. chose: fee late
parent la secure.% oxbows and <hors fa wood
annott nets X<Otris laTteS that are vonfored
toaler ~dials may be ,used toa urrala his
WS Swap °oak."
UBS often patron, fa »wepeo ash twine, to bark
deposit acour" at rica
-offload bets and %related
bane; and money marketrevue' lads OVone~
Claw« axons
LB5 Bar. LISA anal nari.ah,lood
bents partsccueng re the /IS FOP( :rased
Program ar•FOC-apord n attada-ce wehtCdrule:
roe more rdomnbon, plea me ores Ide.gar Depose
%tout n UBS AG Striord Eenh ed dumt of
Wen./ krek ere not iwsed ty tie ICC.
Bank clidaiN arena protected by SIPC Money fad
shays re protected by SIPC See "WS land Somas
km" ~on'
below.
›okt aprtt tvirew afro bak dopen may be
toa drawn, ard than of a Money rad may be
Kanolad and the aimed, rand to rutty:at
teori en atadril
!Late cmmton abr.* tradable sweep aprons.
"Wag(ome marat "let and yields. 0 43/4143bit
and tint
ban you. inmost Ada,.
a be Sag
inancid Se rier account protection
Ihe Fan «anent.% of ekeSooner aeon Pratt-ion
Caporater(SIPC), M,kh amens secure*, cusromen
4$ rrarben ist to 15C0,000 Grxlafi-0 1254000 for
dorm fa cash) bplsnexy brochure notable Lazo
nkf-mt a le www $OX aft The SIK ate Crolection
fires axe/ to ill %corns that so hold a a pote.der
att•CrtY
the Fan, togeder nitti ~an /litres, hest
~chased stpolerrental rane
We morn"
"art
pwable to all diabb dents. aileeneb under
the protect's)" is ISCOmIlon as at tweeter It). 2016
Sottpcs r0 tee poky colds am end linteted. <aft, al
NSem d tut« polated
ay to St 9 mllen in the
,a~e
for ell you aunties held in a portal%
eta ty. A tut acry of the poky ~deg d amable
tpOd rectart
fleeter the SK ~when no the ~real
pat Klan igiptg IO:
• Calla 'Natal Zan Patrolled ta(YdexIdtd n
you acorn vela) toe ?el:Iaway Iran UPS Ford/
Semen Co, ~role torten Qinsvmnceagd.oh,
"Ida, wubb, %rut" and Ghtwes of "died
kats agar«, tithe rane of the oaken holder on
the toflo d the our a rutla no"
• tunsum« calrattf a ~shard merest, (e 0,
lowed catnenhen ard Linde placements) tral re
not reacmcd urter the Se:unties Act of 1931.
• Cann:cities <caracit (e9, faur OtChafg0 ad
pea an metalcanal* inaudng tova <cenracts
tre n,Citt/ ado, commis. and
• Depose %courts facto catboat of dwarf) r CBS
Bak LISA. UBS AG U S bered and brat n Na
IDIG tweed Depran Procyon
The SK prOtalat Ind The idade~el prctalat do
tae owl, to these amen enn r they ~ea
at:one
onyx.' %dements. We SIK protection and the
supplerreatal protection ob not pronea paint chinda
a the verket volt of you rivestrneMs (toheter as e
mull of market movement. mar bakØrya
ahniwl
Diridandlt/mosernant %groan (DIM
the pace reelected et an sneer era Va.. May °bran
the %lust wee Iran you I nog id Actor" Only Male
stern Me parroted~
DRIP. read 'hen milte
sold rd the cash oil be &paned n you secant The
dwdend 'treatment lade Mtltdalbt the nor, met
dater ban the mold pee at v....tit IX arid' thret
re sold
Caeb-indieu
OMs' okole taws ray be held n yes %care d >own
«mad toa panel rat se a result ol å chnlend~
or ~roe.
the Firm mil ether sell poled 'seti at
mot% are a !Mid an ~PI
Otterrited tst a
a<VMend Cteewszaty. ard «ed., par account
neat ebjectieea
The reestmere objectera tad ask iodic are latt!ic to
ere, account and may way
be
yes ~sex
Poo* rime the Fen prcereebr
~ling of r
change. as >as farad «oaken P
neste, /rhos
For ech %count NM. you
choose ire cl the I &toning at...intent doyennes
• Prockge Correnramme Prelims-es teekap the
paretic. of none orly
• Aram, Capita/Ap
non magesett seeing
womb of anti/ tattoo man the go-wale:ad
"ome.
• ~a
Combs's/analwont end Caddef
ddka•CadOn an-tureens setkirg bade the generation
of "erne end go," of principal
Owe& Sic prof item
• Conamome Seel', to rarten aid peacoat ~IN
bon* and tolatilsy to the wore *mat ems
Pot me" the await does not goner" vordicant
«am a nouns ard may not laio pace oth
irfkfier,
• Moderate Mang to accept tone nst
pnwpal and
tolerate acme Waleyb sed havre. rand
• Ann:~ With; to accept irr, "d(1°Pnecil”I rd
Kin rabble, to met highrearm cow tans
• fraienrenetårdeyConaderren e, *totted, a
potta of tro presider lot tat accost may «lode
coirpta aftleort, honed trendry and Tex«
ratte,
Statemon1 ItotoehOICIrer
We my ("Mite
related wounl ~as
net,
the same %Vets n the tame enselme. e.g. because
they here event "bhp eta ~net, pin sc«•,,I
ielatior~ *ehother dents el the sore .ytet) I
you prefer to recent rod ,dual ittlemedli marled re
upwato matode, you may ado. hartåtakina by
calrg ytt Formal Adma
Peietdy wow% name
RE Ned) Eaudt name is. it listaneible •nekrorre•
~ten by you to stint you wit, your re< orckereaa k
has no legal diet m you accost. n not .tended to
reflect re straw. tteadra, atOrrakalstati,
nwrtment object,* a rek profile as:noted wit toa
acorn. end o not • proms* a garcon that wrath
or ary Into% mob. <ana wil be ahead Al
eitOtnifitt elate tread d la; ice.cfrn the nclt
Ion of te mile arm:~
Youcmchange your
handy %coal nacres throult Caine Services a by
enrute raw Fitt« tat Adm.
Ada" eye«
• Vatic rat pas attounttporrfoln Na d assets and
litdain.
• Atari Matt, ittailable cash been "valnes foe
fakristed acuity (ett), and Global Tine Depotet,
arealged marts to ~el, and calliialftlf not held
by turr« Dots not recede ~cal
tearitielestett
at the end ce she prior rd Onat Caned 'MOOS. Ce
rap» ~Matt
anted stock opt." and
~dab» nod ado"
• Wolter retries Øn Delano«, atoning eiwgn
Ion. <real I", shot accost ~C0.
• Cx.h,troney Wrap: Total of ~wood rulabb
cath bitten, ~depose balances al /lined one
~off toad bras, ad money marl% ma.% tad
swap balances. as the dated ihe Itataid petal
Nonionerolty fat crtal Maces nyos scars se
nal wattbed from other balances and the Fan mac
sae ryåd thea I rob ette «dory coarse d es
banns Thew fink re payable sawn your demand.
Der lot% is actdod m the «rent prod obey, nen
lending kitten/ion
Fa *railed Si:emotion on the gm*, lord-garlic«
,rd dubs"
refer to >car Clore Retitiontrip
Agreement a Sao," 2.a~
aid fee Genteel
Temt tadCon/torn LEG Roemer« of Credit 'mikes
salable nAgreem•NS and 0ucØ
ao•tartdadtaat
SONYGM_00324705
EFTA in) 197480
EFTA01306978
Importan) information about your state:tamt (COntinued)
Vov sta
Yes fatmat tero., smedet ad *er nitti Vek
new "are :e the end of te Murmel pred Yw
alv/ ad for ckhoycdfuly pad seneos x sy ter*
You mi Mene itturiket ~I as ban <Orena ann
Pann al y blanc dr alltsen Arvmine
kadered ro tefim dång the statement period ae
nyed al ~det dkw si d the end d the statement
pensel
• lottbuk In detgenus/g the <051 basa of the
mules inducled n Ihrs gamet where Mutad
war the niret«'
LGS husml w
Med
os ed ornaten blandkons tenndarr the LISIS
f ~cal Unnat reloadrg remtorr kan another
Irma Mae you mag has omatad TO tese linectal
Aloen the Pen dom not rudrypiretwely "Sya
~Odet the sar" a "dt:vd"! donsulas
Ø
pronded ty sorces other Utan La levnad ~a.
Ädlas akhough tes inred Services gearly
rakes tal niomatens ft o mened the fere
Ø
rot [polt dry minnet dua the nlarnabe
~Con
base rd • Ureeaked gir( lon' o
"urs* at at tv ds". Mc «serien. At tuch.
[kamdon ratm fm nlarnelca
make
~showa cal* omenm ko tar patoset a
"enen ACCOJtit$ transferen] tott hm mkr
fel)" oas, domstolen *My for te perod of
lene Inry se hell at fe Fon More heta/rad
.lamain tan be .ilded by pr resecol Adda.
• Unrealirad geindlosne What data es asolabk,
ettnited onesideddandinsti et dektettiedtCd
eductut uns ey lots the trassat en dra for
relred.o, tes may or may not tel
orrenssore.
Argos Yale/ urny toorgrux.cnventc
Omland and other rer"~i
lots ed snitwc
putsas* bal ro <och ~Ond todiakon?
>rend la Tt
trade date" ann lassets the
onevflransaann trade dale
• Cdieble enuntiet Bads and a•lened mak er
the mur ab for ez", ~on
*il be sekted
~ulk
by lot Ircen ~ed al voraes cl Matt
Mae NM n oms rums or n nomen" name fot ar
<frö Cal feen ~onus
obtaned kom bed
poles ed as acorry rs nol ya rateed Other <dl
forum mos ni who:hi:old Ofta set templet
diameters til be utredd soon reorna
• Pricw/volue !teet iMptayed la staden ed other
dinXbilt mat be hKet« or bom "inte pr» thx
>tu »old aCtualienpoin• el dui ~ht Fnas re
dataned from varna bed bey ~CM Whith se
beler* ro be retable. but we do nol ~eke teer
occtracy.
- We genera* uv te Oasing peke whe ~table or
the men of the bd and aik lakes la Isted
mades ed operan a cray bidans kr OTC
~404
- Lev rusk trad od teatrenes Ml, bi >nod erg a
vt
en rbl or the mon rotera ~we
cttarnd ard revy not raka in actual ment oxe
aa vat
- Calais ombes nye "per velhore • wire and
ved show at 'act sand susa t' we se
und)* lo ebb., a ara paaDeOntY
- Depests a Wuddi denininStd n analfet
«hit the u S. dokm aaleleed at the ~hang*
rate eld the stremere date
- Pa Otairn ~lin
tideg n niniortormang
dencmnot ens, pace sd queeey lixe vax) revy
how been »inled» f etui* proper ralualen.
To Mannarem nuets.," *hen nota*. «del
yra leuncul Aclwor
• Pekat* investrerente and armband products.
end» ~nuet sets:~ (e-eldna dr ed
Witt,* On [Mores ed real estet inteltrntol "dt
manet) ed sie utsed poztacti an gemak nidsy
JWd Cert navs ved g osts hare not been
ntychrod with the Sn,rt os and Escheae
Coleman:n« sncler en :Ute X.O.ntbtf brer We
proode esternated valp tor orne* owtmee
matte, sid ~med acdacts fa nlormmenS
IMPS" ont Azar" d not gurunarr
- thes+ valens* il ler vinet" , kom poem. d
any, awhich a prrone ~semem Une«
snuska& gods'« rul bPb04. C•soll and do
not necessely recorsere the vale you enry remin
dior. Soudeon.
- .hed party eden», of vale re af ei • ctolan
date and are uppled to URS Peurast Sames on a
ro7de bas. byn rdeperant "Agnon arm
- gamr generat pen« CC <mor eanvud votums
d a-y. me sa~
to to Frm by the mus.
oanad panna" or spana and may be <abkated
barden dikare nk:andan kon hat mad
*ed pares lo deris ref narnated diket
- You an datan acbtasal Hermann rearcfna
the nstes~ ured to dettnenne the teln teCl
nioe and the date et h nicrerveranthat n the
burs la the nwrourby contactesayas klarast
Adocor
- Med party *nematod votum dyb refk<vd as
1451 anad' n ~at neuron; remre
rdopordet valarna lem hat rot Øled a d
snabb to ann vala eten we betan inre
thai a material evert hos rorred tsr ~ode
rePorld Me mo cord«, co eken a
.due sold be hadity speakern olat lo the hane
of the x<urdy
- "on not« an ~e', 9~1i partner of cps-acr
Moraled tabe Nit d•rddibly intingid vararte
prosckst the v31.* of et soosey til be delen
kons n perchasepnce
- 'Dwerinent to date' mag Mode retts-not
etta, is me a bah
- 'Ordnat une ute repregims the mal iltern;
pence p« ula and syn
milen your ana bale
- DOP and erinied Riff ~bes sen teledm a
orttinal it0FRCI riluge, and art Murt
lichei and renad., can be sold. the pme
mened mot be len ~tv
per shre est eldad
valp prouded n the accant ramma
• Reetrieted nerta
Femid vatg« gonaraty
are not cuerek regible sor park sal> IBS fnasa
Serven UW4 the mackel fete ol te untInclad stods
of tos sant nuet as an naled yabe la Itse
reprisled sto:k ret porpases of hi stotemenlade To
de Mint Mat bete led stad es se elglak for sak,
the vale weved mej be te-bd/nota/ less the te
mpied vale togin.
• ta («rimmad) korsa want yielet andrum
An ottnont el a.W noneis bidm <sorna
droded and ilrest .alts, as~it
'Kott. val
be held la ae yes kons sten« duete ratl
trams', No moln d Cidhr a gadetro, amt"
ad catnaidette» n not guareekt
s. Esimeted mal mar* sid <tenn raid la
talan edan d voile «ad inch.", aret" of
[Melml a <mag gent n whilin <at the ed
incest fed sumne siek0 ~id be nerslit&
- Estinted ense, ntane ard enl ynk ed the
road intome and yeld omen be "at or heter
dyntro edensted sonort,
- An enen» ol andtrod name (deedord eda
intent)dwded by the <smet manet
solucl nano blazer:bred on the last dvdond
co ~est palmen!~ by the noa and
ansunn de 1~hr/boom vet be held la one
ses kan *e ti dement bre co unikt mat".
A«✓•cyadconisurdyeld se not guerarend
• Aina not hold by VIS Financial Seoloto. ettiden
Mettet ont Otid by the ren ind nit nitante
f om% ~tie
or <reol Tine ands te
doplaitd on rur sutan« for donnas:nål
Nipa« «ly Pottans ed vals [rodmad uro
pronded by the nsurg han UBS Anemi Sonen es
not nnpantde fa IM reionneon a-d does
queen. es accurxy. Tele asets nr rot pMeded
by WC or the Fnwsteadomental SPC ~tax
• Renens 'hanns and addition& atenpentation
- n addele to comme:mas saks ed 17b.1 km
mened n <enda , wth the Maxen', of ~ud
kedstoos <hets we edra os rika» make
mena <hang parfyms Iran ~duka eda
ad. viol NiMatad luden ru nre ull Ros
~at
se baddarlive dalens orroolatit
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SDNY_GM_00324706
EFTA_00197481
EFTA01306979
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