EFTA Document EFTA01597495

SUBS 085 Financial Services Inc Private Wealth Management 299 Park Avenue 26th Floor New York NY 10171-0002 ANP7060770913 0120 Y1 0 Account name: ELLMAX, LLC Friendly account name: ELLMAX LLC Account number: 1 23680 SS Your Pinandal Advisor. SCOTT STACKMANLYISCASRIEL Questions aboutyour statement? Call your Financial Advisor or the ResourceLine at 800-762-1000, account 029023680. Value of your account Business Services Account January 2020 ELLMAX, LLC 139A CHARLES ST APT 233 BOSTON MA 02114-3252 on December 31 (S) on January 31 (3) Your assets 0.62 0.62 Visit our website: Your liabilities www.ubs.cornifinancialservices Items for your attention Help protect yourself from fraud and review bank, credit card, and brokerage statements regularly. Also, get your free credit report annually from www.annuakreditreportcom. 0.00 0.00 Value of your account $0.62 Tracking the value of your account s Thousands $0.62 87.5 962 168 11.8 00 00 Dec 2014 Dec 2015 Dec 2016 Dec 2017 Oec 2018 Dec 2019 can 2020 Sources of your account growth during 2020 Value of your xcount at yea end 2019 Yam investment retum. Change in market value Value of your account on Jan 31. 2020 $062 SDNY GM 00009828 $0.62 Member SIPC Atf7C002000770913 NP9100073553 00001 0120 00C030000Y123680550 COODCO Page 1 of 6 CONFIDENTIAL EFTA01597495 *UBS Business Services Account January 2020 Your account balance sheet Summary of your assets Value on January 31 ($) Percentage of your account A Cash and money balances 0.62 I CO 00% B Cash alternatives 0.00 0.00% C Equities 0.00 0.00% D Fixed income 0.00 0 00% E Non-traditional 0.00 0 00% F Commodities 0.00 0 00% G Other 0.00 0 00% Total assets Value of your account 30.62 $0.62 100.00% Account name: CLLMAX,LLC Friendly account name: CLIMAX LLC Account number. Y1 23680 S5 Your current asset allocation • A Eye on the markets Index Percentage change January 2020 rear to date 58P 500 404% 404% Russell 3000 -0.11% 411% MSC I - Europe, Australia & Far East -2.08% -2.08% Barclays Capital U.S. Aggregate Bond Index 1.92% 1.92% Your fineodri Advisor: SCOTT STACKMAFILYLE CASRIEL Interest rates on January 31, 2020 3-month Treasury bills: 1 50% One-month LIBOR: 1 66% AW20002000T7091e Nra300023553 00001 0120 000030000 Y123680550 oNitifire_okt0000saNe 2 of 6 CONFIDENTIAL EFTA01597496 sUBS Business Services Account January 2020 Change in the value of your account Account name: ELLMAX, LLC Friendly account n an*: ELLMAX IIC Account number: YI 23680 55 January 2020 (Si Year to date (1) Opening account value $0.62 $0.62 Closing account value Your investment objectives: You have identified the following invesanent objectives for this account if you have questions about these objectives, disagree with them, or wish to change them, please contact your Financial Adwsor 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. $0.62 $0.62 Your return objective: Current income & capital appreciation Your risk profile: Pommy • Moderate Investment eligibility consideration - None selected Your account instructions • Your account cost bass default closing method is FIFO, First In, First Out. Your M nodal Advisor: SCOTT STACK MANLYLE CASRIEL SDNY GM 00009830 Ate700020007709i5 NPV00023553 00001 0120 00CC00000 Y123680550000000 Page 3 of 6 CONFIDENTIAL EFTA01597497 *UBS Your notes Ari3001G000709.4N Nun, 53 000 0120 p00000000,23664550 ..MINYGM000096Ng• 4 of 6 CONFIDENTIAL EFTA01597498 SUBS Business Services Account January 2020 Your assets Account name: ELLMAX, LLC Friendly account name: ELLMAX U_C Account number: Y1 23680 55 Some pnces, income and current yd." shown may be approsinede As a 'mull, grins and losses ma/ not be accuisely reflected. See important information Pea/feaststatement a the end of tNs document for more inform» on. Cash Cash and money balances Your total assets Opening balance Closing balance vice per share Average on tan 1 pij on San 31 (I) on San 31 (S) rate °hide«, interest period Your Nnancial Advisor: SCOTT STACK MANLYIE CASRIEL Dees in period 0.62 0.62 vim on ran 31 (SI Percentages COP pour xcOunt teak (S) Estimated annual itxcene (S) unrealized gan or bIS (1) Cash Cash and money balances 0.62 100.00% 042 Total $0.62 100.00% 5O.62 SDNY GM 00009832 Att7C002000n0917 NP8300023553 03001 0120 006036000 Y123680550 COCO® Page 5 of 6 CONFIDENTIAL EFTA01597499 *ilF1S Your notes M ./000i000MM . ,0000,3563 COM 0,20t00.0CO3 i3680SSOCO.My 000.f.• 6 of 6 ad of statement for account numb. YI 23680 S5 CONFIDENTIAL EFTA01597500 Important information about your statement LBS Fiuncial kmices ex. (the Firma LBS Financial Services), is a member of all prixipi socvdy, corny* andoptions exchanges UBS Financial Services and LBS Bale USA are ifdirect stbskloies d LBS AG and affiliates of LBS Smuts LLC. The Firm's fru/nal statement is available upon request. The Firm's execute* Offices are at: UBS Financial Services ex. 1200 Harbor Boulevard Weehawken. N107086 This statement represents the ony official record of you' Les Financial Services accoura Other records, except °thetal tax drulternS, cantering callting data should rot be reed upon. If you beige, there ban error or motion, pleas* report it immediately in wring ea the Branch Manager of the office serving your account. Although all hams shown are intended to be accurate, sttement data shook' not be used for tar imposes. Rey sold, on yes-end lax totem go., loan 1099, 5498, 10425, etc.) when preparing your tax return. The Fern 6 moored by law to report to tie IRS all taxable dnidenok, reportable nal-taxable dividends and taxable interest earned on seas-nes held in your mask net proceeds on sale transactions, ad cost basis an omen cowed securities COmmUtliCatiOna with the Firm • Please re-confer., any Oral (Orrirrunicatictis n veiling to further protect your reps, including your rights under the Secuities Mesta Protection Act OSA). • I the Brune itl inttution on the top left of the front of this statement isnot Les Financial Services, LBS Financial Services caries you account a clearing broker by arrangement with the indicated intedion We Wormedyou of this relationshb when you opened this Accent In this raw, your finds and secuties are located at UBS Financial Sweets and rot the Mak" rg broker, ad you crust make a report of ay tar te meson to both ferns. • As *sorbed n the accost ag-eements, you must notify us of any errors or fraud involving checks reflected on your statement beta) 30 days after it was mailed a made mettle. • Please direct arstonw carotenes or nouries to the Film's Client Relations Department at 201.352-1699 or toll-free at 800-354-9103, 8:00 A.M. to 600 P.M ET Monday through Friday, or in witio to WS Financial Services ls. , Client Relations Department, P.O. Box 766UnionC ity,11 07087. • All itatellentS shall be cleaned complete and accuse not objected to ri writing whit 60 days. • For TTY services: Cal 844-612-0986 a from outside the US Call201-332.1495 • h case of errors or cunt:xis about an electronic funds transfer (U1), bill parent or LIES Vise debt cad transactions, cal 800-262-1000, or carte to UBS F etanoial Services lx., 1000 Harbor Bed, 61h floor, Weehawken.. Ni 07086, Attn: b.INSSA Services. Call a write as soon as saran, 1 you think as statement a receipt is wag a e you need more information about a transfer on the sinner or rice's* The Fein or Card Issuer (as appkable) must hear from youno later than 60 clays after the Fern sent you the fist statement on which the error or pobtem *awed. — Provide you name ad accurst number Of any). — Desube the error or the transfer you re inure about. ad eiplat as clearly as you can why you beano it is an error a why you and MOM — Provide the dolt, amore of the suspected error. The Firm Or Cad Issuer will investigate you complaint and willcorrect dry error promptly For ahged errs nhgNng LOS Visa•debe cad transactions, 4 we take more than 10 business days tO do this, we will credit you accant fa the imam you thank is in mum, so that you will have the use of the money &rig the tine it takes us to complete as nestgatein. Please male all checks payable to the Firm or the financial ristituten indicated on the front of this statement. In addition to regular account fees, accounts may be .Meet to mantenarce lees charges for late payment for securities purchases and charges fa unpaid amounts n cash accents. Accounts that are transferred to other nstilutiten may be subject to a trader fee. UtS Sweep Options UBS offers options for sweepeg cash balances to bait deposit accanes at nanaffiated banks and abated banks and money make) mutuality:Is (Money funds). Deposit accounts at LBS Bark USA and non-affiated banks panicipaing tit a LBS FDICansured Deposit Program are FDIC-insured n accordance with FDIC rules. For more iltamaiian please visit veterfik.9:n. Deposit accounts at WSAG Stamford Branch and shares of Money Funds are not in-redby the FDIC. Bak deposits are not protected by SIPC. Money Fond dunes :re protected by SIPC See -1.)85 lnancie Services Account Protection' below. Upon your regain balances n the bank deposes may be wihdrann and shares of a Money Fund may be liaidated, end the proceeds returned to you or you martin accent. Futter nkonaton about available sweep options, reludig current interest rates and yields, is evadable at vieww.ubs comrsarepyields, from yore intend.' Advisor or by eating KO-7621000. US$ Financial Services account protection the Firms a inerrber of the Secretes bosh". Protection Corporation (Sip, witch protects securities custonwn o1 is rearben up to 1%0,000 (adding 5250.000 for clams for ratal0 bplanatory broth.", available upon request a at raw strorg. The SIK asset protection ferns apply to A accounts that you hold in a particular capacity- The Firm, together with carton athletes, has also Purchased supplemental inmate*. The maxims., Entttil payable to at eligbk chums, colectivey under tie protection is 5500 million as of Detester 10, 2016. Weed to the pale y conditions and inlet:as, cash a the Finn i hither protected fa up to 11.9 million in the aggregate for al you accounts held in a wieder capacity. A ful copy of the polio; sordeg is available Loon request. Neither the SIPC protection nor the supplemental protection apply to: • Certain financial assets antrolkd by (and ext.:led in you account value) but held away from UBS Financial Services. For burn* certain (0 insurance products. ixludrg vaiabl rates, and 6i) shares of mutual funds registered nthe name of the account holder on the books of the issuer Or Vander agerrJ; • hvestmmt contracts a rreestment Serest, {e.g. Imbed panne-etas and private placements) that se not registered under the Securities Act of 1933; • Commodities contracts (e.g., foreign exchange and precious metal contacts), nclaing fumes contracts and Calvvirry option Central% ad • Depose accounts (except certificates of deposit) at (BS Bak USA, LBS AG U.S. branches and barks in the FDIC erred Deposit Program. The 51K protection and the supplemental protection do not appy to these assets awn d they otherwise appear CC yds statements. The 51K protectionand the stoplemental protection do not protect against charges in the market value of you revetments (whether as a result of market movement. muer banknotcy otherwise) Dividend Reinvestment Program (DRIP) The pace reflected is an average prce. You may obtain the actual price km yam Financial Advisor. Only whole shires are purchased under DRIP; partial shares will be sold and the cash will be deposited in your account. We chodend reinvestment price :belied by to issur may deter from the market price a which the partial shares a-e sold Calvin-Feta Orly whole units maybe held in yam secondly:0 are meted to a partial unit as a result of a dividend payment • otherwise, the Firm will either sell grid tries at market vice a accept an anoint deterinned by a registered dea-rg agency, and freer yore account. Investment objectives The nvestment objecuros and risk profile are specific to each account and may vary between you. accounts. Please advise the Finnan:may in writing of an significant change in you lino eizA situation investment objectives_ For each account held, you choose are of the Ioeowing investrnme objectives: • Prorkce Current f name: Investments seeking the generation Of income Caly. • Achill,* °pea/Appreciation: Mestments seeking growth of or:ideal rather than the generation of ncome. • Produce Combination of income and Capital appreciation Investments seeking both the generation of income and growth of principal. Overall risk profiles • Connotive- Seeks to martin initial prix0al, with km risk and minify to the accost overall, even 0 that means the account does not generate income or rears and mayn't keep pace yeah inflation • Moderate: Waling to accept sane risk to pampa' and tolerate sane volatlity to seek hider returns • asgressne: Willing to matt hip risk to principal and high volatility to seek high teR over time. • mostowntiagibrity Consicloratan: d selected, a portion of the portfolio for that atom may include complex 'trawl:es, limited liguidty and greater sobriety. Statement "householdirer We may COnSOkiate A tetrad account statements with the same address in the same envelope. e g. because they have owners who also mantas ;ore account relationships wth other clients at the sane add-ess. If you peter to receive ndividual statements (tweed n separate /metopes, you may decline householdng by (tang your Fruncial Advisor Friendly moue name The Friendly account None 6 a customizable • 'withal** chosen by you to assist you with ye's' recordkeepio. It, no legal effect on your account, is not Mended to reflect any strategy, predict rearnmerdation, inestment objective a risk polite associated wth you- accunts. and is not a prance a gJaraxee that wealth, or any 1 inarxiA results. can et willbe achieved. All investments invoke to risk of loss, ex kdro the ritk of loss of the trait investment. You can change your Fria* accost names through Onine Services a by contacting your Finarcial Minor. Account overview • Value of tors wountIportfofio Net of assets and liabilities • Assets Includes available cash balances. vakes for restricted security (est), and Global Tine Deposits. unrealized marks to market and certain assets ibt held to. the Finn. Does not nckxle unpiced securities: assets at the end of the prior and oat statement prods. or private investments, invested nod options and ~deal, stock options. • Liable's. Voldes debit balances, *sundry margin bats, credit re, short account balances • Cashatoney balances Total of uninvested avalable cash balances, plus deposit balances at affiliated and nahallikated banks, and money market mortal had sweep balances. at the close of the statement period. Non•Corrrtirley bee credit balances in you account are not segregated from other balances and the Fern may use any these fords in the ordinay cane of its banns These finds are payable upon your Orland. 11-es total is ircbded in the anent period closing value. tending information Fa detailed information on the Finis lending practices ad disc bsures, refer to you Client Relationshp Agreement a Account Agreement and the General Terms and Ca-ditions LOS Statement of Credit Practices mailable n Agrtem ants andDiscbsures at lyvnv ohs eornlareconnAnclov•ws SDNY_GM_00009834 CONFIDENTIAL EFTA01597501 Important information about your statement (continued) Yam assets Your statement rites secieities arid other assets held in the attars a the end of the statemere period. You may ask for delivery of curly rod seorities at ay time. You may receive oscines used as ban cabinet after parting any balaxe the on them. Any securities 'conferred to the Fins ding the statement period are listed at market value as of the end of the statement period. • Cost bash. In deterinning the cost basis of the securities included in this statement, where indicated with the nierber -1.• U3S F natal Sennas has relied as information obtained from sources other than LES Financial Stevan axiality :dominion from another Irma that you may haw aovickd to van Financial Advisor. The Filth does rot indeperelently verify a gaarawee the xosay or validity of any information provided by SeurCeS other than LES Fiuncial Services. h ackliko, although LES Financial Services general, updates this ton as it is received. the Fern does rot provide any assurances that the erformalion under -Cost basis' ard 'Unrealeed gadloss' is aatarae as of the date of this stamen. As such. Please do not rely on this information betake pichase a sale decisions, for tar purposes a otherwise. Accounts transferred to the Fim may reflect gingko% Hawn On only for the defied of tine they are h the Fein. More historical edarnation can be added by year Financial Adritor. • Unrealised gains/losses. When data is available, estimated streaked ganelosses are calculated fa ndividal security lots. The transaction data for ndivicbal lots may or may not reflect canntsire, charges ardor facility reorganisation rants Dividend and other thrive:orient lots and systematic PirCEOw lots re each combined to display one averaged lot. The 'Trade date' totempresents the crignal transaction trade date. • Callable mashies Bonds and preferred staid that the issuer cats for easy redemption wit be selected imparts* by lot from among at teatimes of that a* held in our name or n nornnee narne for on dents Call feature infarrution is *tared from third parties and its accuracy is not guaranteed. Other call features may exist which could *NCI yield; complete information wilt be provided upon request- • price/value. Prices osplayed fa secure:es and other products maybe higher a lower than the peke that you would actually receive in the market Prices are obtained from various third party sources *Nth we blew to be reliable, but we do not ?sank* thee accuracy. — We genera/4y use the tang price when available cc the mend the bid and ask prices ice listed securities at options a coy bid prices la OTC ward in. — Less activey traded securities retry be priced using a valuation model a the most recent price we donned and may not reflect an actual market price or vase. — Certan positions may appear walla' a price and will show as 'prke was not mailable' a we are unable to cbton a price fa a mosey. — Deposits ce sentries cknomnated n currencies other than U.S. dollars ae reflected a the excharge rate as a the statement date. — Fa certain wanes trading in non-conforming denamhations, price ad qualthy Pace value) may have been adjusted to facilitate poster valuation. To obuin cumnt <Natal 'XIS, when avalnle. contact your Fruncial Adveux. riot necessarily leaner* the vi upon liquidation. — Thad party estimates of value are as of a certain date at are supplied to UBSFina-eial Services on a regular basis by an independent volution Ion — issuer, general partner or spook( estenated values, it ay, are stelPlied to the Fins by the issuer, general partner or sponsor and may be cabaated based on Efferent information from that used by third parties to derive thee esimaied values. — You can Wain additional idarnatiri regarding the melhoglologo used to determine the estimate of value and the dace of the information that is the basis for the estimate by contactigyour Financial Ad tor. — Third party estimated values may be reflected as 'We priced' in several situatern: when an • dent valuation Inn has not suppled a is inside to assign a valet when we become aware that a material event has penned that may call a prigusy reported vela into queSten, Cr when a yaks woad be highly speculative due to **nature of the security. — When neither an issuer, general partner or sponsor wirruted value nor a thedpaty estinund al* is provided, the vat* of the wanly MI be Offerers from its purchase price — tarbutcns to date may avlude :turn of capital income or both — 'Orgnal ink size' represent the :W el offering price per cnit ad may not ref led your cost basis — DPP and unlisted REff stare: es are not listed on a national securities exchange, and are generaly illiquid ad even l they can be sold. the price reared may be less than the per share estenated value prorated in the acccura statement. • Rest/laid securities. Restricted sectaies generaly are not currently elgbk for pubic sale UEIS F haricot Services uses the maket price of the itresincted stock of the same Mine as an imputed vale fa the restricted stock for purpo*s of fres statement only. To to extern that restricted secant are elrgble for sae, the vat* received may be substantially less than the (wed vale shown. • Private immune*, and auusafred products. Private imestnent sea amps (inclArg diet! Partkipation program and real tdate notilreleng trust securities) and stiuctsed prodats are goner* higtey ieiµvid Certain structuredproducts hhe not teen registered wets the Securities and Exchange Commissioner under any state securities laws. We provide estenated values for prince imminent *curries and 'audited products for Wormannal pu-wusady. Accuracy is not guaranteed. • vain Mirydiffer "Swami* from prices, e any, at width a private invest mint Xtuityor structured product maybe boujsl a sold and do you May recent • Est (estimated) inane, current yields and rates An 'Venal. of XVIA31 iN01110 is bated <in Current dnickecl and nterers rates. assuming the securities will be hell For one year from statement date or Lail maturity. The *statute eS crib, a guideline; aCataq and continued income are not guaranteed. — Estimated anal ware and current yield for certain types of mashies could include a return of airkPal a capital gains et which case the est income (and current yieldi would be overstated. — Estimated a-rual income and current yield and the actual incase and yield midst be bear Cr huller than the estenated anoints. — An estenaee of arnalind ixome favidend ands interest) derided by the current made valeraverage balance is based on the last dividend or merest parent made by the :soar and attunes tie wash in/deposes will be held for one war from the slaloming date or unto maturity. Accuracy and continued yield are not guaranteed • Assets not held by UN Financial Services. Certan assets are not held by the Fin. and not withn the Fines possession or control. Thew assets are displayed on your statement for Wormational purposes only. Positions and values presented are provided by tie issung fern. UBS f nancial Services is not reparable for this Warns:on at does not guarantee as accuracy. These assets are not protected by SIPC or the Fifis supplemental SIPC coverage. • R•Vertiti shoring and additional compensation. - n addition to commissions on sales and 12b1 fees received n connect in the distress:on al mutual finds to our clients we and or as affiLate receive reverie shying moments from disubators ardor adviscn of the flaunt finds that we sell. These maws are based on two different correpoinents: ld the arm um of sales bytes of a partcular mutual fund f amity b our clients; and GO the asset value of a particular mutual find Imiys shares held at the fern. - We and our affiliate also receive network na and amid.* prixesseg lees n consideration for transfer agent services that we provide to the mutual funds. Mew fees annals are paid from Minter assets n tie (thud fund and are a f iced dollar amidst based on the number of awes at the broker-dealer hold.g manual finis of that find ferny. - h ad4tion to <termini:ins received in arrection with the sale or diarbutin of 'minty convects and unit nestment trust cries to or clients, we ardor at oats. 'Witte revert* sharing compensation from many of the nsurance companies in:kw/rein the a-nuity contracts, 'Mattes of the 'narance convent or sponsors of the unit Montagne buds we &abut*. - h Slain to COmmiSn3n5 received from the purchase and sale of MASI ra es lurch. we odor ar affiliate receive an asset-based revenue sharing payment from Neugiares distributors, as vale as finding for technology development, traineg and education. - Our aft bates also receive trading commissions at other compensal ken from mgdual funds and aware companies whose Waist we dolatute. - We receive comansafin from Les sank USA LES AG Stanford Branch and non.attiliated barks throup our cash sweep grogams. The compensation may bean-a-thy per account fee cc may be a percentage of average daiy depose balances. Activity 1-donna:on regarding corirrissions and other charges attuned n (cram kin with the execiSion of trades, including option transactions has been Mooed on confirmations previously furnished to yOu. and will be provided to you aroma!), on request. Short selling if you are engaged n short selling a security, you may :cur a cturm de to wean borrowing costs fa that paticulasecLeky. Open orders Regarding open or • ipod.iicancelled • ceders that were not executed by the statement dale, open buy and sea stop orders are reduced bj theanoint of dividends or norms an an ex.di:dads a coonghls date sans intnxted otherwise by you. You are response?* to Orden that are executed de to you laikee to cancel eating open orders. Privacy To obtain a copy of as current Client Privacy Notice, please contact you Financial Advisor or visit as webste at wwwohi tonvorevarynosec — LBS Financial Services is rot aback. The RMA. Busiest Services Account BSA and IRMA are brokerage accounts wheel provide access to banking sakes and procists Ihroagh arrangements with affiliated banks and other ihicluany bath, and provide' Excels to insurance and annul, products issued by unaffiliated tad. arty mane «opines throat insurance agency subsidiaries of UBS Financial Services hc. — ragmen; Mace, and may proctrIsi — Not FDIC inswed • No bark guarantee. May bee vale — IMA. Resource Management Account Business Service, Account ESA, IRMA and international Resource Management Account are registered service marks of LBS Financial Services Inc — YEA a a registered trademark owned by Vila International Service Association arl used Isar !cense The LBS Visa trade cards and the LBS visa debit cads ye issued by LBS Bank USA with permisscn from Visa U.S.A. Incomorated All oda trademarks, registered trademarks, sense marks and registered service minks are of their respective companies. LBS Fauncial Services Iris. Rev. 201810 SDNY_GM_00009835 CONFIDENTIAL EFTA01597502 SUBS IJBS Financial Services Inc Private Wealth Management 299 Park Avenue 26th Floor New York NY 10171-0002 ANF70007238290220 Y1 0 Account name: ELLMAX, LLC Friendly account name: ELLMAX LLC Account number: 1 23680 SS Your Nnancial Advisor. SCOTT STACKMAN/LYLE CASRIEL Questions abo ut you r statement? Call you. Financial Advisor or the ResourceLine at 800-762-1000, account 029023680. Value of your account Business Services Account February 2020 CLIMAX, LLC 139A CHARLES ST APT 233 BOSTON MA 02114-3252 on January 31(S) on Febniay 28 (3) Your assets 0.62 0.62 Visit oar website: Your liabilities www.ubs.cornifinancialservices kerns for your attention Help protect yourself from fraud and review bank. credit card, and brokerage statements regularly. Also, get your free credit report annually from www.annuakreditreport.com. 0.00 0.00 Value of your account $0.62 Tracking the value of your account s Thousands $0.62 87.5 Dec 2014 96.2 168 11.8 0.0 0.0 00 Dec 2015 Dec 7016 Dec 20r 7 Dec 2018 Dec 2019 len 2020 Feb 2020 Sources of your account growth during 2020 Value of your acount at yea end 2019 Your investment return: Change in market value Value of your account on Feb 28, 2020 SDNY GM 00009836 30.62 soco $0.62 Member SIPC Ate7OXQ0C0723829NIM00056350 00001 0220 DOCC00000Y123680550 C00000 Page 1 of 6 CONFIDENTIAL EFTA01597503 SUBS Business Services Account February 2020 Your account balance sheet Summary of your assets Value on February 28(1) Percentage of your account A cash and money balances 0.62 100.00% B Cash alternatives 0.00 0.00% C Equities 0.00 0.00% D Faed income 0.00 0 00% E Non-traditional 0.00 0.00% F Commodities 0.00 0 00% G Other 0.00 0 00% Total assets Value of your account 60.62 $0.62 100.00% Account name: ELLMAX, liC Friendly account name: ELIMAX LLC Account number. Y1 23680 S5 Your current asset allocation • A Eye on the markets Index Percentage change February 2020 Year to date SW 500 423% 427% Russell 3000 419% 429% MSC I - Europe, Australia & Far East -9.03% -10.92% Barclays Capital U.S Aggregate Bond Index 1.80% 3.76% Your ti modal Advisor: SCOTT STACKMO/LYLE CASRIEL Interest rates on February 28, 2020 3-month Treasury bills: 1 23% One-month LIBOR: 1.52% Ate70002000723830 M000006635000001 0220 000030000 Y:23680550 COYMY_GM_00009859ge 2 of 6 CONFIDENTIAL EFTA01597504 sUBS Business Services Account February 2020 Change in the value of your account Account name: EU.MAX,LLC Friendly account name: ELLMAX U_C Account number: Y1 23680 55 February 2020 IS) Year to date fi) Opening account value $0.62 $0.62 Closing account value 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 statementat the end of this document. $0.62 $0.62 Your return objective: Current income &capital appreciation Your risk profile: Primary - Moderate Investment eligibility consideration - None selected Your account instructions • Your account cost basis default closing method is RIO, First In, First Out. Your rinandal Advisor: SCOTT STACKMAW:Ili CASRIEL SDNY GM 00009838 AtrOXI2000723831 NPM00066350 03001 0220 000000000Y123680550 COOOCO Page 3 of 6 CONFIDENTIAL EFTA01597505 *UBS Your notes arom.000R39.IIrv..563500000i 01,0 COOMDOCOv”.....IYGM00009friN. 4 °I . CONFIDENTIAL EFTA01597506 SUBS Business Services Account February 2020 Your assets Account name: ELLMAX. LLC Friendly account name: °AMAX LLC Account number: V1 23680 55 Some prices, income and current vdues sham may be 4:0;04444e. As a null, gains and losses may not teaccursely refleoed. See important information about your stetemem a the end of tins document fa mcee Infornflon. Cash Cash and money balances Your total assets evening balance Closing baence Pace per share Average on Feb 1 (1) on Feb 28(1) on Feb 28 (1) rate Cfrodendrnterest period Your Pineedel Advisor SCOTT STACKMANLYLECASRIEL Days in period 0.62 0.62 value on Feb 28 ( Percentage Cl Cost Estimated your &count Oasis (1) annual intro (1) OrirealatO gan or lots (t) Cash Cash and money Nilsson 0.62 100.00% 0.62 Total $0.62 100.00% $0.62 SDNY GM 00009840 ah1,70002000723833 NPAC0055350 00001 0220 000C000C0 111 23680550 000000 Page S of 6 CONFIDENTIAL EFTA01597507 *UBS Your notes orofoxopoon366,,,, -.1066350C00. OM COM00000, i366.0..., G. °mai.. 6 of 6 CONFIDENTIAL EFTA01597508 Important information about your statement LIESFinancial Services Inc. (the Firma LOBS Financial Services), is a member of all cantina srourity, cownodity andWins excha-ges UBS Financial Services and UBS Bath USA are irdirect absitharies OM AG and affiliates of LEG Skulls U.C. The Firms financial statement is available upon rawest. The Fern's nectar. OftineS are at: UBS Fanjet Services ix 1200 Harbor Boulevard Weehawken. NI 07086 This statement represents the ony off icial record of you Les Financial Services accoura Other records, erupt official tax documents, contenting conflicting data should •oe be retied taxa. Ilyou befieve there is an error or °motion, pleat report it immediately in roiling to the Branch Manager of the office senirg yaw account. Although all figures shown are Mended to be accurate, sttement data shouldnot be used kr tax purposes. Rey coley on pranend Ix lams, 6 e., Form 1099, 5498, 10425, etc) when preparing your tar reborn. Refine' is mound by law to report to th IRS all taxable dnidends, reportable non-tbable dividends wed unable merest earned on sautes held Pewter octant net proceeds on sale umiak:fa and con basis on oaten covered securities. Communisations with the Firm • Please re-confan any oral cornrrunications in writing to further protect your r4ii, including your rights sunder the Sense*. Investor Protection Act OSA). • II the fitanc 41 inithikin on the icy lett of Ihe front of this statement is not Les Financial Services. LOBS Financial Services carries yes account as clearing broker by arrangement win the indicated institution We informed you of this relationshb when you opened this accost. In the cave your finds and searnes are located at UBS Financial Services and rot the introdacrg broker, and you must nuke a report of any error a arusson to both fns. • As *sorbed n the accost agreements, you must n:44y us of any errors or fraud involving checks reflected on your statement within 30days after it was mailed a made amiable. • Please direct °stoner carotenes or hairies to the Finis Client Relations Department at 201.3521699 a toll-free at 6)0.354-9103, 8:00 A.M. to 600 P.M ET Monday through Friday. or in writing to U35 Chantal Services ex., Client Relations Department, P.O. Bar 766 Union City, M 07087. • All statements shall be deemed complete and acetate 4 not objected to it suiting within 60 days. • For TIY services: Cal 844412-0986 or from outside theUS Call20l-352-1495 • h case of errors or cuestire about an electronic firth transfer (EFT), bill paranerit or MS Visa* debit cad transactions, cal 800-7621000, or wide to UBS F runcial Services hc., 1000 Harbor Bld, 61h floor, weehawkon. Ni 07086, Attn: RMNSSA Seryces. Call a write as soon as you can, 1 you think yaw statement a receipt is iwo-g or need more information about a transfer on the statement or recent. The ten of Card bluer (as appkable) must hear from yOuna later than 60 days after the Firm sent you the fist statement on which the error or problem appeared. — Provkle yaw nave ad accost number (4 any). — Dew be toe the *MX or the Panda you se insure about and replan as clearly as you can why you bolero il is an error or why you needmom Marnalion — Provide the dollar amount of the suspected error. The Firma Cad Issuer will investigate yaw cormilaint and will correct any error promptly For eloped taws imaing Vesa•debit cad transactions, 4 we take more than 10 tushess days TO do this, we will credit you ware for the amount you thnk is in errs, so that you will have the use of the money dung the trap it takes us to carplete os investgaton. Please make all checks payable to the Firm or the financial nstauten ridcated on the from of this statement In addition to regular account feet accounts may be abject to mantenace fees, charges for late payment for securities purchases and charges la unpaid >mints n cash accounts. Accosts that at transferred to other nstilutOra my be subject to a trander fee. UN Sweep Options UBS offers options for myopic cash balances to bait deposit accounts at nonalauted banks and 'Misted banks and money maker mutual finds (Money Funds) Deposit accounts at UBS Bait USA and minafflated banks panicipaing the UBS FDIC-hand Deposit Program are FPC-insured in accordance with FDIC rules. For more Hamm please visit once Deposit accounts at UBS AG Stamford Branch and shares of Money Funds are not i-o-red by the FDIC. Bat deposits ate not protected by SIPC. Money Find dunes in protected by SIPC See 'MS fnancia Servkes Account Protection' below. Upon your request banes in the ban deposal may be wihdrawn and shares of a Money Fund may be liaadated, end the proceeds tetanal to you or you secisitin account. Futter nkanstitie about swath* sweep options, nixing current interest rates and yields, is available at www.ubs comrsiwepyields, from your Fiuncal Advisor ex by <Ong KO-7621000. UN Financial Services account protection the Finn is a matter of the Securain hwstor Protection Corporation (sec), which protects securbes custonwn of is meerbers up to 1500,000 (nading 1250.000 for curns for rastt esplanatOey brochure available moon request a a wawstecorg. the SWC asset protection lints apply to at accents that you hold in a particular capacity. The Firm, together with certain affiates, has also Fathered supplemental inflamer. The rnanyins amen payable to at eligteh awls, collectively under the protection is 1500 million as of Deciliter 10, 2019. Weed to the policy cerealens and linitalions, cash a the Firn es tither protected fa up 1011.9 milks in the aggregate for at your accounts hell in a particular capacity. A ful copy of the poky waxing is available Won request. Nether the SIPC protection nor the applemental potection apply to: • Certain financial assets controlled by (and Misled in your account value) but held away from UBS Financial Services. For burn* certain (0 insurance prodsts includng etnable amities. and 0i) shares of maks, funds registered nth name of the account holder on the books of the issuer a transfer awe); • hvestmmt contracts or nvestment Mewls fe.g tented partnerships and private placements) that me not registered under the Securities Act of 1933; • Comnodities contracts (e.g., foreign exchange and precious metal contracts), incluckg roues contracts ad commolty open contracts; • Sectrities on loan to U85 Financial SerkeS; and • Depose accounts (excel owl if antes of deposit) at UBS Bak USA, UBS AG U.S. branches and bans n the FDIC hsured Deposit PrOGIM. The SIPC protection and the supplemental protection do neat apply to these assets ewn if they ottenvise appear on you statements. The SIPC protection and the siaplemental protection do not protect against changes the market rake of your nvestrrants (whether as a result of market movement issuer bankruptcy a otherwise). Dividend Reinvestment Program (DRIP) Rat pry, reflected is en average pee. You mar obtain the actual price Pampa Fnarx lel Advisor. Only whole shies are purchased under DRIP: Pilial shares will be sold and the cash woe be deposited in your Mount. The dividend reinvestment price applied by tie issuer may defer from the market price at which the partial shares are sold. Cadvirefieu Only whale units maybe held in yaw account. It you are reeled to a petal unit as a result casein:den:I payment or otherwise, the Firm will ether sell petits units at market price or accept an amartl detemined by a registered clean; agency, and credit you accont. Inmenntent objectives The investment objectives and risk profile are specd k to each account and mar vary between you accords. Pkae advise the Firm wreak. in wining of are significant change in par financial situation or investment objectives Foe each actor had, rca choose one of he following investment objectives: • produce Current Income- Investments wet kg the generation of income only. • Attie.* Capital Appreciation: hrestmenes seeking growth of ant pal rather than the generation of income. • Prodece Combination of Income and Capital Appreciation- Investments seeking both the generation of income and growth of principal. Overall risk profiles • Conservative. Seeks to ennui, initial princoil, with low risk and mlatiby to We account overall even if that means the secant does not generate sirditant income or reams arid may not keep pace wth Matra • Moderate: Waling to accept sane risk to principal and tolerate some wlauity 10 seek higher returns • Aggressive: Willing to accept Ingti risk ki primeval and high volatility to seek highrehire over time. • mvestemnt /EON& Comideratien: II selected, a portion of the portfolio for that acorn may include complex strategin, united liquidly and greater ras*. Statement ahouseholdirer We may consoktate al telexed account statements with the same address in the sane envelope. e g. because they have owners who also maintain jon account redatiOnShem wth other clients at the same acidness, ef you prefer to receive individual statement mailed n separate envelopes, you Maydecline househokkg by °aro your Financial Advisor Friendly =cowl name The Friendly account fume is a custaniubk 'nickname' chosen by you to asset you with yaw recordkerong lt has ra legal effect on your account, is not Mended to reflect any Wat914 product recommendation. investment Objective a risk prolie associated with you accounts. and o not a promee or garnet that weal, or any financial results. caner willbe achieved. All investments. involve the risk of lost riLdng the rid( of loss of the entie investment. You can change your Primly =aft names through Online Services or by contacting your Financial AcInsor. Account overview • Value of you account/portfolio. Net of assets and liabiGis • Assets include, available cash balances, wakes for restricted security (est 1, and Global Time POWs La-realized mats to market and certain assets mat held by the Fin Does not ncktek °naked securities( assets at the end of the peke arid °anent Statairont Sarno& a private investments, invested nod option and merciuble stock options. • Liable's. Vrelides debit balances, cutsundng margin loans, credit link Shan Xrafit balances • Cashratoney balances Total of uninvested avalabk cash balances, plus deposit balances at affiliated and non( fluted banks, and gravy market matual fund sweep balances, at the close of the statement period. Nomf orwriOday free credit balances in yaw accord re not segregted from other balances and the Fenn may use any d these finds in the ordinary cone of its bushes thour finds are Mel. upon your demand This total is Pclided in the cm-rent period closing value. Lending infannatien For detailed information <nth, Finis lending practices and disclosures, refer to your Client Relationshp Agreement or Account Agreement and the General Ten's and Conditions UBS Statement of Credit Practices available i Agnem ens and Disc bsures at row sob- romlarroirvtedirck)wrov SDNY_GM_00009842 CONFIDENTIAL EFTA01597509 Important information about your statement (continued) Yam assets Vow statement ermines securities and other assets held in the accant a the end of the sinners period. You may ask for delivery of fully pad seonties at any the. You may receive weenies used as loan cobtoal alter pining any balance due on them. Ary securities transferred to the fern during the statement period are listed at market value as of the end of the statement perfid. • Cost best. lu detennning the cost basis of the securities included in this statement where indicated wit the nurrbo UBS F narcial Sorkin has rebid on information obtained Irons sources oter than LES financial Strokes, eckxling blonnalion from another Ism or that you may have «aided to you Fnancial Advisor. The Finn does not indeperdoey nerdy a garnet the wry a validity of ay *lamalim provided by sofas other than LES Fisuoxial Services. ackliion, although LESS Financial Strikes genera* gmlates this reformation as it is received, the fem does rot provide ay assurarces tat the idormation under -Cost bases rd 'Unrealced gad loss' is accurate as of the date of this stammers. As such, please do not rely on this information to make purchase a sale decisions, for tar purposes « Mlles wir. Accounts transferred to the finn may ref tot gardloss information only for the period of tine they se held x the Fim. More historical information can be added by your Financial Advisor. • Uesealited gainsileases. When data is available, Sinned sneaked gandlosses re calculated for rdividal security lots. The transaction data for individual bh may or mynt reflect canmisstres. mages aria security norganintion ewers. Dividend and other ?investment lots and systematic purchase lois re each combined to display one averaged lot. The 'Trade date' coknin presents the original transaction trade date. • Callable markless Bonds and peel erred stock that the issuer calls for eery redemption wilt selected impanialy by lot from among al ware« of that ass* held in our none a in nominee name for ar clients. Call feature information is obtaned from third parties and es accuracy is not guaranteed. Odon all features may east which could affect yield; complete information will be provided upon request • Priem/value. Prkesdeplayed la securities and other prod ects maybe higher or lower than** price that you would actually receive in the market. Prims re obtained from various third party sources whit we believe to be reliable, an we do not guarantee thee accuracy. — We genera/ use he eking price when anibbk a he mean of the bd and ask prices fa listed securities td options «coy bid prices for OTC securities. — Less activeytrackd securities maybe priced using a what«. model a the most recent peke we obtaned and may not reflect an actual market price ale. — Certan potions may appear *Mae a price and will tow aspeke was not available if we are unable to obtain a price for a security. — Deposits a securities cknomiuted n currencies other than U.S. dollars re reflected at the excharge rate as of the statement date. — For certain sectsiies trading in non-conforming densamnehons, price and quantity (lace rake) may have been adjusted to facilitate proper valuation. To obtain current quotations, when 4,412>k. contact your hunch Advil«. n°1 necessary normers the va upon liquidation, — Thrd party estimbes of value are as of a certain date and are supplied to UBSFnaxial Sentes ona rears basis by an independent valuation firm — Bluer, general partner as spot« estimated vetoes, if sib are ~lied to fie Firnber the issuer, general partner or sponsor arid may be tabulated based on different information from tat used by third panes to derive *air etiolated yaks,. — You can etuin additional information regarding the melhodobigy used to determine the estimate of value and the date of tie information that is the basis for the estimate by contactigyour Financial Adios. — Third party estimated values may bereflected as 'Not priced' in several situations: when an • dent valuation lam has not supplied a is unable to assign a value when we become aware that a material cant has occvrod that may call a peennusy reported val.* into question, a when a value, would be highly spoulatme the to the nature of the security. — When nester an issuer, general partner or sponsor estertatod value nor a Owl-party estimated value is ponied, the vale of the searity wal be Mere« from as purchase Prins — tiarbutons to date' May «ludo rerun of capital, income or both — • Orgnal unit site represent the ntial offering Vice per unit ad may not ref ten your cot basis — DPP and unlisted RUT securities are rot listed on a national securities ndunge and are generally illiquid and even i they can be sold. the price tamed may be less tun the per spire estmaled value prodded in the scours statement. • Restricted securities. Restricted secuties generate)/ are not ansently elgbk fas pubk sale LOS Financial Services uses the market price of the urresOcted stod of the same issuer as an imputed value fa the restricted stock for purposes of this statement only. To he extent that restricted securities are ebgbk for sate the vats received may be substantially less than the maned value shorn. • Private inverrnenu end ~awed products. Private rivesVnerd securites (ixbdeng drect POTtiCkarias Program and real estate investment tat securers) and steamed products are genera/ay hgtry &cud Certain structuredproducts have not been registered wah the Securities and Exchange Commission or under ary state securities laws. We provide estimated values for prince imminent monies and structured products for attinaliceral = ordy. Acaracy is not guaranteed. vibes mgdiffer substantially from prices, any, at which a private nvestment secudyor structured product maybe bouisl or sold and do you may receive • Est (estimated) income, anent yields and rates. An a:Smarr of snot exam is bawd on staren drsidrid and nterest rates, assuming the securities will be held for cre yea from statement date or until matvy. This *agnate is only a guidekne; accuracy and continued income are not guaranteed. — Estimated taut *come wed care« yield for certain types of stashes could include a rename of Principal a capital gains in which case the est. income (aid can yieto would be overstated. — Estimated a-nual income and current yield and the actual inctme and yield milts be lower a higher than the estimated amounts. — An *sterns of a-nualized *come (dividend arda interest) derided by the current mate valoaraverage balance is based on the last dividend or merest payment made by the issuer and ormmes e deposes will be held for ore year from the statement date or unto maturity. Accuracy and corned yield are not guaranteed. • Assets not held by UN Finredd Services. Cenan assets are nor held by the Fin, and not within the lams possession or control. Then assets are displayed on you statement foe reformational purposes only. Positions and vales presented se provided by te isung UBS f nancial Services is not respatiale for this iretarnaton aid does not guarantee ils accuracy. Thew assets are not protected by SIPC or the fists sablernemal 51K coverage. • Ravarara sharing and additional compensation. - h ~ice to a:amiss:3ns on sales and 12b.l fees roared n connect on rah the destitution of mutual funds co as clients we ardor or atfiLate receive revere. tang ~ern frees disobuton sidor advisors of the maul funds that we sell These amounts se based on two drferem correpoents: CO the amen of sales by LES of a partoular enamel fund f amity X. our clients; and G0 the and vabe of a particular mutual fund family, shares held at the fern. - We and our affiliate also receive networking and cmnbus pransrg fees n consideration la transfer eager* services that we provide to the mutual furds. Rion fees antra* am paid from investor asset in the mutualfad and ere a feud dollar amount based on the number of amounts at the broker-dealer holding ~seal funds of tat Ind Insy. - h acKtion to commissions received inc.:motion with the sale or distrbuton of airway tontratt and unit rnestrnent trust snes to our diet, we ancla at affiliate receive untrue sharing compensation from nay of the monoe companies underwriting the a-nuity contracts, af illates o: the Maxim companies or spontan of he unit enestmers trusts we dimbute. - h eclInka to commissions received from the purchase and sale of NextShares lundk we ardor our affiliate receive an asset-based revenue sharing payment from ~Shares databulors, as wed as funding for technology development trainig ad education. — Our affiliates also receive trading CiaTtniSSiOrKand other compensation from mutual funds and Murano* companies whose products we &If bute. - We receive oxrcemai ion from vas Berk USA UM AO Stan( *id Branch and twirl dieted bras through our cash sweeP1207~. This angensatim may he per accoune fee a may be a percentage of average daily deposit balsas. Activity Irritation regarding cornmeal:re and Mhos Marrs (loured in «resection with the execution of trades, includng col ion transactions has been included on confirmations previously furnished lo you, and will be provided to you ~lb' on ~ I s Short setting If you ae engaged en short ailing a security. you may bout a charge due to anan barowng costs fa that palicula sienrity. Open orders Regarding open or socodlitcancellee ceders that were not execaed by the summers dar open buy and sea stop ceders se reduced by the mount of driedends or right on an ex.dnAlerit or ex-rights date unless instructed otherwise by you. You ae responsble for orders that ate executed cis to yaw lekte to cancel sating q:en atlas. Privacy To obtain a copy of ox anent Client Privacy Notice, please taxan sir Francis/ Advisor a mest as Mini% at "wive obs COAVDeiViCV004CV. — U3S Financial Stryker is rot a bark. The RMA, Business Services Account BSA and IRMA are brokerage scans which provide access to barking senates aid pedals IMaxjt arrangements with affiliated banks and other Ihrdparty barks, and provides access to insurance and annety goduns issued by unaffiliated thirdparty insurance companies trout instance seem subsidiaries of UM Financial Services tt. — hvesvnent, ruin*, ad arnuey predicts: — Not FDIC insured • No bark guarantee. May lose vale — IMA. Resat« Management Account Dulness Services Account BSA, IRMA and international Resource Management Account re registered service mats of LBS tumid Services INC — YTS/Size registered tedemalc owned by Vila htematianal Service Association and used under keno. The LES Via Creistl cads and the LES Visa debit cads se issued by LBS Bark USA with permission from Via U.S.A. Incorpraled. All other oedemata, registered trademarks, serrke mats ad registered service marks se of their respective ~pines. UN financial Services Inc Rev. 202002 SDNY_GM_00009843 CONFIDENTIAL EFTA01597510 SUBS 085 Financial Services Inc. Private Wealth Management 299 Park Avenue 26th Floor New York NY 10171-M02 aet70011172170320X14 Y1 0 Account name: FLLMAX, LLC Friendly account name: ELLMAX LLC Account number: 1 23680 SS Your Nnandal Advisor. SCOTT STACK MANILYII CASRIEL Questions about your statement? Cal your Financial Advisor or the ResourceLine at 800-762-1000, account 029023680. Visit our website: vvww.ubs.cornifinancialservices Items for your attention Help protect yourself from fraud and review bank. credit card, and brokerage statements regularly. Also, get your free credit report annually from vnvw.annuakreditreportcom. Value of your account Business Services Account March 2020 ELLMAx, LLC 139A CHARLES ST APT 233 BOSTON MA 02114-3252 on February 28 (1) on March 31 (1) Your assets 0.62 0.62 Your liabilities 0.00 0.00 Value of your account $0.62 Tracking the value of your account S Thousands $0.62 87.5 Dec 2014 96.2 Dec 2015 Dec 7016 Dec 2017 Dec 2018 eD c019 0.0 00 Feb 2020 Mar 2020 Sources of your account growth during 2020 Value of your x<ount at year end 2019 Your investment return: Change in market value Vakie of your account on Mar 31, 2020 SDNY GM 00009844 10.62 $000 s0.62 Member SIPC MC030300111721 NPX100119583 00001 0320 000000000Y123680550 100100 Page 1 of 6 CONFIDENTIAL EFTA01597511 *UBS Business Services Account March 2020 Your account balance sheet Summary of your assets Value on March 31 (1) Percentage of your account A Cash and money balances 0.62 103.00% B Cash alternatives 0.00 0.00% C Equities 0.00 0.00% D Frxed income 0.00 0.00% E Non-traditional 0.00 0.00% F Commodities 0.00 0 00% G Other 0.00 0 00% Total assets Value of your account $0.62 $0.62 100.00% Account name: ELLMAX, LLC Friendly account name: ELLMAX LLC Account number. Y I 23680 SS Your current asset allocation • A Eye on the markets Your Fi modal Advisor: SCOTT STACKMANLYLE CASRIEL Index Percentage change March 2020 Year to date S&P 500 -12.35% -19.60% Russell 3000 -13.75% -20.90% MSC I - Europe, Australia & Far East -13.25% -22.72% Barclays Capital U.S. Aggregate Bond Index Interest rates on March 31, 2020 3-month Treasury bills: 0 10% One-month LIBOR: 0.99% -0.59% 3.15% at•200030017172l8 NP70001i9S83 0000l 0320 000000000)112368(650 INMY_GM_000098itge 2 Of 6 CONFIDENTIAL EFTA01597512 UBS Business Services Account March 2020 Change in the value of your account Account name: EU.MAX, LLC Friendly account name: EWVIAX IIC Account number: Y1 23680 SS March 2020 ($) Year to date (t) Opening account value $0.62 $0.62 Closing account value 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 Achisor 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. $0.62 $0.62 Your return objective: Current income &capital appreciation Your risk profile: Primary • Moderate Investment eligibility consideration - None selected Your account instructions • Your account cost basis default closing method is FIFO, Arst In, First Out. Your Pi nodal Advisor. SCOTT STACK MANLYLE CASRIEL 242424-440.900-ne-34.40 SDNY GM 00009846 Ate7C003001117219 NP70001I9S83 03001 CO20 000000000 YI 23680550 100100 Page 3 of 6 CONFIDENTIAL EFTA01597513 *UBS Your notes nw>000400, >120 n444:4, '6443 4404. 0310 .4040004 v,,344:644 ',if., G. 00009.44 4 6, 6 CONFIDENTIAL EFTA01597514 4tUBS Business Services Account March 2020 Your assets Account name: CLIMAX, LLC Friendly account name: ELLMAX LLC Account number: r 1 23680 55 Some pnces, income and current vdues shown may to approximate. As a lesult gains and losses may not to accurately reflected. See Important information about your statement a the ended this docurrem for nave Intorno on. Cash Cash and money balances Your total assets Ccering IsdanCe Closing Wallet Pike per Share Ate rage on Mar 1 (S) on Mar 31 (S) on Ma 31 (5) rate 0.00.ndinterest period Your Masada Advisor: SCOTT STACK MANILYLE CASRIEL Days el period 0.62 0.62 value on Mar 31 (S) Percentage ca Cost Enirmted your account bens (5) annual interne (5) Unreadzed grin or loss (S) Cash Cash and money balances 0.62 100.00% 0.62 Total $0.62 100.00% 3O.62 SDNY GM 00009848 A 410003001 11 72 21 NPM00119583 00001 0320 CO0000000 Y123680$50 1001t0 Page S of 6 CONFIDENTIAL EFTA01597515 ,SUBS Your notes AN:1000300in 7222 NP7303119583 00031 0320 000300000 Y123680550 1C%NlY_GM_000098PA0 6 of 6 End of statement for account number Yi 23680 SO CONFIDENTIAL EFTA01597516 Important information about your statement UE6 Financial Services inc. (the Firma (13S Financial Services), a a mutter of all principal storey, covirnacky andWires excha-ges UBS Manual Services and UBS Bark USA are i-direct absklaies of 1185 AG and affiliates of LEG Searkes U.C. The Firm's financial statement is available Won request. The Firm's execute* offices are at: UBS Marxist Strokes Sex. 1200 Hats Boulevard Weehawken NI 07086 This statement represents the onbr official record of you Les Financial Services account Other records, /wept official tat documents, cleaning coralkting data should not be refed moon. Ilyou beleve there ban error or °motion, please report it immediately in asking to the Branch Manager of the office serving you account. Altough all lions shown re intended to be accurate, statement data shouldnot be used for tat purposes. Rely sole* on yes-end lac kerns, 6.4., form 1099 1498, 10425, no) when preparing your tar return. The Fern is requited by law to report to the IRS all taxable thiclords. reartabb ma-taxable dividends and taxable Serest erred m secaties held n yotr octant net proceeds on sale turoadons, and corn basis on crun cowered seasilies Ccenmunications with the Firm • Neese re-col-Ann any oral cornrrunicaticets n writing to further protect your rights, including your rights under the Securities Mesta Protection Act *SA). • I the &lino irl iwaution on the top lett of the front of this statement isnot Les Financial Services. llIS Financial Services orris your account a clearing tn:ker by arrangement wt the indicated reasAion We Wormed you of this relationshb Met you opened this !Can. In this case your fads awl secuites are located at UBS Financial Services and rot the nrookxrg broker, rd you must make a report of wry error a mason to both f rms. • As descrbed n the account na re...coots. you must noddyus of any *liars or fraud involving checks reflected on your statement with:" 30days after it was mailed a made mutable. • Please direct customer carolers or rkuries to the Film's Client Relations Department at 201.352.1699 a toll-free at 800.354-9103, 8:00 A.M. to 600 P.M ET Monday through Friday. or in writig to 1.85 financial Services erx.. Client Relations Department, P.O. Box 766 Union City, M 07087. • All statements shall be deemed cow*e and atom 4 not objected to nulling within 60 days. • For TIT services: Cal 844412-0986 or from outside the US CO201-332.1495 • le ase of errors or cuestas about an electrak fads transfer (U1), bill payment or UM Visa* debit card transactions, cal 800-2621000 or write to UBS F Le-uncial Services lx., 1000 Harbor Bind, 6th floor. weeharAcon. NI 07086, Atm: RIANEGA Serva4. Call a write as soon as you can, if you think yas statement a recta 6 vra-g or a you need more information about a transfer on the statement a wept. The lam or Card Issue (as appkable) must hear from you no later than 60 days after the Firm sent you the fist statement on which the nor or pobtem appeared. — Provide your name ad accoun number nry. — Dew bete Oita or IS Wander you re inure about, ad eaplin as clearly as you can why you believe h is an error or why you need more information. — Provide the dolls. amount of the suspected error. The Firma Cad Issuer will investigate your complaint and will tarot wry error promptly for atoned errors reviving UBS Vaaedebe cad transactions. 4 we take more than 10 banns days to do this. we will credit your account for the /mount you think is in errs, so that you will have the use of the money during the tine it takes us to complete av rwentigeon. Please make all checks payable to the Finn or the financial onSUILOOrb indicated on the front of this statement. In addition to regular account fees, accounts may be se.bect to mantenerce feet changes for late payment for securities purchases and charges fa tread amounts n cash accosts. Accounts that are transferred to other nstautOnS may be subject to a translw fee. UtS Sweep Options UBS otters options for sweepng cash balances to bark deposit accounts at nernaHauted banks and *Mated banks and money maker moral finds (Money funds). Deposit accounts at IBS Bann USA and non-affiated banks panic:pang ruhe UBS FDIC-ensued Deposit Program are FDIC-inured in accordance with FDIC rubs. Fa net idanratior please vial awnv.fde.ese. Deposit accounts at UBS AG Stamford Branch and shares of Money funds we not re-red by the FDK. Bak deposits., not protected by WC. Money Fad shoves are protected by Slit See -UBS FnnciS Sakes Account Protector below. Upon you acmes, balances in the bark deposes may be wackarm ad shares of a Money Find may be liardated, and the proceeds returned to you or you secuites account. hither neomycin about available sweep options, roludng current interest rates and yields, a avelable* wwwas comes...Nay:Ms, hom you Fnncal Advises a by calIng KO-7621000. UN Financial Services account protection The Firm is a member of the Securcies hest.* Protection Corporation (sro, which protects securaies erosionen of is northern up to 1500,000 (nduding 1250.000 for dams for cash) baslanatory brochure makable upon request a at mew Nocorg. The SWC asset protection tires apply to al scouts that you hold in a particular capacity. The Firm, together will certaM artiates,has also pschawd supplemental insuwict the marirun arrant payable to al eligble dint collective& under this protection a SSOOmillian as of Detente( 10, 2019. Salmi to the potty conditions and lineations, cash a the Fern et further protected For up to 519 million in the aggregate for all your accounts held in a partnaar capacity. A ful copy of the polio; eating is available upon wit. Nether the SIPC protection nor the suoplememal protection appal to: • Certain financial assets controlled by (and ext.:led in you- account realist held away from UBSFintercist Services for example certain (0 insurance prodacts inducing variable aauites. and OD shares of mutual funds registered in the name of the axon holder on the books of the issuer a transfer agerrJ; • hvesunmt contracts or rwestment Swot W.g., Imbed partnerships and private placements) that are not registered under the Securities Act of 1933; • Commodities contracts (e.g., foreign exchange and precious metal contracts), includig futres contracts and commodity option contracts, • Smarties on loan to VW Financial Strokes; and • Depose accounts (excel owl if juges of deposit) at ka5 Bak USA, UM AG U.S. branches and banks n the FDIC hsured Deposit Program. We Slit protection and the supplemartal protection do • ot apply to these assets wenifew othewise appear on you statements. The SiC prOliCtian and the supplemental protection do not protect again changes n the market value of you invert/Ms (whether as a result of market movement mean bankruptcy a otherwise). Dividend Reinvestment Programs (DRIP) Th. price rationed it an average price. You may obtain the actual price from you Financial Adviser. On/en/wee shies are purchased under DRIP; pallid shares will be std rd the cash will be deposited in you account. We dividend reiwestment price supplied by the issuer may differ from the mark* price at which the partial shares are sold. Cadvin4eu On& whole unis maybe held in you account. F you are MOS to a panial vat as a result of a dividend payment or otherwise, the Firm will ether sell patiel ranks at market pice or accept an anoint determined by a registered clearing agency, and credit you accost Inveslanent objection the Sestrnert objectives and risk profile are speak to each account and may ray between you- accuses. Please sense the FilbprOrray ih amino of arty significant change in your financial situation or investment objectives. Foe each account held. You choose ate of the following investment objectives: • Produce Current Income- Investments seeking the generation ce income only. • Achieve Capital Appreciation: hvestrnents seeing growth of woo Oatrather than the generation of income. • Produce Combination of Income and Capital Appreciation Investments seekirg both the generation of income and growth of principal. Overall risk profiles • ConsewaM'e. Seeks to nunta'n ntial prixpul, with low Sc and volatiry to We account overall, even if that men the account does not generate signifier* income or reams and may not keep pace wdn inflater. • Moderate: Wiling to accept sane risk to principal and tolerate some volatlity to se* higher returns • Aggressive: Willing to accept high risk to primeval and hit, KIM, to Seek highrelines over tine • Monotone fryibliey Coraidernen: If selected. a portion of the donor* for that asunt may include corrplex strategies, united liquidly and germ voleirky. Statement "household ince We may consoktate d1 tetrad account StateraintS with the same address in the same e.g. because they have owners who also maintain joint account relationships wth other clients at the same ackkess. ef you prefer to receive individual statement mated n separate envelopes, you !My decline householdrg by (Ong yes Financial Advisor Friendly account name The Friendly account name es a customizable 'to:knave' chosen by you to assist you with your recordkeepig. Ns no legal effect on your account, is not intended to reflect any strategy, product recommendation. inestment objective a risk pro/le associated with your accounts and a not a promise a garnet that we*, or any financial results. can or willbe achieved. All irt.Itriliglts involve the risk of loss, ex Lang the risk of loss of the retie investment. Toucan change your Friend& secant names through Online Services or by contacting your Financial Advisor. Account overview • Value of Oaf awoundporttafid Net of assets and liabilities • Assets Includes available cash balances, vakes for restricted security (est), and Global Time Deposes trrealized mats to market and certain assets riot held by the faro. Does not include unpiced securities( assets as the end of the priar and 0.intit statement paw ls. a private investments, invested stock option and wierciubb stock options. • Liable's Melees debit balances, cumandrg margin WM. Credit lie, short accent balances • Cashmoney balances Total 01 uninvested available cash betakes, plus deposit balances at affiliated and •orvallikated hanks, aid money market MAW fUld sweep balances, at the close of the statement period. Nori•CorrroOdry free credit balances in yos account are not segegwed from other balances and to Fern may use any rid these funds in the ordirtay cone of its bins those finds are payable upon your demand. Thes total is ircladed in the anent period closing value. Lending information For detailed iicrmation an the Fm's legeng practices and disclosures, refer to your Client Rolsoonshp Agreement or Account Agwrnent and the General Tams and Conditions Les Statement of Credit Practices available nAgmements and 0ath:cues a zetsw rib tom, men nfrliwkw go. SDNY_GM_00009850 CONFIDENTIAL EFTA01597517 Important information about your statement (continued) Yin assets Vow natement ermines securities and other assets held in the accant a the end of the statement period. You may ask for delneY of fully pad seaMties at anytime. You may receive wastes used as loan tetanal alter pang any balance <Le on them. Am securities ~erred to the film dreg the statement period are listed at market value as of the end of the statement perkd. • Cost bath, ludelmnnirg the cost basis of the se:train included in this statement, where indicated wit the number 'I,' UBS Enantal Senkos has relied on information obtained iron sources ester than LES Financial Strokes, irekxling inonnalion km another Ism or that you ma/hawprovided to you Fnancial Advisor. The Firm does no. indeperdotly verify or garnet the wry cr validity of so nlormalian provided by sources other than LES Financial Services h ackleco, although LESS Financial Strikes gents" testate, this reformation as it is received, the Fem does rot provide any assurances tat the information under -Cost base' ard -Urvealetd gallon' is accurate as of the date of this statement. As such, phase do not rely on tit information bake purchase a sale decisians, for tar purposes a rd nil...Q. Accounts cambered to the finn may ref beet %W West ire °tension only for the period of tine they se herb the Fim. More historical information can be added by year Financial Advisor. • neaten:ad gainsflesses. When data is available, Sensed In-raked ganntosses are cakubted for rdividul security lots. The transaction data for ndff deal bis may or may not reflect canmissims, doges ace security reorgandation tents Dividend and other ?investment lots and systematic PANKOW lots re each combined to dePlaY one averaged lot, The 'Trade date' totempresents the original transaction trade date. • Callable marithes Bonds and preferred stock that the issuer cats for ray redemption wit be selected imparbabe by lot from among al ware« of that 6SLe held in our rase or n nominee name for or clients. Call feature information is obtained from third patties and es accuracy is not guaranteed. Oder all features may exist Moth could affect yield; complete information wit be provided upon relent • Price/value. Pekesdeployed la securities and other produce maybe higher or lower tend* price that you would actually recent in the market. Prim re obtained from various third party sources which we believe to be reliable, but we do not guarantee thee accuracy. — We genera, use eve eking price when available a the mean of the hd and ask prices la listed securities and options «cob, bid prices for OTC sea/Mies. — Less activey traded securities maybe priced using a vabatun model a the most recent peke we aimed and may not reflect an actual market price o vabe. — Cotan positions may appear *Moe a price and will show aspeke was not available if we are unable to *tan a price for a security. — Deposits or searifies denominated n curroxies other tan U.S. dalas re reflected a the exchange rate as of te statement date. — For certain sectrees trading in nonconforming denemhatons. mice argil quantity (lace hake) may have been adjusted to facilitate proper valuation. To obtain current quasi:ens, when haltIe contact your 'mix id Advil«. not reCesa segment the va upon liquidation — Thrd party estimates of value are as of date and are supplied to UBSFinakeal Sentes on a regis basis by an independent valuation firm — issuer, general partnern sponsor estimated vales, il enl, are ~fed to the Firm by the issuer. general partner or sponsor arid may be calculated based on different information from tat used by third panes to derive thee estmaied values. — You can dxain additional infomation regardng the ~hobby& used to determine the estimate of value and te date of tie info-matkin that a the basis for the estimate by contactigyour Financial Ad tor. — Third party estimated makes may be reflected as 'Ng priced' in several etuatkre: when in • dent valuation fem has not supplied a is unable to assign a value when we become aware that a material event has occvrod that may call a presiausbe repotted vala into question, Cr when a value would be highly speculative the to the nature of the security. — When neither an issuer, general partner or sponsor metaled value nar a 0wd•paty estemated value is ponied, the vale of the searity wal be &Inert from as puthaw take — tgrbutcns to date may elude mum of capital, ixome or both — • Orgnal ink size represents the heel offering Price per ont ad may not ref led your cop basis — OPP and united REfr securers are not listed on a national securities octunge and are generally illiquid and even i they can be sold. the price received may be less tan the per spire estmaled value voided in the account statement. • Restricted securities. Restricted secrets genera»), are not orrently eighe la pubic sale UBSFinanoal Services uses the market price of the trrestricted stock of the same issuer a an 'reputed value for the restricted stork for swoons of this dormers only. To te count that restricted sectrities are eligible for sale, te vibe received may be tubstantially ins than the imputed vaks shown. • Private headmen and ~awed products. Private Mesa-nerd securities (exuding dreCt Paehdialen Inward and real estate nvestment trott teturited and structured products are generat' hgtity diceud Certain structeed products haw not been registered with the Securtin and Exchanges Commession or under ary state securities laws. We provide *alienated takes for pinto imminent wanes and structired products for ramnational = oat. Acancy is not guaranteed. valets may differ "-bum ially from prices, any, at which a private nvestment secudya structured product maybe bce4 4 or sold and do you may receive • Est. (estimated) income, current yields and rates. An ennuie of anal i come in bawd on anent divided and nterest rates, assuming the shanties will be hen for cre yea from statement date or until matuney. The estmate is ion bp a guideler; accuracy and continued income are not guaranteed. — Estimated arnual acre wed cement yield for certain types of mashes coed include a return of principal cr septa' gain in which caw the est. income (aid dirndl Welch would be overstated. — Estimated aria name and current yield ad the actual income and yield might be lower or higher than the %tented amounts — An Mims of arnualized income (dividend anda interest) derided by the current mate valearaverage balance is based on the last dividend or merest payment made by the isiver and MIMS* sectabies 1~ will be held for or.. year from the statement date or um' matuity. Accuracy and connued yield se not gavanteett • Assets not held by UBS Pinndal Sodas. Cenan assets are not held by the Fern and not withn the Fern's possession or control. These assels are displayed on you gateman' For reformational purposes only. Positions ad vales presented are provided by te issung fem. UBS f nancial Services is not respamble for this inkerriatm and does not guarantee els '<curry. Thew assets are not protected by SIPC or re Finn's supgernemal 51K coverage. • Rasserve sharing and additional oorrepensation. - h ~ice to recurrent on sales and 12b.l fees recent-O n connedco with the disobson of mutual fads to as clients we andlor or attikate receive revere. sharing ~eras from distrbuton anclor advisors of the nusal KOS Mat we sell. These manta are based on two deferent corriponents: CO the moue of sales by LES of a pancular initial fired f amity Se our clients; and G0 the asset vex of a particular mutual fad family's shares held at te lem. - We ad ow affiliate also receive network rig and melbas goosing fees n consideration for wander agera wares that we provide to the reseal funds Those fees genera/by am paid from investor assets in the ~tun fund and se a ficed dollar xenon based on the nunhood accomts at the bnaterdealer holdng maul funds of tat fund family. - h addition to commissions masked inane/notion with the tale or distrbutm of ~way convicts and emit rnestrnent trust urns to ou slier" we ardor as affiliate f«.?6, ream* sharing ~Madan from many of the nsurance companies underwriting the a-nuity contracts, afffiates o: the instance ~runes or sporron e he unit niestmerd trusts we ditnbute. — h addition to commissions received from the purchase and sale of NectShares hinds we ardor ar affiliate receive an asset-based revenue sharing payment from ~Rum disktmors. as ma as funding for technology development trainig and education. - Our affiliates also receive trading CPTIlliSSiOrd ad other compensation from mutual funds and mutant.* companies whose products we distrbute. - We receive cone ensal ion from UK Brie USA, UM AO Stmt ord Branch. nd nonaffiliated bares through our cash sweep brogans. This anwertialen may be a mean* per account foe or may be a percentage of average daily deposal batman. Activity Information regarding cornmeal:a and other charge incurred in wriest ion with te exoutiOn of trade, includng option transactions has been kluded on confirmations previously furnished lo you, and will be provided to you promptly on regent. Short selling If )CO ar• engaged in short selling a 'suety, you may hour a charge due to certainborrowing costs for that particular astray. Open orders Regarding open or egood.ticarxellecr orders that were not neared by the statement date open buy and tel stop orders re replaced by the mount of &Merck or nghts on an ex. Olden* ix ex-rights date Men instructed otherwise by you. You are reap:amble for orden that are executed due to your failure to cancel existing open orders. Privacy To obtain a copy of ox current Client Privacy Notice, phase corned yam Financial Advise «visit or webs.* at WWW SAS COTTeiVolCVDskv. - U3S Final-Kist Sink", is rot a bark. The RMA. Business Service, Account BSA and AMA are brokerage accounts wench provide access to baring services and products ihr~ avangements with affilifried banks and otter lined-pat, barks, and provides access to nominee and enmity produces issued by unaffiliated thirdparty estate companies trout instare agency subsidiaries of UBSfinancial Services hc. - hvestment, murnid, ad saucy products. - Not FIX insured • No bark guarantee* May base vela - IMA Inouye Management Account Dustless Services Account BSA. IRMA and intonational Resource Manzgemera Account are registered service mats of U3S Frundat Service Inc. - VISA is a registered trademark owned by V/S3 international Service Association and used under Ions., The LOS Via cede cards and te LES Visa debit cards are issued by Ungar* USA with permission from Via U.S.A. Incorpraled. All other oedemata, registered trademarks, service marks ad renewed service marks are of their respective ompanies. UN financial Services Inc Rev. 2O2OO2 SDNY_GM_OOOO9851 CONFIDENTIAL EFTA01597518 SUBS 085 Financial Services Inc Private Wealth Management 299 Park Avenue 26th Floor New York NY 10171-0002 AMP70077353410420 Y1 0 Account name: ELLMAX, LLC Friendly account name: ELLMAX LLC Account number: 23680 SS Your Anandal Advisor. SCOTT STACK MAN/ LYLE CASRIEL Questions aboutyour statement? Cal your Financial Advisor or the ResourceLine at 800-762-1000, account 029023680. Value of your account Business Services Account April 2020 CLIMAX, LLC 139A CHARLES ST APT 233 BOSTON MA 02114-3252 on March 31 (S) on April 30 (S Your assets 0.62 0.62 Visitour website: Your liabilities vvww.i.es.cornifinancialservices Items for your attention Help protect yourself from fraud and review bank, credit card, and brokerage statements regularly. Also, get your free credit report annually from ..wiwannuakreditreport.com. 0.00 0.00 Value of your account $0.62 Tracking the value of your account S Thousands 50.62 87.5 96.2 16.8 11.8 0.0 0.0 00 Dec 2014 Dec 2015 Dec 2016 Dec 2017 Dec 2018 Dec 2019 Ms 2020 Apt 2020 Sources of your account growth during 2020 Value of your xcount at yea end 2019 Your investment return: Change in market value Value of your account onApr XI, 2020 SDNY GM 00009852 30.62 9000 $0.62 Member SIPC m870302000735341 NIMCOC65344 03001 0420 000000000\1236805.50 1:00000 Page 1 of 6 CONFIDENTIAL EFTA01597519 sUBS Business Services Account April 2020 Your account balance sheet Summary of your assets Value on April 30 (1) Percentage of you account A Lash arid money balances 0.62 IC0 00% B Cash alternatives 0.00 0.00% C Equities 0.00 0.00% D Fixed income 0.00 0 00% E Non-traditional 0.00 0 00% F Commodities 0.00 0 00% G Other 0.00 0 00% Total assets $0.62 100.00% Account name: LL_MAX, LLC Friendly account name:lll.MAXLLC Account number Y1 23680 S5 Value of your account S0.62 Your current asset allocation • Eye on the markets YourPinada' Advisor: SCOTT STACKMANLYLE CASRIEL Index Percentage change April 2020 Year to date S&P 5CU 12.82% -9.29% Russell 3000 13.24% -1a42% MSC I - Europe, Australia Be Far East 6.54% -17.66% Barclays Capital U.S Aggregate Bond Index Interest rates on April 30, 2020 3-month Treasuy bills: 0 10% One-month LIBOR: 0 33% 1.78% 4.98% MD70002000735342 NVO;0065344 00001 0420 001X00000 Y123680550 eetigt#1YOM0000989396 2 of 6 CONFIDENTIAL EFTA01597520 sUBS Business Services Account April 2020 Change in the value of your account Account name: Friendly account n ante: EL MAX lLC Account number: r 1 23680 55 April 2020 al Year to date (1) Opening account value $0.62 $0.62 Closing account value 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 you 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. $0,62 $0.62 Your return objective: Current income &capital appreciation Your risk profile: Primary • Moderate Investment eligibility consideration - None selected Your account instructions • Vote account cost basis default closing method is RIO, Arst In, Rrst Out. Your Mnandal Advisor: SCOTT STACK MANLYLE CASRIEL SDNY GM 00009854 AN,70702000735343 NP 344 DOW 0420 008000020 Y123680550 000300 Page 3 of 6 CONFIDENTIAL EFTA01597521 *UBS Your notes ...,002.0.3...00E53..00.6.0.000000,36.50,.. G. 000.,gge 0 of 6 CONFIDENTIAL EFTA01597522 *UBS Business Services Account April 2020 Your assets Account name: EWV1AX,LLC Friendly account name: ELLMAX LLC Account number: Y1 23680 55 Sane prices, income and current vdues shoat, may be appnaanate As a us ult. gams and losses May not be 8CWrarely reflected. See important information about your statement at the end of this document to more Inlomiston. Cash Cash and money balances Your total assets Opening baance Closing barrICe Pace per share Average on Apr 1 Oa on Apt 30 (5) 00 Apr 30 01 rate DoidenO mterest period Your Nnandal Advisor: SCOTT STACKMAP:LYLE CASRift Days in period 0.62 0.62 Value on Apt 30(5) Percentage cl Cost your account basis (5) Estimated annual income (5) Unrealized 9an or losS (5) Cash Cash and money balances 0.62 100.00% 0.62 Total $0.62 100.00% 30.62 SDNY GM 00009856 AtP200020C0735345 OP7OCOOSS344 00031 0420 000000000 Y123680550 0000W Page 5 of 6 CONFIDENTIAL EFTA01597523 *ilBS Your notes ..."O.1000.63.of.00306,3o.C.. 00,0C.00.000,i36.550,,,,, GM 000.fpge 6 of 6 CONFIDENTIAL EFTA01597524 Important information about your statement UE6 Financial Services ht. (the Firm or L€S Financial e a mutter of all prixipal snaky, convey* andoptions exchanges UBS Financial Services and UBS Bank USA are indirect absklaies of 1185 AG and affiliates of LEG Stones U.C. 71* f inn's financial statement is available eon request. the Fire's execute* Offices are at: UBS Finarxial Services Sex. 1200 Harbor Boulevard Weehawken NJ 07086 This statement represents the onbr officialrecord of you. Les Financial Services account. Critter records, /wept official lac documents, contanng confiding data should roe be relied upon. Ilyou be4eve there ban error a ornesion, please report it immediately in twin; to the Branch Manager of the office serving your account. Altough all lives shown re intended to be accurate, statement data shouldnot be used for to purposes. Rey sold/ on yearend lax kerns 6.4., form 1099, 5498, 10425, etc) when preparing your tat return. The Fern 6 redired by law to report to the IRS all taxable dnidords, reportable ma-taxable dividends and laxable interest end on secants hey rerun recant net proceeds on sale tunsactons, and cost basis on erten covered seasities Cconmunications with the Firm • Rene re-corium any oral communkations n writing to further primed your rights, including your rights under the Securities investor Protection Act OSA). • I the fmanc 41 intaution on the icy lett of the Had of this statement isnot Les Financial Services. tEl Financial Services carries your account as clearing baker by aerangement with the indicated Praeution We Wormed you of this relationshb when you opened this accost. In the cases your funds aid seasities are located at UBS Financial Services and rot the nvolaceg broker, rd you mist nuke a report of an/ error a mown to both fns. • As desorbed n the accornt evieents, you must realityus of any *nal or fraud involving checks reflected on put statement with:" 30 days after it was mailed or made mutable. • Please direct custom& carotenes or inzuries to the Finis Client Relations Department at 201.352-1699 a toll-free at 800-354-9103, 8:00 A.M. to 600 P.M. ET Monday through Friday. or in writing to 1.85 f inancul Service IN.. Client Relations Department P.O. Bar 766 Union City, ha 07067. • All statements shall be deemed comp** and accuse 4 not objected to itwaiirng within 60 days • For TFY services: Cal 844412-0986 or from outside the US Call201-352-1495 • In case of errors a cueslions about an electronic lords transfer (UM bill payment or UBS Vide debit cad transactions, cal 800-762-1000. or write to UBS F'nannal Streets Ix., 1000 Harbor Blvd. 61h flOOr. Weehawken, id 07086, Attn: RIMISSA Services. Call or write as Won as you can, 4 you think ma, statement a receipt is wag or e you need more information Seoul a transfer on the sinners a we've The Fern a Card bluer (as appkable) must hear from ycuno later than 60 days after the Firm tent you the fret statement on which the east or pobtem appeared. — Provide you- name ad account number (4 any). — Dew be Ow Of RN or IS trend., you se insure about, and avian as clearly as you can why you believe it is an error a why you MOO more information. — Provide the dolt. amount of the suspected error. The Firma Cad Issuer will investigate yam complaint and will correct ay error premptly for akged errors Solving UBS Visandebi cad transactions 4 we take more than 10 busiest days to do this, we will anti you accord la lho renoun you think is in error. so that you will have the use of the money during the tine it takes us to complete 02 inniligaton. Please make all checks payable lo the Firm or the financial rindul6n indicated on the front of this statement In addition to regular account fees, accounts may be selaret to mantenarce fees charges for late payment for securities purchases and charges fa tread amounts n cash accounts. Accounts that are transferred to other nStiluICOS my be subject to a transfer fee. MS Sweep Options UBS often options for sweepreg cash balances to bark deposit accants at nasal hated banks and affiliated banks and money market mutual funds (Money funds). Deposit accounts at IBS Bat USA and non-affiated banks panicipaing en the UBS FDIC-mused Deposit Program are FDIC-insured it accordance with FDIC rules. For mat Hamel km, plena visit nwm.fde.gay. Deposit accounts at UBS AG Stamford Branch and shares of Money Funds are not nand by the FDIC. Bak deposits ate not protected by WC. Money Find slums ate protected by SIPC See 'MS Filmed Seek*. Accord Protector below. t an you rapist, tames in the bark deposes may be wridrann. ad shares of a Money Fund may be liaidated• end the proceeds retuned to you or you- sectritin account. Father Samson about available sweep options, roludng current interest rates and yields. is avaeable* www.uas comrsweepyields, from yam P nand* Advisor a. by calIng 8C0-762-1000. UN Financial Services account protection The Finn is of the Securein investor Protection Corporation (sro, which protects sea:rein customen of is frherberS up to 1%4000 tindading 5250,000 for clams for cas0 explanatory brochure amiable upon request a at wwwstescorg. The SiC asset protection fires appli to al accounts that you hold in a partkular capathy. The Firm, together with certain athletes, has also purchased supplemental name. The marivsm eanassll payabk to at eligbk dins collective& under this protection is SSOO million as of December 10, 2019. Wane to the policy condiions and lititaicen, cash at the Finn es aster protected fa up to 11.9 minim in tie for at your account held in a particular capacity. A fug copy of the polio; wadng is availitile soon reams. Nether fie SIPC protection nor the supplemental protection appear to: • Certain financial assets controlled by (and ixbded in your account value) but held away from UBS TillterCig Services. For Nam* certain (0 insurance prodals. inducing variable ama(n. and 6i) shares of mie* funds registered in the name of the axon holder on the books of the issuer or transfer egad; • hvestment 0:Orates or mestment interests W.g., Imbed partnerships and private placements) that are not matured under the Securities Act of 1933; • Cannodities convects (e.g., foreign exchange and precious metal contracts). includig 'utast contracts and cornualty opal contracts, • Societies on loan to U85 Ft-uncial Services; and • Depose accounts (except owl if juges of &Pail) at 1.85 Bank USA, UM AG U.S. branches and barks in the FDIC Insured Deposit Progran. The SIPC protection and the suppler/mut protection do not apply to these assets even if they otherwise appear on you statements. The SiC WOLKtion and the supplemental protection do not protect against changes in the maket value of you investments (whether as a result of market movement issuer bankruptcy a otherwise). Dividend Reinvestment Programs (DRIP) Thi price reflected is an average prof You may °blew, the smut price from you Financial Adviser. Only whole shares are purchased under DRIP: Pantie' thaw will be std and the cash wit be deposited in you accost The dmidendreenestment price supplied by the issuer may differ from the mark* price at which Ow partial sham are sold. Cash•intieu Only whole unks maybe held in yaw account. F you are entitled a aomi* inil m a result of a dividend paymenl or otherwise, the Firm will ether sea panel Waif at market p-ice a accept an mart deterrrelvd by a registered <burg agency, and credit you account. Investanent objective, The i'westrnent objeclires and risk profile are specific to each account and may vary between you- accanh. Please arise the frill (WWI* in renting of ay significant change in your financial situation or investment objectives. For each account helot you choose one of the following invntment objectives: • Produce Current Income- Investments *Sig the generation of income only. • Achieve Capital Appreciation: Investments seeking growth of one Pal (Awe than the generation of income. • Procter* Combination of Income and Capital Appreciation Investments seeking both the generation of income and growth of principal. Overall risk prof ilea • Consenweve. Seeks to mantas nelal prin.* with Sc bw and wink to the account overall, even if that mum the secant does not generate signifiers income or reams and may not keep pace web inflation • Moderate: Waling to accept sane risk to principal and tolerate some volality to seek higher returns • Aggresske: Willing to except hit risk to primeval and bit, nob, to seek highMUTH Over time. • franostawnt Welly Conaeleration: If selected a portion of the portfolio for That acorn may include COrnplex strategies, limited liquidly and greater wish*. Statement "bouseltoldiror We may consoMiate d1 related account statements wFh the same address in the same eriveksw• e g. because they have owners who also mantas joie accent relarionships mth other clients at the same acidness. tf you prefer to receive ndividual statements mailed n separate envelopes, yo., May decline househokkg by Clang your Financial Advisor. Friendly account name The Friendly account fume is a customizable 'tn.:knave' chosen by you to assist you with your recordkeming. his no legal effect on your account, is not intended to felled ay strte9Y. Product recceemendanon. imatment objective a risk prof de associated virki you- rau -its. and is not a promise a garnet leat we*, or any I inancia results. can or MI6. achieved. All investment. extant the risk of Ion, nicking the risk of loss of the retie investment. You can change your Bendy account names through Online Services a by contacting your Financial Advisor. Apeman overview • Value of yeas wountIportiofica Net of assets and liabilities • Assets Includes available cash balances, values for restricted security test X and Global Time DIPOSPS, trstalinsi mats 10 market and certain assets rot held by the Fim. Does not nciacie °flatted securitieseassets at the end of the pea and turn stateerent periods. or private ilVOSITOMS, invested gock options and ...tut* stock options. • Saul Nelda debit balances, cutsundrg margin bas. credit lie, short *cant balances • Cashmoney balances Total of uninvested available cash balances, plus deposit balances at affiliated and napallikatecl banks, ad money market naval fund sweep balances, at the close of the statement period. NoniCorrrnOdey free credit balances in yaw *cart ate not segegated from other balances and the Fen may use any rid these funds in the ordinay passe of its tans Mow find, re payable upon your Bernard We total s irpiaded in the anent period closing value. Una* information For *take, information on the Finis lading practices tad disc Mutes refer to your Client Rolatromhp Agreement or Account Agreement and the General Terms and Condition; Les Statement of Credit Practices available in Apeements and Discbsures at www rib conslankarrstranchurros SDNY_GM_00009858 CONFIDENTIAL EFTA01597525 Important information about your statement (continued) Yin assets Vow natement ermines securities and other assets held in the accant a the end of the statement period. You may ask for delneY of fully pad seaMties at anytime. You may receive wastes used as loan tetanal alter pang any balance <Le on them. Am securities ~erred to the film dreg the statement period are listed at market value as of the end of the statement perkd. • Cost bath, ludelmnnirg the cost basis of the se:train included in this statement, where indicated wit the number 'I,' UBS Enantal Senkos has relied on information obtained iron sources ester than LES Financial Strokes, irekxling inonnalion km another Ism or that you ma/hawprovided to you Fnancial Advisor. The Firm does no. indeperdotly verify or garnet the wry cr validity of so nlormalian provided by sources other than LES Financial Services h ackleco, although LESS Financial Strikes gents" testate, this reformation as it is received, the Fem does rot provide any assurances tat the information under -Cost base' ard -Urvealetd gallon' is accurate as of the date of this statement. As such, phase do not rely on tit information bake purchase a sale decisians, for tar purposes a rd nil...Q. Accounts cambered to the finn may ref beet %W West ire °tension only for the period of tine they se herb the Fim. More historical information can be added by year Financial Advisor. • neaten:ad gainsflesses. When data is available, Sensed In-raked ganntosses are cakubted for rdividul security lots. The transaction data for ndff deal bis may or may not reflect canmissims, doges ace security reorgandation tents Dividend and other ?investment lots and systematic PANKOW lots re each combined to dePlaY one averaged lot, The 'Trade date' totempresents the original transaction trade date. • Callable marithes Bonds and preferred stock that the issuer cats for ray redemption wit be selected imparbabe by lot from among al ware« of that 6SLe held in our rase or n nominee name for or clients. Call feature information is obtained from third patties and es accuracy is not guaranteed. Oder all features may exist Moth could affect yield; complete information wit be provided upon relent • Price/value. Pekesdeployed la securities and other produce maybe higher or lower tend* price that you would actually recent in the market. Prim re obtained from various third party sources which we believe to be reliable, but we do not guarantee thee accuracy. — We genera, use eve eking price when available a the mean of the hd and ask prices la listed securities and options «cob, bid prices for OTC sea/Mies. — Less activey traded securities maybe priced using a vabatun model a the most recent peke we aimed and may not reflect an actual market price o vabe. — Cotan positions may appear *Moe a price and will show aspeke was not available if we are unable to *tan a price for a security. — Deposits or searifies denominated n curroxies other tan U.S. dalas re reflected a the exchange rate as of te statement date. — For certain sectrees trading in nonconforming denemhatons. mice argil quantity (lace hake) may have been adjusted to facilitate proper valuation. To obtain current quasi:ens, when haltIe contact your 'mix id Advil«. not reCesa segment the va upon liquidation — Thrd party estimates of value are as of date and are supplied to UBSFinakeal Sentes on a regis basis by an independent valuation firm — issuer, general partnern sponsor estimated vales, il enl, are ~fed to the Firm by the issuer. general partner or sponsor arid may be calculated based on different information from tat used by third panes to derive thee estmaied values. — You can dxain additional infomation regardng the ~hobby& used to determine the estimate of value and te date of tie info-matkin that a the basis for the estimate by contactigyour Financial Ad tor. — Third party estimated makes may be reflected as 'Ng priced' in several etuatkre: when in • dent valuation fem has not supplied a is unable to assign a value when we become aware that a material event has occvrod that may call a presiausbe repotted vala into question, Cr when a value would be highly speculative the to the nature of the security. — When neither an issuer, general partner or sponsor metaled value nar a 0wd•paty estemated value is ponied, the vale of the searity wal be &Inert from as puthaw take — tgrbutcns to date may elude mum of capital, ixome or both — • Orgnal ink size represents the heel offering Price per ont ad may not ref led your cop basis — OPP and united REfr securers are not listed on a national securities octunge and are generally illiquid and even i they can be sold. the price received may be less tan the per spire estmaled value voided in the account statement. • Restricted securities. Restricted secrets genera»), are not orrently eighe la pubic sale UBSFinanoal Services uses the market price of the trrestricted stock of the same issuer a an 'reputed value for the restricted stork for swoons of this dormers only. To te count that restricted sectrities are eligible for sale, te vibe received may be tubstantially ins than the imputed vaks shown. • Private headmen and ~awed products. Private Mesa-nerd securities (exuding dreCt Paehdialen Inward and real estate nvestment trott teturited and structured products are generat' hgtity diceud Certain structeed products haw not been registered with the Securtin and Exchanges Commession or under ary state securities laws. We provide *alienated takes for pinto imminent wanes and structired products for ramnational = oat. Acancy is not guaranteed. valets may differ "-bum ially from prices, any, at which a private nvestment secudya structured product maybe bce4 4 or sold and do you may receive • Est. (estimated) income, current yields and rates. An ennuie of anal i come in bawd on anent divided and nterest rates, assuming the shanties will be hen for cre yea from statement date or until matuney. The estmate is ion bp a guideler; accuracy and continued income are not guaranteed. — Estimated arnual acre wed cement yield for certain types of mashes coed include a return of principal cr septa' gain in which caw the est. income (aid dirndl Welch would be overstated. — Estimated aria name and current yield ad the actual income and yield might be lower or higher than the %tented amounts — An Mims of arnualized income (dividend anda interest) derided by the current mate valearaverage balance is based on the last dividend or merest payment made by the isiver and MIMS* sectabies 1~ will be held for or.. year from the statement date or um' matuity. Accuracy and connued yield se not gavanteett • Assets not held by UBS Pinndal Sodas. Cenan assets are not held by the Fern and not withn the Fern's possession or control. These assels are displayed on you gateman' For reformational purposes only. Positions ad vales presented are provided by te issung fem. UBS f nancial Services is not respamble for this inkerriatm and does not guarantee els '<curry. Thew assets are not protected by SIPC or re Finn's supgernemal 51K coverage. • Rasserve sharing and additional oorrepensation. - h ~ice to recurrent on sales and 12b.l fees recent-O n connedco with the disobson of mutual fads to as clients we andlor or attikate receive revere. sharing ~eras from distrbuton anclor advisors of the nusal KOS Mat we sell. These manta are based on two deferent corriponents: CO the moue of sales by LES of a pancular initial fired f amity Se our clients; and G0 the asset vex of a particular mutual fad family's shares held at te lem. - We ad ow affiliate also receive network rig and melbas goosing fees n consideration for wander agera wares that we provide to the reseal funds Those fees genera/by am paid from investor assets in the ~tun fund and se a ficed dollar xenon based on the nunhood accomts at the bnaterdealer holdng maul funds of tat fund family. - h addition to commissions masked inane/notion with the tale or distrbutm of ~way convicts and emit rnestrnent trust urns to ou slier" we ardor as affiliate f«.?6, ream* sharing ~Madan from many of the nsurance companies underwriting the a-nuity contracts, afffiates o: the instance ~runes or sporron e he unit niestmerd trusts we ditnbute. — h addition to commissions received from the purchase and sale of NectShares hinds we ardor ar affiliate receive an asset-based revenue sharing payment from ~Rum disktmors. as ma as funding for technology development trainig and education. - Our affiliates also receive trading CPTIlliSSiOrd ad other compensation from mutual funds and mutant.* companies whose products we distrbute. - We receive cone ensal ion from UK Brie USA, UM AO Stmt ord Branch. nd nonaffiliated bares through our cash sweep brogans. This anwertialen may be a mean* per account foe or may be a percentage of average daily deposal batman. Activity Information regarding cornmeal:a and other charge incurred in wriest ion with te exoutiOn of trade, includng option transactions has been kluded on confirmations previously furnished lo you, and will be provided to you promptly on regent. Short selling If )CO ar• engaged in short selling a 'suety, you may hour a charge due to certainborrowing costs for that particular astray. Open orders Regarding open or egood.ticarxellecr orders that were not neared by the statement date open buy and tel stop orders re replaced by the mount of &Merck or nghts on an ex. Olden* ix ex-rights date Men instructed otherwise by you. You are reap:amble for orden that are executed due to your failure to cancel existing open orders. Privacy To obtain a copy of ox current Client Privacy Notice, phase corned yam Financial Advise «visit or webs.* at WWW SAS COTTeiVolCVDskv. - U3S Final-Kist Sink", is rot a bark. The RMA. Business Service, Account BSA and AMA are brokerage accounts wench provide access to baring services and products ihr~ avangements with affilifried banks and otter lined-pat, barks, and provides access to nominee and enmity produces issued by unaffiliated thirdparty estate companies trout instare agency subsidiaries of UBSfinancial Services hc. - hvestment, murnid, ad saucy products. - Not FIX insured • No bark guarantee* May base vela - IMA Inouye Management Account Dustless Services Account BSA. IRMA and intonational Resource Manzgemera Account are registered service mats of U3S Frundat Service Inc. - VISA is a registered trademark owned by V/S3 international Service Association and used under Ions., The LOS Via cede cards and te LES Visa debit cards are issued by Ungar* USA with permission from Via U.S.A. Incorpraled. All other oedemata, registered trademarks, service marks ad renewed service marks are of their respective ompanies. UN financial Services Inc Rev. 2O2OO2 SDNY_GM_OOOO9859 CONFIDENTIAL EFTA01597526 SUBS UBS Financial Services Inc Private Wealth Management 299 Park Avenue 26th Floor New York NY 10171-0002 ANP70C07238350520 YI 0 Business Services Account May 2020 ELLMAX, LLC 139A CHARLES ST APT 233 Account name: ELLMAX, LLC BOSTON MA 02114-3252 Friendly account name: ELLMAX LLC Account number: I 1 23680 SS Your Nnandal Advisor. SCOTT STACKMANINIICASRIEL Value of your account Questions about your statement? Cal your Financial Advisor or the Resourcetine at 800-762-1000, account 029023680. on April 30 (5) on May 29 (5) Your assets 0.62 0.62 %tour website: www.ubs.cornOlinancialservices Your liabilities 0.00 0.00 kerns for your attention Value of your account $0.62 $0.62 Help protect yourself from fraud and review bank, credit card, and brokerage statements regularly. Also, get your free credit report annually from vwvw.annuakreditreportcom. Tracking the value of your account S Thousands 87.5 Dec 2014 Dec 1015 96.2 16.8 I I.8 0.0 0.0 00 Dec 7016 Dec 2017 Dec 2019 Dec 2019 am 2020 may 2020 Sources of your account growth during 2020 Value of your xcount at year end 2019 Your investment return. Change in market value Value of your account on May 29. 2020 30.62 5000 SDNY GM 00009860 $0.62 Member SIPC m.70702000723835 NPaNuw599100001 0520 000000000Y123680550 COOOCO Page 1 of 6 CONFIDENTIAL EFTA01597527 *UBS Business Services Account May :1)20 Your account balance sheet Summary of your assets Value on May 29 (1) Percentage of your account A Cash and money balances 0.62 100.00% B Cash alternatives 0.00 0.00% C Equities 0.00 0.00% D Frxed income 0.00 0 00% E Non-traditional 0.00 0 00% F Commodities 0.00 0 00% G Other 0.00 0 00% Total assets Value of your account 90.62 $0.62 100.00% Account name: ELLMAX, LLC Friendly account name: ELLMAX LLC Account number. Vt 23680 S5 Your current asset allocation • A Eye on the markets Your Finandal Advisor: SCOTT STACK MANLYLE CASRIEL Index Percentage change May 2020 Year to date S&P 500 4.76% -4.97% Russell 3000 5.35% -663% MSC I - Europe, Australia & Far East 4.42% -14.03% Barclays Capital U.S. Aggregate Bond Index Interest rates on May 29, 2020 3-month Treasury bills: 0 14% One-month LIBOR: 0.18% 0.47% 5.47% Ate70002000723836 NP7000065891 00001 0520 000000000)023680550 009MY_GM_000098bige 2 of 6 CONFIDENTIAL EFTA01597528 sUBS Business Services Account May 2020 Change in the value of your account Account name: ELIMAX,LLC Friendly account name:ELLMAXLLC Account number: Y1 23680 SS May 2020 (S) Year to date is) Opening account value $0.62 $0.62 Closing account value 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 you Financial Advisor or Branch Manager. You can find a ful description of the alternative investment objectives in important information about your statementat the end of this document. $0.62 $0.62 Your return objective: Current income & capital appreciation Your risk profile: Primary - Moderate Investment eligibility consideration - None selected Your account instructions • Your account cost basis default closing method is RIO, Fist In, First Out. Your Holmdel Advisor: SCOTT STACK MANLYLE CASRIEL SDNY GM 00009862 Atir20Xl2000723837N 891 03031 0520 030300000 Y123680550000000 Page 3 of 6 CONFIDENTIAL EFTA01597529 *UBS Your notes 4,/,(O11040713838 NI70034,589, COM OM COX0L000, 23640$50 c0liftyG,Lommtpoje 4 of 6 CONFIDENTIAL EFTA01597530 SUBS Business Services Account May 2020 Your assets Account name: ELLMAX, LLC Friendly account name:ELLMAX LLC Account number: YI 23680 55 Some prKes, income and current vdues shorn may be approornale. As a itsul6 gains and losses may not be accurately reflected. See Important Information snout your statement a the end of this dCcurne M tOr more Infoimstion. Cash Cash and money balances Your total assets Your Nnandal Advisor: SCOTT STACK MANLYLE CASRIEL Ocering bdenCe Closing baence Pace per share Average DisidenarntereSl Days" on May 1 (5) on Kw 29 (1) on May 29 (1) rate period period 0.62 0.62 Value on May 29 (5) Percentage of Cost )our &count basis (1) Estimated annual incart (5) unrealized gnn or Iva (1) Cash Cash and money balances 0.62 100.00% 0.62 Total $0.62 100.00% $0.62 SDNY GM 00009864 A4,70002003723839 WM00055891 C0001 0520 000000000 Y123680550 COCO® Page S of 6 CONFIDENTIAL EFTA01597531 * UBS Your notes 6. , 000t000,3BWMea0066061000m O6,O6O.6O3OV12361.65O,,,, G. ...ye 6 of 6 . O111..oent fa rant number Y1 23680 . CONFIDENTIAL EFTA01597532 Important information about your statement UE6 Financial Services inc. (the Firma (13S Financial Services), a a mutter of all principal storey, covirnacky andWires excha-ges UBS Manual Services and UBS Bark USA are i-direct absklaies of 1185 AG and affiliates of LEG Searkes U.C. The Firm's financial statement is available Won request. The Firm's execute* offices are at: UBS Marxist Strokes Sex. 1200 Hats Boulevard Weehawken NI 07086 This statement represents the onbr official record of you Les Financial Services account Other records, /wept official tat documents, cleaning coralkting data should not be refed moon. Ilyou beleve there ban error or °motion, please report it immediately in asking to the Branch Manager of the office serving you account. Altough all lions shown re intended to be accurate, statement data shouldnot be used for tat purposes. Rely sole* on yes-end lac kerns, 6.4., form 1099 1498, 10425, no) when preparing your tar return. The Fern is requited by law to report to the IRS all taxable thiclords. reartabb ma-taxable dividends and taxable Serest erred m secaties held n yotr octant net proceeds on sale turoadons, and corn basis on crun cowered seasilies Ccenmunications with the Firm • Neese re-col-Ann any oral cornrrunicaticets n writing to further protect your rights, including your rights under the Securities Mesta Protection Act *SA). • I the &lino irl iwaution on the top lett of the front of this statement isnot Les Financial Services. llIS Financial Services orris your account a clearing tn:ker by arrangement wt the indicated reasAion We Wormed you of this relationshb Met you opened this !Can. In this case your fads awl secuites are located at UBS Financial Services and rot the nrookxrg broker, rd you must make a report of wry error a mason to both f rms. • As descrbed n the account na re...coots. you must noddyus of any *liars or fraud involving checks reflected on your statement with:" 30days after it was mailed a made mutable. • Please direct customer carolers or rkuries to the Film's Client Relations Department at 201.352.1699 a toll-free at 800.354-9103, 8:00 A.M. to 600 P.M ET Monday through Friday. or in writig to 1.85 financial Services erx.. Client Relations Department, P.O. Box 766 Union City, M 07087. • All statements shall be deemed cow*e and atom 4 not objected to nulling within 60 days. • For TIT services: Cal 844412-0986 or from outside the US CO201-332.1495 • le ase of errors or cuestas about an electrak fads transfer (U1), bill payment or UM Visa* debit card transactions, cal 800-2621000 or write to UBS F Le-uncial Services lx., 1000 Harbor Bind, 6th floor. weeharAcon. NI 07086, Atm: RIANEGA Serva4. Call a write as soon as you can, if you think yas statement a recta 6 vra-g or a you need more information about a transfer on the statement a wept. The lam or Card Issue (as appkable) must hear from you no later than 60 days after the Firm sent you the fist statement on which the nor or pobtem appeared. — Provide your name ad accoun number nry. — Dew bete Oita or IS Wander you re inure about, ad eaplin as clearly as you can why you believe h is an error or why you need more information. — Provide the dolls. amount of the suspected error. The Firma Cad Issuer will investigate your complaint and will tarot wry error promptly for atoned errors reviving UBS Vaaedebe cad transactions. 4 we take more than 10 banns days to do this. we will credit your account for the /mount you think is in errs, so that you will have the use of the money during the tine it takes us to complete av rwentigeon. Please make all checks payable to the Finn or the financial onSUILOOrb indicated on the front of this statement. In addition to regular account fees, accounts may be se.bect to mantenerce feet changes for late payment for securities purchases and charges fa tread amounts n cash accosts. Accounts that are transferred to other nstautOnS may be subject to a translw fee. UtS Sweep Options UBS otters options for sweepng cash balances to bark deposit accounts at nernaHauted banks and *Mated banks and money maker moral finds (Money funds). Deposit accounts at IBS Bann USA and non-affiated banks panic:pang ruhe UBS FDIC-ensued Deposit Program are FDIC-inured in accordance with FDIC rubs. Fa net idanratior please vial awnv.fde.ese. Deposit accounts at UBS AG Stamford Branch and shares of Money funds we not re-red by the FDK. Bak deposits., not protected by WC. Money Fad shoves are protected by Slit See -UBS FnnciS Sakes Account Protector below. Upon you acmes, balances in the bark deposes may be wackarm ad shares of a Money Find may be liardated, and the proceeds returned to you or you secuites account. hither neomycin about available sweep options, roludng current interest rates and yields, a avelable* wwwas comes...Nay:Ms, hom you Fnncal Advises a by calIng KO-7621000. UN Financial Services account protection The Firm is a member of the Securcies hest.* Protection Corporation (sro, which protects securaies erosionen of is northern up to 1500,000 (nduding 1250.000 for dams for cash) baslanatory brochure makable upon request a at mew Nocorg. The SWC asset protection tires apply to al scouts that you hold in a particular capacity. The Firm, together will certaM artiates,has also pschawd supplemental insuwict the marirun arrant payable to al eligble dint collective& under this protection a SSOOmillian as of Detente( 10, 2019. Salmi to the potty conditions and lineations, cash a the Fern et further protected For up to 519 million in the aggregate for all your accounts held in a partnaar capacity. A ful copy of the polio; eating is available upon wit. Nether the SIPC protection nor the suoplememal protection appal to: • Certain financial assets controlled by (and ext.:led in you- account realist held away from UBSFintercist Services for example certain (0 insurance prodacts inducing variable aauites. and OD shares of mutual funds registered in the name of the axon holder on the books of the issuer a transfer agerrJ; • hvesunmt contracts or rwestment Swot W.g., Imbed partnerships and private placements) that are not registered under the Securities Act of 1933; • Commodities contracts (e.g., foreign exchange and precious metal contracts), includig futres contracts and commodity option contracts, • Smarties on loan to VW Financial Strokes; and • Depose accounts (excel owl if juges of deposit) at ka5 Bak USA, UM AG U.S. branches and banks n the FDIC hsured Deposit Program. We Slit protection and the supplemartal protection do • ot apply to these assets wenifew othewise appear on you statements. The SiC prOliCtian and the supplemental protection do not protect again changes n the market value of you invert/Ms (whether as a result of market movement mean bankruptcy a otherwise). Dividend Reinvestment Programs (DRIP) Th. price rationed it an average price. You may obtain the actual price from you Financial Adviser. On/en/wee shies are purchased under DRIP; pallid shares will be std rd the cash will be deposited in you account. We dividend reiwestment price supplied by the issuer may differ from the mark* price at which the partial shares are sold. Cadvin4eu On& whole unis maybe held in you account. F you are MOS to a panial vat as a result of a dividend payment or otherwise, the Firm will ether sell patiel ranks at market pice or accept an anoint determined by a registered clearing agency, and credit you accost Inveslanent objection the Sestrnert objectives and risk profile are speak to each account and may ray between you- accuses. Please sense the FilbprOrray ih amino of arty significant change in your financial situation or investment objectives. Foe each account held. You choose ate of the following investment objectives: • Produce Current Income- Investments seeking the generation ce income only. • Achieve Capital Appreciation: hvestrnents seeing growth of woo Oatrather than the generation of income. • Produce Combination of Income and Capital Appreciation Investments seekirg both the generation of income and growth of principal. Overall risk profiles • ConsewaM'e. Seeks to nunta'n ntial prixpul, with low Sc and volatiry to We account overall, even if that men the account does not generate signifier* income or reams and may not keep pace wdn inflater. • Moderate: Wiling to accept sane risk to principal and tolerate some volatlity to se* higher returns • Aggressive: Willing to accept high risk to primeval and hit, KIM, to Seek highrelines over tine • Monotone fryibliey Coraidernen: If selected. a portion of the donor* for that asunt may include corrplex strategies, united liquidly and germ voleirky. Statement "household ince We may consoktate d1 tetrad account StateraintS with the same address in the same e.g. because they have owners who also maintain joint account relationships wth other clients at the same ackkess. ef you prefer to receive individual statement mated n separate envelopes, you !My decline householdrg by (Ong yes Financial Advisor Friendly account name The Friendly account name es a customizable 'to:knave' chosen by you to assist you with your recordkeepig. Ns no legal effect on your account, is not intended to reflect any strategy, product recommendation. inestment objective a risk pro/le associated with your accounts and a not a promise a garnet that we*, or any financial results. can or willbe achieved. All irt.Itriliglts involve the risk of loss, ex Lang the risk of loss of the retie investment. Toucan change your Friend& secant names through Online Services or by contacting your Financial Advisor. Account overview • Value of Oaf awoundporttafid Net of assets and liabilities • Assets Includes available cash balances, vakes for restricted security (est), and Global Time Deposes trrealized mats to market and certain assets riot held by the faro. Does not include unpiced securities( assets as the end of the priar and 0.intit statement paw ls. a private investments, invested stock option and wierciubb stock options. • Liable's Melees debit balances, cumandrg margin WM. Credit lie, short accent balances • Cashmoney balances Total 01 uninvested available cash betakes, plus deposit balances at affiliated and •orvallikated hanks, aid money market MAW fUld sweep balances, at the close of the statement period. Nori•CorrroOdry free credit balances in yos account are not segegwed from other balances and to Fern may use any rid these funds in the ordirtay cone of its bins those finds are payable upon your demand. Thes total is ircladed in the anent period closing value. Lending information For detailed iicrmation an the Fm's legeng practices and disclosures, refer to your Client Rolsoonshp Agreement or Account Agwrnent and the General Tams and Conditions Les Statement of Credit Practices available nAgmements and 0ath:cues a zetsw rib tom, men nfrliwkw go. SDNY_GM_00009866 CONFIDENTIAL EFTA01597533 Important information about your statement (continued) Yam assets Vow statement ermines securities and other assets held in the accant a the end of the sinners period. You may ask for delivery of fully pad seonties at any the. You may receive weenies used as loan cobtoal alter pining any balance due on them. Ary securities transferred to the fern during the statement period are listed at market value as of the end of the statement perfid. • Cost best. lu detennning the cost basis of the securities included in this statement where indicated wit the nurrbo UBS F narcial Sorkin has rebid on information obtained Irons sources oter than LES financial Strokes, eckxling blonnalion from another Ism or that you may have «aided to you Fnancial Advisor. The Finn does not indeperdoey nerdy a garnet the wry a validity of ay *lamalim provided by sofas other than LES Fisuoxial Services. ackliion, although LESS Financial Strikes genera* gmlates this reformation as it is received, the fem does rot provide ay assurarces tat the idormation under -Cost bases rd 'Unrealced gad loss' is accurate as of the date of this stammers. As such, please do not rely on this information to make purchase a sale decisions, for tar purposes « Mlles wir. Accounts transferred to the finn may ref tot gardloss information only for the period of tine they se held x the Fim. More historical information can be added by your Financial Advisor. • Uesealited gainsileases. When data is available, Sinned sneaked gandlosses re calculated for rdividal security lots. The transaction data for individual bh may or mynt reflect canmisstres. mages aria security norganintion ewers. Dividend and other ?investment lots and systematic purchase lois re each combined to display one averaged lot. The 'Trade date' coknin presents the original transaction trade date. • Callable markless Bonds and peel erred stock that the issuer calls for eery redemption wilt selected impanialy by lot from among al ware« of that ass* held in our none a in nominee name for ar clients. Call feature information is obtaned from third parties and es accuracy is not guaranteed. Odon all features may east which could affect yield; complete information will be provided upon request • Priem/value. Prkesdeplayed la securities and other prod ects maybe higher or lower than** price that you would actually receive in the market. Prims re obtained from various third party sources whit we believe to be reliable, an we do not guarantee thee accuracy. — We genera/ use he eking price when anibbk a he mean of the bd and ask prices fa listed securities td options «coy bid prices for OTC securities. — Less activeytrackd securities maybe priced using a what«. model a the most recent peke we obtaned and may not reflect an actual market price ale. — Certan potions may appear *Mae a price and will tow aspeke was not available if we are unable to obtain a price for a security. — Deposits a securities cknomiuted n currencies other than U.S. dollars re reflected at the excharge rate as of the statement date. — For certain sectsiies trading in non-conforming densamnehons, price and quantity (lace rake) may have been adjusted to facilitate proper valuation. To obtain current quotations, when 4,412>k. contact your hunch Advil«. n°1 necessary normers the va upon liquidation, — Thrd party estimbes of value are as of a certain date and are supplied to UBSFnaxial Sentes ona rears basis by an independent valuation firm — Bluer, general partner as spot« estimated vetoes, if sib are ~lied to fie Firnber the issuer, general partner or sponsor arid may be tabulated based on different information from tat used by third panes to derive *air etiolated yaks,. — You can etuin additional information regarding the melhodobigy used to determine the estimate of value and the date of tie information that is the basis for the estimate by contactigyour Financial Adios. — Third party estimated values may bereflected as 'Not priced' in several situations: when an • dent valuation lam has not supplied a is unable to assign a value when we become aware that a material cant has occvrod that may call a peennusy reported val.* into question, a when a value, would be highly spoulatme the to the nature of the security. — When nester an issuer, general partner or sponsor estertatod value nor a Owl-party estimated value is ponied, the vale of the searity wal be Mere« from as purchase Prins — tiarbutons to date' May «ludo rerun of capital, income or both — • Orgnal unit site represent the ntial offering Vice per unit ad may not ref ten your cot basis — DPP and unlisted RUT securities are rot listed on a national securities ndunge and are generally illiquid and even i they can be sold. the price tamed may be less tun the per spire estmaled value prodded in the scours statement. • Restricted securities. Restricted secuties generate)/ are not ansently elgbk fas pubk sale LOS Financial Services uses the market price of the urresOcted stod of the same issuer as an imputed value fa the restricted stock for purposes of this statement only. To he extent that restricted securities are ebgbk for sate the vats received may be substantially less than the maned value shorn. • Private inverrnenu end ~awed products. Private rivesVnerd securites (ixbdeng drect POTtiCkarias Program and real estate investment tat securers) and steamed products are genera/ay hgtry &cud Certain structuredproducts have not been registered wah the Securities and Exchange Commission or under ary state securities laws. We provide estimated values for prince imminent monies and structured products for attinaliceral = ordy. Acaracy is not guaranteed. vibes mgdiffer substantially from prices, any, at which a private nvestment secudyor structured product maybe bouisl or sold and do you may receive • Est (estimated) income, anent yields and rates. An a:Smarr of snot exam is bawd on staren drsidrid and nterest rates, assuming the securities will be held for cre yea from statement date or until matvy. This *agnate is only a guidekne; accuracy and continued income are not guaranteed. — Estimated taut *come wed care« yield for certain types of stashes could include a rename of Principal a capital gains in which case the est. income (aid can yieto would be overstated. — Estimated a-nual income and current yield and the actual inctme and yield milts be lower a higher than the estimated amounts. — An *sterns of a-nualized *come (dividend arda interest) derided by the current mate valoaraverage balance is based on the last dividend or merest payment made by the issuer and ormmes e deposes will be held for ore year from the statement date or unto maturity. Accuracy and corned yield are not guaranteed. • Assets not held by UN Finredd Services. Cenan assets are nor held by the Fin, and not within the lams possession or control. Then assets are displayed on you statement foe reformational purposes only. Positions and vales presented se provided by te isung UBS f nancial Services is not respatiale for this iretarnaton aid does not guarantee ils accuracy. Thew assets are not protected by SIPC or the fists sablernemal 51K coverage. • Ravarara sharing and additional compensation. - h ~ice to a:amiss:3ns on sales and 12b.l fees roared n connect on rah the destitution of mutual funds co as clients we ardor or atfiLate receive revere. tang ~ern frees disobuton sidor advisors of the maul funds that we sell These amounts se based on two drferem correpoents: CO the amen of sales by LES of a partoular enamel fund f amity X. our clients; and G0 the and vabe of a particular mutual fund family, shares held at the fern. - We and our affiliate also receive networking and cmnbus pransrg fees n consideration la transfer eager* services that we provide to the mutual furds. Rion fees antra* am paid from investor asset in the mutualfad and ere a feud dollar amount based on the number of amounts at the broker-dealer holding ~seal funds of tat Ind Insy. - h acKtion to commissions received inc.:motion with the sale or distrbuton of airway tontratt and unit rnestrnent trust snes to our diet, we ancla at affiliate receive untrue sharing compensation from nay of the monoe companies underwriting the a-nuity contracts, af illates o: the Maxim companies or spontan of he unit enestmers trusts we dimbute. - h eclInka to commissions received from the purchase and sale of NextShares lundk we ardor our affiliate receive an asset-based revenue sharing payment from ~Shares databulors, as wed as funding for technology development trainig ad education. — Our affiliates also receive trading CiaTtniSSiOrKand other compensation from mutual funds and Murano* companies whose products we &If bute. - We receive oxrcemai ion from vas Berk USA UM AO Stan( *id Branch and twirl dieted bras through our cash sweeP1207~. This angensatim may he per accoune fee a may be a percentage of average daily deposit balsas. Activity Irritation regarding cornmeal:re and Mhos Marrs (loured in «resection with the execution of trades, includng col ion transactions has been included on confirmations previously furnished lo you, and will be provided to you ~lb' on ~ I s Short setting If you ae engaged en short ailing a security. you may bout a charge due to anan barowng costs fa that palicula sienrity. Open orders Regarding open or socodlitcancellee ceders that were not execaed by the summers dar open buy and sea stop ceders se reduced by the mount of driedends or right on an ex.dnAlerit or ex-rights date unless instructed otherwise by you. You ae responsble for orders that ate executed cis to yaw lekte to cancel sating q:en atlas. Privacy To obtain a copy of ox anent Client Privacy Notice, please taxan sir Francis/ Advisor a mest as Mini% at "wive obs COAVDeiViCV004CV. — 1.85 Financial Stryker is rot a bark. The RMA, Business Services Account BSA and IRMA are brokerage scans which provide access to barking senates aid pedals IMaxjt arrangements with affiliated banks and other Ihrdparty barks, and provides access to insurance and annety goduns issued by unaffiliated thirdparty insurance companies trout instance seem subsidiaries of UM Financial Services tt. — hvesvnent, ruin*, ad arnuey predicts: — Not FDIC insured • No bark guarantee. May lose vale — IMA. Resat« Management Account Dulness Services Account BSA, IRMA and international Resource Management Account re registered service mats of LBS tumid Services INC — YTS/Size registered tedemalc owned by Vila htematianal Service Association and used under keno. The LES Via Creistl cads and the LES Visa debit cads se issued by LBS Bark USA with permission from Via U.S.A. Incorpraled. All other oedemata, registered trademarks, serrke mats ad registered service marks se of their respective ~pines. UN financial Services Inc Rev. 202002 SDNY_GM_00009887 CONFIDENTIAL EFTA01597534 SUBS U8S Financial Services Inc. Private Wealth Management 299 Park Avenue 26th Floor New York NY 10171-0002 AMP7001124643 0620X123 Y1 0 Account name: ELLMAX, LLC Friendly account name: ELLMAX LLC Account number: 1 23680 SS Your Nnandal Advisor. SCOTT STACK MANILYLE CASRIEL Questions about your statement? Cal your Financial Advisor or the Resourceline at 800-762-1000, account 029023680. Value of your account Business Services Account June 2020 ELLMAX, LLC 139A CHARLES ST APT 233 BOSTON MA 02114-3252 on May 29 (S) on lune 30 (3) Your assets 0.62 0.62 Visit our vvebsite: Your liabilities wesw. .ubs.comi financialservices Items for your attention Help protect yourself from fraud and review bank. credit card, and brokerage statements regularly. Also, get your free credit report annually from Lvtvw.annuakreditreportcom. 0.00 0.00 Value of your account $0.62 Tracking the value of your account s Thousands $0.62 87.5 Dec 2014 Dec 2015 96.2 168 11.8 0.0 0.0 00 Dec 2016 Dec 2017 Dec 2018 Dec 2019 May 2020 Jun 2020 Sources of your account growth during 2020 Value of your account at year end 2019 Your investment return. Change in market value Value of your account on Jun 30, 2020 30.62 SDNY GM 00009868 3000 60.62 Member SIPC MCO2103001124643 N2970012367000031 0620 000200000 Y123680550111000 Page 1 of 6 CONFIDENTIAL EFTA01597535 SUBS Business Services Account lune 2020 Your account balance sheet Summary of your assets Value on lune 30 a) Account name: CLLMAX, LLC Friendly account name: CLIMAX LLC Account number. Y1 23680 S5 Percentage of your account A cash and money balances 0.62 1 00 00% B Cash alternatives 0.00 0.00% C Equines 0.00 0.00% D Fixed income 0.00 0 00% E Non-traditional 0.00 0 00% F Commodities 0.00 0 00% G Other 0.00 0 00% Total assets 30.62 100.00% Value of your account $0.62 Your current asset allocation • A Eye on the markets Your Finasdal Advisor: SCOTT STACK MAIILYLE CASRIEL Index Percentage change lune 2020 Year to date S&P 500 1.99% -3.08% Russell 3000 2.29% -3.48% MSC I - Europe, Australia & Far East 3.44% -11.07% Barclays Capital U.S Aggregate Bond Index Interest rates on June 30, 2020 3-month Treasury bills: 0 14% One-month LIBOR: 0 16% 0.63% 6.14% ate700030ot12464-4 hirmoo: 2367o 00001 C620 C0CC000oo Y12368055011 OFIYGM0000986%1P 2 of 6 CONFIDENTIAL EFTA01597536 SUBS Business Services Account June 2020 Change in the value of your account Account name: ELLMAX,LLC Friendly account name:ELtMAXILC Account number: Y1 23680 55 line 20201f) Year to date a) Opening account value 10.62 $0.62 Closing account value 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 statementat the end of this document. $0.62 $0.62 Your return objective: Current income & capital appreciation Your :risk profile: Primary - Moderate Investment eligibility consideration - None selected Your account instructions • Your account cost basis default closing method is FIFO, First In, First Out. Your Nnandal Advisor: SCOTT STACK MANLYLE CASRIEL SDNY GM 00009870 ANP70303001124645 NP7000123670 00001 0620 008030000Y123680550 111000 Page 3 of 6 CONFIDENTIAL EFTA01597537 *ilF1S Your notes C.<0.000, i3660SSO ng, GM 000.... 0 of 6 CONFIDENTIAL EFTA01597538 S UBS Business Services Account lune 2020 Your assets Account name: CLIMAX, LLC Friendly account name: ELLMAX LLC Account number: r I 23680 55 Some prices, income and current vdues shoem may be apt:motor/nate. As a 'MR. gains and losses cll.,/ no be accurately reflected. See important information about your statement a the end of this documeM for more InIcematon. Cash Cash and money balances Your total assets Cash Total Goering baaxe Closiog badice Peet per Share Average on tun 1 (t) on tun 30(1) on Jun 30(1) rate Doldend Interest period Your Nnandal Advisor: SCOTT STACK MAIILYLE CASRIEL Days in period 0.62 0.62 value on tun 30 (1) Percentage al Cost your account basis (S) Esti mated annual income (1) Unrealized 9an or loss (S) Cash and money balances 0.62 100.00% 0.62 30.62 100.00% $0.62 SDNY GM 00009872 Atin70003001124647 n8708012367000031 06200f10030000 YI 23680550 1110030 Page S of 6 CONFIDENTIAL EFTA01597539 *UBS Your notes /M7%03001.60 Nr/003, 23670 C0M C620 C0C000000,23680550 II NyjNy_Gmi,,,,,ISge 6 of 6 End of statement far account number YI 23680 S5 CONFIDENTIAL EFTA01597540 Important information about your statement UE6 Financial Services ht. (the Firm or L€S Financial e a mutter of all prixipal snaky, convey* andoptions exchanges UBS Financial Services and UBS Bank USA are indirect absklaies of 1185 AG and affiliates of LEG Stones U.C. 71* f inn's financial statement is available eon request. the Fire's execute* Offices are at: UBS Finarxial Services Sex. 1200 Harbor Boulevard Weehawken NJ 07086 This statement represents the onbr officialrecord of you. Les Financial Services account. Critter records, /wept official lac documents, contanng confiding data should roe be relied upon. Ilyou be4eve there ban error a ornesion, please report it immediately in twin; to the Branch Manager of the office serving your account. Altough all lives shown re intended to be accurate, statement data shouldnot be used for to purposes. Rey sold/ on yearend lax kerns 6.4., form 1099, 5498, 10425, etc) when preparing your tat return. The Fern 6 redired by law to report to the IRS all taxable dnidords, reportable ma-taxable dividends and laxable interest end on secants hey rerun recant net proceeds on sale tunsactons, and cost basis on erten covered seasities Cconmunications with the Firm • Rene re-corium any oral communkations n writing to further primed your rights, including your rights under the Securities investor Protection Act OSA). • I the fmanc 41 intaution on the icy lett of the Had of this statement isnot Les Financial Services. tEl Financial Services carries your account as clearing baker by aerangement with the indicated Praeution We Wormed you of this relationshb when you opened this accost. In the cases your funds aid seasities are located at UBS Financial Services and rot the nvolaceg broker, rd you mist nuke a report of an/ error a mown to both fns. • As desorbed n the accornt evieents, you must realityus of any *nal or fraud involving checks reflected on put statement with:" 30 days after it was mailed or made mutable. • Please direct custom& carotenes or inzuries to the Finis Client Relations Department at 201.352-1699 a toll-free at 800-354-9103, 8:00 A.M. to 600 P.M. ET Monday through Friday. or in writing to 1.85 f inancul Service IN.. Client Relations Department P.O. Bar 766 Union City, ha 07067. • All statements shall be deemed comp** and accuse 4 not objected to itwaiirng within 60 days • For TFY services: Cal 844412-0986 or from outside the US Call201-352-1495 • In case of errors a cueslions about an electronic lords transfer (UM bill payment or UBS Vide debit cad transactions, cal 800-762-1000. or write to UBS F'nannal Streets Ix., 1000 Harbor Blvd. 61h flOOr. Weehawken, id 07086, Attn: RIMISSA Services. Call or write as Won as you can, 4 you think ma, statement a receipt is wag or e you need more information Seoul a transfer on the sinners a we've The Fern a Card bluer (as appkable) must hear from ycuno later than 60 days after the Firm tent you the fret statement on which the east or pobtem appeared. — Provide you- name ad account number (4 any). — Dew be Ow Of RN or IS trend., you se insure about, and avian as clearly as you can why you believe it is an error a why you MOO more information. — Provide the dolt. amount of the suspected error. The Firma Cad Issuer will investigate yam complaint and will correct ay error premptly for akged errors Solving UBS Visandebi cad transactions 4 we take more than 10 busiest days to do this, we will anti you accord la lho renoun you think is in error. so that you will have the use of the money during the tine it takes us to complete 02 inniligaton. Please make all checks payable lo the Firm or the financial rindul6n indicated on the front of this statement In addition to regular account fees, accounts may be selaret to mantenarce fees charges for late payment for securities purchases and charges fa tread amounts n cash accounts. Accounts that are transferred to other nStiluICOS my be subject to a transfer fee. MS Sweep Options UBS often options for sweepreg cash balances to bark deposit accants at nasal hated banks and affiliated banks and money market mutual funds (Money funds). Deposit accounts at IBS Bat USA and non-affiated banks panicipaing en the UBS FDIC-mused Deposit Program are FDIC-insured it accordance with FDIC rules. For mat Hamel km, plena visit nwm.fde.gay. Deposit accounts at UBS AG Stamford Branch and shares of Money Funds are not nand by the FDIC. Bak deposits ate not protected by WC. Money Find slums ate protected by SIPC See 'MS Filmed Seek*. Accord Protector below. t an you rapist, tames in the bark deposes may be wridrann. ad shares of a Money Fund may be liaidated• end the proceeds retuned to you or you- sectritin account. Father Samson about available sweep options, roludng current interest rates and yields. is avaeable* www.uas comrsweepyields, from yam P nand* Advisor a. by calIng 8C0-762-1000. UN Financial Services account protection The Finn is of the Securein investor Protection Corporation (sro, which protects sea:rein customen of is frherberS up to 1%4000 tindading 5250,000 for clams for cas0 explanatory brochure amiable upon request a at wwwstescorg. The SiC asset protection fires appli to al accounts that you hold in a partkular capathy. The Firm, together with certain athletes, has also purchased supplemental name. The marivsm eanassll payabk to at eligbk dins collective& under this protection is SSOO million as of December 10, 2019. Wane to the policy condiions and lititaicen, cash at the Finn es aster protected fa up to 11.9 minim in tie for at your account held in a particular capacity. A fug copy of the polio; wadng is availitile soon reams. Nether fie SIPC protection nor the supplemental protection appear to: • Certain financial assets controlled by (and ixbded in your account value) but held away from UBS TillterCig Services. For Nam* certain (0 insurance prodals. inducing variable ama(n. and 6i) shares of mie* funds registered in the name of the axon holder on the books of the issuer or transfer egad; • hvestment 0:Orates or mestment interests W.g., Imbed partnerships and private placements) that are not matured under the Securities Act of 1933; • Cannodities convects (e.g., foreign exchange and precious metal contracts). includig 'utast contracts and cornualty opal contracts, • Societies on loan to U85 Ft-uncial Services; and • Depose accounts (except owl if juges of &Pail) at 1.85 Bank USA, UM AG U.S. branches and barks in the FDIC Insured Deposit Progran. The SIPC protection and the suppler/mut protection do not apply to these assets even if they otherwise appear on you statements. The SiC WOLKtion and the supplemental protection do not protect against changes in the maket value of you investments (whether as a result of market movement issuer bankruptcy a otherwise). Dividend Reinvestment Programs (DRIP) Thi price reflected is an average prof You may °blew, the smut price from you Financial Adviser. Only whole shares are purchased under DRIP: Pantie' thaw will be std and the cash wit be deposited in you accost The dmidendreenestment price supplied by the issuer may differ from the mark* price at which Ow partial sham are sold. Cash•intieu Only whole unks maybe held in yaw account. F you are entitled a aomi* inil m a result of a dividend paymenl or otherwise, the Firm will ether sea panel Waif at market p-ice a accept an mart deterrrelvd by a registered <burg agency, and credit you account. Investanent objective, The i'westrnent objeclires and risk profile are specific to each account and may vary between you- accanh. Please arise the frill (WWI* in renting of ay significant change in your financial situation or investment objectives. For each account helot you choose one of the following invntment objectives: • Produce Current Income- Investments *Sig the generation of income only. • Achieve Capital Appreciation: Investments seeking growth of one Pal (Awe than the generation of income. • Procter* Combination of Income and Capital Appreciation Investments seeking both the generation of income and growth of principal. Overall risk prof ilea • Consenweve. Seeks to mantas nelal prin.* with Sc bw and wink to the account overall, even if that mum the secant does not generate signifiers income or reams and may not keep pace web inflation • Moderate: Waling to accept sane risk to principal and tolerate some volality to seek higher returns • Aggresske: Willing to except hit risk to primeval and bit, nob, to seek highMUTH Over time. • franostawnt Welly Conaeleration: If selected a portion of the portfolio for That acorn may include COrnplex strategies, limited liquidly and greater wish*. Statement "bouseltoldiror We may consoMiate d1 related account statements wFh the same address in the same eriveksw• e g. because they have owners who also mantas joie accent relarionships mth other clients at the same acidness. tf you prefer to receive ndividual statements mailed n separate envelopes, yo., May decline househokkg by Clang your Financial Advisor. Friendly account name The Friendly account fume is a customizable 'tn.:knave' chosen by you to assist you with your recordkeming. his no legal effect on your account, is not intended to felled ay strte9Y. Product recceemendanon. imatment objective a risk prof de associated virki you- rau -its. and is not a promise a garnet leat we*, or any I inancia results. can or MI6. achieved. All investment. extant the risk of Ion, nicking the risk of loss of the retie investment. You can change your Bendy account names through Online Services a by contacting your Financial Advisor. Apeman overview • Value of yeas wountIportiofica Net of assets and liabilities • Assets Includes available cash balances, values for restricted security test X and Global Time DIPOSPS, trstalinsi mats 10 market and certain assets rot held by the Fim. Does not nciacie °flatted securitieseassets at the end of the pea and turn stateerent periods. or private ilVOSITOMS, invested gock options and ...tut* stock options. • Saul Nelda debit balances, cutsundrg margin bas. credit lie, short *cant balances • Cashmoney balances Total of uninvested available cash balances, plus deposit balances at affiliated and napallikatecl banks, ad money market naval fund sweep balances, at the close of the statement period. NoniCorrrnOdey free credit balances in yaw *cart ate not segegated from other balances and the Fen may use any rid these funds in the ordinay passe of its tans Mow find, re payable upon your Bernard We total s irpiaded in the anent period closing value. Una* information For *take, information on the Finis lading practices tad disc Mutes refer to your Client Rolatromhp Agreement or Account Agreement and the General Terms and Condition; Les Statement of Credit Practices available in Apeements and Discbsures at www rib conslankarrstranchurros SDNY_GM_00009874 CONFIDENTIAL EFTA01597541 Important information about your statement (continued) Yam assets Vow statement ermines securities and other assets held in the accant a the end of the sinners period. You may ask for delivery of fully pad seonties at any the. You may receive weenies used as loan cobtoal alter pining any balance due on them. Ary securities transferred to the fern during the statement period are listed at market value as of the end of the statement perfid. • Cost best. lu detennning the cost basis of the securities included in this statement where indicated wit the nurrbo UBS F narcial Sorkin has rebid on information obtained Irons sources oter than LES financial Strokes, eckxling blonnalion from another Ism or that you may have «aided to you Fnancial Advisor. The Finn does not indeperdoey nerdy a garnet the wry a validity of ay *lamalim provided by sofas other than LES Fisuoxial Services. ackliion, although LESS Financial Strikes genera* gmlates this reformation as it is received, the fem does rot provide ay assurarces tat the idormation under -Cost bases rd 'Unrealced gad loss' is accurate as of the date of this stammers. As such, please do not rely on this information to make purchase a sale decisions, for tar purposes « Mlles wir. Accounts transferred to the finn may ref tot gardloss information only for the period of tine they se held x the Fim. More historical information can be added by your Financial Advisor. • Uesealited gainsileases. When data is available, Sinned sneaked gandlosses re calculated for rdividal security lots. The transaction data for individual bh may or mynt reflect canmisstres. mages aria security norganintion ewers. Dividend and other ?investment lots and systematic purchase lois re each combined to display one averaged lot. The 'Trade date' coknin presents the original transaction trade date. • Callable markless Bonds and peel erred stock that the issuer calls for eery redemption wilt selected impanialy by lot from among al ware« of that ass* held in our none a in nominee name for ar clients. Call feature information is obtaned from third parties and es accuracy is not guaranteed. Odon all features may east which could affect yield; complete information will be provided upon request • Priem/value. Prkesdeplayed la securities and other prod ects maybe higher or lower than** price that you would actually receive in the market. Prims re obtained from various third party sources whit we believe to be reliable, an we do not guarantee thee accuracy. — We genera/ use he eking price when anibbk a he mean of the bd and ask prices fa listed securities td options «coy bid prices for OTC securities. — Less activeytrackd securities maybe priced using a what«. model a the most recent peke we obtaned and may not reflect an actual market price ale. — Certan potions may appear *Mae a price and will tow aspeke was not available if we are unable to obtain a price for a security. — Deposits a securities cknomiuted n currencies other than U.S. dollars re reflected at the excharge rate as of the statement date. — For certain sectsiies trading in non-conforming densamnehons, price and quantity (lace rake) may have been adjusted to facilitate proper valuation. To obtain current quotations, when 4,412>k. contact your hunch Advil«. n°1 necessary normers the va upon liquidation, — Thrd party estimbes of value are as of a certain date and are supplied to UBSFnaxial Sentes ona rears basis by an independent valuation firm — Bluer, general partner as spot« estimated vetoes, if sib are ~lied to fie Firnber the issuer, general partner or sponsor arid may be tabulated based on different information from tat used by third panes to derive *air etiolated yaks,. — You can etuin additional information regarding the melhodobigy used to determine the estimate of value and the date of tie information that is the basis for the estimate by contactigyour Financial Adios. — Third party estimated values may bereflected as 'Not priced' in several situations: when an • dent valuation lam has not supplied a is unable to assign a value when we become aware that a material cant has occvrod that may call a peennusy reported val.* into question, a when a value, would be highly spoulatme the to the nature of the security. — When nester an issuer, general partner or sponsor estertatod value nor a Owl-party estimated value is ponied, the vale of the searity wal be Mere« from as purchase Prins — tiarbutons to date' May «ludo rerun of capital, income or both — • Orgnal unit site represent the ntial offering Vice per unit ad may not ref ten your cot basis — DPP and unlisted RUT securities are rot listed on a national securities ndunge and are generally illiquid and even i they can be sold. the price tamed may be less tun the per spire estmaled value prodded in the scours statement. • Restricted securities. Restricted secuties generate)/ are not ansently elgbk fas pubk sale LOS Financial Services uses the market price of the urresOcted stod of the same issuer as an imputed value fa the restricted stock for purposes of this statement only. To he extent that restricted securities are ebgbk for sate the vats received may be substantially less than the maned value shorn. • Private inverrnenu end ~awed products. Private rivesVnerd securites (ixbdeng drect POTtiCkarias Program and real estate investment tat securers) and steamed products are genera/ay hgtry &cud Certain structuredproducts have not been registered wah the Securities and Exchange Commission or under ary state securities laws. We provide estimated values for prince imminent monies and structured products for attinaliceral = ordy. Acaracy is not guaranteed. vibes mgdiffer substantially from prices, any, at which a private nvestment secudyor structured product maybe bouisl or sold and do you may receive • Est (estimated) income, anent yields and rates. An a:Smarr of snot exam is bawd on staren drsidrid and nterest rates, assuming the securities will be held for cre yea from statement date or until matvy. This *agnate is only a guidekne; accuracy and continued income are not guaranteed. — Estimated taut *come wed care« yield for certain types of stashes could include a rename of Principal a capital gains in which case the est. income (aid can yieto would be overstated. — Estimated a-nual income and current yield and the actual inctme and yield milts be lower a higher than the estimated amounts. — An *sterns of a-nualized *come (dividend arda interest) derided by the current mate valoaraverage balance is based on the last dividend or merest payment made by the issuer and ormmes e deposes will be held for ore year from the statement date or unto maturity. Accuracy and corned yield are not guaranteed. • Assets not held by UN Finredd Services. Cenan assets are nor held by the Fin, and not within the lams possession or control. Then assets are displayed on you statement foe reformational purposes only. Positions and vales presented se provided by te isung UBS f nancial Services is not respatiale for this iretarnaton aid does not guarantee ils accuracy. Thew assets are not protected by SIPC or the fists sablernemal 51K coverage. • Ravarara sharing and additional compensation. - h ~ice to a:amiss:3ns on sales and 12b.l fees roared n connect on rah the destitution of mutual funds co as clients we ardor or atfiLate receive revere. tang ~ern frees disobuton sidor advisors of the maul funds that we sell These amounts se based on two drferem correpoents: CO the amen of sales by LES of a partoular enamel fund f amity X. our clients; and G0 the and vabe of a particular mutual fund family, shares held at the fern. - We and our affiliate also receive networking and cmnbus pransrg fees n consideration la transfer eager* services that we provide to the mutual furds. Rion fees antra* am paid from investor asset in the mutualfad and ere a feud dollar amount based on the number of amounts at the broker-dealer holding ~seal funds of tat Ind Insy. - h acKtion to commissions received inc.:motion with the sale or distrbuton of airway tontratt and unit rnestrnent trust snes to our diet, we ancla at affiliate receive untrue sharing compensation from nay of the monoe companies underwriting the a-nuity contracts, af illates o: the Maxim companies or spontan of he unit enestmers trusts we dimbute. - h eclInka to commissions received from the purchase and sale of NextShares lundk we ardor our affiliate receive an asset-based revenue sharing payment from ~Shares databulors, as wed as funding for technology development trainig ad education. — Our affiliates also receive trading CiaTtniSSiOrKand other compensation from mutual funds and Murano* companies whose products we &If bute. - We receive oxrcemai ion from vas Berk USA UM AO Stan( *id Branch and twirl dieted bras through our cash sweeP1207~. This angensatim may he per accoune fee a may be a percentage of average daily deposit balsas. Activity Irritation regarding cornmeal:re and Mhos Marrs (loured in «resection with the execution of trades, includng col ion transactions has been included on confirmations previously furnished lo you, and will be provided to you ~lb' on ~ I s Short setting If you ae engaged en short ailing a security. you may bout a charge due to anan barowng costs fa that palicula sienrity. Open orders Regarding open or socodlitcancellee ceders that were not execaed by the summers dar open buy and sea stop ceders se reduced by the mount of driedends or right on an ex.dnAlerit or ex-rights date unless instructed otherwise by you. You ae responsble for orders that ate executed cis to yaw lekte to cancel sating q:en atlas. Privacy To obtain a copy of ox anent Client Privacy Notice, please taxan sir Francis/ Advisor a mest as Mini% at "wive obs COAVDeiViCV004CV. — 1.85 Financial Stryker is rot a bark. The RMA, Business Services Account BSA and IRMA are brokerage scans which provide access to barking senates aid pedals IMaxjt arrangements with affiliated banks and other Ihrdparty barks, and provides access to insurance and annety goduns issued by unaffiliated thirdparty insurance companies trout instance seem subsidiaries of UM Financial Services tt. — hvesvnent, ruin*, ad arnuey predicts: — Not FDIC insured • No bark guarantee. May lose vale — IMA. Resat« Management Account Dulness Services Account BSA, IRMA and international Resource Management Account re registered service mats of LBS tumid Services INC — YTS/Size registered tedemalc owned by Vila htematianal Service Association and used under keno. The LES Via Creistl cads and the LES Visa debit cads se issued by LBS Bark USA with permission from Via U.S.A. Incorpraled. All other oedemata, registered trademarks, serrke mats ad registered service marks se of their respective ~pines. UN financial Services Inc Rev. 202002 SDNY_GM_00009875 CONFIDENTIAL EFTA01597542