Case File
sd-10-EFTA01273644Dept. of JusticeOtherEFTA Document EFTA01273644
UBS UBS Financial Services Inc 299 Park Avenue 25th Floor New York NY 10171.0002 CNP7005725249 tar 5 Y1 0 Account name: GHISLAINE MAXVVEll. Friendly account name: Incliv Account number: SEM Your Financial Advisor: Questions about your statement? Value of your account UBS Strategic Advisor October 2015 GHISLAINE MAXWELL 116 E 65TH STREET NEW YORK NY 10065.7007 on September 30 (1) on October 30 (1) YOur assets 1,332,724.47 I ,413,893.34 Visit our website: Your liabilities 0
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Dept. of Justice
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sd-10-EFTA01273644
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UBS UBS Financial Services Inc 299 Park Avenue 25th Floor New York NY 10171.0002 CNP7005725249 tar 5 Y1 0 Account name: GHISLAINE MAXVVEll. Friendly account name: Incliv Account number: SEM Your Financial Advisor: Questions about your statement? Value of your account UBS Strategic Advisor October 2015 GHISLAINE MAXWELL 116 E 65TH STREET NEW YORK NY 10065.7007 on September 30 (1) on October 30 (1) YOur assets 1,332,724.47 I ,413,893.34 Visit our website: Your liabilities 0
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UBS
UBS Financial Services Inc
299 Park Avenue
25th Floor
New York NY 10171.0002
CNP7005725249 tar 5 Y1 0
Account name: GHISLAINE MAXVVEll.
Friendly account name: Incliv
Account number: SEM
Your Financial Advisor:
Questions about your statement?
Value of your account
UBS Strategic Advisor
October 2015
GHISLAINE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065.7007
on September 30 (1)
on October 30 (1)
YOur assets
1,332,724.47
I ,413,893.34
Visit our website:
Your liabilities
0.00
0.00
Value of your account
51,332,724.47
31,413,893.34
Tracking the value of your account
S Thousands
Sources of your account growth
during 2015
VA* of your account
at year end 2014
41,721,172.36
Net deposits and
1.7212
Oillanimmomw
1,4139
•
v4thdrarials
43C6,227.75
1332.7
Your VIVeSbleil I return.
Dbidend and
•
interest income
$36,091.40
Change in
market value
.137,1 42 67
Value of your account
Dec 2014
549 2019
0(1 2019
on Oct 30, 2015
S1.413.893.34
SDNY GM 00020817
Member SIPC
CNP70o0300572S2a9NP7000189496 00002 1015 030575004 Y123503550000000
Page 1 of 14
CONFIDENTIAL
EFTA_00 131437
EFTA01273644
SUBS
UBS Strategic Advisor
October2015
Your account balance sheet
Summary of your assets
Value on
October 30 ($)
Percentage of
your XCOIllf
A
Cash and money balances
392,086.32
27.73%
B
Cash alternatives
0.00
0.00%
C
Equities
1,021,807.02
72.27%
D
Fixed income
0.00
0.00%
E
Non-traditional
0.00
000%
F
Commodities
0.00
000%
G
Other
0.00
000%
Total assets
Value of your account
$1,413,893.34
51.413,893.34
100.00%
Account name:
GHI$LAINE MArAh ELL
Friendly account name:Indiy
Account number:
YI 2
Your current asset allocation
Eye on the markets
Index
Your K Randal Advisor.
SCOTT STACK MANLYLE CASRIEL
• Cash and money balances may include
available cash balances. UBS Bank VSA deposit
account balances. UBS AG Sumford Branch
deposit account balances and money market
mutual fund sweep balances See the It:venom
information about your statement on the last
two pages of this statement for details about
those balances
S&P 500
Russell 3000
MSC I - Europe, Australia 8, Far East
Barclays Capital U.S. Aggregate Bond Index
Interest rates on October 30, 2015
3-month Treasury bills: 0.08%
One-month LIBOR: 0.19%
Percentage change
October2015
Year to date
8.44%
2.70%
7.90%
2.02%
7.82%
2.53%
0.02%
1.14%
00,70003005725250NP70031Er349600032 1015 030575004 YI235685500:160fiyoht 000P0§iie 2 Of 14
CONFIDENTIAL
EFTA_00131438
EFTA01273645
UBS Strategic Advisor
Account name:
GHISLAINE MAXWELL
Your Nnandal Advisor:
*
UBS
friendly account no/nes8)day
Account number.
Y1 2
SCOTT STACKMANLYLE CASRIEL
212-821-70001800-308-3140
Change in the value of your account
October 2015(5'
Year to date (I)
Opening account value
$1,332,724.47
$1,721,172.36
Deposits, including investments
transferred in
0.00
2,200.00
Withdrawals and fees,
including investments transferred
cut
-8,812.70
-308,427.75
Dividend and interest income
1,612.88
36,091.40
Change in market value
88,368.69
-37,142.67
Closing account value
$1,413,893.34
$1,413,893.34
Dividend and interest income earned
rot cutpos.” of m,s statement, fait ity of 'Metes] ar.1 clwder10 income has been determined from a US
tar repotting perspective. eased upon the residence of the account bottles, account type, or proiset twat,
some interest ardor dvidend payments mat not be subject to United Stites (UA ardor Puerto Rico (PR)
Income !ado The dent month,/ statement is not intended lo be used and ranted be weed upon for tat
purposes. Clients should refer to the appetite tat reporting forms they recent from UBS annualy, such as
the fOrriS 1099 and the FOTO 480. for lac re13011 .9 intorrnaliOn 11 is the ',lattice of U85 to file the
zuplicatle tax reponing forms with the US intern4 Revenue Semite and PR Treasury Department, and in
such forms accurately cisafy tindenct ardor Interest as Is. exempt or taxable income. neat consult your
indvdikal ray preparer
October 2015 en
Year to date (5)
Total additions
Subtractions
5402.315.50
5786,937.05
Taxable dividends
1,612 88
36,086 55
Taxable interest
0.00
4,69
Professional management fees and
related services
-1,686.65
-8,082.81
Total current year
$1,612.88
$36,091.24
Other funds debited
-7,126.05
-300,344.94
Prior year adjustment
0.00
0.16
Funds withdrawn for investments
Total dividend & interest
$1,612.88
$36,091.40
bought
-8,542.53
-92,940.55
Total subtractions
-$17,355.23
-$401,368.30
Net cash flow
$384,960.27
$385,568.75
Closing balances
5392,086.32
5392,086.32
Summary of gains and losses
Yarns reported belt et exclude products for which guns and iosses are not classified
Realized gains and losses
Unrealized
October 2015 (S)
Year to date (S)
gains and lasses (S)
Short term
2,544.95
2,544.95
-8,044.62
Long term
122,799 91
146,791.68
168,252 86
Total
$125,344.86
$149,336.63
$160,208.24
Cash activity summary
See Account activity the month for decals Balances in your SweepOakcm are indudedin the cpenng and
closing balances yelue. FDIC insurance accires only to deposits a UBS Bank USA, not to deposits at LOS AG,
Slarnord Branch or bank deposits placed throush the UBS Interne and Deposit Account program. SIPC
protection applies to morwy market sweep fiord holdings but not bark deposits. Seermeorunr inearmation
*kit your statement on the last two pages cilhis 00(urnell for &lab
October 2015 (1)
Year to date (S)
Opening balances
Addkions
Deposits and other funds credited
$7,126.05
0 00
$6,517.57
2,200.00
Divdend and interest income
1,612.88
36,091.40
Proceeds from investment transactions
400,702.62
748,645.65
SDNY GM 00020819
Chle7C00;0057252st NP7000198496 00032 1015 030579001 Y123568550000000
CONFIDENTIAL
Page 3 of 14
EFTA_00131439
EFTA01273646
SUBS
UBS Strategic Advisor
October zots
Loan summary
Account name:
--II -
Friendly account name: it
Account number:
Year to date loan interest
$28.14
UBS Bank USA Deposit Account APY
Interest period Sep 8 - Oct 6
Opening UBS Bank USA Deposit balance Sep 8
$0.00
Closing UBS Bank USA Deposit balance Oct 6
$802.22
Number of days in interest period
29
Average daily balance
$2,534.88
Interest earned
$0.00
Annual percentage yield earned
0.00%
Your investment objectives:
You have identified the following investment objectives for this account If you have questions
about these objectives, disagree with them, or with to change them, please contact your
Financial Advisor or Branch Manager You can find a fur description of the alternative
investment objectives in important informatron about your statement at the end of this
document
Your return objective:
Captal apprecebon
Your risk profile:
Primary Aggressive
Investment ell ibihty consideration - None selected
Your account instructions
a Your account cost base default closing method is FIFO, First In, First Out
Your financial Advisor.
SCOTT STACK MANLYLE CASRIEL
212-821.7030/800 308 3140
CNP7C0(0305725252NP70C0189496 00002 1015030575004 " 23568550001401YGM00020titte 4
CONFIDENTIAL
4
EFTA 00131440
EFTA01273647
UBS Strategic Advisor
UBS
October 2015
Your assets
Account name:
friendly account name: it
Account number.
Some pnces, income and Current Mires Shoccn may be approximate. ASS teul. gams &Id tOsses ma/ 1101
be accurately reflected. Set anportant info/06Ø about your statement a the end of this Oxurnem for
more infornmon.
Cash
Cash and money balances
Cash and moray balances may India* avalkie cash balances, UBS Sant USA decoct account balances,
UBS AG Startord Branch &boat account balances and money market mutual fund sweep balances.
UBS Bank USA deposit account balances are insured by the WC vat h n applk able limits, but ale not
protected by 9PC u85 AG Stanford Branchdeposit account bzianas are not Stinted ty FDIC and ase not
protected by 9PC Money market sweep balances are protected by PPc but are not limited by the FDIC.
See the Important information about your statement x the end."( thin doctrnent for details about those
balances.
inddng
RMA MONEY MKT. PORTFOLIO
Openngbaance
Cloung balaxe
Pnet per Thin
Avezege
on Ott I (D
on Oct 20 (1)
on Oct 30(1)
rate
Dnidencl Interest
perial
Your Pi nandd Advisor:
SCOTT STACKMANYLYLE CASRIEL
212-821-7000/800-308-3140
Days
period
Capare:ant Cl/
0.00
142,666.32
1.00
0 01%
Sep 24 to Oct 25
32
LESEANK USA DEP ACCT
7,12605
250.000.00
Toed
$7,126.05
5392,06632
250.0130 00
Equities
Common stock
addng
Trade
date
tkierbet
of shares
Purchase peke/
Average price
per Shale (5)
COP basis (S)
Price per sheet
on Oct 30(1)
Value on
Oct 30(1)
unrealized
gain or lOSS (1)
Holoind
period
AECOM
Symbol. ACM Exchange: NYSE
Jan 28, I5
500.003
26619
13,309 95
29.470
14,735 00
1A2605
ST
Jan 30, IS
t00 000
25.532
2,553 24
29.470
2,947 00
393.76
ST
Security total
600.000
26.439
15,863 19
17,682 00
1,818.81
ANALOG DEVICES INC
Symbol ADI Exchange- OTC
EAI: 182 Current yield: 2.67%
Apr 22, 13
51 003
42 447
2,16481
60.120
3,06612
901 31
LT
AUTOMATIC DATA PROCESSNG INC
Symbol: ADP Exchange: OTC
EAI: 1141 Current yield 225%
Apr 22. 13
72.003
56.870
4,09467
86.990
6263.28
2,168.61
LT
continued noxt page
SDNY GM 00020821
C HP20303305725253 NP7003I 69496 00002 10IS 030579304 Y123568550000000
Page 5 of 14
CONFIDENTIAL
EFTA_00131441
EFTA01273648
4t UBS
UBS Strategic Advisor
October 2015
Account name:
GHISLAINE AAAXWEU.
friendly account name:Indic I
Account number.
YI 2:
Your Nnandal Advisor.
SCOTT STACKMAHLYLE CASRIEL
212.82l-70001800.308.3140
Your assets Equities . Common stock kononued1
Trade
Iddng
date
Weber
of thorn
Purchase craw
Average price
per shag (S)
Cost basis (1)
Price per Owe
on 0(130(5)
VdueOn
Oel 30($)
Unrealized
gun or !at (S)
Pricing
period
BAXTER INTL INC
Symbol: BAX Exchange: NYSE
EAI: 4716 Current yield 1.23%
Jul 20.12
30.000
28.496
854.88
37.390
1,121 70
266.82
LT
An 20, 12
17.000
28.455
483.75
37.390
635.63
151.88
LT
Jun 21,12
29.000
28.762
834.12
37.390
1,084.31
250.19
LT
Jun21,12
7.000
28.444
199.11
37.390
261.73
62.62
LT
Jun21,12
5.000
28.838
144.19
37.390
186.95
42.76
LT
Jun22,12
61.000
28.658
1,748.19
37.390
2,283.79
532.60
LT
Jan 23,13
768.000
36.815
28,274.47
37.390
28,715.52
441.05
LT
Apr 22, 13
355.000
38284
13,591.05
37.390
13273.45
-317.60
LT
Sep 19, 13
74.000
39.857
2,949.45
37.390
2,766.86
•182.59
LT
Sep 19, 13
6.000
39.696
238.18
37.390
224,34
-13.84
LT
Sep 19, 13
3.000
39.700
119.10
37.390
112.17
-6.93
LT
Sep 20, 13
47.000
39.758
1,86887
37.390
1,757.33
•111.34
LT
0(13,13
154.000
35.679
5,494.57
37.390
5,758.06
263.49
LT
Security total
1,556.000
36.504
56,799.73
58,178.84
1,379.11
BLACKRCCK INC
Symbol: BIS Exchange: NYSE
(Al: 43,244 Current yield: 2.48%
Oct 5,12
7.000
189932
1,329.53
351.970
2,463.79
1,134.26
LT
Oct 5,12
3.000
187.820
563.46
351.970
1,055.91
492.45
LT
Oct 5, 12
2.000
186670
373.34
351.970
703.94
330.60
LT
Oct 8, 12
8.000
188.783
1,510.27
351.970
2,815.76
1,305.49
1.7
Oct 9, 12
15.000
189.186
2,837.79
351.970
5279.55
2,44136
LT
Oct 9,12
2.000
189.010
37802
351.970
703.94
325.92
LT
Oct 10, 12
3.000
187.720
563.16
351.970
1,055.91
492.75
LT
Oct 10, 12
2.000
187.670
375.34
351.970
703.94
328.60
LT
Oct 10. 12
2.000
187.995
375.99
351.970
703.94
327.95
LT
Jan 23,13
224.000
236.966
53,080.41
351.970
78,841.28
25,760.87
LT
Apr 22, 13
104.000
251.093
26,113.69
351.970
36,604.88
10,491.19
LT
Security total
372.000
235218
87,501.00
130,932.84
43,431.84
COLGATE PALMOUVE CO
Symbol: CL Exchange: NYSE
EAI: 42292 Current yield: 2.29%
Aug 4,11
174.030
41.632
7244.05
66.350
11,544.90
4300.85
LT
continued fled page
CW700(8005725254 NP700018949600002 1015 030575004 VI n56855003fictilw_Gmixonikte 6 of 14
CONFIDENTIAL
EFTA_00 I 31442
EFTA01273649
*UBS
UBS Strategic Advisor
Account name:
GHISLAINE MAXWELL
Friendly account name: Indiv
Account number.
Y I 2
Your Mnandd Advisor:
SCOTT STACK MAMLYLE CASRIEL
212-821-7000/800-308-3140
Your assets Equities . common stock (continued)
Parch.* pick«
Trade
Hurter
Average pike
Price per share
urdue on
Unrealized
NolOng
ticking
date
of stares
per share ($)
Cost basis ($)
on Oct 3001
0c130($)
on ot loss (1)
period
Aug 12, 11
4.000
42.450
16980
66.350
265.40
95.60
LT
Jan 23,13
910.003
54240
49358.63
66.350
60378 50
11,019.87
LT
Apr 22, 13
420.000
59.788
25,111.32
66.350
27,867.00
2,755.68
LT
Security total
1,508.000
54300
81,883.80
100,055.80
18,172.00
ECG RESOURCES INC
Symbol. EOG Exchange: NYSE
EAL 3335 Current yield 0.78%
Jan 28,15
500.000
90.411
45,205.72
85.850
42,925.00
-2,280.72
ST
FORTINET INC
Symbol: FINT Exchange: OTC
Jan 28,15
500.000
31 942
15,971.36
34.360
17,180.00
1208.64
sr
Jan 30,15
250.000
29.431
7,357.75
34.360
8,590.00
1232.25
ST
Oct 26, 15
250.000
34.170
8,542 53
34.360
8,590.00
47.47
ST
Security total
1,000.000
31 872
31,871.64
34360.00
2,488.36
GENL MILLS INC
Symbol: GIS Exchange: NYSE
EAI: 43.312 Current yield: 3.03%
Aug 4.11
191.000
36 265
6,926 77
58.110
I 1,099.01
4,172.24
LT
Aug 12, 11
5.000
35.754
178.77
58.110
290.55
111.78
LT
Jan 23, 13
1,001.000
41387
41,428.89
58.110
58,168.11
16,739.22
LT
Apr 22, 13
464.003
50287
23,333.21
58.110
26,963.04
3,629.83
LT
Jul 17, 13
148.000
49.739
7,361.45
58.110
8,600.28
1,238.83
LT
Jun 18,13
73.000
49 836
3,638 07
58.110
4,242 03
603.96
LT
Security total
1,882.000
44.031
82,857.16
109,363.02
26,495.86
JOHNSON &JOHNSON COM
Symbol: JNJ Exchange: NYSE
EAI: 13,198 Current yield: 2.97%
Aug 4,11
123603
62377
7,672.38
101.030
12,426.69
4,754.31
LT
Aug 12, 11
3.000
63.730
191.19
101.030
303.09
111.90
LT
Jan 23.13
642.000
72.736
46,696 71
101.030
64,861.26
18,164.55
LT
Apr 22, 13
298.000
84.721
25,247.10
101.030
30,106.94
4,859.84
LT
Security total
1.066.003
74.866
79.807.38
107.697.98
27,890.60
MCDONALDS CORP
Symbol: MCD Exchange: NYSE
EAI: 33,461 Current yield: 3.03%
Aug 4, 11
95.000
84.969
8,072 06
112.250
10,663.75
2,591.69
LT
Aug 12, 11
3.000
85 910
257.73
112.250
336.75
79.02
LT
continued next page
SDNY GM 00020823
CNP70003005725255NP7000189496 00002 1015 030575004 Y123568550000000
Page 7 of 14
CONFIDENTIAL
EFTA_00131443
EFTA01273650
*UBS
U BS Strategic Advisor
October 2015
Your assets . Equities . Common stock (condnved)
Hefting
Trade
data
Maybe.
of shares
Purchase price/
Average price
per share (S)
Con bads (1)
Price per share
on Od 30(1)
Value on
Oct 30($)
Unrealized
gin or loss (1)
Hddng
period
Nov29, 12
8.000
86.456
69185
112.250
898.00
206.35
LT
Ian 23,13
555.000
93.053
51,644.75
112.250
62298.75
10,654.00
LT
Apr 22, 13
255.000
99318
25,326.32
112.250
28,623.75
3,297.43
LT
Sep 19. 13
78.003
97.879
7,634.63
112.250
8,755.50
1,120.87
LT
Sep 19, 13
22.000
97.425
2,143.36
112.250
2,469.50
326.14
LT
Sep 19, 13
2.000
97.830
195.66
112.250
224.50
2&84
LT
Security total
1,018.000
94 269
95,966 16
114,270.50
18304.34
NEXTERA ENERGY INC COM
Symbol NEE Exchange NYSE
EAI: 1499 Current yield 3.00%
Apr 22.13
162.000
79.757
12,920.65
102.660
16,630.92
3,710.27
LT
OCCIDENTAL PETROLEUM CRP
Symbol. OXY Exchange: NYSE
EAI: $2,907 Current yield: 4.02%
Feb 12, 14
148.000
88.959
13,165.96
74.540
11,031.92
-2,134.04
LT
Feb 12, 14
117.000
88.989
10,411 82
74.540
8,721 18
-1,690.64
LT
Feb 12. 14
32.000
89.002
2,848.07
74.540
2,385.28
-462.79
LT
Feb 12, 14
7.000
88.857
622.00
74.540
521.78
-100.22
LT
Feb 13, 14
110.000
82.885
9,777.41
74.540
8,199.40
•1,578.01
LT
Feb 13, 14
68.000
88.708
6,032.19
74.540
5,068.72
-963.47
LT
Feb 13, 14
33.000
88369
2,916 19
74.540
2,459.82
-456.37
LT
Feb 13, 14
6.000
88.421
530.53
74.540
447.24
-83.29
LT
Feb 14, 14
334.000
92.065
30,749.82
74.540
24,896.36
-5,853.46
LT
Feb 18, 14
114.000
92.677
10,565 23
74.540
8,497.56
.2.067.67
LT
Security total
969.000
90.422
87,619.22
72229.26
-15,389.96
PEPSKO INC
Symbol: PEP Exchange: NYSE
EAI: 13,243 Current yield: 2.75%
Aug 4, 11
115.000
63.979
7,357.65
102.190
11,751.85
4,394.20
LT
Aug 12,11
3.000
63.023
189.07
102.190
306.57
117.50
LT
May 16, 12
6.000
68.535
411.21
102.190
61314
201.93
LT
Oct 24, 12
1.000
68.690
68.69
102.190
102.19
33.50
LT
Oct 25, 12
2.000
68.810
137.62
102.190
204.38
66.76
LT
Oct 26. 12
1900
68.890
68.89
102.190
102.19
33.30
LT
04131, 12
1.000
69370
69.37
102.190
102.19
32.82
LT
Nov6, 12
1.000
69.370
69.37
102.190
102.19
32.82
LT
Account name:
GHISLAINE MAXWELL
Friendly account name: Indiv
Account number.
YI 2
Your Pl nrincid Advisor
SCOTT STACK MANLYLE CASRIEL
212 821.7000/800-308 3140
continued next page
CNP700090057252S6NP700019349600002 1015 030575004 vi23568s50C0~1YGM00020kge 8 of 14
CONFIDENTIAL
EFTA_00131444
EFTA01273651
UBS Strategic Advisor
SUBS
October 2015
Your assets
Equities . Common stock (continued)
Hddng
Security total
PROCTER & GAMBLE CO
Symbol: PG &change: NYSE
(Al: 13.007 Current yield: 3.47%
Aug 4,11
Aug 12, 11
Jan 23,13
Apr 22. 13
Apr 24, 13
Security total
TRAVELERS COS NOTHE
Symbol: TRV Exchange. NYSE
EAI: 1371 Current yield 2.16%
Account name:
GHISLAINE MAXWELL
Friendly account naine:Indiv
Account number.
Y1
Purchase OW
Trade
wrier
Average peke
date
of shares
per shape (I)
Cost basis (s)
Nov7, 12
Nov8, 12
Jan 23, 13
Apr 22. 13
Security total
Total
Total estimated annual income: 526,808
Apr 22, 13
May 22, 13
Short options
Trade
Number
Sae price
Sale PI* t per corium
Hddng
date
of contracts
per contact(1)
proceeds(t)
onoct 30 (S)
CALL 111.ACKROCK INC
WE 1 92015
320.000
Expies Nov I 5
Symbol: BLK
Sep 25, 15
-3.000
5.063
-1,51897
3,440.000
CALL JOHNSON &JOHNSON C
DUE 12118/15
100.000
&pies: Dec 15
Symbol: LINI
Oct 19, 15
•10.030
1.089
-1,089.98
243.000
1.000
2.000
699.000
322.000
1,154.000
69.150
69.090
72.166
82251
74 097
69.15
13818
50,444.31
26,484.85
85,508 36
118.000
60.103
7,092.22
3.000
60.896
182.69
619.000
69.941
43,293.73
286.000
81332
23,261.18
108.003
77.762
8,398.32
1,134.000
72.512
82,228.14
41.000
84.719
3,473.50
111.000
81807
9302 58
152.000
84.053
12,776.08
1865,077.71
Your Financial Advisor-
SCOTT STACK MAN LYLE CASRIEL
212-821-7000800-308-3140
ante per share
value on
Unreedzed
Hddng
on Oct 30(1)
04130(S)
gain or loss a)
period
102.190
10219
33.04
LT
102.190
204.38
66.20
LT
102.190
71,430.81
20,986.50
LT
102.190
32.90618
6,420.33
LT
117,927.26
32,418.90
76.380
9,01284
1,920.62
LT
76.380
229.14
4645
LT
76380
47,279.22
3,985.49
LT
76.380
21,844.68
.1,416.50
LT
76380
8,249.04
-149.28
LT
86,614.92
4,386.78
112.890
4,628.49
1,154.99
LT
112.890
12.530 79
3228.21
LT
17,159.28
4,383.20
11,035,357.02
1170279.31
Contract
value on
unierrited
Hddng
pierium (S)
Oct 30(5)
grin or loss CO
period
34.400
-10,320.00
4,801.03
ST
2.430
-2,430.00
-1,340.02
ST
continued next paste
SEINY GM 00020825
CNP70003005725257NP7000189496 00002 1015 030575004 Y123568550000000
Page 9 of 14
CONFIDENTIAL
EFTA_00131445
EFTA01273652
4tUBS
UBS Strategic Advisor
October 2015
Your assets . Equities . Short options (continued)
Account nail*:
GHISLAINE MAXWELL
Friendly account name: Indiv
Account number:
YI 2
Your Enenciel Advisor:
SCOTT STACK MANLYLE CASRIEL
212.821.7000'800'308.3140
Tote
Nurrber
Si. ;me
Sale Price per contract
Contract
Value on
Unrealized
Hddng
Hddng
date
of contracts
per contract (5)
proceeds (S)
on oct 30(/)
Plenum(S)
Oct 30(1)
gain or loss (S)
pellod
PUT FORTITET INC
DUE 01/1916
30.000
Expires. Jan 16
Symbol. EMT
Oct26, 15
•10.000
0.869
436998
80.000
ozoo
-800.00
69.98
ST
Total
43,478.93
413,550.00
410,071.07
Your total assets
Cash
Equities
value on Oct 30(S)
Feicemage of
Cost
Estmated
your account
oasis (1)
annual Intone (SI
Unmated
pan or loss ff)
Cash and money balances
392,086.32
Common stock
Short options
-13,550.00
Total equities
1,021,807.02
72.27%
861,598.78
26,808.00
160,208.24
27.73%
392,086.32
1,035,357.02
865,077.71
26,808.00
170,279.31
3,478.93
-10,071.07
Total
$1,413,893.34
100.00%
$1,253,685.10
$26,808.00
$160,208.24
Account activity this month
Me
Activity
Description
anoint (S)
Dividend and intemstincome
Taxable dividends
Oct 1
Dividend
AUTOMATIC DATA PROCESSNG INC PAID ON
1272
623.28
Oct 1
Dividend
BAXTER INTL INC PAID ON
1556
178.94
Oct 15
Dividend
OCCIDENTAL PETROLEUM CRP PAID ON
969
726.75
Oct 26
Dividend
RMA MONEY MKT PORTFOUO AS OF 10123115
0.16
Ott 29
Dud, d
EOG RESOURCES INC PAID ON
500
83.75
Total taxable dividends
Total dividend and interest income
$1.612.88
11.61228
Date
A;Ittoty
OrxICI'Dn
Amount (5)
Oct 23
Fee Charged
QUARTERLY FEE
-108665
Total professional management fees
41.686.65
Fees
Date
ACtInly
Cesciphon
Oct 1
Transfer
JOURNAL TO VI 23575 GFISLANE MAXWELL
Total other funds debited
47.126.05
arrouril (1)
-7,126.05
Other funds debited
CNP70309005725258M1000183496 00002 HMS 030575004 Y123568S50000MyGht00021yee 10 of 14
CONFIDENTIAL
EFTA_00131446
EFTA01273653
*UBS
UBS Strategic Advisor
October 2015
Account activity this month (ontinued)
Account name:
CHISLAINE MAXWELL
Friendly account name: Indiv
Account number.
Y I
Investment transactions
for mare Information atcut tne pricehalue snoren for restricted securities, see (inpatient Informaion about
your statement a the end of this document
Di*
Acthity
Oct 19
Assignment
Oct 19
Expiration
Oct 19
Expiration
Oct 19
Assignment
Oct 19
Assignment
Oct 19
ASSignment
Oct 20
Sold
Oct 21
Sold
Oct 21
Sold
Oct 21
Sold
Oct 21
Sold
Oct 27
Sold
Oct 29
Bought
Total
Your financial Advisor:
SCOTT STACK MAN LYLE CASRIEL
212-821-7000/800-308-3140
Desciption
Outfits
Value (S)
Price CO
Proceeds fran
investment
teamactions (s)
Funds
Wthdrawn fa
Accrued
investments bougSt (1)
inutron (S)
CALL AUTOMATIC DATA PROC CUE 101915
80.000
12.000
CALL JOHNSON &JOHNSON C DUE 10x161 15
100.000
10.000
CALL BAXTER 1411. INC DUE 1016(15
40.000
15.000
CALL TRAVELERS COS NOT DUE 1011E/15
105.000
10.000
CALL ANALOG DEVICES INC DUE 101915
57.500
17.000
CALL NEXTERA ENERGY INC DUE 1019 15
100 000
10.000
CALL JOHNSON &JOHNSON C DUE 12/18/15
100 000 OPEN CUSTOM()
-10.000
1.09
1089.93
ANALOG DEVICES INC
-1,700.CCO
57.50
97,748.20
AUTOMATIC DATA PROCESSNG INC
-1,200.000
90.00
95,998.23
NEXTERA ENERGY INC COM
• 1,000.000
100.00
99,998.16
TRAVELERS COS INOTHE
• 1,003.000
105.00
104,998.07
PUT FORTINET INC DUE 0111916
30.000
OPEN CUST UNCVRD
- 10.000
87 CENTS
869.96
FORTINEF INC
250.000
34.170100
-8,542 53
$400,702.62
48,542.53
Date
Activity
Description
Amount IS)
Sep 30
Balance forward
$0.00
Oct 22
Bought
RMA MONEY MKT. PORTFOLIO
151,361.61
Oct26
Sold
RMA MONEY MKT. PORTFOLIO AS OF 10/23115
•I.686.65
Oct26
Bought
RMA MONEY MKT. PORTFOLIO ASCE 1023/15
0.16
Oct 28
Bought
RMA MONEY MKT. PORTFOLIO
869.98
Oct 29
Sold
RMA MONEY MKT. PORTFOLIO
-8,542.53
Money balance activities
continued next page
SONY GM 00020827
OW70003005725259 NP7000189496 00002 1015 030575004\123568550000000
Page 11 of Id
CONFIDENTIAL
EFTA_00131447
EFTA01273654
4tUBS
UBS Strategic Advisor
October 2015
Account activity this month (COotriileCO
Crate
Money balance activities (continued)
Oct 30
Account name:
OI-IISLAINE MAXWELL
Friendly account name: Indiv
Account number.
Ye 2
Activity
Descrebon
Bought
RMA MONEY MKT. PORTFOLIO
Your Amadei Advisor:
SCOTT STACK MANLYLE CASRIEL
212.82 I -7000/800-308.3 140
Amount (1)
83.75
Oa 30
Closing RMA Money Mkt. Portfolio
The RMA Money markt eordoto is your secondary sweep %bon
Sep 30
Balance foment
Oct 2
Withdraws
UBS BANK USA DEPOSIT ACCOUNT AS OF 100015
6142.006.32
17.126 05
-6323.83
Oct 16
Oct 21
Deposit
Deposit
UBS BANK USA DEPOSIT ACCOUNT
UBS BANK USA DEPOSIT ACCOUNT
726.75
1,089.98
Oct 22
Deposit
095 BANK USA DEPOSIT ACCOUNT
Oct 30
Closing UBS Bank USA Deposit Account
The UBS Bank USA Cepoot Account is your primary sweep option
Realized gains and losses
the estimated realized gains and losses s hovm Pelee/ me nise for tat purposes. Please note that On or loss
recognized on the Me or rectierption of certain Structured Procluas, Ike Contingnt Dett Securities. may be
Ordnary. and not capita, gain a loss. Please Check %In your tar akoce. so (Moist guns and losses. we
liquidate the detest security lot first. This Is known as the drain, first.out or FF0 accounting melted. We use
phis method unless you specified which la( lot todose when you inedyoar order. This is known as a *MIS
purchases or v5P order See mtponent information stout your statement a the ender( this decument for more
Short-term capital gains and losses
Security descrotion
method
Ouantity or Purchase
fie Out date
Sale
date
Sae
amount (S)
Cost
base (S)
WaSh sale
cost basis
Wiuslment($)
toss (5)
Gain (S)
CALL BAXTER N11 INC
CUE 101915
40.000
FIFO
•15.003 Oct It 15
Aug 28. I
1$44.97
0.00
1,544 97
CALL JOHNSON &JOHNSON C
CUE '01615
100.000
RFO
•10.007 Oct 19, 15
Aug 26, 15
999.98
0.00
999.98
Total
62.544,95
12.504.95
Net sitars-term capital gains and losses
$2,544.95
Long-term capital gains and losses
Wasik sale
Name,/ or Purchase
Sae
Sae
Cost
cost basis
Security descretion
Method
face irlue date
dale
amount (S)
bass (SI
allusvnent(4)
kos
Gain (5)
ANALOG DEVICES 114C
FIFO
13.030 Nov 16, I I
Oct 15, 15
766.47
485.12
281.35
FIFO
13 000 Nov 17, I I
Oct 16, IS
766.46
460.12
306.34
continued neo page
247,381.05
1250.000A°
Information. we may not aqua Bans and losses for SI cot ltaI charges. we aullOmakety adJust cost teas for
tac.exerrpt and AMT coupon munIcipa secuniles fa estImatedancazation of bald premiere and for accreted 0I0
(or securities Issued at a cfscoum. n you requested trot MS aclusi cost baba for the bond premium arrortanon on
tante debt securities then cost boos ienecled for these securities has been a4usted Estimates in the Uncles:11nd
section can not be classified as short term or long term because information is missing or the product is one in which
the ga Moss calculation is not provided
CNP7C00900$725260NP7OCOIES496 00032 TO'S 030575004 Y123568SSOCOMyGyk000215egn 12 of 14
CONFIDENTIAL
EFTA_00B1448
EFTA01273655
SUBS
Cul.
UBS Strategic Advisor
zys
Realized gains and losses (continued)
Long-term capital gains and losses (continued)
method
Nadu,/ or PurChaSe
rae clue doe
551e
crate
5*
ammo (S)
wasn sale
Cost
coSI basis
basis (S)
aljusIment(S)
Ids (0
Gain (0
RFO
35.000 Nov 18, I I
Oct 16,15
2,063.56
1242.58
820.98
FIFO
18.000 Nov2 I, I I
Oct 16, 15
1,061.26
618.68
442.58
FIFO
15.000 Nov22,11
Oct 16, 15
884.39
500.07
384.32
RR)
22.000 Nov 23,11
Oct 16, IS
1,297.09
718.43
578.66
RR)
7,000 Nov 25,11
Oct 16, 15
412.72
227.22
185.50
RFC)
30.000 Nov 28.11
Oct 16,15
1,768.76
988.55
780.21
RFO
18.000 Nov29,11
Oct 16, 15
1,061.26
602.51
458.75
RR)
6000 Nov29.11
Oct 16, 15
294.80
168.11
126.69
RFO
30.000 Apr 24,12
Oct 16, 15
1,768.77
1,127.01
641.76
RFO
1,056.000 lan 23,13
Oct 16, IS
62260.61
45,628.81
16,631.80
RR)
438.000 Apr 22,13
Oct 16, 15
25,824.00
18,591.87
7232.13
AUTOMATIC DATA PROCESSNG
INC
HFO
146.003 Aug 04, 11
Oct 16, 15
11,913.38
6,182.06
5,73130
RFO
4.000 Aug 12, 11
Oct 16,15
326.39
163.82
162.57
FIFO
767.000 Ian 23,13
Oct 16, 15
62,586.05
40,129.93
22,45612
RFO
283.000 Apr 22,13
Oct 16, 15
23,092.37
16,094.34
6,998.03
NEXTERA ENERGY INC COM
FIFO
134.000 Aug 04, 11
Oct 16,15
13,552.51
7,09675
6,455.76
FIFO
3.000 Aug 12, 11
Oct 16, 15
303.42
157.59
145.83
RR)
700.003 Ian 23.13
Oct 16,15
70,796.69
50,127.21
20,669.48
RFC)
163.000 Apr 22,13
Oct 16, 15
16,485.52
13,000.41
3,485.11
TRAVELERS COS INOTHE
RR)
20.000 Apr 24,12
Oct 16, 15
2,110.36
1268.64
841.72
RFO
4.000 Apr 24,12
Oct 16, 15
422.07
253.40
168.67
FIFO
1.000 Apr 24,12
Oct 16, 15
105.52
63.56
41.96
FIR)
10.000 Apr 25,12
Oct 16, 15
1055.18
636.59
418.59
RFO
10.000 Apr 25,12
Oct 16, 15
1,055.18
635.20
419.98
FIR)
2.000 Apr 25,12
Oct 16, 15
211.04
127.09
83.95
RR)
2.000 Apr 25.12
Oct 16, 15
211.03
127.29
83.74
RR)
10.000 Apr 25,12
Oct 16, 15
1,05619
636.17
419.02
RR)
2.000 Apr 25,12
Oct 16,15
211.03
127.49
83.54
c-ontinood net page
Account name:
GHISLAINE MAXWELL
friendly account name:Indiv.
Account number.
VI 2
Your Plnandal Advisor:
SCOTT STACKMANLYLE CASRIEL
212-821-7000800-308-3140
SDNY GM 00020829
CNP70003005725261NPT000189496 00002 1015 0305750041123568550000300
Page 13 of 14
CONFIDENTIAL
EFTA_00 1 31449
EFTA01273656
*UBS
UBS Strategic Advisor
October 2015
Realized gains and losses (continued)
Long-term capital gains and losses (continued)
tr.
n
Method
Quantity Oc PuKhaSe
tare value date
Sale
date
amount (S)
bass
Wash sale
alustme
COS1 04;01
toss FP
Gan CS/
FIFO
5.000 Apr 26,12
Oct 16, I 5
527.59
319.64
207.95
FIFO
1.000 Apr 26,12
Oct 16, 15
105.52
63.72
41.80
RFO
2.000 Apr 26,12
Oct 16,15
211.04
127.84
83.20
FIFO
2.000 Apr 26,12
Oct 16,15
211.03
127.86
83.17
RFO
6.000 May01, 12
Oct 16,15
633.11
388.29
244.82
FIFO
15.000 May01, 12
Oct 16,15
1582.77
969.56
613.21
FIFO
1.000 May01, 12
Oct 16, IS
105.52
64.82
40.70
RFO
2.000 May01, 12
Oct 16,15
211.04
129.70
81.34
RFO
6.000 May01, 12
Oct 16,15
633.10
389.85
243.25
RFO
7.000 May02, 12
Oct 16,15
738.63
450.62
288.01
RFO
4.000 May02, 12
Oct 16, IS
422.07
257.64
164.43
FIFO
2.000 May02, 12
Oct 16, IS
211.04
128.64
82.40
FIFO
2.000 May03, 12
Oct 16,15
211.03
129.82
81.21
FIFO
2.000 May03, 12
Oct 16,15
211.04
129.35
81.69
HFO
4.000 May 03, 12
Oct 16,15
422.07
259.84
162.23
1110
629.080 Jan 23,13
Oct 16,15
66,370.86
48,785.62
17585 24
HFO
249000 Apr 22,13
Oct 16,15
26,274.00
21,095.18
5,178.82
Total
$404204.54
12[2404.63
1122.799.91
Net long-term capital gains or losses
1122,799.91
Net capital gains/losses:
$125,340.86
Account name:
GHISLAINE MAXWELL
Friendly account name: Indiy
Account number:
Y' .
Your A sandal Advisor:
SCOTT STACK MANY LYLE CASRIEL
212421-70000300-308a 140
CNP70003005725262 NP7C001133496 00002 1015
550
End of statement for account numb
coicfficom0002I5ine 14 of 14
CONFIDENTIAL
EFTA_00B1450
EFTA01273657
Important information about your statement
ues FhancialSents Inc Me Pim or UnFirwrocialSorices).
is a mentecol al permipal security. menoodity aid tows
edurges
inascia *vas and IA* Itlanis.thk ire
rdioq frubtalizial of U35 AG and Ofiliwn of LOS Scoritirs
u.0 The F nws Instill neat
4 wattle won *west
the lend theathe of Imes te a
U35 Foaled Savo; to
1200 Hater Elculga0
Weehankert NJ 07086
1h6 =Wilda represeas the onlyorIcial record of your UPS
Fmanaal %NIG, account Mar feC0fdS, except arealme
downema. conuhng molteng dau should not be rebel
upon if you Wave tae's an ender OinGtaCal plow
mon n rernaliteg n wrings theeranch Mawr of to
once sting your mosium
Althcegh al f9.res treat are 'mended to be Xtheate.
tawniest data Toad rot be used for tae outposts Key
soleg on 'mend Ix Ina
0e.. Feral 1099. 5498. 1042$.
tic) alto peeping your to room Shot rt isrequited by
Ian to recon to the RS al mob le diedends. repent:Ile nen-
bauble dvdends ad tam* neon tamed on secumes
heU n your accourt, nel proceeds on sale tranuctens, aid
cost bapson rerun cowed securtto
Communications with Um Firm
• please reculfern any oral Ofennasalons nwrnngto
furter posed your nirlf, eklading you* rods uncle the
*who
mega Protection Act (SPA)
•
/1 the !nodal instninon on the top kft oe the from of this
lasemml is not ten Finned Stnnfra U8S instal
%tykescaries rex acccur as dearkg broker by
wrigement oath the odicated mutton We intoned
you iT Mb rcwbnlhp Men you tapered Ws ~an
in
this Cana tow heds an/ souk es re bated a 185
Renal Sown and not thy mroduan9 baker. aid you
must mat a report of my not orontebn to both Wm.
All e000ure StaWrencS Shall be deferred COM*e and
acar ate 6 a% oblestel to n Aoto9 Mho 60 days
• Please direct customer earrplants a Iquitos to the owns
atm Relalkons Doorman x 2014521699*r tolitoe
a 800354-9103.8 00 A ki to 6 CO P ht ET Wifely
then* liklay. a 4 wrong to uBSIhrunceg SentaiS
Clan' ReUriont Department. PO Box 766 linen Cite NI
O7(57
•
n cast of errorscc WHOM abed al electron< runt
rake
1Y511 hit gamma cc U3SVGY data cad
translators, call 800-762.1900 or nese to LOS FnanCal
SienCeS ht. tow Kerber BW .6th I bat WW1/4w~
ell
O7006. Ann INW85.4 Sava.:
Cal a recess soon as sou cart d you
nk your
stawnem or mow 6 Aron; villa) need rrore
of cimaimn about strand* on the swerrent co reap!
The Fen Cc Card Mug (as xp I,
le) mum her torn you
no has Thai 60 d4,5 alter the inn scot you the frst
~men
on Moth the era or probion towed
- Pottle you nine rd want number (II ant
- Describe the MO. Or the ranter you ate ware god
aid molar asclearly a you on Wirt you Were n is al
error a My you need age nIdnlXiOn
- Precede tie dollar num
of the mewed mix
The Fiona Cad law ail investigate yar complain td
will carom any eeor promptly.
Plow make al thecae pastio to the ~or
to final'
nstitincen Muted cote from of this tannin, ha)es1w
to regal at Olen hes. ale-Conn may be tbye0 to
~antra
ten charges la lie pyrite (Cr usurtes
purchases and OiWgeS a trpad "Witt
n oath =cults
Amounts ma Ye traVexed 10 011ie nsteutons mar be
:Mita to a Pinner fee
UN Sweep Optird
U85 oilers °plan for sweepirwcach batsman biases to
bank deposes at ulitS Batt LISA aniUtS AG %Infant braid
03a-k
and
enney market mutual Mdse./am"
Awls) and the P.M/rational Dews* Ault
COAtor
customers wed ri montional Aesthete litinigetnent
Awful lucv9h the8a
Sweep YrOgralif. can I/gannet.
are Swept so 185 Bat USA p b al egad-tied MO and
then to ICS AG Starriord Bran,
a a liitey Fund Deposes
at tES SW USA are FOC enured n accordaxe with FDI.:
rugs For ow itonason oboe mit www ldu for
Deposits a1185 AG twdood Bunt ad *ayes et ?Amer
finds re not Inured by the FOC.
Through 1tr Onc nigh
to at, balances ar• Swept to
<409: aCONSIS a 15$ AG `tweak Brwch aid IBS AG
Carman Brant Thesedeposes zee MC nasal by tet PDC
Banco heal If the WS AG Carer Bran are torooraily
oposet to the sooner ri-A of the Caput Wands and
there b rn ouarastee a other oblcatkn 01 IRS AG to reef
thebalms %bacon the u15 Camel's s'ache't boas
Deposits at UBS Bat USA ai d each URS AG Brash apron
pritecked by SP( Mow Fund shies are proceaed by SPC
See 1.05Finalcal Semmes Acute Protection' below
Upon you repass princes n tie Bat Sweep Program or
OA may Oe villx/ten and Owes of a WrierFend maybe
Nude's, and thepouted' owned to pia
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UK financial
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Cot/often (SRO. MISS protects swathes rooms of its
nwrOws to m1500000 (noban; 1250.000 for dams for
cat) The SPC assn crixesco tore *Pei to all accoom
thanteholdn opaline:twit/1y
the Ferri togedes wth cenan aerates. ha also put:hand
Apploncetal Frottann Themount/en =oust payable to
all NOW ~a.
colimbroliunda this protection 4 5503
mato as of DaCerntrif IO. 2013
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n a pandit, capacey
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existed n rut
accent value/but heal away from te$Finalizial Services
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amok Jo ad 04 Owes of mutual finds 'Mac sut,
shaves re red awed drolly n the ninth:4 th. a0Atel
hailer on the boob ad records of the tolicabb Wier or
vatic agent).
• Conan eneenrreni comers or merriest 'stare= nt 9.
lensed parowshos aid prvaeplaxnents) tat are na
seginered soda the Spumes Act of 1933. and
• Controdhesconextt to 9. forme *wham* aid
team
metal contracts/ EWAN limns comma and
COnyndAY 'VW contacts
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apply to these assets~
d they Otreferee appea• art
swenents The SIC protean, and the appVywit
protedon do not ;voted agent* than?, is the floats
value of yes atestmentsentither as a resun a mato
=mount. raw batnipt0Y or li bl reviP0
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eve ntOrmalOn about SIC. hcludn9 the SPC troche.
by unizte9 SIC at 202.3718300a by vaiwg the SP(
Attune al raw 410c all
Derided Re invasonent Program IDP/P)
the cede reseed Can awear wite you may obean the
actual goo, Iron your Firuncul Adroor Only Mole than
•
pothased tatter OR P. partial ties 'Alto toll and die
cash me be deposeed n you amour* lied/Wend
retnestrore puce tippled by the issuer may dee from the
Mahn prole Mutt the partial than in sold
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a you at
entitled to atonal tot as a wilt d advkmd pornen or
otherwise, tie Firm wlt ether pl partial...Ms, make wife
a accept an trawl demenred by a registered (Stang
agermy. and cede row account
lavostment oblealves
the meg:vent obraves and nt prof tb are specie to end
aCOTant ai d any vary Centel neat Oise the is
/comma in erinnoi of any Kalman, Wanpe in your Wawa
seuatir a deretrein ttioctivel For each, accoure hell
you choose one of the io loving otiestment otoectkes
• italuo, fungi,: axone Imelentras wain; es•
glottal kin of emome only
• Ache* Capsx'bloplanocon vivellnXXIS **in; Torah
• pnxpal rah. than the gionatesin of name
• Rowe Co abaktnan of exam and CePWAPPeOna,
menorents tea iy9 bath the generate of Mono aid
•
wth d Isenalaal
Overall risk profiles
• Conant,* Seeks to enamels Mid/
iedpal. MA km
rite and rola liry to to account Pea. eon rt that means
the =gam does not generate igndant incomeor
returns old mince keep pea rah inll.010
• Mboltua %WIN to =opt some nth to Priarml and
thine sonesodaMyth seek hipher rehrni
• A4grostaie Wang to aosept hgh Ink tO senopal ad hgh
volatility so seek hilt reams woe tine
Statement lloosellokling"
We may consoldate al ratited amour Statifiltillf with the
vent
rms in the sane enfelOpo ACoDultsrnly be relined
for this snow beam they he. ownto eh* aim maitin
wit account mitonshos rah OW clams al tie same
address the peaceknom
as' howelsoldn9 • t you
aehr to wane India...II tlaternenlf rnbikd in scp.mw
CONFIDENTIAL
comecipes —you may decthe househollmg by ding your
Entail Meteor
Friontly account neap
the Frit:mei morn neonates
nfarrogon that yw
were/ an the Paws online meats wtbste It ea
custoinlzable •nosunw• dawn by you to ads you vnh
our reccedompeg It hit no b9I died on ase annum
You Can Mawr you Frendry axon nano Oath* Woe
Semmes of by manacles; wis Force , Awn° r .
Awriumentylow
• Valued Sour wountipserthba Nee of 3S:elided
IldD
• awe Include sealiale
babcces vaketolor
rani-fed %malty Cut 1 rid Gkbal 1-rne Deposits unrealized
milts to mrhet and Mien a:Getsnot held byte Fun
Does not naideunpnad samitelassets at the tor ol the
pro and wean starrom perodt a poise
Unitsvidtb:4, COI i:e6 and weicitabb 504 atom
• Oa. creel exlides
t balms. outstandna mats
loan. credit Inp short accourn Dames
• Cafh/Monty balfran Tots of unrwesiod salable cads
btanco. rat U3-5 Bank USA dimwit balawn UO5 aG
Surd ced
Bra c85
balances and nxne, mrkx maul
find sweep bastet a thedose of the statement pared
Non.orrencd Ey free ~it baboon is yos noun' dense
segregated from othiebalaxes and the Fanny/ use at of
these lards n the ordiwy course of as busies, Mese funds
yepa/Atte upon
demand Tha total Incbdtd
the
arrentp444 dos•9 value
Land ng information
Foe det4M nlonn on onthe rm. > fenfag prams and
do:locum, Sato yowClxn R/444eit p Ageowon or
Account Agworml and the General taws ad Conditom
US5 Stamen% of Cade Fractits &tab* n Agnomen:5
eane..clau
ins.
onvinr-
trust
Your awes
YOS statement waxes monks and other assetsheld n
the wows at the end of the summon pie 1:4 You Wei dt
for dttinor of fury pad Darn*" ar ry line You may
recew sictssin used a ban collated afar PaP19.ali
balance the on teen Any gnentin transioned to the an
thing the flattened period an lined a hunts mimes of
the end of the statment period
• Cost basis el deletheing the con basis of the tortes
Metaled n this statement. SWt eldLited valh ete
flitter '1. ' UOS finarche Streceshat rend on
inhonal ion °biased iron sources other than IS
Firstcal %ewes. nCtidng nlanation Iran a otva fit
or tat you may An pro/el:WI so you''mantel Mesa
Thefirth clots not toktrunderdly way Or guaranteeto
enrary a vtidety of any Manton worded by sources
other to Min
-Inca, SeriMeS
m adolticin *tooth LOS FiondalSoietogenoialy
updates this it cannon as e I wetted tie rim does ow
area& any se dans tat she of crmatico alder 'Cost
bale and 'Unrefined gaivbst k atasee• a of Ott die
of this Slthinothl AS 9.4\ plea,. do not (*Ion this
infarct kin to make curdles' or We Oozes. fa la
purposes a 011etwor Atmurm Valtelol to the fern
may wiled ribs,
Mormako oily for Ire penal
tiny they re had x theLim Marehiaormal Hematite,
Cal be added by you Fialnag Arkar
• Unmerited gaInsibmos tithe data L vatic.
Ice:frac, f 'Yeti Tee
3'2 cacialet ice
SDNY_GM_00020831
EFTA_00131451
EFTA01273658
Important information about your statement (Continued)
intreidultareity lots the Inman data fa
lots maya may not reflect cemnksans, dragesape
seamy magnesia, Tau Dulled ad Mier
ronorman lots and »Pail* pfd ae bh are men
manned to dtigiaf one weragml
lhe • traded.'
cobra presents the «gnat balsut Kra Valedate
• CANN narltiat Bonds and parted SIOP IAA the
issua cat fa ea relongeon mil bestream! mania*?
by lot tom rag al seurnes of Mat eswe held in our
nane pi in ~mew n are ler CAI dents Callean
Nana an is otaanod from TN prim and as xcura-f
is not guramed On« call I eatints nay rota Nall
could ilea yell complete mlormakin sate prodded
AKA warn
• ~Was
of deposit KO» CDs ate RaC mixed ups,
1293,CCO n antatal and road infest ma depositor
aid pa canary trunnion n aoradance web itta:
rules
• ~MMus aces ~UN/ fa reanes ard other
products maybehigher a byre thai the pris Mal you
year 17 actuary motet in the make, PrCeS are °Maned
from arias Mid pattyarm ends webeb!Mlo te
ratable bet we do not gumbo eel' a:cracy
- We "astray me To clangpia when sealable cr lhe
mean or IN b4 and ask ilces fa laced PairteS and
*pans or on y trd preen or OTC sense an
- Lot adore,/ traded seamen maybe priced tung
aalatan niocla a the nap wean pia we Malted
admanot refreflect an actua mant prr or rain
-
(wain positrons may aura alma ay.:wand roll
show z 'price was not writable' if we re ante to
obi* a age for a saucy
- Deposes a Wanes denallitnd n ~es
OPP
thi U S dollars se ref keled a the err) Ego rSe as of
the Parma! data
- for certan seanhes mica mnomantirmig
denomnatros. ace and quality das vane) mart hae
been attuned» lapPale Kopp vcupAn
To obtain clam antrum Wien wattage «Nan yor
Primal eatecor
• mern lewmanuma and structured undo« Mate
Inestriore taunts Crictidng Ana prapation
progran aid real Mate rwstment rain
*and
Structured goo-AIM aerated., hghly NW./ (elan
surctued prams hare nod been rettiored with the
~Pet
and &Male Canaan a underand sure
secures UM We prorate estmaed saws la agate
magmas saran arm senate., prodas tor
Mann.* cnalpupoen only Acatacyo rot gonnifCl
- 111(RAIWNP maydiger %Diurnally tram Nam day
a inch wire niestrnere sectary« structured
Nana my be Lair a sokl aid do not necessaily
represent the eatr you my rearoo upon Igridson
- med pay enmans of vim are as of a anen due
aid ae utplied so ISS Nadal Sams on a regi It
bass by an nano:Sent YAWN., Inn
Isav, ROIRIRIP~C(CPRISOr ecrimzed vain rf
any. are stapled to te Form by Me mug general
partner or sponsor and maybe 0W~
Axed an
afferent Narration from that used by thrd part is to
donee it... estimated valor;
- You cal ratan addnana ntarnalan legator the
methodology used to determine the mutate of vase
ad the date of the Nonnaton Ty Is the bin for and
mange hyaena:an your Amaral maser
- 'MN party estimated v*Iec may be reflected as nat
p105 rr sewer auwars seeral an ',reptant
valuation firm NS AA Applied or d made so assign a
yaw wan we beano await that arnwora Tort had
ocarred that trey alfa ~wry reponed vat. R03
<mean a Minna» marl be fugl,/ maytatree
duo to the rut" of the seamy
- ?Men Mill*, an isve( general panne( a 6Ør
eginatal vadenot attrdpalyeslthiled vaneis
prOwled. the Nut of Me mama al badgered tan
nt prch/a pia
- 'CliSrbutiorn to dare' may nicludt awn of cal,
name a both
• Off9gg and sae* 'exeunt, Pm MAP ollpAg price
per relit m5 may not reflect sow cos bask
• Ititsolatd Warn« Restricted Truces generaty are
not as my ewe* for maolc sale IRS financial Sena
uset the Trtat prior of To esurniktod stock of To say
mute a an reputed raw fa the retuned neat tt
purposes of This stmexemony To the omen Tx
restated startle at enable for sale. Me mat remind
nay be manumit, less Than IN imaged Wive shone
• In. (.natod) yØ
arrattyields and rap An
engine of anal mein. is based on ward canker
and nuep mot awning dm acuities till be held for
One year from siaterned date or ate enigma This
estimate is oq a guanine. accuracy and Øvered
Mane se not g,ur meted
- Est
annual ammo and anent NM for agar
Nino, Storing mutdiscluie a return of anaa or
cagy( gas er wadi case the est name lait grant
NM) would be werand
- Estimated arena' name ard euteni yield aid the
actua nowt and yeld night be lowers hgher than
the maraud among
- An mainatool amalged name <dotard andor
Nang dulled brim coma matte, valrearewat
balance is lased as the lag disand or Nan
parfait, niale by Me muer and Nunes Tit
seam indents rill be Midge one year ban the
states-rat rigor ate ~prey Acosant aid
Palmed Tied ae not goaanteed
• Aetna
held try UPS Mandel Soaker Conan
agora are rot UN bytte Prm .3-4 not Minn the Fint's
posseSPfi or anted Thee Puts Pe 46pta,ed at yam
statement for inlormannal ~one,
Roans end
raps presented ao prosaed byte sung lien tills
fi nancra Snag s not reiponsble for this Mann»
and does net grantee to awry Moe assets ate not
prowled by Sara or IN Ffin-C supplemental SaC
coverage
• ferns Sating and additional conmensadow
- ti additar to ammissom on saks aid 12bil fees
noted in enflame wits the &Paula of tradva
fads to our dents we atla op starlap rente
rensue it)wirr; pa/maul rorn tutu bungs and«
advisors of the name funds Tat we telt Thew
amounts are based on eto different arroonints
tre amount ol saksby let of a pancuW metal lad
Irma to outTerns erd Id Ow arm varelv a
parboil, mate fund Landis ShIrOt Nil X IN IRA
- We aid at Stare and rage renwang and
ormtosproasong lees in consideration lot tuder
agent spikes dat we proud. to the ntrual funds
These lets gaff" at pad loco imtnor sner, in the
mutual lad sid se a trod delft amaum trawl on the
minter of ~Is
at tie tragic-dean holding mutual
I irds of Tai fird 'ma
- m nation to commstam matted n annection win
tor sabot dare:imam of anery common ad Inis
imsi .mc Itnni units P cur deml. we alder our
Praline remeeriterue I, lag Orelingalla from
rnmyol The ratans> corrpsuro indemnity Pe
artily =owls "Imes ol The iwyranor corn-La-4s
ix sponsors a near inv4SPIell SUSS we *Saute
- Ott agnates also recent trading commispas air arm
compensation kom mina rinds aid ipmcw..p
OPRPARIS vtios.proaxts we disorbute
- We receive as anal tee fern t658alk USA ad USS
AG Stanford Br arch of up io 125 per =cum
around to tie tars any Ihe Mates* Sweep
Programs
Paley
Information regardng corninkaa ad ogre charges
roared it anedon awn the meodion ol valet ricadeig
option tatactons has been ncalled
cordenutons
anorak fanned to you. aid wail be umiirad to you
pommy on revren
Short selling
if you n engaged et Mort sang a parity ycu may nos a
Tare due to wan laworang costs lanai palaula
ranee
Ow <San
Regaling 4666 a 'AIXICIPI.CAllaad • orders that were not
ereaited by the stenm (Net open buy al sell top
orders re rented by the amount of dwdends er (gas on
• oydadndsor mamas dato unless nomad airmen.
by you You ae remorolote I or orders aha are ericuted doe
to put fare to canal existing open orders
Tax wiThaditg en ~ens
futon UK financial
Stains IRAs
ledara tact taw requres 1.85 Nadal Sevres to wellbold
income tat from its unable IRA &WHAM AAR but you may
eke not lobate ~UN
will P01
impart you nay
Peet to hare lie ~Mc I a era, or maned row as
you choose VP: Soon RA warn n effect IAN reRolcd
by you You may mock. your acclIon a ay lino by ~mg
a now onain a sou do rot haw weigh nonm a
wanted Ironi 'Our d'actulialf. "Wililytie remora* la
the paymera of ettand tat you may oar pares d vie
moats rennet] and your estimated Ir parrninis reret
eta CO van tar obligation
Macy
To obtain amen:Oar omen One Proxy tam c. please
gonad you F natal mater cruise ow ?Aisne at
ymrov wax ccrnenrrworry
Let natal Saran is not a bark the WA. Suwon
Sevres Accont BSA and AMA ate Wattage aoocurrts
vadi proide access to bating seams aid pats,'
ttrough an
ti with affiliated bras awl other MS.
partybalks and prcvdtes access to away ad znuIy
promas ittud by until dated med warty nurampe
carman*, Heugn fivISICe agency Lobar es ol tilli
Nadal Soria ere
~
I. mace. ad annuity products
POI 'DC heated • No bank p.Anni«R May tow vain
MAA Resonate Ma,agrnuni await Banns taus
Atarnt Sta, illar and neemmonal Baotou ~arrant
CONFIDENTIAL
Attoun ae ragitlered since mats or lØ5 ~al
Brakes
vat Squaw is a regrind S•ry1(OmYkol visa
anermarnal 1.85 V6a Signature Cede Cads ad UPS Vila
dotal cars ae issued by MS Barr USA rah marnimon from
'Janata Tarp:era
LUIS Ananall Servieee 'PC
PP 201407
SDNY_GM_00020832
EFTA_00 131452
EFTA01273659
4`UBS
UBS Financial Services Inc
299 Park Avenue
25th Floor
New York NY 10171.0002
CNP70056438851I1S
YI 0
UBS Strategic Advisor
November 2015
GH1SLAINE MAXWELL
Account name: GHiStANE MAXWELL
Friendly account name:IMMImi
Account number.
116 E 65TH STREET
NEW YORK NY 10065.7007
Your Nnancial Advisor.
SCOTT STACKMANILYLE CASRIEL
Phone
Questions about your statement?
Call your financial Advisor or the
Value of your account
RMA ReSOurCeLine at
account
on October 30 (S)
on November 30 (1)
Your assets
1,413,893.34
1,025,834.34
laic our website:
1-
Your liabilities
0.00
0.00
wvew
Value of your account
$1,413,893.34
51,025,834.34
Tracking the value of your account
g Thc uc,and$
Sources of your account growth
during 2015
Value of your account
at year end 2014
ti,721.172.36
771 7
Net deposits and
withdrawals
-169%314.07
1,413.9
1,0258
Your nvestment return
Dbedend and
interest income
Change in
markot value
538246.07
-535270 02
Value of your account
on Nov 30, 2015
51,025.83434
DK 2014
Ott 2015
14,v2015
SDNY GM 00020833
PA•mb•r SIPC
CNP7000100564303SNP1000193349 00002 I 1 IS 030575004 VI 23568s50 0l 0000
Page 1 of 12
CONFIDENTIAL
EFTA_00 131453
EFTA01273660
$UBS
U BS Strategic Advisor
November 2015
Your account balance sheet
Summary of your assets
Value on
November 30 (9)
Account name:
GHI$LAINE MAxV1 EL_
Friendly account name:Indiv
Account number:
VI 2
Percentage of
your account
A
Cash and money balances
98,152.90
9.57%
B
Cash alternatives
0.00
000%
C
Equities
927,681.44
90 43%
E
NOr-trad [tiara I
ace
000%
F
Commodities
0.00
000%
G
Other
0.00
000%
Total assets
Value of your account
$1,025,834.34
51,025,834.34
100.00%
Your current asset allocation
C
Eye on the markets
Index
Percentage change
November 2015
Year to date
S&P 500
0.30%
3.01%
Russell 3000
0.55%
2.58%
MSC - Europe, Australia & Far East
-1.54%
0.95%
Barclays Capital U.S. Aggregate Bond Index
-0.26%
0.88%
Your R sandal Advisor
SCOTT STACK MANLYLE CASRIEL
212-821.7030/800-308-3140
• Cash and money balances may include
available cash balances. VB5 Bank LISA deposit
account balances, VBS AG Stamford Branch
deposit account balances and money market
mutual fund sweep balances See the Important
information about your statement on the last
two pages of this statement for details about
those balances
Interest rates on November 30, 2015
3-month Treasury bills: 0.21%
One-month LIBOR: 0.24%
01P70003005643IP36NU000193349 03002 II 15030575004 Y1235689500495ByGitocomfesp 2 of 12
CONFIDENTIAL
EFTA_00131454
EFTA01273661
*UBS
U BS Strategic Advisor
November 2015
Change in the value of your account
November 201 5(3!
Year to date (1)
Opening account value
$1,413,893.34
$1,721,172.36
Deposits, including investments
transferred in
0.00
2,200.00
Withdrawals and fees,
including investments transferred
cut
-392,086.32
-700,514.07
Dividend and interest income
2,154.67
38,246.07
Change in market value
1,872.65
-35,27a02
Closing account value
$1,025,834.34
$1,025,834.34
Account name:
Friendly account name: if
Account number.
Dividend and interest income earned
f Of culposos of Iris statement, taiab:ity of interest and dndend income ha been determined frail a US
tax reporting perspective. eased upon It,. residence of the account holder, account type, or product
some interest ardor dvidend payments ma/ not be subject to United Slates (UA ardor Puerto Rico (PR)
Income tarts The [tent month,/ Statement is not intended io be used and ornot be relied tarn for tar
purposes. Clients should refer to the appktie tar reporting forms they recent trap 165 annualy, such as
the fOrMS 1099 and the Failt, 480. for lac reporting intormatron It is the PraC8Ce Of U85 to file the
a3c1,catie tax reporting forms with the US internal Revenue Semite and PR Treasury Department and in
sue h forms accurately aka fy chickna ardor Interest as tar everrpt or tatabk income. Mese consult your
Incivclual tax prepare(
November 2015(8)
Year to date (1)
Taxable dividends
2,153.13
38,239 68
Taxable interest
1.54
6.23
Total current year
$2,154.67
$38,245.91
Prior year adjustment
0.00
0.16
Total dividend & interest
$2,154.67
$38246.07
Summary of gains and losses
Yaws reported below exclude products for which gam and losses are not classified.
Realized gains and losses
Unrealized
November 2015 (1)
Year to date (S)
gains and lasses (I)
Short term
0.00
2,544.95
3,397.41
Long term
28,094.91
174,886.59
130,588 57
Total
328,094.91
$177,431.54
3133,985.98
Your ri sandal Advisor:
SCOTT STACKMANLYLE CASNEL
212-821-7000/800-308-3140
Cash activity summary
See Account activity the month tot deia Is. BSances in your Sweep 001 OM are indueed I n the q:enng and
closing balances vat ue. FDIC insurance apples only to deposits at u9S bank USA, rot to deposits at LOS AG,
StarPord Ranch or bark deposits paced through the UBSIntemaiona Depcm Account program SIPC
protection applies to money market sweep hold holdings but nal bark deposits Sae Important inearnation
about your statement on the last two pages ci this document for atals
2015 (5)
Year to date (S)
November
Opening balances
$392,086.32
$6,517.57
Additions
Deposits and other funds credited
0.00
2,200.00
Dividend and interest income
2,154.67
38,246.07
Proceeds from investment transactions
95,998.23
844,643.88
Total additions
$98,152.90
$885,089.95
Subtractions
Professional management fees and
related services
0.00
-8,082.81
Other funds debited
-392,086.32
-692,431.26
Funds withdrawn for investments
bought
0.00
-92,940.55
Total subtractions
-$392,086.32
-1793,454.62
Net cash flow
-$293,933.42
$91,635.33
Closing balances
$98,152.90
$98,152.90
SDNY GM 00020835
CelP7C009305643607NP7000190349 00(102 1115030575004 Y123568550010000
Pigs 3 of 12
CONFIDENTIAL
EF1'A_00131455
EFTA01273662
UBS
UBS Strategic Advisor
November 2015
Loan summary
Account name:
GHSLAINE MAXWELL
Friendly account name:Indiv
Account number.
VI 2
Year to date loan interest
$28.14
UBS Bank USA Deposit Account APY
interest period Oct 7 - Nov5
Opening UBS Bank USA Deposit balance Oct 7
$802.22
Closing UBS Bank USA Deposit balance Nov S
SB29.62
Number of days in interest period
30
Average daily balance
$92,359.87
Interest earned
81.54
Annual percentage yield earned
0.02%
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 informatron about your statement at the end of this
document.
Your return objective:
Capital apprecetion
Your risk profile:
0nmary Aggressive
invei,jrnenj eligibifty consvierai ion - None selected
Your account instructions
. Your account cost bass default closing method is FIFO, First In, First Out.
Your lq Asocial Advisor
SCOTT STACK MANLYLE CASRIEL
212-82 t .7000/ 800-308-31 40
CIIP7C00030564.3888NP7OCOIS0349C00O2 INS 030575004 Y123564355001MyGro00020ter 4 of
CONFIDENTIAL
EFTA 00131456
EFTA01273663
$UBS
UBS Strategic Advisor
November 2015
Your assets
Account name:
GHISLAINE MAXWELL
Friendly account name: lndiv
Account number.
Y I 2
Some OnCes, income and current values Shona may teapprOxiMale. Asa teat. gains and lOsses may not
tie accurately reflected. See Anporunt info:mown about your statement a the end of dos document for
more information.
Cash
Cash and money balances
Cash and more), balances mai volts* avalaole cash balances, UBS Bant USA deport account balances,
UBS AG Stamford Branch deport account baances and money market mutual fund sweep balances.
UBS Bank USA deposit account balances are insured by the CDC vAlhn applicable limits, but are not
protected by StPC Lu3S AG Stanford Branch deposit sec ou m balances ax not insured by FDIC and are not
protected by Stit Money market sweep batances are protected by SEC but ale not insured by the FDIC.
See the Important information about your statement at the end of this cbcunent for details about those
balance.
Hddng
RMA MONEY MKT. PORTFOLIO
Overtonbalance
Cloungloierxe
on Noy 1 (1)
on Nov 30 (S)
Price per there
Average
on Nov 30 (1)
rate
DAV:fend Interest
period
Your Financial Advisor
SCOTT STACK MAra LY LE CA5RiEL
212-821-7000'800-308-3140
O.gsm
period
Cap annual (1)
142,086 32
0.00
1.00
0.01%
Oct 26 to Nov 22
28
LEIS BANK USA DEP ACCT
250,C00 00
98,152 90
250.000 00
Total
Equities
Common stock
Hddng
Trade
date
lAirrbef
of shares
Purchase pricer
Average price
per share (I)
Cost basis(S)
Price per fhb. e
on hoe 30 (5)
Value on
Nov 30(S)
unleaded
gain or lOSS (t)
Hddng
period
AECOM
Symbol. ACM Exchange: NYSE
Jan 28,15
500000
26 619
13,309 95
31.830
15,91500
2,605.05
ST
Jan 30,15
WO 030
25 532
2,553 24
31,830
3,183 00
629.76
ST
Security total
600.000
26.439
15,863 19
19,098.00
3,234.81
ANALOG DEVICES INC
Symbol: ADI Exchange OTC
EAI: 182 Current yield: 2.61%
Apr 22, 13
51 003
42 447
2,16481
61.630
3,143 13
978.32
LT
AUTOMATIC DATA PROCESSNG INC
Symbol: ADP Exchange: OTC
EAI: 4153 Current yield 2 46%
Apr 22. 13
72.000
56 870
4,09467
86.260
6210 72
2,116.05
LT
5392.08632
598,152 SO
continued next page
SDNY GM 00020837
CflloC0033056431039NP7003193349 000O2 ll IS 03057%04 Y173 568S50 Ol 0000
Page S of 12
CONFIDENTIAL
EFTA_00 B1457
EFTA01273664
UBS
UBS Strategic Advisor
November 2015
YOur assets b Equities . Common stock (continued)
Hddng
Trade
date
Weber
of shares
Purchase price
Average peke
per man (5)
Price per share
Cott basis (5)
on etn, 30(5)
lb:Neon
eme 30(5)
dnreSized
gSn or Ion (1)
Hddng
Pelee
BAXTER INTL INC
Symbol: BAX Exchange,. NYSE
EAI: 1716 Current yield- 1.22%
Jul 20. 12
30.000
28496
854.88
37650
1,129.50
274.62
LT
Jim 20, 12
17.000
28.455
483.75
37.650
640.05
156.30
LT
Jun 21,12
29.000
28.762
834.12
37.650
1,091.85
257.73
LT
Jun21,12
7.000
28.444
199.11
37.650
263.55
64.44
LT
Jun21,12
5.000
28.838
144.19
37.650
188.25
44.06
LT
Jun22, 12
61.000
28.658
1,748.19
37.650
2,296 65
548.46
LT
Jan 23,13
768.030
36.815
28,274.47
37.650
28,915.20
640.73
LI
Apr 22.13
355003
38284
13,591.05
37.650
13365.75
-225.30
LT
Sep 19, 13
74.000
39.857
2,949.45
37.650
2,786.10
•163.35
LT
Sep 19.13
6.000
39.696
238.18
37.650
225.90
-12.28
LT
Sep 19, 13
3.000
39.700
119.10
37.650
112.95
-6.15
LT
Sep 20, 13
47.000
39.758
1,868.67
37.650
1,769.55
-99.12
LT
Oct 3, 13
154.000
35.679
5,494.57
37.650
5,798.10
303.53
LT
Security total
1,556.003
36.504
56,799 73
58,583.40
1,783.67
BLACKRCCK INC
Symbol: BLK &change: NYSE
EAI: 1628 Current yield 2.40%
Apr 22, 13
72.000
251.093
18.07671
363.720
26,187.84
8,109.13
LT
COLGATE PALMOUVE CO
Symbol. CL Exchange: NYSE
EAI: $2,292 Current yield:2.31%
Aug 4,11
174.000
41.632
7,244.05
65.680
11,428.32
4,184.27
LT
Aug 12, 11
4.000
42.450
169 80
65.680
262.72
92.92
LT
Jan 23,13
910.000
54240
49,358.63
65.680
59,768.80
10,410.17
IT
Apr 22.13
420.600
59.788
25,111 32
65.680
27,585.60
2,474.28
LT
Security total
1,508.003
54300
81,883 80
99,045.44
17,161.64
ECG RESOURCES INC
Symbol: EOG Exchange: NYSE
EAI: 1335 Current yield 0.80%
lan 28,15
500.000
90411
45205 72
83.430
41,715.00
-3,490.72
ST
FORTINET INC
Symbol: FINT Exchange: OTC
Jan 28,15
500.000
31.942
15,971.36
36.020
18,010.00
2,038.64
ST
lan 30,15
250000
29.431
7,357.75
36.020
9.005.00
1,647.25
sr
Oct 26, 15
250.000
34.170
8,542.53
36.020
9,005.00
462.47
sr
continued next page
CNP7031»005-643890NP70C0193349 00002 1115 030575004 71235685500i WSNYGM00020§"Jet 6 of 12
Account name:
Gl-IISLAINE MAXWELL
friendly account name:Inch%
Account number.
YI
Your 15 nand) Advisor.
SCOTT STACK MANLYLE CASRIEL
212-821.7000/800-308-3140
CONFIDENTIAL
EFTA_00131458
EFTA01273665
*UBS
UBS Strategic Advisor
November 2015
Account name:
GHISLAINE MAXWELL
Friendly account name:Indiv
Account number:
VI
Your Mnanclal Advisor
SCOTT STACKMANLYIE CASRIEL
212-821-70001800-308-3140
Your assets Equities . Common stock (continued)
Purchase pica
'made
/aunts
avetage Mot
Pnce per share
Value on
Untreated
tiddng
Hddng
date
44 shares
per Owe (8
Cost basis(U
on Mow 3001
tow 30 (8
gains loss ft)
Period
Security total
1,000.000
31.872
31,871.64
36,020.00
4,14836
GEM. MILLS INC
Symbol: GIS Exchange: NYSE
EAI: 33,312 Current yield; 3.05%
Aug 4, 11
191.000
36.265
6,92&77
57.760
11,032.16
4,105.39
LT
Aug 12, 11
5.000
35.754
178.77
57.760
288.80
110.03
LT
Jan 23,13
1,001.000
41 387
41,428 89
57.760
57,817.76
16,388.87
LT
Apr22. 13
464.000
50287
23,333.21
57.760
26,800.64
3,467.43
IT
Jun17,13
148.000
49.739
7,361 45
57.760
8,548 48
1,187.03
LT
Jim 18, 13
73.000
49.836
3,638.07
57.760
4.216.48
578.41
LT
Security total
1,882.000
44.031
82,867.16
108,704.32
25,837.16
JOHNSON & JOHNSON COM
Symbol. M.I Exchange: NYSE
EAI: 53,198 Current yield. 2.96%
Aug 4,11
123.000
62377
7,672.38
101.240
12,452.52
4,780.14
LT
Aug 12, 11
3.000
63.730
191.19
101.240
303.72
112.53
LT
Jan 23,13
642.000
72.736
46,696 71
101 .240
64,996.08
18,299.37
LT
Apr22. 13
298.000
84.721
25,247.10
101.240
30,169.52
4,922.42
LT
security total
1,066.000
74.866
79,807.38
107,921 84
28,114.46
MCDONALDS CORP
Symbol; MCD Exchange: NYSE
(Al: 43,624 Current yield: 3.12%
Aug 4, 11
95.000
84.959
8,072.06
114.160
10,845.20
2,773.14
LT
Aug 12, 11
3.000
85.910
257.73
114.160
342.48
84.75
LT
Noy 29, 12
8.000
86.456
691.65
114.160
913.28
221.(3
LT
Jan 23,13
555.000
93.053
51,644.75
114.160
63,358.80
11,714.05
LT
Apr 22, 13
255.000
99318
25,32632
114.160
29,110.80
3,784.48
LT
Sep 19, 13
78.000
97.879
7,634.63
114.160
8,904.48
1,269.85
LT
Sep 19.13
22.000
97.425
2,143.36
114.160
2,511.52
368.16
LT
Sep 19, 13
2.000
97.830
195.66
114.160
228.32
32.66
LT
Security total
1,018.000
94269
95,966 16
116,214.88
20,248.72
PEXTF_RA BERG? INC COM
Symbol: NEE Exchange NYSE
EAI: 4499 Current yield 3.08%
Apr 22, 13
162.000
79.757
12,920.65
99.860
16,177 32
3,25667
LT
continued next page
SDNY GM 00020839
OW7000)305643691 NP7000193349 00002 1115 0305750040123568550010000
Page 7 of 12
CONFIDENTIAL
EFTA_00131459
EFTA01273666
SUBS
UBS Strategic Advisor
November 2015
Account name:
GM'
IN MAXWELL
Friendly account namerIndiv.
Account number.
Y1 2
Your 15 nancid Advisor.
SCOTT STACK MANLYLE CASRIEL
212-821.70001800-308.3140
YOLK assets b Equities
Ndeng
Common stock (continued)
Trade
dam
Pewter
or mares
Purchase price/
Average price
pm Sae (5)
Cott batit (S)
Price per share
on Par 30(S)
Value on
Nov 30(S)
unrealized
gain or loss (1)
Hokin;
priori
OCCIDENTAL PETROLEUM CRP
Symbol: OXY (change: NYSE
EAI: 12,907 Current yield: 3.97%
Feb 12, 14
148.000
88959
13,165.96
75.590
11,187.32
-1,978.64
LT
Feb 12, 14
117.000
88.989
10,411.82
75.590
8,844.03
-1,567.79
LT
Feb 12, 14
32.000
89.002
2,848.07
75.590
2,418.88
-429.19
LT
Feb 12. 14
7.000
88.857
622.00
75.590
529.13
-92.87
LT
Feb 13, 14
110.000
88.885
9,777.41
75590
8,314.90
-1,462.51
LT
Feb 13, 14
68.000
88.708
6,032.19
75.590
5,140.12
-892.07
LT
Feb 13, 14
33.000
88369
2,916.19
75.590
2,494.47
-421.72
LT
Feb 13. 14
6.000
88.421
530.53
75.590
453.54
-76.99
LT
Feb Id, 14
334.000
92065
30,749.82
75.590
25247.06
.5,502.76
LT
Feb 18,14
114.000
92.677
10,565.23
75.590
8,617.26
-1,947.97
LT
Security total
969.000
90.422
87,619.22
73,246.71
-14,372.51
FtPSKO INC
Symbol. PEP Exchange NYSE
EAI: $3,243 Current yield: 2.81%
Aug 4,11
115.003
63.979
7,357.65
100.160
11,518.40
4,160.75
LT
Aug 12, 11
3.000
63.023
189.07
100.160
300.48
111.41
LT
May 16, 12
6.000
68.535
411.21
100.160
600.96
189.75
LT
Oct 24. 12
1.000
68.690
68.69
100.160
100.16
31.47
IT
Oct 25, 12
2.000
68.810
137.62
100.160
200.32
62.70
LT
Oct 26, 12
1.000
68.890
68.89
100.160
100.16
31.27
LT
Oct 31, 12
1.000
69.370
69.37
100.160
10016
30.79
LT
Nov6, 12
1.000
69370
69.37
100.160
100.16
30.79
LT
Nov 7, 12
1.000
69.150
69.15
100.160
100.16
31.01
LT
Nov8, 12
2.000
69.090
138.18
100.160
200.32
62.14
LT
tan 23,13
699.1:00
72.166
50,444.31
100.160
70,011.84
19,567.53
LT
Apr 22, 13
322.000
82251
26,484.85
100.160
32,251.52
5,76667
LT
Security total
1,154.000
74.097
85,50836
115,584.64
30,07628
PROCTER & GAMBLE CO
Symbol: PG ()change: NYSE
EAI: 13,007 Current yield: 3.54%
Aug 4,11
118000
60.103
7,092.22
74.840
8,831.12
1,73690
LT
Aug 12, 11
3.000
60.896
182.69
74.840
224.52
41.83
LT
Jan 23.13
619.000
69.941
43,293 73
74.840
46,325.96
3.03123
LT
continued next page
CNP70008005643892NP700019034900002 1115 030575004 VI 2356855001~y_ GM00020tOne S of 12
CONFIDENTIAL
EFTA_00131460
EFTA01273667
UBS Strategic Advisor
UBS
November 2015
Your assets t Equities . Common stock (continued)
Pura's* price
Trade
Number
Average peke
PMe pet share
value on
Unrealized
/idling
Itching
date
of shares
per shape (I)
Cost basis ($1
on taw 30(R
Nov 30(1)
gain or loss d)
period
Apr 22, 13
286.000
81332
23,261.18
74.840
21,404.24
-1,856.94
LT
Apr 24, 13
108.0(X)
77.762
8,39832
74.840
8,082.72
-315.60
LT
Salty total
1,134.000
72.512
82,228 14
84,868.56
2.640.42
TRAVELERS COS NC/THE
Symbol: TRY Exchange- NYSE
EAI: 4371 Current yield 2.13%
Apr 22, 13
41.000
84.719
3,473.50
114.570
4,697.37
1,223.87
LT
May 22, 13
111.000
83.807
9,302.58
114.570
12,717.27
3,414.69
LT
Security total
152.000
84.053
12,776.08
17,414.64
4,61836
Total
379%655.42
$930,136.44
3134481.02
Total estimated annual income: $24,367
Short options
hoot
Nurrbet
See price
Sale Pate per coned
Contract
Vakie on
Units Nd
Holdno
Wising
date
of contracts
per contract (5)
proceeds (I)
on Nor 30 (5)
preraum(S)
hov 30(S)
gen or loss (5)
period
CALL /051N9314 &JOHNSON C
DUE 12/1E/15
100.000
Expires: Dec 15
Symbol. IN)
Oct 19, 15
•10.000
1.089
•1,089.98
223000
2.230
•2,23000
.1,140.02
ST
pill FORTH ET INC
CUE 01/1916
30.000
Expires: Jan 16
Symbol. )TNT
Oct 26, 15
•10.000
0.869
•86998
22.500
0.225
-22500
644.98
ST
Total
-$1,959.96
-32.455.00
4495.04
Account name:
GHISLAINE MAXWELL
Friendly account narne:Indiy
Account number.
Y1
Your !Island,/ Advisor:
SCOTT STACVMANTYLE CASRIEL
212-821-7000/800-308-3140
Your total assets
value on Nor 30 IR
Percentage of
your account
Cost
bass (5)
Esimated
annual inure (S)
Uneesized
gain or loss (S)
Cash
Cash a ad money balances
98,152.90
9.67%
98,152.90
Equities
Common stock
Short optionS
930,136.44
-2,455.00
795,655.42
-1,959.96
24,367.00
134,481.02
-495.04
Total equines
927,681.44
9043%
793,695.46
24,367.00
133,985.98
Total
$1,025,834.34
100.00%
$891,848.36
$24.367.00
$133,985.98
SDNY GM 00020841
CNP70305005643693NP7000190349 00002 1114 030575001 Y123568550 010000
Page 9 of 12
CONFIDENTIAL
EFTA_00131461
EFTA01273668
*UBS
UBS Strategic Advisor
November 2015
Account activity this month
Dividend and interest income
Taxable dividends
it te•,5,
Other funds debited
Account name:
GHISLAINE MAXWELL
Friendly account name: Indiv
Account number.
Y1 2
Your 15 Rancid Advisor:
SCOTT STACK MANY LYLE CASRIEL
212-82 I-7000/800-306.3140
Date
Actinty
DelatitiOn
ArnOunt (I)
Nov 2
Dvidend
GENL MILLS INC PAID ON
1882
828.08
Nov 16
Dvidend
COLGATE PALMOUVE CO PAID ON
1508
573.04
Nov 16
Dividend
PROCTER & GAMBLE CO PAID ON
1134
751.73
Nov23
Dvidend
RMA MONEY MKT. PORTFOLIO AS OF 11/20/ 15
0.21
Total taxable dividends
52.153.13
Nov6
Interest
UBS BANK USA DEPOSIT ACCOUNT AS OF 1 110915
1.54
Total taxable interest
Total dividend end interest income
Date
Adiviy
Cesciiphon
$1.54
$2.154.67
Argued (S)
Nov 2
Transfer
JOURNAL TO Y I 23575 GHSLANE MAXWELL
-392,095.32
Total other funds debited
-5392A86.32
Investment transactions
For more inkinnaion &cut the puce/ value shown for restrkted woollies, see important information about
your statement at the end Of this docurient.
Date
Acts/ty
Descaphon
Quantity
Yaw (T)
Nov23
Assignment
CALL BLACKROCK INC DUE 11120'15
320000
3.000
Nov25
Sold
KLACKROCK INC
Prke a)
Proceeds from
Funds
investment
withdrarm for
Accrued
transactions a)
investmentsDour (I)
interest (9
-300.000
320.00
95,998.23
Total
595.99823
Date
Activity
0escrIPlial
mount (S)
Money balance activities
Oct30
Ilataace forward
5142.08632
Nova
Sold
RMA MONEY MKT. PORTFOLIO AS OF 11102115
Nov 30
Closing RMA Money Mkt. Portfolio
the RMA Money Maket Portlob is your secondary sweep apton.
Oct30
Balance forward
NOv 3
Withdrawal
U8S BANK USA DEPOSIT ACCOUNT AS OF 11112/15
-249.171.92
Nov6
Deposit
UBS BANK USA DEPOSIT ACCOUNT AS OF 11/0915
1.54
Nov 17
Deposit
U85 BANK USA DEPOSIT ACCOUNT
1,324.77
•142,086.32
$0.00
0250.000.00
continued next page
CNP70X0009343894NP7000193349 00002 1 I 15 030575004 v123568550 OlffaNyfiivi00021».2 10 of 12
CONFIDENTIAL
EFTA_00131462
EFTA01273669
*UBS
UBS Strategic Advisor
November 2015
Account activity this month (continued)
Date
Money balance activities (continued)
Nov27
Account name:
GHISLAINE MAXWELL
Friendly account none: lndiv
Account number.
VI 2
Activity
DeS00110f1
Deposit
UBS BANK USA DEPOSIT ACCOUNT
Your Bimodal Advisor:
SCOTT STACKMANLYLE CASRIEL
212-821-70001800-308-3140
Amount (S)
95,998.51
$99,152.90
Nov 30
Closing UBS lank USA Deposit Account
Tne UBS Bant USA Deposit Account Is your primary sweep ophon
Realized gains and losses
The estimated realized gans and losses stows below ate not lot tea purposes. Please rote that gas or loss
recognized on the sae Of redemption of (*flan Structured Produtts, Ike Contingent Dal Securities. troy tie
ad nary. and not capita, gain a loss. Please check yeah your tax a,no, To taloasae gains and losses. v*
liquidate the ddnt security lot first. Ibis is known as tho first.in first-out of CIO accounting method We tit*
INS method unless yOU specified whit h lac lot to dose when you oared your order. This is known as a *bus
purchases or YSP order See important information about yovr statement a the end of this document la more
Long-term capital gains and losses
wash sale
Quantity ix Purchase
Sae
Sae
Cost
cost Denis
Sectmty descrpt.on
Method
fat vane date
date
arras (S)
bass CP
a7justmem(S)
toss CP
Gain (1)
BLACKROCK INC
FIFO
3.000 Oct 05, 12
Nov 20, 15
975.17
563.46
411 71
FIFO
7.000 Oft 05, 12
Nov 20, 15
2,275.40
1,329.53
945.87
RFO
2.000 Oct 05, 12
Nov20, 15
650.12
373.34
276.78
FIFO
8.000 Oct 08, 12
Nov 20, I5
2,600.46
1,510.27
1,090.19
FIFO
15.000 Oct 09, 12
Nov20, IS
4,875.86
2,837.79
2,038.07
RFO
2.000 Oct 09, 12
Nov20, 15
650.11
378.02
272 09
FIFO
3.000 Oct 10, 12
Nov 20, 15
975.17
563.16
412.01
RIO
2.000 Oct 10, 12
Nov 20, 15
650.12
375.34
274.78
FIFO
2.000 Oct 10, 12
Nov 20, 15
650.11
375.99
274.12
HFO
224.003 tan 23, 13
Nov 20, 15
72,812.85
53,080.41
19,732.44
RFO
32 COO Apr 22 13
Nov 20, 15
10.401.83
8,034.98
2,366.85
Total
897,517.20
869,422.29
826,094.91
Net long-term capita' gains or losses
828,094,91
Net capital g ain silosse s:
S211,004.81
Informaion. We ma/ not aclust gans and losses fa al caplet changes. We autcmahcaly adjust cost basis for
taeteenat and AMT Coupon municipal secunties lot estmeted trnaltabOn of bond wen urns aid tor accreted OID
lot secuMies issued al a dxonini 0you requested trial u8S aclusl cat Oaks for the told premium arottzemon on
tatatie debt securities then COSI baroS reflector for then SeCulibtS has bat n adjussed Estimates in the uncrowned
section can no be classified as short term of tong term because information is missing or the product Is one in which
the OB Moss cakuleacn is not provided
SDNY GM 00020843
C HP70303005643895 NP7003IS0349 0 03211 IS 030575004 Y123568S50 Ol 0000
Page 11 of 12
CONFIDENTIAL
EFT/U/0131463
EFTA01273670
*UBS
Yournotes
2—====2,2"Mr—''''2--2''" a' ',
CONFIDENTIAL
EFTA,B14.
EFTA01273671
Important information about your statement
LBS Financial Seams M. the F im or UBS Financial
Services} is a merrter of all orincial seoiuy, cannodty
and colons eighages. 1136 Financial Services and LES
Bank USA at rdrect *alarm of LES AG and
affiliates of LBS Savitin U.C. The Fin's financial
statement is available upon reopen. The Fern's nada
offices am a:
UM Financial Sanas 1m.
1200 Harbor &aimed
Weehawken. NJ 07086
This statement represents the cagy official record of yoke
U3SFiancial Slays account. Other recce* rapt
official tee docurants, containing confided data should
rot be relied ran t you bane there is an ear or
emission please repot h immediately n writing to the
Branch Manager of the office serving you account.
arcuti al figures shown are Mended to be accurate.
statement ata shad not be used a tat purposes Rely
soak on yea-end lax tOrMS,O.t. Form 1099, Sae.
10425, etc.) whin preprregyour tu return. The Fim 6
requiredby low to cepa to ti• IRS all taxabk dhiclende,
report** rcntrable dwidends and taxable serest
end an acuities held nyors accent, net proceeds
an sae transactors, and cog taus on certain covered
acuities.
Corranications with the Fain
• Please reconfirm eery oralcorm-unmans in *Meg
to funher protect your rips, irclAng your ripe,
seder the Sautes Investor Protection An (SEAT
• tithefine-cal Mahon on the top left of he front
of this statement is not UBS Financk Services, LGS
Financial Snares carries yar account as champ
ticker byarta-gement well the notated ingtuton
We Wormed you of this rebnorehn wan you
opened this *cart. In ti cask your fully arid
stages are located a UBS financial Seances and rot
to gaddcia broker, and you ran mace a report
of ay emir or cminion to both firms.
All acant statements shall be deemed complete ad
accurate a not objected to hinging within 60 days.
• Please diva customer complaints or emptiesto he
FimmClem Relations Depavneet a 201.352.1699
or toll-free at 8C0,3S4-9103, 8:00 A.M. to 6:00 P.M
ET Monday through Frday, a in wriskg to U3S
Financial %Nees ter., Client Relatire Delliammentr
P.O. Box 766 Union City, NJ 07087.
• h caw of errors or qatire about an electronic
fu-ch transfer WMbee payment a UBS Thsedebit
card transactions, call 990-762-1000, aw ife to UBS
FancialSenices Ix., 1000 Hatallsid., 6th floor,
Weehawken NI 07086, Agra RIA103SA Senates.
Cal or watt as soon a you can if mu ihek ma-
statement or receipt 4 wag or if you need more
iffinnatin dxut a transfer on he savant or
recept. The Firm or Card bear (as applabld must
hear from you no later can 60 days deer the Fin,
sent you tie fig statement on which the owe or
prcban xpeaut
-
r-""coo
r riarnr sr,
n.-Nror r
— Duarte the error or tie transfer ycu ae unsure
ton, and explah as dab as you cal shy you
belies t is an error a why you need more
information
— Freak the dollar anoint d the suspected emu.
The Firm or Card Issuer a Manias,. mut ampairt
and MI correct any error promote,. I we take nog tan
10 business claw to do this we wit crock your account
For the meant you talc 6 en error, so tat you will haw
tie use of the morey claw the tine h takes us to
complete our evestgation.
Fleas. make all tea payable to the Fan or to
theinal inflation rdcated on tie bad of this
statement h akin to impala accost fees, amines
my be subject to maktename lees, chrecys for bte
payment for walla purchases and chars kr unpaid
aunts n Cashwants. Accounts that at ward erred
to other inflaUtiOnS May be subject to a trawler fee.
UBS Sweep Optima
UBS offers optim ice weeping cash berates, barges
to bat deposits at UBS Bak USA and 1165 AG Starrad
branch (Bank Sweep Programs), money market mutual
Pais (Morey Fied0 ad the Men-atonalDepose
Papua (Cara customers with an international
Mane Management Account. Through tie Bank
Sweep Procne. cash balances ae swept to 11135 Bak
USA up to an esti:bred knit ad then to UBS AG
Stanford Branch a a Money Fund. Deposits at U85
Bank USA are FDIC enured in accordance with FOC
rules. For ore hamar pea kit wermfdic
Deposts at LES AG Stamford Bra-di aid shams of
Maw Funds at rot hosed by the FDIC.
Through the DA, arailable beach Ulna are men to
depoU accounts at UBS AG km Yak We
ard LBS
AGC anon Brach. These deposits are not nand by
the FOC. Balances held at tie LES AG Cayman ranch
are temporally noosed to the sovereign irk of the
Celan bads, and tam is no grate a other
obligation of LBS AG to repay to balances while cash.
UBS Cayman's Brach's books.
Deposits at LBS Bat USA and each UBS AG Branch are
not protected by SIC. Money Find shags are protected
by SIPC See TUFS5 Financial Services Accent ffotecticn-
bebyr.
Upon per regain balances in re Bank Sweep
Prorons a OA may bee withdrawn and shares of a
Money Fund may be liquidated, ad the proceeds
returned to you or you seaman acocult.
Fan Holman about available swam *pions,
inckding anent Merest rates and Weld 6 available at
gratin corrisweemmIck from your Francial Advisor
or by eating 800-762-1000.
UPS Randal Service' account protection
The dim a a manbdr of re Securities Investor Protection
CoeporatiTh 151K). each protects securities accent of
its members up lo SS00,000 (ncludng 52t4000 for
claim for cash). The SIPC asset protection limit, aPaY Tn
all amount tat you hold in a panika capacity.
The Ftrn, together with certain Mates, ha also
purchased oxpbrrantal protection. The madman
mount payable to al *able chat, cackeb se-de•
this protection is 1500 millon a of Clamber 10, 2013.
Subject to the policy corditons ad Imitations, cash a
the Firm is further protected fa era to SI 9 million lithe
agg'egae For all Foie amounts head in aparticular
capacity. A ft/1 copy of tie oak wading is mailable
upOn request.
The SIPC protect a and the supplemental protection
both do not eon's' en
• Certain feancial assets controlled by (and included n
your account value) bat held away born U8Sfinvical
Services (e.g., certain 0) cash at LBS Berk. (i) cab at
LES AG Stamford band\ (id i-durard• prodicts,
including void* annuities. and (rd shares of rn4w1
finds where such shares are registered drectk n the
nane of de accost* holier on tie talcs ad records
of to applicable iaaer a transfer agent),
• Cedain minima contracts or irramera interests
kg., limited partnenam and private placements) tat
am rot registered under the Securities Act of I933;
ad
• Commodities contacts (e.g, foreign exchage and
pairsmetal antrats.), inducing futures orients
ad commodity option COMfaCtt.
The SIPC protection and to supplemental protection do
not apply to these asset eon 4 they Othelvn92 appear
on yea Materna*. he SEC protean ad the
FUOlerreental protection do not pact agaewt changes
in the meat vabe of you investments (whether as a
result of market movement awe balsruptcy cr
otherwise}
More information is amid* tom repast You may
oNail more Marnation about SEC, holding the SIPC
Brochure, by contacting 51K a 202-371-8300a by
snag the SRC website afratw.alptap
Dividend Renvertment Program (DRIP)
The price reflected is an average price You may obtan
the actual price from you Fnancial Advises. Orey whole
dares re purchasedunder DRIP; partial shares wil be
sold ad the cash tea a &posted h your account The
dviderd reinvestment pricesupplied byte issuer may
Offer from the market price at which tie partial dares
ere sold
Cadealitiu
Ch9 whole units may be held in ma account. if you at
mailed to a palial unit as a result of a &dad p4rnant
a °tame, the Firm V.11 ether sell panal vas at
mann price a accept an antunt detamined by a
ragered closing agency, and credit you *mug
Investment objectives
The rwestmere (Cocoa ad nsk profile am speck to
each account and may arybehvetn Please idea the
Firmparrot& in mitre; of my significant change in yos
franca situan or niestrnert objectives. For each
CONFIDENTIAL
account Inekl, you choose one of The following
remanent °Necker
• Produe Currentbicome. hantai as seekng the
generation in income any.
• Actin* Ca pttaf Approciatan: Insearnients seeking
growth of pencal rather than the generation of
w.
• Produce Combimmon of arcane and Capital
of
seekeg both re generator
of ncome and path of prit011.
*Wall eialt profiles
• Conserv/CM Seeks to maritain initial prinepak with
law risk and volatility to the amorn moat even 4
din means the *cart does ran generate signil cant
name a returns and may nut keep pace with
elation.
• Moderate Willis to accept sane risk to pinctal and
tolerate some votakty to wet higher returns.
• Apprespie: Wiling to accept high risk to prnopal and
hip volatility to seek high returns over tine.
Statement Thouseholdhe
We may consoldase al related account statements with
to sane address n the Sill* emreace. ACCOJltS may
be related Ice this purpose Lease they have owners
who also maimin Pie *con relationships with other
clams at the same address. This prate it knew, as
• housefoling t you prefer to receiee I-drawl
statements mated n separate envelopes — you my
decline householdag by ceiling Jour F honcial Akar.
Friendly moult name
The Friendly *mug ranee reflects Mamma That you
entered en the firm's aline khan wake.. It a a
cutornable 'nista-Lea • chosen by you to anist yes
with you recordkeeping a has nO legal effect an your
accotnt. You can change mar Flien*accignt names.
thmugh Onare Services a by contactrg your Fina-cial
Aka.
ACCIX•lt overview
• tray* Gina accountkornba Net of assets and
liebil
• Alma Inclas eyelids cash balances, vas lot
restricted storey lest), and Global tine Deposits,
u-reai zed arks to market, and cash assets not held
by the aim. Does rot include winced wane/assets
at the end of the par and arrant statement periods, or
peva* evestrrents, vaned stock options and
wawa stock onions
• Lakes Includes
al
betimes, outstarding raga
lore, credit re, dims accoug babrices.
• Cashaeoney balances. Total of unimested available
cash balances. plus UBS Bak USA deposit barces,UBS
AG Stamford Branch depose balances and money market
itutud land sweep balances, at the close of the
;mantra period. Noncom/oda bee credit balances in
your accost am rot segregated from other balances
ads te Finn ink use any of these funds in the ordinary
coure of its business. These funds ase payable upon
your domed. This total it included in du anent period
closing value.
SDNY_GM_00020845
EFTA 0[)131465
EFTA01273672
Important information about your statement (004 Mudd)
Lending information
Fa timed informal di on the Fins letting practices
and dicesuec refer to yew Clem Relatcenhip
Asfeement or .4.«cial AgcemrM and the General
Team ad Conditions LOS Statement of creed Prat in
amiable in Ar9Imintl and Onckarres
mew rat romiacceura ir
.
yew sets
You stmemerd Amnon securities rid other ass held
in the samt at the end of the SIMOrnent period. You
may ask for deers of fitly paid saureem at any time.
You ma/recent sesties used as loan Collateral after
ppay/ng sryy balance dim on 'hem Any *cuss
to the inn <Lag the statenwnt pad are
Feudal market vatse as of the end of the staement
period,
• Cast bat& In determining the cost bad of the
senates itetuded in this statement where indcated
with the nimble
LEIS f nand" Services Ins relied
alinformation obtained from sources other than UBS
Finsial Sena% exhaling nip:motion Iron another
him
that you may have provided to yois Sandal
Adam The FS don not Stan:Sy Sly a
suede the "cursor valdey of try damnation
Provided by lanes error than LEES Fioncial Series
h abler" attleugh LOS Financial Sown sera
slates this informatian as it is received. the Fins
does not provide try essences art the idoernakin
wider "Cost basis' and "Unealced gad loss" is
aerate as id the date of this statement. As such
Pease do not rey on this donation to make
paths or sale cleciskinc, for Is p.rposes
Otherwite. Accost tweet eered to the firm my
ref ea gailloss infornarom on) for the period a
time they are held a the Firm More historical
Moises can be ailed by yew Anoxia' Advisor.
• Unrealised gansfiones Man data is available.
estimated urinated gait lasses are calculated for
enSvidual sea:blots. The transaction data foe
rekvidial lots mayor may no relied cormrosicce,
dons Arida- musty reorganizers everts.
Diddend and other reinvestment lots and systematic
seam km are each combined to display one
3W:faced lot The • Trade dale cols presents the
sant trarnaction trade dale.
• Collable securities Bends ad preferred stock that
the issuer cats for ea redeem:Ion wit be selected
/martial& by lot "cm among all seamen of that
issue held nos raffle or n Winne! Mint la at
clients Call bare dannetien is obtained from third
parties and as arose, is not guaranteed. Other call
fuses may oast whch could if ect yiekt canine
SCOMIlitel Will be ;Yarded upon request.
• Certificates of deposit (CDs). COs are 10K Mired
up to 5250,900 in ;SO and accrued interest per
depose« and per depositsSAMS in accordance
won FOIC rules.
• aricSalue lens &psi for wordes and atm
produce may be higher or lower than the price that
yOu WOAD asitatt mom" n the market Anon act
:Waned Fran n1014 the./ pity sarces wench We
befeve to be reliable, but ow do not guarantee they
arca acy.
— We Pew* use the dosing price when wake or
the mean of the bid and ask prices foe listed
securities and Sorts or onty bud prices for OTC
securities.
— Less arteey traded securities may be ;deed using a
vakation model a the mon recent pie we
obtained and may not reflect an actual ma-ket pie
vakm.
- Certain paitian may appear matte a price and
will taw as 'pre* was not avalable• ft were
unable to obtain a price I or a scarily
— Deposits Co stades denominated nomencies
other than U.S. dolls are reflected a the exchange
rate as of the statement date.
- For mean seasities eating in nonconforming
denaninais. Fete AM eluenekY dace 'alto) may
have been adested to f militate scar valushan.
To obtain current same:ens, wren 'stab*, contact
you inancialAthisor.
• Pirate Stemma and structured produces.
Mate indented secrete (inckding drot
partiobatian peogam and real estate imestmerd tins
securitin) a d se cued products are general haply
illquid Cron serroctined products haw not been
regideced with the Securities and Exchaw
Commission a under ay state securities laws. We
pade estimated yaks for private Viseillnerit
mantes and stmcured products foe inborreatonal
Spews only. keiny is not guaranteed
— These values naydiffer substantial, from pips, if
any, at *Nth a pewee investment testy a
slotted product may be btu 'd or told and do
not necessarilyrepresent the yam you rMy receive
soon
- thid party estinges of yak* aro as demean
date and are applied to UBS Fnaxial Services en a
saw bald by an independent valuation I Wm.
- Issuer, general pans a spans estimated values,
if any are supplied to the Fen by the our,
antral pars* a sponsor and may be calculated
based on dfferem damaban ban that used by
third pante to decree they esteemed vats.
- Vous Sin addinarol idonnatian regarding
the methodologyused to deter nine the miens d
value and the date of the formation that is the
base for the minute by contacting asFinancial
Advisor
- dad sty ..tinted values may be reflected as
'No peed* n several plant:we: when an
independent valuation len has not suPOWd a S
unable 10 assign a vats when we become sae
that a material event has occurred that may call a
peevicusly soled not is question a when
vat* s ects1/41 be hjahfispeculatior due to the rare
id the secutity.
- When neither an ass general partner a sponsor
estimated value nee a thrd-perty estimated vats is
provide4 the value of the security wit bedifferent
Iran in purchase Pee
— 'Citabwians to date' may include nand
capita income or both.
— twists,
vet' represents the nitql along
pee per tint and may not reflect you cost basis
• Restaided severities. Resented spinesgenerals
re not smelt elegble for public sale. LEIS Financial
SeViCeS Wei the Market (Mite of the uwestrieted stock
of dw same issute as is invited value fa the
restricted slack for purposes el MU adenine my. To
the atent that metrics; searities'
are MOS fa cab,
the vain received may be stbstmeal): less than the
invited value shown
• Eq. Stinted) income, current yield. and rota
An emirate ca arrual income it based on current
dsidend and merest rates, sunning the securities will
be held for one year from statement date a troll
maturity. TM dies is only a guideline, accuracy
and continued incise me not scanted
— Evinced aenual income and cured Peld for
(elan types of sakes could include a ism of
lamccal or capital gains in which case the est
income ("element wad would be overstated.
— Ipilated arnual inane and °front yield and the
actual income andyield might be later or higher
than the estmad amounts.
— An eyelet of a-malted Mom Winierd axVor
intend «wad by the current market
van:avow balance is based on the Is dividend
or noel Payment made by the issuer and
suss the seaseesickooPts wilt be hell for one
yea Imen the statement date aural Marty.
Accuracy and continued yekl are not gib antetd.
• Assets not held by UK Financial Sennme. Certain
assets aro not held by the Finn and not nehn the
Fern's possesscn or control. These assets are
displayed on seas statement for infoinuitecnel
pupas only. Positions and values presented are
provided by the dung Inn. lin Financial Services is
not resparoble for to infatuation and does not
guarantee its accwacy. These assets are rot protected
by SIC or the Finis splemental Sat swage.
• Revenue sharing and additional compensation.
— In addition to commissions on sales and 12b1 lees
received n an-lectors with the thstntxtion of
nyttul fund to our C1.14113 we andor Our aflame
man revenue sharing Pasts from distributen
rhda advisors of the mutual firds that we sell.
These arnards are based on two deferent
components 0 the amount of sales by Uld of a
pertkultr mutual find I sib: to our dents. and Et)
the set vale of a parlinalar mutual fund I amiyi
shy.. heal a the fins
— We and at Abate ate receive networeng and
ernes processing lees in consideration bat
transfer agent crevices that we snide tote
mutual hands These f ea generally are pad from
inset assets in taw mutual fund and are a fad
doer amount based on the renter of accounts at
the Ishodealte holding mist Surds of that fund
f artily
CONFIDENTIAL
- h Shen to commesins received in connection
wth the sale or distrestion of arnAy contracts
and sat neestnent mist urns to our clients, we
and« as affiliate receive newts shit-6g
(Gressette. iron ad of the Murano
corronirs urdermaira the annuity {overacts.
all Rates of the Insurance companies or sponsors of
the tnt iniestinent VW'S we amts.
— Cur affiliates alsomotet trading ccenrnesiorn and
ether comp:mats from mutual lurch and
insurance companies show products wro dnIFToule.
— We receive an meal fee horn LOS Bak USA ad
UBS AG Surreoul Brandi of up to $25 per scold
sweeping tithe bads under the UBS Bank Sweep
Program.
Activity
hisation re:prang corimasten and other charges
named n correction with the executon of trades.
ieldng option transactions has been included en
conlimations orovousfy furnished to aou, and cell be
provided to you pa:aptly on mown.
Skirt selling
t you art engaged in short selling a security, loamy
her a dorge die to cenin borrowing costs («that
Particular security.
Open orders
Regarding open Cc • saStilicancelled* ceders that
were not sated by the semen date, open buy and
sell stop orders are reduced by the maul of denier&
a. rightson an •rodwidend «antes dote unless
retuned otherwise by mu. You ant responsible fa
«Oen that re executed due toyer failure to cancel
eMin9 open orders.
Privacy
To obtain a copy ed our 'mem Clcerl Privacy Notice.
pease caned your Fnancial Aden« a vest Oar weinitis
at yyenvubtrOnfreiveevbrolev
UBS Sandal Services is saber* the RMA, Business
Services Account BSA and IRMA are brokerage accouras
which provide access to barking services and products
through arra-rants min dilated bared and other
thrd-party banks, and pont* access to nswance and
annuty products issued by waHoliatedthrdpany
Murano companies through Murano agency
subsidiaries of tkS Financial Services lx.
InoeltmEnt, nsurance, arid seaproducts:
Not FDIC rend • No lark gut/ants May lose vale
RMA. Resasce Managernent Accost Business Socked
Account E6.4, AMA ad international ReSOISCe
Management ACC0.81 at registered wince mats of
UPS Financial Seises Inc
Vise Stn./Lee is a registered service mark of Visa
bastion" LBS Visa Seas aerie cards ad Les
Visa debt cards are awed by UBE, OS USA with
person horn vine USA interfacial ed.
Ue3S Fin.10601 Services Inc.
Fey 201511
SDNY_GM_00020846
EFTA_00 1 3 1466
EFTA01273673
*UBS
UBS Financial Services Inc.
299 Park Avenue
25th Floor
New York NY 10171.0002
Mena:0750471215%12'11 0
UBS Strategic Advisor
December 2015
OHISLAINE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065.7007
Account name: GH1SLAIVE MAXWELL
Friendly account name: Inchv
Account number.
Your rinandal Advisor.
SCOTT STACK MAN/ LYLE CASRIEL
Phone
Questions about your statement?
Call your Financial Advisor or the
Value of your account
RA
account
on November 30 (3)
on December 31(3)
Your assets
1,025,834.34
798,007.41
Visit our websIte:
www.ubstomlfinancialservices
Your liabilities
0.00
0.00
Value of your account
11.025,834.34
$798,007.41
Tracking the value of your account
g Th&Lan05
Sources of your account growth
during 2015
Value of your account
at year end 2014
41,721,172.36
•,721 7
Net deposits and
withdrawals
491%077.94
1,025 8
Wur nvestment return
Dividend and
interest income
Chance in
market value
$40,34661
-44543162
ne.o
•
Value of your account
on Dec 31, 2015
4790.007.41
Dec 2014
Nov 2015
Dec 2015
SDNY GM 00020847
PA•mber SIPC
807000400€075047 Nr.7000311076 00302 1215 030575COI vi 23568550 10000
Pogo 1 of 12
CONFIDENTIAL
EFTA_00131467
EFTA01273674
SUBS
UBS Strategic Advisor
December 2015
Your account balance sheet
Summary of your assets
Value on
December 31 (1)
Account name:
Friendly account name:Ir 1
Account number:
Percentage of
your account
A
Cash and money balances
92.72
001%
B
Cash alternatives
0.00
000%
C
Equities
797,914.69
99 99%
E
Non-traditional
aco
000%
F
Commodities
0.C0
000%
G
Other
0.00
000%
Total assets
Value of your account
$798,007.41
$798,007.41
100.00%
Your current asset allocation
Eye on the markets
Index
Your financial Advisor
SCOTT STACK MANLYLE CASRIEL
• Cash and money balances may include
available cash balances. VBS Bank LISA deposit
account balances, VBS AG Stamford Branch
deposit account balances and money market
mutual fund sweep balances See the Important
information about yaw statement on the last
two pages of this statement for details about
those balances
S&P 500
Russell 3000
MSC - Europe, Australia & Far East
Barclays Capital U.S. Aggregate Bond Index
Interest rates on December 31, 2015
3-month Treasury bills: 0.17%
One-month LIBOR: 0.43%
Percentage change
December 2015
Year to date
-1.58%
1.38%
-2.05%
0.48%
-1.33%
-0.39%
-0.32%
0.55%
kkincogre08075048 rill0303i187600:02 1215 03057SCOr n 23566SS0 11 0ffaiyGtkoonotkir 2 of 12
CONFIDENTIAL
EFTA_00131468
EFTA01273675
UBS
UBS Strategic Advisor
December 2015
Change in the value of your account
December 2015
Year to date (I)
Opening account value
$1,025,834.34
$1,721,172.36
Deposits, including investments
transferred in
0.00
2,200W
Withdrawals and fees,
including investments transferred
cart
-219,763.87
-920,277.94
Dividend and interest income
2,100.54
40,346.61
Change in market value
-10,163.60
45,433.62
Closing account value
4798,007.41
$798,007.41
Account name:
GHIS&AINE MAXWELL
Friendly account name:int:1w
Account number:
Y1 2
Dividend and interest income earned
For cutpcnes of Ins statement, t,,(ab:ity of 'Metes] ant dnIdenCI infOme ha; been determined (men a US
IM rep:cling perspective. Bored upon the residence of the account holder, account type, or product twe,
some interest ardor dvidend payments mat not be subject to United St*es (US) ardor Puerto Rico (n)
income tares. The rient month* statement K not intended to be used and carom be read won for tat
purposes. Chenls should refer to the applictie tar reporting forms they recent Iran OBS annualy, such as
the corns 1099 and me can 480, for lac re130110.9 information it is the moire of lies to file the
asoliratie tar tenoning forms with the US Inter,* Revenue Sew< and PR Treasury Department, and in
sue h forms accurately cisafy d.rdena arelf ot interest as tar even-pit or taa
inccme. Pleat corault your
indudual tax prepare(
December 2015 (In
Year to date IS)
Taxable dividends
2,100.34
40,340 02
Taxable interest
0.20
6.43
Total current year
$2,100.54
$40,346.45
Prior year adjustment
000
0.16
Total dividend & interest
$2,100.54
$40,346.61
Summary of gains and losses
yaws reported below exclude products for which gain and losses are not dassified
Realized gains and losses
Unrealized
Your N medal Advisor.
SCOTT STACK MAMLYLE CASRIEL
December 2015 (5)
Year to date IS)
gains and losses (S)
Short term
0.00
2,544.95
-7,862.57
Long term
31,536.50
206,423 09
100,148 45
Total
$31,536.50
$208,968.04
$92,285.88
Cash activity summary
See Account *Ono the month for deia Is. Balances In your Sweep Options are included in the cpenng and
closing balances value. FDIC insurance spares only to deposits a uBS Bank USA, rot to deposits at LOS AG,
Starriord Branch or bank deposits placed through the UBS intemaiond Deposit Account program. 5/PC
protection applies to money market sweep find holdings but not bank deposits Steimportenr inbroarion
about your statement on the last two Pars Si this document for <Ma's
December 20I 5 IS)
Year to date (S)
Opening balances
$98,152.90
$6,517.57
Additions
Deposits and other funds credited
0.00
2,200 00
Dividend and interest income
2,100.54
40,346.61
Proceeds from investment transactions
119,603.15
964,247.03
Total additions
$121,703.69
$1,006,793.64
Subtractions
Professional management fees and
related services
0.00
-8,082.81
Other funds debned
-219,76387
-912,195.13
Funds withdrawn for investments
bought
000
-92,940.55
Total subtractions
-$219,763.87
41,013,218.49
Net cash flow
-$98,060.18
-$6,424.85
Closing balances
$92.72
$92.72
SONY GM 00020849
ENPruO4009375049 NP703031187600002 1215030575031 v123$68SSO 11O
Page 3 of 12
CONFIDENTIAL
EFTA_00131469
EFTA01273676
(SUBS
UBS Strategic Advisor
December 2015
Loan summary
Year to date loan interest
UBS Bank USA Deposit Account APY
Interest period Nov 6 - Dec 6
Opening UBS Bank USA Deposit balance Nov 6
421-
$829.62
Closing UBS Bank USA Deposit balance Dec 6
$0W
Number of days in interest period
31
Average daily balance
813,654 24
Interest earned
40.20
Annual percentage yield earned
002%
Account name:
GHISt AINE
ELL
Friendly account name: lndiv
Account number:
Your investment objectives:
You have identified the following investment objectives for this account If you have questions
about these objectives, disagree with them, or with to change them, please contact your
Financial Advisor or Branch Manager You can find a ful description of the alternative
investment objectives in important information about your statement at the end of this
document
Your retire objective:
Capital appreciation
Your risk profile:
Primary - Aggressive
Investment eligibiity consideration - None selected
Your account instructions
• Vow account cost base default closing method is RFO. Rat in, First Out.
Your financial Advisor:
SCOTT STACK MAMLYLE CASRIEL
HIP7000a008075050 Ne70003i 187600:02 121503057500* YI 2 3 566S93 It0N,iy_Gm_00020ter 4 of 12
CONFIDENTIAL
EFTA_00131470
EFTA01273677
$UBS
UBS Strategic Advisor
December 2015
Your assets
Account name:
GHISLAWIE MAXWELL.
Friendly account name:lndi
Account number.
VI
Some pnCes, income and current vaues shpts may be apprOxinvae. AS a Hit& gains asdlosses may 001
be accurately reflected. See Important infosmabon about your statement a the end of this dxurnem for
more Infornmort
Cash
Cash and money balances
Cash and money batances may wilede avalade cash balances, UBS Bank USA deprat account balances.
UBS AG Stanford Branch Cepovt account balances and money market mutual fund sweep Lances
UBS Bank USA deposit account balances are insured by the FDIC vat ft n applic [bk. limits, but are not
potected by SIFt USS AG Stanford Bram hdepost account baantes ase not inSuted be FDIC and re not
protected by SSC Money market sweep balances are prolected by SEC but ale not insured by the FDIC.
See the Important information about your statement at the endof this document for details about Pose
blames.
Hddng
U85 BANK USA CEP ACCT
98,152 90
Oper sag bel ante
ClaimsWince
ence per sham
Avatar
on Dec I (t)
on Dec 31 (1)
on Dec 31 (t)
late
0ne:lend Interest
period
Your II sandal Advisor:
SCOTT STACKMANLYLE CASILEL
Days m
period
cep amount (1)
Equities
Common stock
Purchase pricd
Hack
NVITbef
Average Wife
Price per share
vette on
Unmerited
Holdng
Hddng
date
of snares
per Shalt (0
Cost basis (SI
on Dec 31(5)
Dec 31(1)
On or loss (1)
period
AECOM
Symbol. ACM Exchange: NYSE
Jan 28, 15
500.000
26 619
13,309 95
30.030
15,015.00
1,705.05
ST
Jan 30, 15
100 ODD
25 532
2,553 24
30.030
3,033 00
449.76
ST
SeCueity total
600.000
26 439
15,863.19
18,01800
2,154.81
AUTOMATIC DATA PROCESSNG INC
Symbol: ADP Exchange OTC
EAL 4153 Current yield 2.51%
Apr 22. 13
72.000
56.870
4,094.67
84.720
6,099.84
2,005.17
LT
BAXTER INTL INC
Symbol BAX Exchange' NYSE
EAI: 4716 Current yield 121%
lin 20, 12
30.000
28.496
854 88
38.150
1,14450
289.62
LT
Jun 20, 12
17.003
28.455
483.75
38.150
648.55
164.80
LT
km 21.12
29.000
28.762
834 12
38.150
1,10635
272.23
LT
Jun21,12
7.000
28.444
199 11
38.150
267.05
67.94
LT
continued next page
SDNY GM 00020851
ENSTOCO4C08075051 PIP70303118760C002 13150305750Di Y1235613550 110000
Page S of 12
92.72
250.003.00
CONFIDENTIAL
EFTA_00131471
EFTA01273678
*UBS
UBS Strategic Advisor
Your assets . Equities . Common stock (Continued)
Hrldng
Track
date
Web«
of thern
Purchase pace(
Average pace
per thaw (S)
Con batit (S)
Price per :hare
on Dec 31(1)
Vane on
Dec 31 (S)
Unrealized
gain or loss (I)
Holdng
period
Jun21,12
5.000
28/338
144.19
38.150
190.75
46.56
LT
Jun22, 12
61.000
28.658
1,748 19
38.150
2,327.15
578.96
LT
Jan 23,13
768.000
36.815
28,274.47
38.150
29,299.20
1,024.73
LT
Apr 22, 13
355.000
38284
13,591.05
38150
13,543.25
-47.80
LT
Sep 19. 13
74.000
39857
2,949.45
38.150
2,823.10
•126.35
LT
Sep 19, 13
6.000
39.696
238.18
38.150
228.90
4.28
LT
Sep 19.13
3.000
39.700
11910
38.150
114.45
-4.65
LT
Sep 20, 13
47.000
39.758
1,868 67
38.150
1,793.05
-75.62
LT
Oct 3.13
154.030
35.679
5,494.57
38.150
5.8751 0
380.53
LT
Security total
1,556.000
36.504
56,799.73
59,361.40
2,56167
BLACKRCCK INC
Symbol: RIK Exchange: NYSE
EAI: 1628 Current yield 2.56%
Apr 22, 13
72.000
251093
18,078 71
340.520
24,517.44
6,438.73
LT
COLGATE PALMOUVE CO
Symbol. Cl Exchange: NYSE
EAI: 42,292 Current yield: 2.28%
Aug 4,11
174000
41.632
7,244.05
66.620
11.591.88
4,347.83
LT
Aug 12, 11
4.000
42.450
169.80
66.620
266.48
9668
LT
Ian 23,13
910.000
54.240
49,358.63
66.620
60,624.20
11,265.57
LT
Apr 22, 13
420.000
59.788
25,111.32
66.620
27,980.40
2,869.08
LT
Security total
1,508.000
54300
81,883.80
100,462.56
18,579.16
ECG RESOURCES INC
Symbol: EOG Exchange: NYSE
EAI: 1335 Current yield 0.95%
Jan 28, 15
500.000
90.411
45,205 72
70.790
35,395 00
-9,810.72
ST
FORTINET INC
Symbol: FINT Exchange: OTC
Jan 28, I S
500.030
3).942
15,97 1.36
31.170
15,585.00
-386.36
ST
lan 30,15
250.000
29 431
7,357.75
31.170
7,792.50
434.75
ST
Oct 26, 15
250.000
34.170
8,542.53
31.170
7,792.50
-750.03
ST
Security total
1,000.000
31.872
31,871.64
31,170 00
•701.64
GELAL MILLS INC
Symbol. GIS Exchange: NYSE
EAI: 13,312 Current yield: 3.05%
Aug 4,11
191.000
36265
6,926 77
57.660
11,013.06
4086.29
LT
Aug 12, 11
5.000
35.754
178 77
57.660
288.30
109.53
LT
Jan 23,13
1001.000
41387
41,428.89
57.660
57,717.66
16288.77
LT
Account name:
GH1SLAINE MAXWELL
Friendly account name: Indiv
Account number:
YI 2
Your Kaancid Advisor,
SCOTT STACK MAIILYLE CASRIEL
continued next page
OW70034038075052 HP7000311876=02 1215030575001 Y1235613550 110MyGivi00020pige 6 of 12
CONFIDENTIAL
EFTA_00131472
EFTA01273679
SUBS
U BS Strategic Advisor
December 2015
Account name:
GHISLA1NE MAXWELL
friendly account narne:Indiv.
SCOTT STACK MANLYLE CASRiEL
Account number.
Y I 2:
Your Financial Advisor:
Your assets Equities. Common stock (continued)
Pugh/1St price
Trade
roman
Average price
PM! per share
value on
unmarred
Hoeing
Ncldng
date
of shares
per share (1)
Cost basis (s)
on Der 31(s)
Dec 31(1)
gain or loss CO
Period
Apr 22, 13
464.030
50287
23,33321
57.660
26,754 24
3,421.03
LT
Jun 17, 13
148003
49 739
7,361 45
57.660
8,533.68
1,172.23
LT
Jun 18, 13
73000
49.836
3,638 07
57.660
4,209.18
571.11
LT
Security total
1,882003
44031
82,357.16
108,516 12
25,648.95
JOHNSON & JOHNSON COM
Symbol. MT Exchange. NYSE
Eat $198 Current yield 2.92%
Apr 22. 13
66.000
84.721
5,591.64
102.720
6,779.52
1,187.88
LT
MCDONALDS CORP
Symbol MCD Exchange: NYSE
EAl; 33,624 Current yield: 3.01%
Aug 4, 11
95.003
84 969
8,07206
118.140
11,223.30
3,151.24
LT
Aug 12, 11
3.000
65.910
257.73
1 18.140
354.42
96.69
LT
Nov29, 12
8.000
86 456
691 65
118,140
945.12
253.47
IT
Jan 23,13
555.003
93.053
51,644.75
118.140
65,567.70
13,922.95
LT
Apr 22. 13
255.=
99 318
25,326 32
118.140
30,125.70
4,799.38
LT
Sep 19, 13
78.000
97 879
7,634 63
1 18.140
9,214.92
1,580.29
LT
Sep 19. 13
22.003
97 425
2,143.36
118.140
2,599.08
455.72
a
Sep 19, 13
2.000
97 830
195 66
118.140
236 28
40.62
LT
Security total
1,018.003
94.269
95,966 16
120,266 52
24,300.36
NEXTERA ENERGY INC COM
Symbol. NEE Exchange NYSE
EAT 4499 Current yield 296%
Apr 22, 13
162000
79 757
12,920 65
103.890
16,830 18
3,909.53
LT
OCCIDENTAL PETROLEUM CRP
Symbol: 0>CY Exchange: NYSE
EAT 12,907 anent yield- 4 44%
Feb 12, 14
148.003
88.959
13,16596
67.610
10,006 28
-3,159.68
LT
Feb 12, 14
117.000
88.989
10,411.82
67.610
7,910.37
-2,501.45
LT
Feb 12, 14
32.003
89 002
2,84807
67.610
2,163.52
-684.55
LT
Feb 12. 14
7.000
88 857
622 00
67.610
473.27
-148.73
LT
Feb 13, 14
110.003
88.885
9,777.41
67.610
7,437.10
-2,340.31
LT
Feb 13. 14
68.000
88 708
6,032 19
67.610
4,597 48
-1.434 71
LT
Feb 13, 14
33.000
88369
2,916.19
67.610
2,231.13
.685.C6
LT
Feb 13, 14
6.000
88.421
530.53
67.610
405.66
•124.87
LT
Feb 14, 14
334.003
92065
30,749.82
67.610
22,581 74
-8,168.08
LT
continued next page
SONY GM 00020853
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Page 7 of 12
CONFIDENTIAL
EFTA_00131473
EFTA01273680
*UBS
UBS Strategic Advisor
7-) s
Account name:
GHISLAINE MAXWELL
Friendly account name:Indiv
Account number:
YI 2
Your Knandal Advisor:
SCOTT STACK/ailLYLE CASRIEL
Your assets Equities . Common stock (continued)
Pack
Herein
date
Matter
of shares
Purchase pace/
Average price
per share (I)
CCM Gds (I)
Price per share
on Dec 31(3)
Vdue on
Dec 31 (I)
Unrealized
gain or loss (e)
Holdng
period
Feb 18 14
114.000
92677
10,56523
67.610
7,707.54
-2,857.69
LT
Sewn), total
969.030
90422
87,61922
65,514.09
-22,105.13
PEPSICO INC
Symbol. PEP Exchange: NYSE
EAl: 43,243 Current yield:2.81%
Aug 4, it
115.000
63.979
7357.65
99.920
11,490.80
4,133.15
LT
Aug 12, 11
3.000
63.023
189.07
99.920
299.76
110.69
LT
May 16, 12
6.000
68.535
411.21
99.920
599.52
188.31
LT
Oct 24, 12
1.000
68.690
68.69
99.920
99.92
31.23
LT
Oct 25, 12
2.000
68.810
137.62
99.920
199.84
62.22
LT
Oct 26. 12
1.000
68.890
68.89
99.920
99.92
31.03
LT
Oct 31, 12
1.000
69370
69.37
99.920
99.92
3055
LT
Nov6, 12
1.000
69370
69.37
99.920
99.92
30.55
LT
Nov7,12
1.000
69.150
69.15
99.920
99.92
30.77
LT
Nov8, 12
2.000
69.090
138.18
99.920
199.84
6156
LT
Jan 23.13
699.000
72.166
50,444.31
99.920
69.844.08
19399.77
LT
Apr 22, 13
322.000
82251
26,484.85
99.920
32,174.24
5,689.39
LT
Security total
1,154.000
74.097
85,508.36
115,307.68
29,799.32
PROCTER &GAFABLE CO
Symbol: PG Exhange: NYSE
EAl: $3,007 Current yield: 3.34%
Aug 4, 11
118.000
60.103
7,092.22
79.410
9,370.38
2,278.16
LT
Aug 12, 11
3.000
60.896
182.69
79410
238.23
5534
It
Jan 23,13
619.000
69.941
43,29373
79.410
49,154.79
5,861.06
LT
Apr 22, 13
286.000
81332
23,261.18
79410
22,711.26
-549.92
LT
Apr 24, 13
108.000
77.762
8,398 32
79.410
8,576 28
177.96
LT
Security total
1,134.000
72.512
82,228. I d
90,050.94
7,822.80
Total
$706.498.79
S798,289.69
$91,790.90
Total estimated annual income: $20,914
ENP70C04039075054 NP70003I18760C002 12150305750CW YI 23568550 I Inatityork0002~ II of 12
CONFIDENTIAL
EFTA_00131474
EFTA01273681
*DUBS
UBS Strategic Advisor
December 2015
Your assets , Equities (continued)
Short options
Tux*
Natter
Sale price
Sale Price per coreittt
Contract
Value on
Unrealized
sicking
kildng
date
of contacts
per contract al
Proceeds (S)
On Oec31 (1)
premium (S)
Dec 31 (3)
gain or loss CD
period
PUT FORTINET INC
WE 0111916
30.000
ExpireK Jan 16
Syrnly? FTNT
Oet 26, 15
-10.000
0.869
-86998
37.500
0.375
-375.00
494.98
ST
Account mane:
GHISLAINE MAXWELL
Friendly account name:Indira
Account number.
`el 2:
Your Finandal Advisor:
SCOTT STACK MANLYIE CASNEL
Your total assets
Value on Dec 31 (1)
Percentage el
your account
Cost
bays 01
Esimated
annual Income
Urns zed
gain or loss (0
Cash
Cash a ad money balances
92.72
0.01%
92.72
Equities
Common stock
798,289.69
706,49839
20,91400
91,790.90
Short options
-375.00
-869.98
494.98
Total equities
797,914.69
99.99%
705,628.81
20,914.00
92285.00
Total
$798,007.41
100.00%
$705,721.53
$20,914.00
$92,285.88
Account activity this month
Date
Actlety
Desorption
Amoral (1)
Dividend and interestlamer*
Taxable dividends
Taxable interest
Dec 8
Cividend
JOHNSON & JOHNSON COM PAD ON
1066
799.50
Dec 15
Dividend
ANALOG DEVICES INC PAID ON
51
20.40
Dec 15
Cividend
MCDONALDS CORP PAD ON
1018
906.02
Dec 15
Cividend
NEAFRA ENERGY INC COM PAID ON
162
124.74
Dec 23
Dividend
BLACKROCK INC PAID ON
72
156.96
Dec 30
Cividend
TRAVELERS COS1NC/THE PAID ON
152
92.72
Total taxable dividends
$2.100.34
Dec 7
Interest
L185 BANK USA DEPOSIT ACCOUNT AS OF 1210415
0.20
Total taxable Interest
Total dividend end interest income
80.20
$2,100.54
Dap
ACtioly
DeStepbOn
ArnOwli (3)
Other funds debited
Dec 1
Transfer
JOURNAL TO VI 23575 GHISLANE MAXWELL
-98,152.90
continued next page
SONY GM 00020855
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Page 9 of 12
CONFIDENTIAL
EFTA_00131475
EFTA01273682
4tUBS
UBS Strategic Advisor
December 2015
Account activity this month (an trivet')
Date
Actitety
Other feuds debited (continued)
Dec 24
Transfer
Account name:
GHIStANE MAXWELL
Friendly account name: Indiv
Account number:
Y I 2
Your Nnancial Advisor.
SCOTT STACK MANLYLE CASR1EL
Descapbon
Amami (S)
JOURNAL TO VI 23575 GHISLAINE MAXWELL
-121,610.97
Total other funds debited
-S219,76327
Investment transactions
for rnDreinformaion atoA the pricehelue shown for restricted securities, see important information *oat
yOurstatemera at the endof this Oactrnent
Date
Activity
Oesciption
Otonity
Va Le (S)
Price 6)
PeOCeedl Iran
Funs
inwstment
withdrawn to
Accrued
transactions (S)
investments bcught (5)
interest (S)
Dec 21
Assignment
CALL JONNSON &101*ISON C DUE 12/18115
100.000
10.000
Dec 23
Sold
JOHNSON & JOHNSON COM
-1,000. 000
100.00
99,998.16
Dec 24
Sold
ANALOG DEVICES INC
-51.000
55.640100
2,837.60
Dec 24
Sold
TRAVELERS COS INOTHE
-152.000
110 313800
16,767.39
Told
$119.603.15
Date
Activity
Descrolion
Amount IS)
Money balance activities
Nov 30
Balance forward
598,152,90
Dec 2
Withdrawal
UBS BANK USA DEPOSIT ACCOUNT AS OF 12101/15
-98,152.90
Dec 9
Deposit
U85 BANK USA DEPOSIT ACCOUNT
799.70
Dec 16
Deposit
UBS BANK USA DEPOSIT ACCOUNT
1,051.16
Dec 24
Deposit
UBS BANK USA DEPOSIT ACCOUNT
100,155.12
Dec 28
Withdrawal
L185 BANK USA DEPOSIT ACCOUNT AS OT 12/24/15
-102.005.98
Dec31
Deposit
UBS BANK USA DEPOSIT ACCOUNT
92.72
Dec 91
Closlag UBS Bank USA Deposit Account
$9232
Tne utis Bank USA Oep001 ACCOunt Is your primary sweep Op1On
EHP70C04038075056 HP7030311876 00002 1215 03057%01 YI23568550 intiegoiGigL0002lyse 10 of 12
CONFIDENTIAL
EFTA_00131476
EFTA01273683
*UBS
UBS Strategic Advisor
December 2015
Realized gains and losses
Account noire:
GHISLAINE MAXWELL
Friendly account name:Indiv
Account number.
Y I
the estirmted realized Bans and losSes shown telOw ate not Ice tar puipaeS. Please rote that gin or loss
recognized on I he sale or recta -Cron of cenan Structured Products, IkeCanting-ell Debt Securrhes, may be
ad nary, and not capital, gain or loss. 'lease check with your tat admor. To calcdae gem and !ones. we
liquidate the oldest security lot first. this Is Moon as the first.In first out or FRO accounting method Vie use
IN, method unless you specified whit h la` lot to close when you placed youe order. This is known as a 'onus
purchases or YSP order. See Important information about your statertem a the end of this document for more
Long-term capital gains and losses
SeCuMy deMption
MethOd
Quantity or Purchase
face %due
date
Sale
date
SSc
amount (t)
wash sale
Cost
cost basis
baths 01
aljtAlmert31
toss (V
Gan (S)
ANALOG DEVICES INC
RIO
51 000 Apr 22,13
Dec 21,15
2837.60
2,16481
672.79
JOHNSON &JOHNSONCOM
123.000 Aug 04, 11
Dec 18, 15
12,433.84
7,672.38
4,761.46
FIFO
3.000 Aug 12, 11
Dec 18, 15
303.27
191.19
11208
FIFO
642.000 Jan 23, 13
Dec 18, 15
64,898.58
46,696.71
18,201.87
FIFO
232.000 Apr 22, 13
Dec 18, 15
23,452.45
19,655.46
3,796 99
TRAVELERS COS INC/THE
FIFO
41030 Apr 22, 13
Dec 21, 15
4,522.78
3,473.50
1,049 28
FIFO
1 11000 May22. 13
Dec21,15
12244.61
9,302.58
2,942 03
Total
8120493.13
889.156.63
831.536.50
Net long etrm capital gains or losses
831436.50
Net Capital gains/losses:
$31,536.50
Your /1 medal Advisor:
SCOTT STACK MAN/LYLE CAMEL
intomteron We may not ay sent gansano losses la al (via charges. we aucmacKacy aojust Cost Dads for
tateyerrot and AMT coupon municipal sec unties for rsiimaeo IMOrIzatton of bond preen um and lot awned OiD
for se( wities issued at a clxount I you requested that U8S aClust cot haws for the bond ;seem um arnortzMon on
treralie debt sec unties then coil basis reflected for these securities has been acfeusted Elliman% in the Unclassifed
section can not be classified at thou term 01 song term berate information it missing or the product is one in which
the gai Moss calculaton is nor provided
Summary of approved payees and recurring payments
Based on your indica bons. the Mikan/mg payees and recurring payments are <ans.:reed *approved
payees' Asa result (l)you may authorize ideational transfers to these payees verbally and ( 2 Iyar are no
longer receiving odor/duel confirmations for payments to these payees
Ctsbu moment
Payee desupton
Amount (S) method
Y123575
vaned Transfer
The payees and recurring payments sated tekw do not include Bill Payments Ekaronk funds 7/40Slet3 and
certain other tram/ern between accounts at trg$ If you have additonal payees and/or recurring Insfructons
on Ilk you a
recede separate confarmatons (tom your finance; Ad.:sot
To update or cancel any of these anetructions, please Contact your financial Achvsor
Type/Event
Frequency
Payee on file
Upon request
rid
Na
Dec 24, 15
last used
Start date
End dale
dale
SDNY GM 00020857
EllP7OCO4C08075057 PIP71:003I 1876 00002 1715 030575031 Y173568550 110000
Page 11 of 12
CONFIDENTIAL
EFTA_00131477
EFTA01273684
*UBS
Your notes
2,2122.172,72,112177
.2, 027=012.01.2151.....2.2G, G. .G21,... 12 .:2 ,2
CONFIDENTIAL
EFTA_00131478
EFTA01273685
Important information about your statement
LBS Francis' Services M. the F im or UBS Anemia
Sakes} is a merrter of all orincial sexily, cannodty
and canons exchanges. LBS Frarcial Spaces and LES
Bank USA are rdrect %Midas of LBS AG and
affiliates of LES Secuitin U.C. The Rim's Handal
statement is available upon reoen. The Firm's aro**
offices ae a:
UBS Finercul Sanas M.
1200 Harbor Eulevard
Weehawken. W 07086
This statement represents the ceryi official record of )eta
LBS Sivecial Senates account. Other ieorek rapt
official tar documents. cortahing corilicleg data should
rot be relied icon If youbelieve there is an emx or
omission, plea* repot h immediately n writing to the
Branch Manager of the office sating )ore account.
Atou7i al figures shown are attended to be accurate.
statement *lash:old not be used for tat purposes Rely
*deb.Goys-end tax te011).0.e.. Form 1099, 5498.
10425, etc} whin prepargyour tau return. The Fini 6
required by low to copal to tie IRS all taxabk dniclent.
report** rontacable Medends and lath 6100
end ee vacuities held nyoir accent, net proceeds
an saki transactors, and OW bursa is (Main covered
mastitis.
Carramications with the Fins
• Please reconfiem at oral cormitncabores in wring
to further protect your rips, Mixing yat rot
irdee the Statakd Investor Protection An (WA).
• titheknave' hatiudion on the top lets of tie freed
of this statement is not IBS Eh-rancid Strokes, LGS
Financial %races comes sus account a clearng
broker byam-cement welt the rdcated ansoknon
We rimmed you of this reledorekiP when you
opened this awn. in the case, your Ss& and
stashes are located a UBS financial Sakes and rot
tie ircdacrg broker, and *urn* mace a reporl
of ay mix or amain to both limn.
All accord statements shall be deemed ccenpbte and
accurate t not objected to is *Erg within 60 days.
• Please creme customer complaint or kmies to tie
Rim's C lent Relations Depavnent a 201.352.1699
or toll-free at 8003549103, 8:00 A.M. to 6:00 P.M
FT Monday through Friday, a innegro to U3S
Frargal Services ti., Client Relatires DePatmenta
P.O. Box 766 Union City, ell 07087.
• h me of errors or pantiam about an electronic
hods transfer WMbi payment or UBS Yoa•clebit
card transactions, call 90-762-1000, axone to UBS
Financial Sane., ex., 1000 Hata Blvd., 6th floor,
Weehawken NI 07086, Attrt RIAIORSA Senates.
Cal cr write as soon a you can if you tar your
statement or receipt is wrap at you need more
relamatis accut a Vander on the seamier' or
reap". The Firm or Card Suer (as applrablO must
hear from you no lay than 60 days titer tie Fin,
sent you tie fir statement an which the aro' or
problem gland.
- nnv
r anc Arn
np-N-or t r,-;
- Mute the error or tie Mosier you ere uture
tout, and explah as dealt as you cal why you
belts t is an error a why you need more
narration
- Frorde the dollar amount of the suspected 0rOf •
The Firm a Cad Issuer MI intieopateyout cornyaart
and MI correct any error promptk. I we lake more tan
10 Lysine's dap to do Si. we will mink your accost
for the mart you theft 6 herr* so tat you will have
tie use of the money dsing the time h takes us to
complete OW Mien:paten.
Flisnlmako all docks payable to the Fin or tie
franca' instkution endrated on tie front of the
statement haddtionto regular accost fees, amines
may be subject to mantentate lees, thetas for bee
want for searkin purchases and cheers kr unpaid
scum n cash accouns. Accounts that at varderred
to other institutions may be subject to a trawler tee
UBS Sweep Optima
UBS offers optird Ice stweping cash balances, balances
to bank deposits at UBS Brk USA and U3S AG Staracrd
trench (Bank Sweep Programs), money market mutual
funds (Money Ftn*) a-MS.Mena cnal Deposit
Aaiun (0Alta customers with an international
Rename Management Account. Through tie Flank
Sweep Program, cash balances .7 swept to 1185 Bak
USA up to an estabished lent ad then to UBS AG
Stanford Branch a a Money Fund. Deposits at U85
Bank USA are FDIC inured in accordance with FDIC
nat. For mire Hannah" peace kit ...twiddle got.
Deposks a LES AG Stamlad Branch and shores of
Money Funds are rot insired by the FDIC.
Through the Ok arailable bete balances are swept to
depot/ accounts at UBS AG New York Stanch ard LBS
AGC wan Brach These deposits are not iresed by
the FOC. Balances held at tie LES AG Cayman Branch
ate temperanly egos* to the sovereign era of the
Cayman litands, and there is no suararesee a other
cancation of LBS AG to repay tie balances while on the
UBS Cayman's Brach's books.
Deposits at MS Bar USA and each UBS AG Branch are
not protected by SIC. Money Fund shoes are protected
by SRC See 'Ll35 Fruncial Services Acosta* kotecticri-
bebtr.
Upon sca reµast, balances in to Bark Sweep
Programs a OA may be withdrawn and shorn of a
Money Fund may be liquidated, ad the proceeds
returned to you or your sautes acccun.
Fester iioimatan about available sweep *pions,
inckackig anent Merest rates and MIS, 6 available at
mamba orlsweeprieloh, from your Financial Advisor
or by eating 800-762-1000.
UPS Nnancial Service' account protection
The Fim is a member of to Sealskin Investor Protection
Caporals (5IPC). *Itch protects securities aciants of
its members up to SSOO,C00 fnching S2 t0,000 for
dams for cat). The SIPC asset protection limits apply to
all accunts that you hold in a pantile capacity.
The Fmk together with certain athletes, ha also
purchased o.ppbrriental protection. The madman
amount payable to al *Gable Monts, cottecleek irdee
this protection is 1500 millon a of Decenter 10, 2013.
Wont to the poky corditons ad Imitations, cash a
the Firm is father protected fa ics, to %I 9 mitten n the
agg'egae For all our amounts head iv a parkular
capacity. A full copy of tie poky wading is available
upon request.
The SIPC protect en and the supplemenli protection
both do not apply to'
• Certain financial assets controlled by (and itlxbd n
your account value) bat held away f ran U85financial
Services (e.g., attain (0 cash at LBS Bre, (ii cash at
LES AG Stamfordbranch, (id hturarce *parts
including writhe, annuities. and (in shares of rruh.al
finds where such shares are registered drecdy n the
nane of tie account holder on the locciss and records
of to applicable isoar a trendier agent).
• Certain minimal contracts or hatment interests
(*Q.. limited pHinenhiss and private placements) tat
ae rot registered ender the Securities Act of I933;
ad
• Co tu t ees contacts (e.g, foreign ',charge and
pairsmetal caved* includig fauns contracts
ard commodity option contracts.
The SIPC protects :en and tie supplemental protection do
not apply to these (Met *SI 4 Styohm's' appear
on yas Materna*. TM SEC peotection ad the
RaCiarreental protection do not poled nand changes
in tie maker vale of gas investments haether a a
result of market moternent, issuer balcuptcycr
otherwite}
More informution is maid* won mast Yoa may
obtan more Nam/lion about SIC, kladirg the SIPC
Brochure, by contacting 51K at 202-371-8300a by
useng the SRC *abide artentw.alptoop
Dividend Ronvosbnont Program (DRIP)
The tyke reflected es an average tyke You may obtan
the actual price from you Fnancial Advisor. Orey whole
dares re purchased Leda DRIP; partial shares will be
sold ad the cash wa be deposited h your account. The
dviderd renvestment vicesupplied byte hsuer may
Offer from the market price at which to partial shares
at sold
Calrielieu
and whole units may be hekl n yotr account. if you re
a-ENO to a panial unit as a result of a cividerd p4rnent
or °tan*, the Firm all ether sell penal units at
menet pike a accept an scum determined by a
reposeed 'berg army, and credit your accost
Invests** objectives
The revestmere °bleak* ad nsk profile at speck to
each account and may vary between Please idea the
Firm promptlyin aim of ay sicpilicara change in pis
Mandel situatcn or ',warner' objectives. For each
CONFIDENTIAL
account Inekl, you choose one of to following
Mesment objectises'
• Peerage Conant/mama Main* u seang the
generation d income ask.
• Aden* Capetal Appreciation Insestrnenti seeking
yowl" of prncpal rather that the peroration of
note p.
• Produce Combination of arcane and Capital
Appreciation hiesiments searg both tie generator
of ncome and gasohol plitO11.
°Will tisk profiles
• Conseivake Seeks to mainain ithial prep* with
trot risk and volatility to the acorn owral even if
tat means the accost does not generate sisnd 'ant
name a returns and may rot keep pace with
'reflation.
• ,Moderate Willing to accept sane rids to pincPal and
tolerate some 'Marty to seek hirer returns.
• Appressiee: Wiling to accept high risk to prnopal and
hip totality to seek highreturns over tine.
Statement lioustholdne
We may consolidate at related account statements with
die sane didleSS n the sere envet.e. Accosts may
be related la this purpose Peyote the/ have owners
who aka mainain Pm sawn relationships with other
<lents at the sane address. This practice 6 knots as
• komeholirg B you prefer to receive rdhiclual
statements mated in separate .1101001S — you May
decline ***holding by calIngyour FhantialAdasor.
Friendly acootart name
The Frierdy *coast name reflects ilonnition tat you
entered cn the firm's onine senates webste. It it a
customizable 'nick-term • chosen by you to mkt yeti
will your recordkeeping it has no legal effect an your
accost. You IT change you' Rien*accoent names.
thyugh Onfre Services a by contactrg pax Fina-cial
Advisor.
Acooan overview
• Yahoo/tow' accostgordolo. Net of assets and
• Alma Includes *Maple cash balances, vats Ice
restricted
snowy
len), and Global TO* D0:036,
u-realred moos to market, and cereal mats not held
by the Firn. Does rot include *priced seciaiie9 assets
at the end of the pctand anent statement periods. or
prim* avesurents, truest* stock options and
mucosae stock options
• Lialaditos Includes debt Waren outrtarding 'ratan
lost, credit We, dn accent batmen.
• CashAeoney balances. Total of uninvested available
cash balances. plus UBS Bak USA deposit baiaces,U3S
AG Stamford Branch deposit balances and money market
10001 lund sweep balance; at tie close of the
vestment period. Norecommoday tree credit balances in
your accost ire rot segregated from other balances
and tie Fite mat use any of these funds n the ordinay
course of tun
t
ins. These funds a* payable upon
your dernard. This total is included.. to cumin period
closing value.
SDNY_GM_00020859
EFTA_00131479
EFTA01273686
important information about your statement (Contemned)
[Wed)
Lending information
Foy dkaad informal pen on she Fins lending practices
and &cases. refer to ow Clem Relatenthip
Agreement or Account Arenten1 end the General
Teem a-d Conditions LOS Statement of Cade Praa Kos
mailable in Agreements ant goixburres
miny ob.: corn/armor-tiff:42am
VOW meets
You statement Ponces securities and other wets held
h the want at the all 01 the Sttement period. You
may ask for deivery of luily paid tarries at ay' time.
You may recent sectr*ies used as loan collateral after
ppyaytg stryy balance die on them. Any securities
lea ode PRI to the Fiends:1g the statement period are
Medal market vain as of the end of the sidemen,
Pond
• Cast batik t, detemrling the cost bass of the
females:caudal in this statement, where indcated
Owith the renter
VE6
Screen kas relied
informatin cbuined bom sauces other than UBS
Saks. including nf emotion Iran another
lire a that you may have provided to you financial
Atria. The Fim don not indtpenitaly may a
waren the arcur.
valdey of ary c alm
ion
provided by lanes pitta than LEES Friarn Services.
haollIkrs attlxugh LOS financial Seams gewalb
updates this 0116mm:on as it is rocciyeds the Firm
Oats not provide at entrances that the infonnation
under "Cost basis' and "Urrealced gni loss" is
accurate as of the date of this statement. As sulk
please do not real en this Moimation to make
wawa a sale decisions, for Is p.rposes
OthKeeile. Accounts tsarist wad to the fin, may
reflect gal loss Momrcn on for the period ci
tire they are held at the Fern Mae historical
neamalen can be ailed by yea Anoxia Adm.".
• Unrealised gehefioefte Man data is available.
estimated urvealized gar" losses are calculated for
vandal save/ lots. the transaction data for
corked.," kis mayor may not alien cormnsions,
argn aria acuity reorganiencn rants.
Dildind and otter reinvestment lots and systematic
cachese kits are each cart:fad to display one
averaged lot. The • Trade dale colon peewit the
origin" trarnacoon fade date
• Callable moirities Bends and pared stock that
the issuer cats for ea reckei01•311 wit be selected
frOarttalbr by lot km among all sedates of that
issue held is out name Cannons:Went* ler ars
clients Call bane inkensikn is Waned from third
pafies and n accuracy is not guaranteed. Other call
fames may east what could affect yield complete
infarnalcin MI be «Mad upen request
• Certificates of deposit (a). COs are FDIC nomad
up to $290.000 n pericPal and accrued interest per
deposed' ad per deposing ', VOLUM inaccordance
wth f01C rules.
• Pricehalue Prim displayed for loonies and next
prOcirCIS may be higher a lower than the prier that
you would amtaky recast n the market Prces
Waned fran valeta thrd party sources which sw
beleve to be reliable, but we do not guarantee they
accuracy.
- We 9mr* we the cosh twice «Am swarth or
the mean of the bid a-4 ask pekes foe lined
securities and cohortsor orib bid prices kr OTC
securities.
- Less r! try traded moan maybe piped wing a
vakation model a the mon recent price we
«nailed and may not reflect an actual market once
a yaks..
- Certain paean may appear men" a price and
will thaw spree was not avelable• ft we re
usable to obtain a price for a unsay
- Coq:0db Cr muskies demminated in curencies
other than U.S. dots are reflected at the exchange
rate as of the statement date.
- for ceder amities racing in noneonforning
deraninanne, Fria and CloonthY (face value) may
have been adamed to f "Male paper rabic on.
To obtain current animals, Men avaiabk, contact
yea inancialAMisor.
• Private kiimententa end streamed products.
Private Mesmer' saran (ix Wing drat
panktation pecgam and real estate imestmera trust
securities) and savoured owlets are general b MA,
Raid. Coten structued prod acts haw not been
recatered with the Securities and Exchaw
Commissar a brier any state securities arse We
preside &saluted yaks ler private inallnent
secunies and struelased products to intermstorol
FulaOseS only. Acrency is not gainteed
— Thew vain naydiffer substantial/1mm prices, if
arrA at whiti a «Mee invearnent seamy
Watered prodml may be b0i4n1 or sold and do
not necesurily represent the value you my ware
upon limidation.
— Thid party estinges of rake are as of a certain
dale and are Applied to UBS Fnaxial Service an a
regular bale by an independent valation I I'm.
— btu, general mines a sponsor estimated rakes.
if any, ow supplied to the F im by the our.
mineral parow a sponsor and may be calculated
based on deferent informatnn ban that used by
third panics to dew thee esteemed takes.
— Yemen Mein addition" rionnatian regarding
the nvdnodology used to deteimine the *shwa c4
value and the date of the ifizematin that is the
basis for the en:nateby contacting your Financial
Adviser.
- Rad party estrinked Was may be reflected as
'Not peed' ri several seuaticro: when an
independent aluatim Inn has not 11.00Wd a o
unable to assign a max, when we become awn
that a material event has occurred that may call a
previtusly maned rake into question, a when a
rat* would be hehlispeculatiw clue to the rare
of the War
- When neither an *suer, general partner a sponsor
estimated rake nee a thrd-pany estimated valor is
proveled, the value of the tensity *Abedifferent
Iran its purchase ace
— 'Diatikions to date' may ixexle return of
capital. norm a both.
— •Cturtaluni set' represents the nit." offering
rice per tne and may nee reflect yaar cost bass
• Restricted sonorities Restated searites generalls
are not currently eligble for public sale LOS Financial
Masts uses the motet peke of the unrestricted stock
of Ow same issute as an imputed value fa the
restricted sack fapurposesof ma steep ne my. To
the edge that retread sectrities are reliable to cab,
the vibe receited may be stkostantalb less than the
irritated value shown
• Est. (mtimeted) income, cavern yield, and ram.
An mama of arrual income is based on current
dnidend and interest rates, awning the securkies will
be held for me year from statement date a mil
maturity. The ennuie is only a guideline, accuracy
and continued name we not giaranteed
— Estirmted anal insane and coact said for
cedar types of securities could nelde a :nun of
Psneesal or cap*" gains in which case the est
income ("clement peke would be overstated.
— Esti-mod annual Want and newt yield and the
actual income and yield night be Wet or higher
than the engraved amounts.
— An narrate of a-realized ixonse (diederd why
inteeed) dirtied by the (went watt
uninfavernm balance is based on the an dividend
or rani" Panne made by the issuer and
assures the sects besedeposits will be held for one
year from the statement date a until matunty.
Accuracy and continued yetd are net guaranteed
• Atseu not hat by UBS FiWieleiel Services Certain
assets are not held by the Firm and not whin the
Fmk possessed, or control. These assets are
decayed on yea statement for Mom ,atonal
Pupae only. Positions and rakes presented we
provided by the issuing Inn. LOS Financial Services is
not respreble for ths int contact) and cbesna
guarantee its accuracy. These assets ate rot protected
by Seta*. Finis siamlemental Slit coverage.
• Revenue storing and additional compensation.
— In addition to ccamissions on saes and 12b1 lees
received n arnecton rah tie chstntokion oe
mutual land to ne clew Se ardor our affair.
eceive minor sharing Premeres frorndetriouhm
atria ackiscts of the mutual finds that we sell.
Ikea arnwes are based on two deferent
components 0 the amount of sales by UltS of a
partkoht mutual find (rib to our dents, and (*)
the awn value of a particular mutual fund ImiEs
shy.. held a the lyre
— We and ca Agate ate receive new:ding and
combs processing lees in consideration tor
tunaer agent wakes that we want to the
mutual finds These feesgrwrally are pad from
investor assets in the mutual fu-d and are a fad
doe" amount based on the ranter of accounts at
the frokec•clealte holden; mutual hands of that fund
family
CONFIDENTIAL
.• h acetien tO comnessas rectal in connection
weft the sale or &Warm of annay contracts
and tat raterent Kat units 10 Our (lents, we
ancfcr as affiliate noire resents sheng
coarpernation from marry of the insurance
companies urdenweing the annuity contracts.
Abates of the insurance ccenpanies or sponsors of
the ,at ineestinent as is we «setae.
— Cur affiliates alsorear* trading carnesions and
other comet-oaten from mutual lurch and
insurance companies whose products we dislikult
— We receive art nil
fee tom LOS Bak USA and
UBS AG Stanford Branch of up to $25 per latest
sweeping b the bares under the UBS Bank Sweep
Winn.
Many
hlornatentegardng commissions and other charges
interred n correction with the execution of trades.
ireldng option transactions has been included en
<intimations crewousE famished to you. ad rill be
provided to you acaptly on reties.
Skin selling
f yOu art enraged in that selling a security, sti may
nasal:have due to cenin bctrowing costs for that
pal kular security.
Open ardan
Regarding open or • scodkikcancelled* adees that
were not howled by the mama date. open louTaoti
sell slop orders are reduced by the man of cledcleixls
rights on an exavidends er mates date unless
instructed otherwise by you. You ant responsible fa
orders that we executed due toyou failure to cancel
"Oag open orders.
Privacy
To ebtain a copy of ar current Clem Prwacy Notice.
please contact your Financial Achim a vat our websee
at arm ubtrociletheevbrolev
UBS Bruscial Services ism:dabs* The RUA, Busiless
Services Account BSA and IRMA re brokerage accounts
which provide access to baiting services and products
through arrangements**, ablated barks and other
that-party banks, and provides access to nsurarke and
annuty product issued by mandated thrdpany
insurance companies through insurance agency
subsidiaries of IRS Financial Services lx.
ImeltmEnt, nsurance. ad armyproducts:
Not FDIC road • No fink guarantee* May lose yak*
RMA. Resource Managenwit Account. Business Services
Anoint ESA AMA and nternatienal SeS0ae
Management Accost are registered service mans of
UBS Ti arc" Services ex
Visa Signature is a registered service mark of Visa
Inkinationet UPS Vasa Signature credo cads ad ues
Vera debt bids are mad by UBS Bank USA with
perniscon from Vna u SA Incorporated.
UBS Financial Services Inc.
Pei 201511
SDNY_GM_00020860
EFTA 0013/380
EFTA01273687
UBS
U135 Francial Semites Inc.
299 Park Avenue
25th Floor
New York NY 10171.0002
CM700568961390116X1Y1 0
Account name: GHISIAIVE MAXWELL
Friendly account name: Ii
Account number: 11 01
Your Financial Advisor.
SCOTT STACK1AAN/LYLE CASRIEL
Phone .
Questions about your statement?
Call your FirtanCial Advisor Or the
RMA Re30tAteD172 at.
a
ntI
Your assets
798,007 41
827,886 93
Visit our website:
www.lbscomifinanc
en/ices
Your liabilities
0.00
0.00
Value of your account
8798,00741
$827,886.93
Value of your account
UBS Strategic Advisor
January 2016
GHISLA1NE MAXWELL
116 E 6511-1 STREET
NEW YORK NY 10065-7007
on December 31 ($)
on January 29 (3)
Tracking the value of your account
Sou roes of your account growth
during 3016
Value of your account
1 Thousands
at year end 2015
3798,007.41
Net deposits and
1;721.2
withdratals
329,914.76
Your r1WSOTRA t !mum
DM:lendand
interest income
41,834.29
7980
822.9
Chance in
marker vSue
.31.873.53
Value of your aroma
Dec 2014
Der 2015
lan 2016
on Jai 29,2016
6927.886.93
SDNY GM 00020861
Member SIPC
CNP70309305669089 NP70031$7084 00002 0116 030575004 VI 23 568550 100700
Page 1 of 10
CONFIDENTIAL
EFTA_00131481
EFTA01273688
*UBS
U BS Strategic Advisor
January 2016
Your account balance sheet
Summary of your assets
Value on
January 29 a)
Percentage of
your account
A
Cash and money balances
57,913.64
700%
B
Cash alternatives
0.00
000%
C
Equities
769,973.29
9300%
D
Fixed income
0.C0
0 00%
E
Non-traditional
0.00
000%
F
Commodities
0.00
000%
G
Other
0.00
000%
Total assets
Value of your account
$827,886.93
$827,886.93
100.00%
Account name:
GHI$LAINE MAxv:. EL_
Friendly account name:Indic
Account number:
Y1 2
Your current asset allocation
Eye on the markets
Index
Percentage change
January 2016
year to date
S&P 500
-4.96%
-4.96%
Russell 3000
-5.64%
-5.64%
MSC I - Europe, Australia & Far East
-7.22%
-7.22%
Barclays Capital U.S. Aggregate Bond Index
1.38%
1.38%
You rKnoncial Advisor.
SCOTT STACK MANLYLE CASRIEL
, Cash and money balances may include
available cash balances, LIEIS Bank LISA deposit
account balances, VBS AG Stamford Branch
deposit account balances and money market
mutual fund sweep balances See the Important
information about your statement on the last
two pages of this statement for details about
those balances
Interest rates on January 29, 2016
3-month Treasury bills: 0.31%
One-month LIBOR: 0.42%
CHM00Eg0SC69890NVF0C0187084U3032 0116030575004 Y123568950 lookyGht0002061fte 2 of 10
CONFIDENTIAL
EFI'A_00131482
EFTA01273689
UBS Strategic Advisor
4tUBS
January 2016
Change in the value of your account
January 201611:
Year to date (I)
Opening account value
$798,007.41
$798,007.41
Deposits, including investments
transferred in
31,000.00
31,000.1:0
Withdrawals and fees,
including investments transferred
cut
-1,08524
-1,085.24
Dividend and interest income
1,838.29
1,838.29
Change in market value
-1,873.53
-1,873.53
Closing account value
$827,886.93
$827,886.93
Account name:
OHISLAINE MAXWELL
Friendly account name:lndi
Account number.
YI
Dividend and interest income earned
For coop:yes of tees slatemeni, ta.ab:ity of 'nines] arc clnIdend
orne hat been deternined from a US
tac repotting pempedice. Paid upon the residence of the account holder, account type, or product type,
some interest ardor dvidend payments may not be subject to United States (US) ardor Puerto Pico (PR)
Income tares. The tient monthy statement is not Intended lo be used and carrot tie (tired upon for tar
purposes. Cheats should refer to the apedKaole tar reporting forms they recent. from UBS annualy, such as
the forms 1099 and the Fans 480. for tar repotting informaton It Is the practice of 1185 to file the
apt:heart tat reporting forms with the US Internal Revenue Send< and PR Tmosury Department and in
such forms accurately (Ida fy chickna ardor interest as lac exempt or taatthe income. Pled. consult /cur
includual tax prepare(
January 2016 (4)
Year to date IS)
Taxable dividends
1,838.29
1,838.29
Total current year
$1,838.29
$1,838.29
Total dividend & interest
$1,838.29
$1,838.29
Summary of gains and losses
Vidues reported telont exclude products for which gam and losses ate not dassifcld
Realized gains and losses
Unrealized
January 2016($)
Yea, to date (1.)
gains and Losses (S)
Short term
0.00
0.00
-2,497.55
Long term
-731.26
-731.86
93,641 76
Total
-$731.86
-$731.86
$91,144.21
Your IIsandal Advisor:
SCOTT STACK MANf LYLE CASRIEL
Cash activity summary
See account activrty the month tot delab. Balances In your Sweep Options are includedin the wenn; and
closing balances vd ue. FDIC insurance dopies only to deposits at UBS Bank USA, rot to deposits at LOS AG.
starriord Ranch or bank deposits placed through the UBS intemaiona Deposa Account program. SIPC
protection applies to money market sweep Mid hddings but nal bar* deposits See important inbrmarion
gout your statement on the last two Paces Si this document for <Seta's
January 2016 IS)
Year to date IS)
Opening balances
$92.72
$92.72
Additions
Deposits and other funds credited
31,00000
31,000 00
Dividend and interest income
1,838.29
1,838.29
Proceeds from investment transactions
56,057.87
56,067.87
Total additions
$88,906.16
$88,906.16
Subtractions
Professional management fees and
related services
-992 52
-992.52
Other funds debited
-92.72
-92.72
Rinds withdrawn for investments
bought
-30,000.00
-30,000.00
Total subtractions
-$31,085.24
-$31,085.24
Nat cash flow
$57,820.92
$57,820.92
Closing balances
$57,913.64
$57,913.64
SDNY GM 00020863
cere70009005669991NP70001137084 00032 MI6 0305750017123568550100000
Pogo 3 of to
CONFIDENTIAL
EFTA_00131483
EFTA01273690
UBS
UBS Strategic Advisor
January 2016
UBS Bank USA Deposit Account APY
interest period Dec 7 -Jan 7
Opening UBS Bank USA Deposit balance Dec 7
$0 .00
Closing UBS Bank USA Deposit balance tan 7
$217.10
Number of days in interest period
32
Average daily balance
$672.49
Interest earned
80 .00
Annual percentage yield earned
0.00%
Account name:
-HISLAINE MAXWELL
Friendly account name: if
Account number:
Your investment objectives:
You have identified the following investment objectives for this account if you have questions
about these objectives, disagree with them, or with to change them, please contact you
Financial Advisor or Branch manager You can find a full descripticn of the alternative
investment objectives in important information about your sratementat the end of this
document
Your return objective:
Capital appreciation
Your risk profile:
Primary Aggressive
In vestment eltgiathty consderation None selected
Your account instructions
• You account cost toasts default closing method is FIFO, First In, First Out.
Your Ignenciel Advisor
SCOTT STACKMANI:Ai CA5FdEt
O1P7C00800S669892NP700018708400C02 0116 030575004 " 23568S50 ICroatAllYGM00020tgle 4
CONFIDENTIAL
0
EFTA 00131484
EFTA01273691
UBS Strategic Advisor
T
January 2016
Your assets
Account name:
GHISLAINE MAXWELL
Friendly account naiete:l
Account number.
Sane pnces, mottle and current eaves ShOnn may tewptoximene. AS a teak gains andlOssesnW nol
be eKonalely rentatd. Set Aperient intopnaaon about your Paremere a the end of the dxumem for
more Infornason.
Cash
Cash and money balances
Cash and money balances may include avatar& cash balances, UBS Bank USA depoat account balances,
UBS AG StanSord Branch ctpoot account balances and money market mutual fund sweep balances.
UBS Bank USA deposit account balances are insured by the FOC vat to n appli<ible limits, but are not
protected by 9PC u8S AG Stanford Branchdeposit sr num balances an not insured by FDIC and are not
protected by 9PC Money market sweep balances are protected by 9PC bin age not insured by the FDIC.
See the Important information about your statement at the end of this dxtrnent for details about those
blanch.
opering Wage
Closing brlaxe
Price per share
Average
sicking
on hint (1)
on Jan 29 (1)
on Jan 29(1)
tale
UBS BANK USA CEP ACCT
92.72
Golden Merest
period
Your financial Advisor:
scour STACK MAN' LYLE CASRIEL
Odyln
period
pas, amount (I)
Equities
Common stock
Hddng
Track
date
Mother
of shares
Purchase pricer
Average price
per share (1)
Cost basis (i)
Pnce per share
on Ian 29(1)
Value on
Ian 29 (1)
unreanzed
gan or loss (I)
Eiddng
Period
AECOM
Symbol. ACM Exchange: NYSE
Jan 28, 15
500.000
26 619
13,309 95
27.440
13,720.00
410.05
LT
Jan 30, 15
11:0 003
25.532
2,553 24
27.440
2,744 00
190.76
LT
Security total
600 000
26 439
15,863.19
16,464 00
600.81
AUTOMATIC DATA PROCESSNG INC
Symbol: ADP Exchange OTC
EAI'. 9153 Current yield 2.56%
Apt 22. 13
72.000
56.870
4,094.67
83.090
5,982.48
1,887.81
LT
RACKROCK INC
Symbol BLK Exchange NYSE
EAI: 9660 Current yield 292%
Apr 22, 13
72.003
251093
18,078 71
314.260
22,626 72
4,548.01
LT
COLGATE PALMOLIVE CO
Symbol: CL Exchange: NYSE
EAI: 42,292 Current yield: 2.25%
Aug 4,11
174 000
a1632
7,244 05
67,530
11,750 22
4,506.17
LT
Aug 12, 11
4.000
A2 450
169.80
67.530
270.12
100.32
LT
57,913.64
250.00300
continued next page
SDNY GM 00020885
ChiroC009305689893 NP7003‘ 82084 COCO? Olt& 03057S004 YI22S68SSO IMO)
Page S of 10
CONFIDENTIAL
EFTA_00131485
EFTA01273692
SUBS UBS Strategic Advisor
January 2016
Account name:
GHISLAINE MAXWELL
friendly account name:I
Account number.
YI
Your llooncid Advisor:
SCOTT STACK MA14 LYLE CASRIEL
Your assets Equities . Common stock (continued)
Trade
HcIcing
date
Rioter
of tham
Purchase pricel
Average pact
Price per share
Vdue on
Unredlzed
Holding
per that (1)
coil basis (1)
on ran 29 (1)
lets 29(1)
gain or lat (1)
period
Jan 23,13
910.000
54 240
49,35863
67.530
61,45130
12,093.67
LT
Apr 22,13
420.000
59 788
25,111 32
67.530
28,362.60
3,251.28
LT
Security totel
1,508.000
54300
81,883.80
101,835.24
19,951.44
ECG RESOURCES INC
Symbol- EOG Exchange: NYSE
EAI: 1335 Current yield 0.94%
Jan 28,15
500.000
90.411
45,205 72
71.020
35,510 00
4,695.72
LT
FORTINET INC
Symbol: FENT Exchange: OTC
Jan 28, 15
500.000
31.942
15,971.36
213140
14,070.00
-1,901.36
LT
Jan 30,15
250.000
29.431
7,357.75
28.140
7,035.00
-322.75
LT
Oa 26, 15
250.000
34.170
8,542.53
28.140
7,035.00
-1,507.53
ST
Jan 15,16
1,000.000
29.130
29,130.02
28.140
28,140 00
-990.02
ST
Security total
2,000.000
30.501
61,001.66
56,280.00
-4,721.66
GEM. MILLS INC
Symbol: GIS Exchange: NYSE
EAI: $3,312 Current yield: 3.11%
Aug 4,11
191.000
36265
6,926 77
56.510
10,79141
386864
LT
Aug 12, 11
5.000
35.754
178.77
56.510
282.55
103.78
LT
Jan 23,13
1,001.000
41387
41.428 89
56.510
56,566 51
15,137.62
LT
Apr 22, 13
464.000
50287
23,333.21
56.510
26,220.64
2,887.43
LT
Jury 17, 13
148.000
49.739
7,361.45
56.510
8,363.48
1,002.03
LT
Jun 18, 13
73.000
49.836
3,63807
56.510
4,12123
487.16
LT
Security total
1,882.000
44.031
82,867.16
106351.82
23,484.66
JOHNSON & JOHNSON COM
Symbol: .INJ Exchange: NYSE
EAI: $198 Current yield 2.87%
Apr 22, 13
66.000
84.721
5,591.64
104.440
6,893.04
1,301.40
LT
MCDONALDS CORP
Symbol: MCD Exchange: NYSE
EAI: $3.624 Current yield: 2.88%
Aug 4,11
95.000
84.969
8,072 06
123.780
11,759 10
3.687.04
LT
Aug 12, 11
3.000
85.910
257.73
123.780
371.34
113.61
LT
Nov29, 12
8.000
88456
691.65
123.780
990.24
29899
LT
Jan 23,13
555.000
93.053
51,644.75
123.780
68,697.90
17,053.15
LT
Apr 22. 13
255.000
99318
25,326 32
123.780
31,563.90
6,237.58
LT
Sep 19. 13
78.000
97879
7,634 63
123.780
9.654.84
2,020.21
LT
Sep 19, 13
22.000
97.425
2,143.36
123.780
2,723.16
579.80
LT
cart,nued next page
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CONFIDENTIAL
EFTA_00 I 31486
EFTA01273693
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