EFTA Document EFTA01274073

*UBS U85 Emanuel Semites hc 299 Park Avenue 25th Floor New YOrk. NY 10171.0002 CPZ6CO2254939 0214 Y1 0 Resource Management Account February 2014 Your It nandal Advisor. SCOTT STACKMANILYLE CASMEL Phone 212 821-70CCV800-308-3140 Questions about your statement? Account name: GHISLA1NE MAXWELL Friendly account name: indw V49935006 Call your Financial Advisor or the Account number: Y1 23571 55 RMA Resourceline at 800-RMA-1000 account 029023571 1fisitour website: www.ubscomainanciatservices Your investment objectives: You have identified the fdlowing Value of your account Your account in struclio ns • Your account cost basis default closing investment objectives for this account if you have questions about these objectives. disagree with them, or wish to change them, please contact your on January 31(S) on February 28 (5) method is FIFO, First n, First Out Your assets 0 00 1,033.286 11 Your habitues 0 00 0.00 Financial Advisor or Branch Manager. You can hind a full description of the alternative investment obiecoves in Value of your account $0.00 $1,033,286.11 Important information about your statement at the end of this document Your return objective: Current income & capital appreciation Change in the value of your account Your risk profile: February 2014 (1) Year to date (1) Primary - Moderate investment eligibility consderation - None selected Opening account value $0.00 $0.00 Deposits, including investments transferred in 1,031,614 80 1,031,614 SO Change in market statue 1,671 31 1,671 31 Closing account value $1,033,286.11 $1,033,286.11 SDNY GM 00021246 Member SIPC C PZ60004C072 54939 P26000144229 00004 0214 030575004 Y173571550 COD:00 Page 21 of 48 CONFIDENTIAL EFTA_00131866 EFTA01274073 SUBS Resource Management Account February 2014 Cash activity summary Account name: GHISLAINE MAXWELL Friendly account name:Indiv V49939;06 Account number: Y1 23571 55 See Account 4Ctivityttus month lot decals Baances in your Sweep Options are induded n the opening and closing [glances vane. WIC insurance apples only to deposits at UBS Bank USA, not to depo9ts at UBS AG, Starifoxt &arch of bank deposits placed t hrougb the UBS Intemationd Deposit ACI0Unt plo7am. SIPC protedion applies to money market sweep fund hddings but rot bank deposits. See important inkotmation about youf statement pi the faSt MO pages c( this document for detals February 2014 (1) Year to date (S) Opening balances $0.00 $0.00 Additions Deposits and other funds credited 49,546 11 49,546.11 Total additions $49,546.11 $49,546.11 Net cash flow $49,546.11 $49,546.11 Closing balances $49,546.11 $49,546.11 Your 15 nodal Advisor: SCOTT STACK MANY LYLE CASFUEL 212-821.7000f 800-308.3140 CP360004002254940 F26000144229 00004 0213 030575004 Y123571550 COC yGm0002,St 22 of 48 CONFIDENTIAL EFTA 00131867 EFTA01274074 (*) UBS Resource Management Account February 2014 Your assets Account name: GHISLA1NE MAXWELL Friendly account name: Indiv VA9939C06 Account number, Y1 23571 55 Some priC es, income and current bra ueS shoem may be apprOximale. MartiLS, gains and losses may not be accurately reflected. See imponantinSarntabon about yaw statement alba end of this Occurrent for more Informalon. Cash Cash and money balances Cash ant money balances may indtde avalable cah balances, UBS Bank USA depost account blames. UBS AG Stanford Branch deposit account balances and money market mutual fund sweep oatances UBS Bank USA deposit account balances are insured by the FDIC sNINn applicable limits, but are not protected by SIPC. U85 AG Stanford Brae h deposit =cum balances are not insured by FDIC and are not protected by SIPC Money market sweep balances are protected by SIPC but are not insured by the FDIC. Sire the important information about your statement at the end of this dacurnmt for detain about those balances Openng bviance Cloung baaxe Hddng on Feb 1(S) on Feb (S) WS BANK USA DEP ACCT Price per mare on Feb 28 (1) Average rate Your II nandal Advisor- SCOTT STACKMANLYLE CASILEL 212-821-7000800-308-3140 Dniciend Interest Days in period period Cep mount (1) 0.00 49,545.11 Equities Mutual funds Total reinvested n the iota Cl al reinvested checlends II does rot include any cash chidends. It is rot a tar lot toe the purposes of determining holing periods or cost basis. The shares you recewe eah one you (bluest cluckinas ttCOrne a separate tax h)1. Cost basis is the told purchase cost of the security. indudno reinvestedclwiends The COO basis May need to be lusted for return Cl tepid payments in order to deterrrine the adlusted cost bars ter far rep:wing purposes. Purchase once forGer Average pace Hddng of shares pershare (S) ClEARBRIDGE EQUITY INCOME FUND CLASS I Symbol. SOFYX 2339.801 EAI: 3741 Current yield 1 70% COLUMBIA CONVERTIBLE Client investment 0) 250.000.00 if:weak:el (Far) gain or loss is the dfference between the current value and the cost bads and would genet,* be your tactic gin or loss if the sec urny was sold on ten date. The unreat2ed (tan gan or loss may need 10 be arijusted for rct urn of opted payrnems In Order to determine the reined gam 01 toss lot tax reporting purposes. Afestmem teRun is the current value minus the aMOunt you (Nested does not include shares that are not /alerts on your statement, includngstares that have been reinedas either a 93n or a loss it also does not nclucle cash dvaends INA were nos reinvested ---This information was unavailable--- Cost PnCe Per Shaft bals(S) on Feb 28(S) Fib 28 (5) gain or loss (S) 18.680 43,707.45 value on unrealized nar) investment Hddng return (S) Period continued next page SDNY GM 00021248 CPZ60C04CO2254941 PZ6000144229 00004 0214 030575034 Yt 23571550 cO:coo Page 23 of 48 CONFIDENTIAL EFTA_00131868 EFTA01274075 SUBS Resource Management Account February 2014 Account name: GHISLA1NE MAXWELL Friendly account name: Indiv VA993$006 Account number. YI 23571 55 Your A nancial Advisor SCOTT STACKMN/LAE CASRIEL 212-82 1.7000800-3083 1 40 Your assets Equities . Mutual funds (continued) Nuntne Hddng of shares Purchase oncost Avetaw peke Client per sham (5) investment CS) Cost basis (I) Pete per Sham on Feb 28(1) Value on Fee 28 CD Unrealized Gat) On or loss (S) irwt1IrlItill telum (S) Heating period SECURITIES FUNDCLASSZ Symbol: HOAX EAI: 1844 Current yield 2 2 1% 1,987.557 information was unavailable-- 19.250 38260.47 HARBOR CONVERTIBLE SECURITIES FUND CLASS I Symbol: HACSX EAI: 4589 Current yield 1.83% 2,833.314 —This information was unavailable-- 11.360 32,186.44 JP MORGAN INTREPID EUROPEAN INST Symbol: JFEIX EAI: 475 Current yield: 030% 875.283 •••This information was unavailable--• 28.380 24,840.53 MATTHEWS ASIA DIVIDEND RIND INSTL Symbol: MIPIX EAI: 41,646 Current yield: 4.10% 2,638.382 ---The informabon wed unavailable-- 15.220 40,156,17 SIT DIVIDEND GROWTH FUND 0.ASS I Symbol: SINGX EAI: 4760 Current yield 1.46% 2.958.635 ---This information was unavailable--- 17.600 52,071.97 TORTOISE MEP & PIPELLIE RIND CLASS INSTL Symbol: TORO( 2296.774 information was unavailable--- 16.400 37,667.09 Total Total estimated Income: MASS $0.00 6268290.15 $0.00 CP260:040322 54942 P26000144229 00004 0214 0305750•34 iri23571ss0 000SoNVGM0002oltag 24 of 48 CONFIDENTIAL EFTA_00131869 EFTA01274076 *UBS Resource Management Account February 2014 Your assets (continued) Account name: GHISLAINE MAXWELL Friendly account narne:Indiv. V49935006 Account number Y1 23571 55 Fixed income Mutual funds Total reinvested 4 lee tota d al reinvested &Addends does not include any cash Outten:Is is not a tar lot for the purposes of determinng hdOng pers:OS a (Oft bans. The Shares you receive each time you tomest dirdends become a separate tax lot. Cost Oases is the Iola purchase cost of the Security. inducing reinveStedciudenOS She cost basis may need to be a:lustedtor return d captor payments in order to cUtetmne the &A ustea cost bass (or a( reporting purposes Your Finandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-70001800-308-3140 unrealged (ray) gas or loss is the dIference between the current vaue and the cost basis and world genertay be your lase gan or loss if the security was sold CA INS date. The unreSiZed (tax) ganef loss may need lobe °dusted for return of (spiel payments in order to determine the realized gran or loss for lax report 1n0 pugposes tnvestment tecum is Iht current vaue anus the amount you Invested. a does not include Mares that se not reflected on your statement, oldtying shares than hae been realized as either a gain a a loss It also does not include cash d‘idends that wen not reinvested nekton Number of shares Purchase pica Average pace Client Cost ;el share (i) investment (4) basis (S) Price per share on Feb 28(3) Value on Feb 28 (S) unrealized Rs.) Inits1rnesst HolcIN On or loss (S) lel urn (S) period AVENUE CREDIT STRATEGIES FUND CLASS INSTL Symbol: ACSBX (Al: 1894 Current yield 2.80% 1734963 ---This information was unavailable--- 11.690 31,971.71 BLACK ROCK HIGH YIELD BONDI Symbol: BHYIX EAI: 33,661 Current yield 600% 7292.312 --.This information was unavailable-- 8.370 61,036,65 COHEN & STEERS PREFERRED SEC & INC FUND I Symbol: CPXIX EAI: 13,829 Current yield: 6.42°6 4,493.967 --This information was unavailable.-- 13.270 59,634.94 DOUBLE LINE TOTAL RETURN RIND INSIL Symbol DBLTX EAI: 16,986 Current yield: 5.10°6 12.496.155 --This information was unavailable-- 10.960 136,979.77 EATON VANCE FLOATING RATE ADVANTAGE CL I SyrnbOl. EIFAX SDNY Garailit t page CPZ60004C07254943 n6000144229 00004 0214 030575004 Y123571550000000 Page 25 of 48 CONFIDENTIAL EFTA_00131870 EFTA01274077 SUBS Resource Management Account February 2014 Your assets . Fixed income . Mutual funds (Continued) Hddng Humber of shares Purchase pied Arerap price Client inflame/8 Cost bask (S) Price per share on Feb 28(1) Value on Fib 28 (S) unrealized0P pin °Host (S) 'moment Holdng ratan (S) period pi sham (5) (S) EAI: 44,003 Current yield: 4.75% 7,524.150 ---This information was unavailable--- 11.190 84,195.23 HARBOR HIGH YIELD BD FD INSTITUTIONAL CL Symbol: HYFAX EAI: 41,665 Current yield: 5.64% 2.660.657 --This information was unavailable--- 11.100 29,533.29 HSBC TOTAL RETURN RIND CLASS I Symbol: HTRIX EAI: 3741 Current yield 191% 3,858.567 --This information ',vas unavailable— 10.050 38,778.59 JP MDRGAN MULTI-SECTOR INCOME FUND SELECT SHS Symbol: )SISX EAI: 41,249 Current yield: 2.52% 4,784.864 information was unavailable-- 10.370 49,619.03 METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I Symbol: MWTIX EAI: 42,309 Current yield: 3.00% 7,192.344 ---This information was unavailable--- 10.710 77,030.00 F4DGEWORTH SEIX FLOATING RATEHIGH INCOME FUND CLASS I Symbol: SAMBX EAI: 32,419 Current yield: 4.10% 6502.655 --This information was unavailable-- 9.080 59044.10 T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS Account name: GHISLAINE MAXWELL friendly account name: Indiv V49935006 Account number. YI 23571 S5 Your Pi nodal Advisor SCOTT STACK MANYLYLE CASRIEL 212.821.70001800-308.3140 contAnued nert page CP260004002254944 P26000144229 C0004 0214 033575034 Y123571 SSO C00§6NyGM00021431 26 of 48 CONFIDENTIAL EFTA_00113 I 87 I EFTA01274078 SUBS Resource Management Account Your assets . Fixed income . Mutual funds (continued) tithing Symbol. if FR* 5394.060 ---This information was unavailable-- EAL 12,226 Current yield 4 I 0% Total $0.00 Total estimated annual income: $30,032 Non-traditional Mutual funds Account name: GHISLAIIVE MAXWELL Friendly account naine:Indiy Ye9935C06 Account number. Y1 23571 55 Purchase pow rre t A per apt/, p.cc ts Ghent shares of ) investment (1) Cost Price per share basis (t) on Feb 28 (11 Fes 28 (1) gain or toss (4) Your Financial Advisor: SCOTT STACK MAP/ Le LE CASRIEL 212-821-7000/800-308-3140 Value on unrealized na4 investment Ploldng return (1) period 10.290 55,504.87 I: !a re rr. estear s she 'die ie a re m.ested dotlends n clots rot nc uce any cash cludends. a Is rota tax lot lcr the purposes of determining Pohang periods Of cost taus. The shares you receive each Mr* you reinvest dirdend become a separate lax lot. Cost basis is the tole purchase con of the security, Intl udng reinvested d sedends Ire cost basis may reed to be °dustedfor return of raped payments in order to determine the adjusted cost basis for tar reporting purposes. Hcldng GATEWAY RJNO CLASS Y Symbol. GTEYX 1,089 208 EAI: 1489 Current yield 1 55% Purchase Once Writer Avelair puce Client of shares per snare (s) investment cS1 3663.328.18 $0.00 Unrealeed (tar,) gam or kiss n the °defence between the current value and Ire cost bass aid would generaty be your tenable gen a loss If the sec tally was sold on tan date. The unrealzed dad gen or loss may need to be adjusted for return of caste payments In older to determine the recited gain or toss for last reporting purposes Investment return n the current valve minus the amount you r ',rested It does not include shares that are not reflected on your statement, includng shares that have been realizedas either a gsn cc a loss it also does not include cash dvcrends that were not reIrrtested Cost Price per sistre oasis (S) on Feb 28(3) value on unreal:edam) imestment Hdclrig Feb 28d) gain or IOSS (5) return (I) period Your total assets ---Thar information was unavailable— vaue on Ftb28($1 28.9.40 31,521.67 Percentage of Cott esti-need your X COUIII taus (S) annual income (S) Ureezazed oan or lees (5) Cash Equities fixed income Non•tradltional Cash and money balances 49,546.11 420% 49,546.11 • Mutual funds 266,890.15 • Mutual funds 683,328.18 • Mutual funds 31521.67 26.02% 4.65520 66.13% 30,032.00 Total • Missing cosi basis infuriation 3.05% 489.00 $1,033,286.11 100.00% $49,546,11 $35.176.00 SDNY GM 00021252 CP360034007254945 PZ600)144229 00004 0214 030575034 vt2352155000:000 Page 27 of 48 CONFIDENTIAL EFTA_00B1872 EFTA01274079 *UBS Resource Management Account February 2014 Account activity this month Account name: GHISLAINE MAXWELL Friendly account name:Indiv V49935X6 Account nu ntbe r. Y1 23571 55 Your Ilnandal Advisor: SCOTT STACK MAMLYLE CASRIEL 212821.7000/800-308-3140 Date Mikity DegoptiOn AerOunt Deposits and other funds credited Feb26 Deposit CHECK DEPOSIT 49.546 11 Total deposit and other funds credited $49,546.11 Investment transactions For mare Information tout the po(eivalue shown for restricted securities, see Important inlottnatbn oboot your statement at the end of this dockment Date Activity Des( 'lotion Quantity Proceeds Iran FundS investment vi(thdoven la Accrued Wawa) Pored) transactions (s) ,nvesvnents becalm CS) interest (5) Feb26 Receive JP MORGAN INTREPID EUROPEAN INST 875.283 24,507.92 Feb26 Receive GATEWAY FUND CIASS Y 1,089.208 31,456.32 Feb26 Receive METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I 7,192.344 76,958.08 Feb26 Receive RiDGEWORTH SEV FLOATING RATEHIGH INCOME FUND CLASS I 6,502 655 58.979 08 Feb26 Receive HARBOR HIGH YIELD BD FD INSTITUTIONAL CL 2.660.657 29,480.07 Feb26 Receive DOUBLE LINE TOTAL RETURN FUND INSTL 12,498.155 137.604.68 Feb26 Receive COHEN & STEERS PREFERRED SEC & INC FUND I 4,493.957 59,769.76 Feb26 Receive EATON VANCE FLOATING RATE ADVANTAGE CL 7,524.150 84,195.23 Feb26 Receive MATTHEWS ASIA DIVIDEND FUND INSTL 2638.382 39,813.18 Feb26 Receive HARBOR CONVERTIBLE SKURMES FUNDCLASS 2,833 314 32,158.11 Feb 26 Receive .1P MORGAN MULTI SECTOR INCOME FUND SELECT SHS 4,784 864 49523 34 Feb26 Receive CLEARBROGE EQUITY INCOME FUND CLASS i 2339.801 43309.71 Feb26 Receive T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS 5,394 C60 55,504.87 Feb 26 Receive TORTOISE MLP & PIFEUNE FUND CLASS INSTL 2,295.774 37,593.19 Feb26 Receive AVENUE CREDIT STRATEGIES FUND CLASS INSTL 2,7341.963 31,807.61 Feb26 Receive HSBC TOTAL RETURN R/ND CLASS I 3.858.567 38.662.84 Feb 26 Receive SIT DIVIDEND GROWTH FUND CLASS I 2,958.635 51.628.18 Feb26 Receive COLUMBIA CONVERTIBLE SECURITIES FUND ClA SS Z 1,987.557 38220.72 Feb26 Receive BLACKROCK HIGH YIELD BOND 1 7,292.312 60.89380 Total CE260004002254946 P26000144229 000G' 02140057%04 VI 23571 S50 C0Ceitity_ GM00028439 28 of 48 CONFIDENTIAL EFTA 00131873 EFTA01274080 *UBS Resource Management Account February 2014 Account activity this month (COntaitted) Date Money balance activities Jan 31 Feb27 Feb 23 The UBS Bank USA Decout Account it your primary sweep option Account name: GNISLAINE MAXWELL Friendly account nun*: Imlay V49935006 Account number. 'el 23571 55 Your !Mandril Advisor: SCOTT STACK MANLYLE CASFOEL 212-821-7C00/ 800-308-3140 40mq LVArptice Amount 153 Balance forward $0.00 Deposit UBS BANK USA DEPOSIT ACCOUNT 49,546 11 Closing UBS Bank USA Deposit Account $49,546.11 SONY GM 00021254 CF2600040072 54947 P260001 44229 03004 0214 030575004 Y123571550033000 Page 29 of 48 CONFIDENTIAL EFTA 00131874 EFTA01274081 *UBS Your notes CP260004002254948 P26000144229 00004 0214 030575004 Y1 23571 . 0 0.461 ,1Y_GM_0002IIISS 30 of 4, End of statement for account number Y1 23571 SS CONFIDENTIAL EFTA 00131875 EFTA01274082 Important information about your statement LES Financial Services tic. (the F im or UBS biaxial Senakes). is a merrter of all ',Motel scanty, cannodty and cptbis ethawes. LES Frerkial Services and U2S Bank USA rre rdrect subskiares of LES AG and affiliates of LES Sectritin LIC. The Fists I hondal statement is available upon reoea. The Fun's excite off ices at a: LES Finenoul Sermon km 1200 Harbor Boulevard Weehawken, to 07086 Ibis statement represent the any oil icier record of you LES Fe-uncial Stows account. Other wads, except officiates dot-taunt containing conflicted date should not be relied tannest° betkve there is an error a omission, please report it amedately narking to the Ranch Manager ce the odic. sentig your account. Athacti al figures shorn T. intended to be accurate. statement data should not be used for tar purposes Rely sclek craws-end tax lams, 0.e.. Form 1099. Soak 10425, etc) whin prewrigyour La return. The Fim required by low to report to the IRS all taxabk disident reportthe untenable Ma:lends and tat enema eared an securities held in gar axant, net proceeds on sale transactixo, and cost base cn certain covered onsets. Communications with*. Finn • Please re-confirm cry oral corms.ncatorts in wring to funher protect your opts in:IANyour rite under the Starnes Marta Protection Ad (EPA). • If the finesse' hi:Motion at the top left of the front of this statement is not UBS biaxial Sevbes. U3S Financial Services carries you account as deanng tacker by anargenvint wah the indexed inkiest:en We Rimmed you d this rielaniantes when you opened this accost. h this case. your Std. and seoskin located a LES Anancel Services and rot the hmacticrig broker. al you must make a rePorl of ray mar or motion to both linen. A taunt statementsshall be deemed complete ad accurate a not objected ton wring within 60 days. • PION* divot axone complaints or kuires to he Fim'sClkm Watkins Dopaiment X 201.352.1699 or toll-free x 800-354-9103, ECO A.M. to 6:00 P.M. ET Monday through Frklara a in *Meg to LES Financial Senores ex., Client Relations Depalment, P.O. Box 766 Union City, NJ 07087. • Wi case of erreM or OATIgge about an electronic fads Wader (W1 bi puymm or UBS Visedebit card Vantactiorts, call 62-1000, or wife to UBS Feenoal Sermon Inc„ 1000 Harbor Blvd, 6th floor. Weehawken N.I 07086. Atn RIANESA Sakes Cal a write as soon as you cart it mu tilt xis statement or receipt is wrong or if you need more ate elm ixot a ulnae on the statement or recoWt. The Firm or Card Inter fas XPlciableknosl her from you ns later than 60 days after the Fim sent you the fin stsemere on which the armor Problem *Peered. - bade you- name ad accost starter Of any) - Desabe the *nor or he wanner you ere are about and .'clan as cleat as you can why you believe a is an error or thy you need more isfamation — Proud. the dollar amount d the suspected error. The Fim or Cad Issuer wi isressigete your complaint and eel correct any error promptk. Please make all rheas payable to the Fain or the financial intthution eitated on tie front of this stakemmt had:Mimeo nestle' accord fees. accounts mai be subject to mattenance fees, charges for late parent for wastes purchases and charges kr unpaid amounts in cash accosts. Accounts that we transferred so other institutions may be subject to a transfer fee. UBS Sweep Options UBS offers options for among cash bine; fiances to bat deposits at UBS Bat USA and UBS AG Sufficed brads (Clank Sweep Progsms), money media trowel h.rds North rut) ad the International Deposit Accent (Okla customers with a ktemetional Resource Management Accost. Through tie Bank Sweep Fremont, cash balances re swept to UISEret USA up to an weabrched knit ad then to LES AG Stanford Brandt or e Money Fund. Deposits at UBS Bak USA are FDIC nured in accordance with FDIC rules. For mcre nlamatim please act mime dicgov. Deposes at UBS AG Stanford Burch std turn of Money Funds at rot incised by the FDIC. Throup the OA, mailable to cash balances we swept to depose accounts at UBS AG New Yak Branch and UB5 AG Cayman Burch Thew deposits are not inured by the FIX. Balances Feld at the LES AG Cayman Brads are tempera* exposed toted sovereign risk of the Caesium glands, and tare is no guantee Cr other obligalon of UBS AG to repay the fines while co the UBSCaymares Bradt. books. Deposth a LES Birk LEA and each UBS AG Branch are not protected by SIPC. Money Fund shires ere protected by SIPC. See -UBS Financial Services Accost Protection' bobs. Upon yak Rawl, balances in the Bent 5m(0 Ph:gransor OA mae be Wham" and shares of a Money Fund my be liquidated, ind the proceeds returned so you or mur soosk et accunt. Futter formation about available sweep options, ncleing unlit ...rest rates and yet*, a soak le at www tam comriseeprekk, from your F nano iral Advisor or by calling 800.762.1000 WS Financial Service* sawn proem:don The is a member d tloe Scants Inverter Protection Corporation GIPC), which protect securities account of its members up to 1500,000 including 5250,000 for deems kr cash) The SIPC asset protection 'mks k:OB to all account that ycu hold n a palkular capaoly. The Finn, together with certain aft Ewes, ha also purchasechipplonental protection. The mprirrtrn amount payable to al ekgible clients cobectety ado this protection is 5500 million as of December 10, 2013. Biota to the poky conditens .4 limitation, cash a the Firm is further protected kr mato $1.9 million n the aggregate for all your accounts held n a pasioralar capacity A IA copy of tie poky undeg is /nibble Won request. The SIPC protection and the supplementl protection both do not apply to. • Certain fruitier Asses controlled by (and hided your account valudb.:1 held away from US$Fine-cid Services (e.g.. certain(* cash al UBS Bat Id cad, at LES AG StanIcrd branch (1) insuraw mccbaS. including %edible Malta, ad (in shares of mutual funds where such shares are registered dienly n elt name of the account holder on the books and records of tie applicable issuer or transfer agent); • Certain mestmert contracts or thestment interest (eg., limited partneshim and prime Owen-ants) the we rot registered trder tie Securities Act of 1%3; ad • Commodities contacts (e.g, knew excha-ge and prterwamelal ccntradsk ncludtg futures contacts ad cormoditY cohort contracts. fi e SIPC protect[.' and he suppremental protection do not apply to these assets event they otherwise appear • gar Maternent. The 9PC protecticn and the cuPPlerrientalprotenion do not protect agora changes in the market vale of your investments (whether as a result of market movement. issuer bwkruptcy ce otherwis) More information is amid* li on rechost Vas may obtan more itornation abut SIPC. its:kwthe 5WC Broth's., by contacting9PC a 202-371-8300 or by esitng the UPC **bate ar VAMCSIttag Dividend ReiWetabent Program (DRIP) n-e rcke reflected is an away Fria You may obtan the actual price Iran yar Financial Advisor. Orly Wok tired are purchased under MC partial shires will be sold rd the cash wa be &potted .' your account. The dviderd reinvestment price applied by the issuer may differ from the market mice at which the panne shares are sold Cash-thliou CnB whole units may be hewn yotr accost. if you are entitled to a palul unit as smolt of a dviderd garment a otherwise, the Firm viii ether sell panel ant at rivulet ark. or accept an amount determined by a registered cleate agency, and credit tor accost Investment objectives The smarter, °Daunt and risk profile we speclk to each account and may mybetween Please adeise the Fern promote, in sunroof any signif Cant change in you. (nex' situawn or magma% objectives. Fa each CONFIDENTIAL account held, you choose one of the following kneserient objectbes' • frookke CunentIrcome. h.esb,m es seekng the generation of income My. • Adam Capra! Apprenetion: Investments waking growth of prncpal rather than the generation of income. • Produce Combinaton oilman. and Capital Appel:lawn: 'vestments 'Meg both the generation of mane and 'berth of witical. Dwell ride grog's • Con.wvatnt Seeks to manten MOO prectee with low risk and volatility to the accord mewl, then if that mewls the accost does not generate significant income or roam and may not keep pace with • Moderate: Willing to accept some rids to principal and tolerate some votathty to seek higher returns, • Aggrezee: Wiling to accept high rids to pnnopal and high samara), to seek high returns over time. Straternent Isouseholdne We may consolidate a1 related account statements with the same elites. n the sane envelue. Accounts may be relitei la this purpose beaule they haw owners who also maintain pia aaam relationships with other dents at the sane address. This practice's known as • househsling II you prefer to receive eche:WI statements mailed in secant envercped — yOu may Oka. houveholdwg by (ing you Francis' Advisor. Friendly accourt name the FrendY account name reflects al ormation that you entered on the Firm's onlne senores website. h is a customizable 'nick-erre' chosen by you to auks you with sour MCCirddergoggy t has no legal effect on your amour You can chaweyos hiendk acccunt names, through Orem Services or by contactegyourFrancial Advisor. Aegean overview • Mt carer accooneforethlis Net of assets and • Assets_ hulas available cash balances, rates for restricted seamy lest 1, and Global tine Deposits, urrealted marks to market, and cectan oasts not held by the Fim. Does rot include unonced WA/Maassets al the end of the lidsand arum stalerneM periods. or prorate iwestriwns, awaited stock options and estimable stock anions • Eiathibera Include, debit blI/M•5, °sturdily rrurgn loans. credit the, hat account balances. • Cash/reoney balances. Total of uninvested amiable cash balances, plus UBS. Bak USA deposit taances185 AG Surraord Branch deposit balances and money market mtul fund sweep Saws, at tie case of he statement period. Noncom-n*6m free credit balances in your account ire rot segregated from other balances and tie Fern may use any ol these funds in the ordinary coursed it business. these funds we payable upon your Oxnard. This total n included in to anent period closi-g value. SDNY_GM_00021256 EFTA 00131876 EFTA01274083 Important information about your statement (con inued) Lending information Fix detatechnformatton an the Finis landing plotters and dociassres, refer to yea Client Relatership Armoury or Accost Ageomeni at the General Terms at Conditions UBS Statement of Credit Practices available in Agreements andOixiosureS at rota coral arconneelmt. Yaw assets Your oatement Simian siesta( end other anew held in the accoent at the end of the steamer* wed. You may ask for &Piety & full/ paid senates at ry time. You may rests* securities lased as loan collateral after prying any balance due on hem. k -y securities transferredto Me ;ern chtg the statement period are listed at market value as of the end of the Waterton period. • Cast basis. In determning the cost basis of tie males included in he statement, where indicated win he numb*. '1,• UPS Weird& Services has relied an information obtained from sources other tan IRS Financial Senicet including ilforrnsion kern anothe- tem a that yearnss have provided to you Einar-cal Adana. The Finn does not indspendently verify a guarantee the aratacy or vadity day Wornwion groveled by sons oiler than 1**Siuncial Senices. h aicitext although UBS Fina cal Services general& &don fa Hamann at it e rooked, the firm does not provide any astarances that the mammon ender "Cost basis" and "Lhreakzed gar/loss' is accurate as en the date of this statement. As suck please do not rely on this nIcgmation to make &schwa a Sale decisions keen pupates a *theme's*. Accounts transferred to to Fim may reflect gent loss infamaten only for the period of tine they as held the F rm More historical general in can be added by you krunchia Advisor. • Unedited gains/losses When data is agildolt eninated untanned gine Imes we ulciAated fa incevilialseasey lots. Re trantictson data for nabistul 101f may or may not !Oka canniness, charges anchor secuityreorgn,:alin events Dividend and °tarn, nwstment lots ad systematic patios kris are each canbined to display one averaged lot. The • Trade date • colann presents the ages' transaction trade date. • Callable securities Ban* and ;referred stock that the span cats for easy recienthan wit be selected mural& by lot Iran among all seo.reies of tat eta held hour name or in nominee nen* lee as <Bente. Call bats* inkrinatkn is obtained from third parties and es accuracy snot guaranteed. Other call featres mate's' which mad affect yetis( complete eacmiaten will be provided upon request • Certificates of deposit (0D4 CDs are FDIC rouged hp to 5250,000 ' pristal and accrued interest per dross and per depositoryinstituter,. Pe accordance rah POIC rules. • Prise/value Pros dig:awed f or securities and oho ;seduces may be higher or lower than Meunier that you would aclualy reek* n the mallet Prices cue obtained from voious third party sources vied. tee Delve to be rehash. but we do not garalee their accuracy. — We genera, tee the closi-g pricewenn avalabka the mean of the bid ad ask prices fa lined bargees and <peers a on& bed prices fa OTC seostes. - Lest actively waded securities may be priced usiw valuation model or the most recent spree we obtained and may not reflect an actual market rice Or vakat - Certain portico may appear without a peke and will tow as *price was rot available' if we an unable to obtain a pnce f or a wanly - Deposits or secures de-erninated in currencies ocher thin U.S. dollars are reflected at the eachinge rate as of the statement date. - Fa cerien *wines radon in non.conf omng ciensmnalcris. mice and qua-any (face rake) may have been as:listed to facilitatepro:se vdusere To obtain current quotatens, whin wattle, coraad yaw Financial Adescr. • Private hvestenente and structured producb. ?Mate nwOrrem swishes (ixtding drect paticipation reopen and real estate imestment its searites) and stand prodsu ale general& highly &add Certain dristared waists have not been registered will the Securities and Excha- Comension a under any slate wallies laws. We prode estimated vitae for pmate investment wait es and structured products for Pacenlatisrul purposes only. Acasacy knot giaranteed. - These values may differ stbstantiaky from prees. any, at vhch a prorate itiesanent security a structured &AO may be toAl-a or sold and do not necessarily represent the vain& may receive uPOn Equitation. - Thal paly tsbmates of vale act as of a certain date and are susplied to UBS Fna-cial Services on a regular bass by in independent vitiation tam. - tsar, general partner or sponsor estimated valan, it ary, are wpWied to to by Ow enuer, general pater or spcncor and may be calculated based as &Decent information from that used by thid parties to derive tee estimated values. - You can obtan addle's-al rearnaten regrading he methodology used to determine the "Minato of value and the date of he itermatentha is the basis fate em irate by contacting your Financial Advisor. - Th id party *stemmed vitas may be reflected as •Not pied' n wow I sit stens new n Pdependent vitiation tint hes not *spied or is unable to assign a vatae when we became avare that a material event has occured ha may call a pram& reported vats it question. or earn a value would be highlyspeculative due to he nacre on the sanity - When neither an sates, general palm( or sponsor *stinted ate nce a Ord./soli estimated eta if mad e the value of the sourly will be &Relent tan espurchaseprice. - • Dation as to date may include return of cased. inCOme a both - 'Origetal intsee' represents the initial along pee per unit and may not ;elect Will cost basis • Restricted securities Resented secentin general& are rot cuerenty eiwble for publk sale. UBSFina-cal Services owes to motet price of the unrestricted stuck of the sane issuer as an reputed value for en restricted stock for pcepons of this at 'torrent on4, To the eitent that redrined learilion are 'Tube la a the realm rioted may be ssbnantial& less than the inp-ted value town • Eat Destirneted) inccene current yields and rates. An 95tinate 01 meal infOr,, is bawd on current deriders:I at interest rates, assuring tee searitis will be held for one yea from statement date or unit maturity This retinal* it ceW age:Salm., accuracy ad continued income are not guwanteed - Estimated anal income ad cement yield for certain tapes of swishes could include a return of prncpalor capeal gags h Maids case the est income Ord current yeldl would be orientated. - Estimated astral icane and went yield and the actual iron e and yield mi;ht be extra higher than the estimated amounts. — An estmate ol aniseed ncome (divdend andor interest) deeded by the current market vatreaverage balance re based on the bet dividend Of tannest payment made by the issuer and wearies she secutegdeposes will be held for one year from the statement date or until mab.rity. :twangy at continued weld at not garmiteed • Assets not held by IBS ;rancid Services Certain assess me rot held by the Fain and not whin the fern's possessen or ccrarol. These assets me &sawed on yaw statement for rnformational purposes only. Positions aid values presented as Finned& by the issuing inn UBS Financial Services not reversible for to infamation and des not &manure ns accuracy. these assets we rot prattled by SIC or the Finns supplementalSIC coverage. • Revenue shoring and additional compensation. — In addition to commissions on sales and 12b-t fees rewired n correction wan the distnbution of mutual lend to wardens we anece our fl ab eceive (write haring Pagranto from distributors ardor advisers of the mated funds that we sell. Theseanoints are based on two deferent COM:Onentf- ff.* amantol &elm by UBS of a partnaler mutual find I ami& to our clients, and b) the asset weed a palku Le mutual fund family's shares held at the larn — We and as of orate also recewe nemaking and ormtus pessesoing lees in consideration For Nadir agent woke; that we Fronde to the rukal funds. Thew fees generally are pad from insestor assets in the mutual kind and are a heed Jolla amount based an tie nutter of accounts at the broker-dealer holdng mewl lin& of that fund fmiy CONFIDENTIAL — e, aide& to conmesscro received n connecter. wth the sale or distribUion d a-rusy contracts and snit investment flat units to our <lents, we ands our affiliate marine retina sharing cormsensoen from many of the intrance companies underwritirg the asiity, contracts, *hates d to insurance cargo-en or sponsors of tetra imestment mos we Outshine - Cs affiliates also receive trading commatiso and other compensate° from ,rural Eyck and nsuance ccmpanin whose MEWS we distribute. - Pitmen, n anal fee from UBS Bale LEA and LES AG Stanford flash of up to szs per accost sweeping to the barks under the UBS Bark Sweep Programs Activity hbernationregudrigcannissens and *ter charges ncurred in connexion with tie giecutcri of wades, ndudng option transactions ha been inducted on conbrnrons meow& furnished so you, at will be waded to yOu franptlyatrecpest Short waling Pau we engaged in short selliw a security, you may incur a change the to cerUin barcating costs for that particular security. Open &dem Regarding Wen or • sfx4tilkancefled* orders tat were not yowledbythe statement date, open buy and sel stop orders are refixed by the mount of dividends rights on an exdividerds Cr berigo date unless inetruct•d otherwise by you You are resporobk fa orders that are exeo_ned die coyote 'alum to cancel ensting open orders. Privacy To obtain a cony of as currant Client Fenacy Notice, please contact your Fnancial Achisor or veit our volatile at switaileUDOLOthcaUREIED. UBS Financial Services a rot a brie the RMA. Soonest Soviets Account GSA and IRMA we brokerage /exeunt, which provide access so barking services a-idproducts through areangtenwas yet Alined bats at other thrdpasy banks, and provides access to noura-ce and ennsity proista slued by unaffiliated third.paty insurance ampules through reurance agency subsiiieries of UBS Financial Services Inc. Iniestment, muerte. ad artily products: Not VIZ inured • No bank savant.** May Ow vats* RYA. Reroute Management Accost Business Senices Account 854, RMA and ntematioral Resource Management Accost me registered service marks of UBS Francis' Services he Visa *rime is a registered sereice mark of Visa Intonational. CBS Visa Signature cede cads ard LES yea debit cards are weed by UBS Bark USA with of/mission from Yea U.S A Incorporated. UBS Firiandal Services Inc Pm 204102 SDNY_GM_00021257 EFTA 0[)131877 EFTA01274084 (SUBS UBS Enancial Services Inc. 299 Park Avenue 25th Floor New York lifY 10171.0002 CNP700547978t 0314>cl YI 0 Resource Management Account March 2014 GHISLAINE MAXWELL 116 E 65TH STREET NEW YORK NY 10065.7007 Account name: GHISLANE MAXWELL Friendly account name: Indiv.V49935006 Account number. Y I 23571 SS Your financial Advisor- SCOTT STACK MANILYLE CASI4EL Phone: 212-821-70001800-308-3140 Questions aboutyour statemest? Call your Financial Advisor or the Value of your account RMA ReSOurCeUne at 800-RMA-1000, account 029323571 on February 28 if 1) on March 31(3) Your assets 1,033,286 11 1,054,781.51 Visit our voebsIte: www.ubs.cornIfinancialseMcus Your liabilities 0.00 0.00 Value of your account $1,033,286.11 31,054,781.51 Items for your attention . if you use U8S Online Services, consider changing your User Name and Password regularly to protect your personal data. Not enrolled? Go to ubs.cornrcinineservices Tracking the value of your account S lhcusancs Sources of your aocouet growth during 2014 Value of your account at year end 2013 3000 Net deposits end 'CM 3 19548 withdrawn 31,093854.22 • Your nvestment return • Diedend and interest income 33297.09 Change in market value 3890.20 Value of your become Feb 2014 Mal 2014 on Mar 31, 2014 81,054781.51 SDNY GM 00021258 Member SIPC CW0003006479781 Ne700030040580004 0014 030575004 Y12357155010o0u0 Page 35 of 86 CONFIDENTIAL EFTA_OOL31878 EFTA01274085 *UBS Resource Management Account March 2014 Your account balance sheet Summary of your assets value on March 31 (1) Percentage of your account A Cash and money balances 68,604.90 6.50% B Cash alternatives 0.00 0.00% C Equities 269,838.62 25.58% D Fixed income 684,575.89 64.91% E Non-traditional 31,762.10 3.01% F Corrmodities 0.00 000% G Other 0.00 000% Total assets Value of your account $1,054,781.51 $1,054,781.51 100.00% Account name: OHISLAINE MAXWEU. Friendly account name:Indiv V49935036 Account number: Y1 23571 55 Your current asset allocation E A Eye on the markets Index Your K Randal Advisor. SCOTT STACK MANWLE CASREL 212-32 1•7000/800-308.3 140 . Cash and money balances may include available cash balances, UBS Bank USA deposit account balances, UBS AG Stamford Branch deposit account balances and money market mutual fund sweep balances See the Important information about your statement on the Last two pages of this statement for details about those balances S&P 500 Russell 3000 MSC I - Europe, Australia & Far East Barclays Capital U.S. Aggregate Bond Index Interest rates on March 31, 2014 3-month Treasury bills: 0.04% One-month LIBOR: 0.15% Percentage change March 2014 Year to date 0.84% 1.81% 0.53% 1.97% -0.57% 0.77% -0.17% 1.84% CNP70009006479782 NV7003303405130004 0314 030575004 VI23571550 Wafilic Grit 00021I%S 36 of 86 CONFIDENTIAL EFTA_00131879 EFTA01274086 SUBS Resource Management Account March 2014 Account name: GHISLAINE MAXWELL Friendly account name:Inch,' y44393506 Account number. Y I 23571 55 Change in the value of your account Summary of gains and losses March 2014 (1) Year to date (I) Opening account value $1,033,286.11 $0.00 Deposits, including investments transferred in 126,31190 1,157,928.70 Wittictawals and fees, including investments transferred Out -107,274.48 -107,274.48 Dividend aid interest income 3,297.09 3,297.09 Change in market value -841.11 83020 Closing account value $1,054,781.51 $1,054,781.51 Dividend and interest income earned For outposts of IN, statement. temblity of interest and dnidend Income has been determined horn a US la 'coating penpective. Based upon the residence of the account hokler, recount type, or product type, sane interest andor dvidend payments may not be subject to United Stan (US) ardor Plitft0 Rico (PR) income tares The (lent month); statement i5 not intended to he used and cannot be *Seri upon for tar purposes. Clients should refer to the apeolicade tar reporting forms they receive fran MS annualy, such as the Forms 1099 and the Semis 480, for las rep3rung information it is the practice of UBS to file the essocaue tar reporting forms vAth the US Mend RevenLe Service gad PR Tienury (*parent and in such forms accurately classify dudends aid a interest est& exempt or tacabk income. Pleat consult your indudual in prepare/. March 2014 (5) Year to date (1) Taxable dividends 3,297.01 3,297.01 Tx..31‘t? .crtet.?... 0.08 0.08 Total current year $3,297.09 $3,297.09 Total dividend & interest $3,297.09 $3,297.09 Your Nsandal Advisor SCOTT STACKMANLYLE CASNEL 212-821-7000800-308-3140 Velues mooned below exclude products for which gam and losses are not decsifinl. Realized gains and losses Unrealized March 2014 (I) Year to date 04 gains and bses(S) Short term 0.00 0.00 10,307.93 Long term 0.00 0.00 5,592.05 Total $0.00 $0.00 $15,899.98 Cash activity summary See account activity tins month for detals Balances in your Sweep Onions are indudedin the q:enng and closing balances IrSia. FDIC insurance apohes only to deposits a u8S Bank LISA, not to deposits at LOS AG. Stamford EaanCh Of bank deposits placed throush the LIE'S International Depose Account prcgrarn SIPC protection applies to money market sweep fund nat.:tiros but not bank deposits. Snimportant inSotmation about your sigement on the last two pages cf this document for deists Math 2014 (S) Year to date (1) Opening balances Additions Deposits and other funds credrted $49,546.11 19,039.42 $0.00 68,585.53 Dividend and interest income 3,297.09 3,297.09 Total additions $22,336.51 $71,882.62 Subtractions Funds withdrawn for investments bought -3,277.72 -3,277.72 Total subtractions -$3,277.72 -$3,277.72 Net cash flow $19,058.79 $68,604.90 Closing balances $68,604.90 $68,604.90 SDNY GM 00021260 (HP703010(6479783 NV7003303405 C0004 03I 03057S004 71235715SO100000 Page 37 of 86 CONFIDENTIAL EFTA_00131880 EFTA01274087 *UBS Resource Management Account March 2014 UBS Bank USA Deposit Account APY Interest period Feb 7 - Mar 6 Opening UBS Bank USA Deposit balance Feb 7 80 .00 Closing UBS Bank USA Deposit balance Mar 6 /49,565.48 Number of days in interest period 28 Average daily balance $14,158.10 Interest earned 80 .08 Annual percentage yield earned 0 01% Account name: GHISLAJNE MAXWELL Friendly account name:Vichy V49939:106 Account number. YI 23571 55 Your investment objectives: You have identified the Following investment objectives for this account. If you have questions about these objectives, disagree with them, or wish to change them, please contact your Financial Advisor or Branch Manager You can find a ful description of the alternative investment objectives in important information about your statement at the end of this document. Your return objective: Curient income &capital appreciation Your risk profile: Primary - Moderate Investment eligibihty consideration - None selected Your account instructions • Ypt.- a -critrt roc', basr. (iota at cl-i6ng moll. id is FIFO, First In, First Out Your financial Advisor SCOTT STACK MANLYLE CASRIEL 212-821-7000/ 800-308-3140 CNP7C003306479784 N77080300405 00034 0314 030575004 7123 571 550 101iftfrifGrk0002Fleart 38 of 86 CONFIDENTIAL EFTA_00 131881 EFTA01274088 *DUBS Resource Management Account March 2014 Your assets Account name: GHISLAINE MAXWELL Friendly account narne:Indry V49939206 Account number Y1 23571 55 Sane pnces, income and current vas UPS Shonn may be apt: Marta*. AS a recut, gated and IOSS.eS may rot be ,Kcurately reflected. See important intormabon about your statement arm end al this dxurrent for more Informal on Cash Cash and money balances Cash ant money balances may include avalable cah balances, UBS Bank. USA deposit accent balances. UBS AG Stafford Branch deposit account balances and money market mutual fund sweep barances UBS Bank USA deposit account balances are insured by the FOC vitt n applIcebte limits, but are not potected by 9PC 1)85 AG Stanford Breen h devout =cum basic*: we not insured by FDIC and we not protected by SIPC Money market sweep balances are protected by SeC but are not insured by the FDIC. See the important information about your statement at the end of this document for details about those balances. Openng beance Closing WI/me Hddng on Mar I (S) on Mar 31 (5) IRS BANK USA DEP ACCT fete per then on Mar 31 (SS Average rate Your If sandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-70000300-308-3140 Darden, interest D. in period period Cap amount (I) 49.546 11 68,604.90 Equities Mutual funds Total reinyestel rs the iota dal reinvested chedends M does rot include any cash diiidends. It is rot a tar lot for the purposes of determining racing periods or cost basis. The shares you receive eah time you reinvest cludendS become a separate tax 101. Cost basis is the told purchase cost of the security. inducing renwesteddwiends The cost basis ref need to be &lusted for return of carnal payments in order to determ ne the adjusted cat bas for tar reporang purposes. 250,000.00 tinrealited(tarigain or loss is the dfference between the current value and I he cost bass aid would generaty be your hatable gain or loss if the sec way was sold co this date. The unreatzedga0 canoe loss may need )0 be fl uffed fOr ret um of <iota parnems In order to determine the recited gain or loss la tax "Wring purposes. Iniestment tewn is the current yak* rnnus the aMOunt yOuinreSted It Oa not include snares Ma are not reflected on your statement, includngshares MS hale been reined as either a gan or a loss. It also dots not nducle cash dudends Ilia were not reinrested. Hddng %MOP, of shares Purchase Dine? Average price per snare (S) GI em Investment 0) Cost bals(1) Prize per share at mar 31 (S) value on Ma 31 0) unrealized dad gain or loss (1) iretarnent Hddng return (S) period CLEARBROGE EQUITY INCOME FUND CLASS I Symbol. SOPY)( Trade date: kin 26, 13 1,179.249 16.769 19,776.00 19,776.00 18.880 22264.22 2,466.22 ST Trade date: Ian 14, 14 296.210 18.470 5,471.00 5,471.00 18.880 5.592.44 121,44 ST Trade date: Ian 15, 14 283.181 18.549 5253.00 5253.00 18.880 5,346.46 53.46 ST Continued next page SDNY GM 00021262 C HP70007006479785 NP7003303405 COCOS 0314 030575004 Y123571550 100000 Pa94. 39 of 86 CONFIDENTIAL EFTA_GOI3 1882 EFTA01274089 UBS Resource Management Account March 2014 Your assets . Equities . Mutual funds (continued) Hddng Number of stews Purchase puce king. mice per sham (S) Client investment CS) Cost basis (1) Price per that an Mai 31 (I) Value on Mr 31 (1) uneditedNW coin of loss (0 imestment Hddng Mum (5) period Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 18.880 5337.96 9856 ST Trade date: Jan 17, 14 298.430 18.469 5,512.00 5512.00 18.820 5634.36 12136 ST Total reinvested 14.767 18.760 277.03 18.880 278.80 1.77 EAI: 3813 Current yield 1.83% Security total 2354568 17.637 41251.00 41,52803 44,454.24 2,926.21 3203.24 COLUMBIA CONVERTIBLE SECURMES FUNDCLASS 2 Symbol: NCIAX Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 18.920 21,704.59 1,181.59 ST Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,942.00 18.920 15,899.99 -4101 ST Total reinvested 10.535 19.080 201.01 18.920 199.32 -1.69 EAI: 1839 Current yield 2.35% Security total 1,998.092 18.351 36,465.00 36,666.01 37,803.90 1,137.89 1,338.90 HARBOR CONVERTIBLE SECURMES FUNDCLASS I Symbol: HACSX Trade date: Jan 29, 13 1,872.780 10.250 19,196.00 19,196.00 11.260 21087.50 1,891.50 LT Trade date: Am 17, 13 960.534 10.489 10,076.00 10,076.00 11.260 10,815.61 739.61 ST Total reinvested 9.397 11.180 105.06 11.260 105.81 0.75 EAI: 4598 Current yield 184% Security total 2,842.711 10.334 29272.00 29,377.06 32,008.92 2,631.86 2.736.92 JP MORGAN INTREPID EUROPEAN INST Symbol: JFEIX Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 27.720 12,070.73 1,996.73 ST Trade date: Aug 6. 13 439.831 23.286 10242.00 10242.00 27.720 12,192.11 1,950.11 ST EAI: 475 Current yield: 0.31% Security total 875.283 23.211 20,316.00 20,316.00 24262.84 3,946.84 3,946.84 MATTHEWS ASIA DIVIDEND FUND INSTL Symbol: MIPIX Account name: OHISLAINE MAXWELL Friendly account name:Indiv V49935006 Account number. VI 23571 55 Your Ignandal Advisor: SCOTT STACK MANLYLE CASRIEL 212421-7000f 800-308.3140 continued next page CNP70303006479786 NP70033C0405 00004 0314 030575004 VI 23571 550 103IltkyGRA0002/itts 40 of 86 CONFIDENTIAL EFTA_00 1 3 1 883 EFTA01274090 ;It UBS Resource Management Account March 2014 Amount name: GHISLAINE MAXVVEU. Friendly account name: Incliv. V49935006 Account number YI 23571 55 Your Fl sandal Advisor: SCOTT STACKMANLYLE CAMEL 212-821-7000/800-308-3140 Your assets . Equities Hddng Mutual funds (continued) Hurter of shuts Purchase pied Averay price client Cost per share (S) investment d) basis (t) Price per share on Mar 31 CO Value on Mar 31 (S) Unrealized Rae) gain or loss (0) investment Haring return (5) period Trade date: fan 29, 13 2,156.431 14.849 32,023.00 32,023.00 15.260 32,907.13 834.13 LT Trade date: Feb 1.13 481.951 15.069 7263.00 7,263.00 16260 7,354.57 91.57 LT Total reinvested 5.404 14.739 79.65 15.260 82.47 2.82 EAI: 11,356 Current yield: 3 36% Security total 2,643.786 14.890 39286.00 39,365 65 40,344.17 97652 1,058 17 SIT DIVIDEND GROWTH FUND CLASS I Symbol. SOVGX 2,958.635 --This entormabOn waS unavailable-- 17.890 52,929.98 (Al: 1760 Current yield 1 44% TORTOISE MLR & PIPELPIE FUND CLASS INSTL SymbOl: TORIX Trade date: Jan 29, 13 2296.774 13.330 30,616.00 30.61600 16.560 38,034.57 7,418.57 7A18.57 LT (Al: 1367 Current yield 0.96% Total $197,206.00 $197,868.75 6269,838.62 91%03929 $19,702.64 Total estimated annual income: $4,848 Fixed income Mutual funds Toter reinvested is the tow al at reinvested dvdends n does not include wry cash dedends Is not a tar lot for the purposes of delerminng hdckng periods or cost basil. The shares you receive each time you reinvest d admit become a separate tax lot. Cost toys o the total purchase cog of the security. Inducing reinvested d wends The cost basis may need to be adusted for return dr capital payments in order to detertnine the al tater/ ost basis for laic reportirg ptrposes Hddng Purchase pricer Number Average rtKe of shares per share (Si Client investment (S) timeafged 00 gaol of las is the dlference between the current vague and the cost basis and would generally be >our 'arable wen or loss 4 the security was sold on dale The unrealized MO glan or loss may need to be acluded for return dcarcli payments in order to deterrine the reaped gen or loss for tar itenen Pwitrainanr CiPurr se turnsis the current value alma the amount you invested e don not include shares that are not reflected as sour statement, inducing shares that hare been red eed a either a gain or a loss It also does rut include (ash chidends that were not reinvested Cost Pnce per share basis (S) cn Mar 31 (I) Value on Unrealized Rae) investment Holding Mar 311 gain or loss (St return (0 period AVENUE CREDIT STRATEGIES FUND CLASS INSTL Symbol. ACSBX contoped next page SDNY GM 00021264 Ci1P7C0CM306479787 Ne7003303405 00004 0314 030575004 Y123571550 100003 Page 41 of 26 CONFIDENTIAL EFTA_00131884 EFTA01274091 SUBS Resource Management Account March 2014 Your assets . Fixed income . Mutual funds (continued) Hddng Rumen( of shares Purchase prier Average peke per sham (I) Client inmate-rot (S) Cost basil (S) Price per thee an Mar 31 di Value C41 Mr 31 (I) Unrealized 044 coin orlon (1) Imestment return (1) Hddng period Trade date: Nov 12, 13 910.736 11.270 10,264.00 10,264.00 11.580 10,546.32 282.32 ST Trade date: Nov 18, 13 912.566 11.300 10,312.00 10312.00 11.580 10,567.51 25551 ST Trade date: Nov 25, 13 911.661 11.319 10,320.00 10,320.00 11.580 10,557.03 237.03 ST Total reinvested 29.126 11.550 336.41 11.580 337.28 0.87 EAI: $1,033 Current yield: 3.23% Security total 2,764.089 11.299 30,896.00 31,232.41 32,008.15 77573 1,112.14 BtACKROCK HIGH YIELD BONDI Symbol: BHYIX Trade date: /an 29, 13 4,811.156 8.200 39,451.48 39,451.48 8.340 40,125.04 673.56 LT Trade date: kin 27, 13 2,481.156 7.959 19,750.00 19,750.00 8.340 20,692.84 942.84 ST Total reinvested 33.947 8.370 2&1.14 8340 283.12 -1.02 EAI: $3,692 Current yield:6.04% Security total 7326.259 8.120 59201.48 59,485.62 61,101.00 1,615.38 1,899.52 COHEN & STEERS PREFERRED SEC & INC FUND I Symbol: CPXLX Trade date: /an 29, 13 3,002.068 13.487 40,490.57 40,490.57 13.380 40,167.66 -322.91 LT Trade date: Feb 6, 13 740.625 13.391 9,91840 9,918.40 13.380 9,909.56 -&84 LT Trade date: lun 14, 13 751.274 13.309 9,999.02 9,999.02 13.380 10.052.04 5302 ST Total reinvested 24.044 13.269 319.C6 13.380 321.71 2.65 (Al: $3,849 Current yield: 6 37% Security total 4,518.011 13.441 60,407.99 60,727.05 60,450.95 -27608 42.98 DOUBLE LINE TOTAL RETURN FUND INSTL Symbol: DOLTS( Trade date: /an 29, 13 12,498.155 11.379 142229.00 142,229.00 10.900 136,229.88 -5,999.12 LT Total reinvested 51.566 10.959 565.16 10.900 562.07 -3.09 EAI: 47,027 Current yield: 5.14% Security total 12,549.721 11.378 142229.00 142,794.16 136,791.95 6,002.21 -5,437.05 EATON VANCE FLOATING Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number. Y I 23571 SS Your A nenciel Advisor SCOTT STACK MANLYLE CASRIEL 212-821.7000/800-3083140 continued next page CNP7C009006479788NP70003C0405 00004 0314 030575004 Y123571550 10MgyGm0002/Ins 42 of 86 CONFIDENTIAL EFTA_001131885 EFTA01274092 UBS Resource Management Account March 2014 Your assets . Fixed income . Mutual funds (continued) Hddng Number of shares Purchase met Average pace per share (0 Client Investment(1) Cost basis (I) Price per that al Mar 31 (1) Value on Mar 31 (I) tinges:Ned gad gain or loss (b Investment Hddng return (a) period RATE ADVANTAGE CL I Symbol: EIFAX Trade date: ran 29, 13 7,524.150 11.180 84,120.00 84,120.00 11.160 83,969.51 •150.49 LT Total reinvested 25.712 11.190 287.72 11.160 286.95 -0.77 EAI: 33,963 Current yield: 4.70% Security total 7,549.862 11.180 84,120.00 84,407.72 84256.45 -151.26 136.46 HARBOR HIGH YIELD BD FD INSTITUTIONAL CL Symbol: HYFAX Trade data: /an 29, 13 2,660.657 11.239 29,905.78 29,905.78 11.000 29267.23 •63855 LT Total reinvested 30.093 10.989 330.72 11.000 331.02 0.30 EAI: 41.687 Current yield: 5.70% Stagily total 2,690.750 11.237 29,905.78 30236.50 29,598.25 -63&25 -307.53 HSBC TOTAL RETURN FUND CLASS I Symbol: HTRIX Trade date: Mn 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.140 39,125.86 .571379 -578.79 LT EAI: $741 Current yield 1.89% JP MORGAN MULTI-SECTOR INCOME FUND SELECT SHS Symbol: JSISX Trade date: Mn 29, 13 4,784.864 10.260 49,092.71 49,092.71 10.390 49,714.73 622.02 622.02 LT EAI: 11,139 Caren( yield: 2.29% METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I Symbol: MWTIX Trade date: Oct 24, 13 7,192344 10.709 77,030.00 77,030.00 10.680 76,81413 -21577 ST Total reinvested 14.410 10.709 15433 10.680 153.90 -0.43 EAI: 12,263 Current yield: 2.94% Security total 7206.754 10.710 77,030.00 77,164.33 76,968.13 •21620 .61.87 F4DGEWORTH SEIX FLOATING Account name: GHISLAINE MAXWELL Friendly account name: lndiv V49935006 Account number VI 23571 55 Your Mnandal Advisor: SCOTT STACKMANLYLE CASR1EL 212-821-7C00/800-308-3140 continued nest page SDNY GM 00021288 0070403006479789m7OCOX040500004 0314 030575004 VI 23571$5010000) Page 43 of 86 CONFIDENTIAL EFTA_001131886 EFTA01274093 SUBS Resource Management Account March 2014 Account name: GHISLAINE MAXWELL Friendly account name:Indw V49935B06 Account number. VI 23571 S5 Your 14 nancial Advisor. SCOTT STACKMAI/LYLE CASRIEL 212-821.7000/800-308-3140 Your assets Fixed income . Mutual funds (contmued) Purchase price/ taunter Aveldge puce Client Cost Hcidng or shares per share (I) investment (S) Owls CS) Prise per share on Mar 31 (S) Value on Mat 31 (5) unmannedOM gain or loss CS) imestrnent Hddng return (5) Penad RATEHIGH INCOME FUND CATS I Symbol. SAMBX Trade date: Jan 29, 13 6,502.655 9.039 58,784.00 58,784 DO 9.060 58,914.05 130.05 LT Total reinvested 21,568 9.060 195.84 9.060 195,41 .0 43 EAI: 32,420 °Arent yield: 4.09% &acuity total 6524 223 9.040 58,7&1.00 58.979 84 59,109.46 129.62 325.46 T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS Symbol. PFFRX 5394.060 --This information was unavailable.-- 10.280 55,450 93 EAT 12,255 Ofirent yield: 4.07% Total $631371.61 $633,844.99 $684,575.89 -$4,720.04 -$2,246.66 Total estimated annual income: $30,069 Non-traditional Mutual funds Mal reinvested is the ima ri al reinvested diedene6 n dots not include ary Cain dedends. it is not al& unrealizedMY/vino, loss is the difference between the current vane and the cost bags andwould lot for the purposes of determninp bold rig pe reds or cost basis. The shares you /cow each titre you ;totally be your taxable gin or loss it the sectety was sad on Its dale. The unreavied(tax1sen m loss reinvest dwaieds become a separate tax vol. may need so be adjusted tor return of captal payments in order to determine the realized gain or las for tax Cost trans ii the LOIS purchase lost of the StCurity. indudrg fPnveStedriviclench The cost basis may need reporting purposes. to De aquae° kr return d cedar padnents in dart to onetime the adjusted cost beers to tax reponng ffideStIlleat leRM1 is the current value onus the amount yOulMeSted It data not include shares ma are not braises. reflected on your statement, inducing AVIS. INS( have been Ma:lief:UK either a grin or a le% It also dues not include cash dui:feeds that were nor reinvested. Hddng Number of shares Purchase pincer averagi pnce per share (S) Client investenenf Cost Price per share Value on basis CI) cn Mai 31 (5) Mar 31 ($) UnrealizedGar) gain or loss (S) Investment Hddng return (5) period GATEWAY FUND CLASS Y Symbol. GTEvx Trade date: Ian 29, 13 1,089.208 27.580 30,040.36 30,040.36 29.030 31,61931 1379.35 LT Total reinvested 4.905 28.870 141.61 29.030 142,39 0.78 (Al: 1517 Current yield 163% Security total 1,094.113 27.586 30,040.36 30,181.97 31,762.10 1,580.13 1,721.74 CNP7C0C93C6:179790NP70C0303405 C0004 0314 030575004 VI23571550 10 j Y GM 000211!!944 of 86 CONFIDENTIAL EFTA_00131887 EFTA01274094 SUBS Resource Management Account Your assets Your total assets Value cal Mc 3' (I PeKentage 01 your tC(Ounl Cost DO54 0) Stmate0 onnud Income 01 unearned gedn or loss (S) Cash Cash and money balances 68,604 90 6.50% 68.604.90 Equities • Mutual funds 269,838.62 25.58% 197,868.75 4,848.00 19.039.89 Fixed income • Mutual funds 684.575.89 31.762.10 64.91% 633,844.99 30,069.00 -4,720.04 Non-traditional Mutual funds 3.01% 30,181.97 517.00 1,580.13 Total • Missing cost basIS inkernaticn $1,054,781.51 100.00% 8930,500.61 $35,434.00 $15,899.98 Account name: GHI5LAINE MAXWELL Friendly account name: Indiv V49935006 Account number. Y I 23571 55 Your 'Mandel Advisor: SCOTT STACKMANLYIE CASRIEL 212-821-7C00/800-308-3140 Account activity this month Date Actirity Description Arnaunt (5) Deposits and other fends credited Mar 10 Deposit CHECK DEPOSIT 19,039.42 Total deposits and other funds credited Date Acthaty De1001100 $19,039.42 Amount IS) Dividend and interest income Taxable dividends Mar 3 Dividend METROPOUTAN WEST TOTAL RETURN BOND FUND CLASS IAS OF 0212814 154.33 Mar 3 Dividend RIDGEWORTH SEIX FLOATING RATEH1GH INCOME FUND CLASS] AS Of 02i213 Id 195.84 Mar 3 Dividend DOUBLE UNE TOTAL RETURN FUND INS% AS OF 0152914 565.16 Mar 3 Dividend COHEN & STEERS PREFERRED SEC & INC FUND 1AS OF 02/28,14 319.07 Mar 3 Dividend EATON VANCE FLOATING RATE ADVANTAGE CL I AS OF 02128114 287.72 Mar 3 Dividend BLACK ROCK HIGH VELD BOND I AS OF 0212914 284.14 Mar 3 Dividend HS8C TOTAL RETURN FUND CLASS I 19.29 Mar 21 Dividend GATEWAY FUND CLASSY 141.60 Mar 21 Dividend MATTHEWS ASIA DIVIDEND FUND INSTL AS Of 0312014 79.65 Mar 24 Dividend COLUMBIA CONVERTIBLE SECLAIMES FUND CLASS 2 AS CIF 03121/14 201.00 Mar 28 Dividend HARBOR MGM YIELD RD FDINSTITUTIONAL CL AS OF 03127/14 330.72 Mar 28 Dividend HARBOR CONVERTIBLE SECURITIES FUND CLASS I AS OF 0327114 105.06 Mar 31 Dividend CLEARMIDGE EQUITY INCOME FUNDCLASS I AS OF 0312E214 277.03 Mar 31 Dividend AVENUE CREDIT STRATEGIES FUND CLASS INSTL 336.40 Total taxable dividends $3,297.01 SDNY GM 00021268 Cm170001006479791 NPT0003C040500004 0314 030575004 VI 23571550100000 ►aye 45 of 86 CONFIDENTIAL EFTA_00131888 EFTA01274095 SUBS Resource Management Account March 2014 Account activity this month (commis) Date Activity Dexnption Account name: GHISLAINE MAXWELL Friendly account name:Indiv V49935::06 Account number: Y1 23571 55 Your A vandal Advisor SCOTT STACK MAI/LYLE CASRIEL 212-821.70001800-308.3140 Amount (S) Dividend end interestiacorne (continteRd) Taxable interest Mar 7 Interest UBS BANK USA DEPOSIT ACCOUNT AS OF 030E/14 0.08 Total taxable interest $0.08 Total dividend and interest income $3297.09 investment transactions For note int0M1$1011 anent the Drgereerat shown nar restricted SNOOPS. we important intormetion afoot your Statement I the en0 01 Ind 03C anent Date Actinty Descoptron Quantity 1naue (I) Pnce (1) Proceeds ncrn invenrrlen1 transactions (5) Funds withdrawn rer cm*strnentsbougit (1) Accrued interest (5) Mar 3 Remwstment METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I DIVIDEND REINVESTED AT 10.71 NAV ON 02/28/14 AS OF 0212/314 14.410 -154.33 Mar 3 Remwstment RIDGEWORTH SED( FLOATING RATEH1GH INCOME FUND CLASS I DIVIDEND REINVESTED AT 3.08 NAV ON 02/28114 AS OF 02/26/14 21.568 -195.84 Mar 3 Reinvestment DOUBLE LINE TOTAL RETURN FUND INSTL CtVIDEND REINVESTED AT 10.96 NAV ON 02/28114 AS OF 02/28114 51.566 -565 16 Mar 3 Reimestment COHEN & STEERS PREFERRED SEC & INC FUND I DIVIDEND REINVESTED AT 13.27 NAV ON 02/2+3;14 AS OF 02/28/14 24.044 -319.07 Mar 3 Remwstment EATON VANCE FLOATING RATE ADVANTAGE CL I DIVIDEND REINVESTED AT 11 19 NAV ON 02/ 2P/14 AS OF 02/28/14 25.712 -287.72 Mar 3 Reinvestment BLACKRCCK HIGH YIELD BOND I DIVIDEND REINVESTED AT 837 NAV ON 0028(14 AS OF 02/28/14 33.947 -28.4 14 Mar 13 Receive T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS 5,394.000 55,450.32 Mar 13 Dete. T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS -5,3%1.000 -55,450.32 Mar 13 Receive T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS 0.060 Mar 13 DeSver T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS .0.060 Mar 13 Receive SIT DIVIDEND GROWTH FUND CLASS I 2,958.000 51,824.16 motioned next page CNP7C009006479792 Ne7OCO3C0405 00004 0314 030575004 Y123571550 lOigt&YGht00021pAta 46 of 86 CONFIDENTIAL EFTA_00131889 EFTA01274096 *UBS Resource Management Account March 2014 Account activity this month icontroeffl Investment Uansactions (continued) Date 44bisly oescdpt.on Quantity Yaw (S) Price (5) Protect tron investment immaciipos ($) Funds tatthdravenkr inveslre*M5 0C9V Accrued interest Mar 13 Detwer SIT DIVIDEND GROWTH FUND CLASS I -2.958.000 -51824.16 Mar 13 Receive SIT DIVIDEND GROWTH FUND CLASS I 0.635 Mar 13 Deaver sir DIVIDEND GROWTH FUND CLASS I -0.635 Mar 21 Renveslrilell MATTHEWS ASIA DIVIDEND FUND INSTL DIVIDEND REINVESTED AT 14.74 NM/ ON 03120,14 AS OF 03/20/14 5.404 -79.65 Mar 21 Reinvestment GATEWAY FUND CLASS Y DIVIDEND REINVESTED AT 28.87 NAV ON 0312014 4.905 -141.60 Mar 24 Reinvestment COLUMBIA CONVERTIBLE SECURMES FUND CLASS3 DIVIDEND REINVESTED AT 19.08 NAV ON 03/21/14 AS OF 03721/14 10.535 -201.00 Mar 28 Reinvestment HARBOR HIGH YIELD BD FD INSTITUTIONAL CL DIVIDEND REINVESTED AT 10.99 NAV ON 03/27/14 AS OF 03/27114 30.093 -330.72 Mar 28 Remvestment HARBOR CONVERTIBLE SECURITIES FUNDCLASS I DIVIDEND REINVESTED AT 11.18 NAV ON 03/27/14 AS OF 03/27/14 9.397 -105.06 Mar 31 Reinvestment CLEARBRCGE EQUITY INCOME FUND CLASS I DIVIDEND REINVESTED AT 18.76 NAV ON 03/zen 4 AS OF 03/2&14 14.767 -277.03 Mar 31 Reinvestment AVENUE CREDIT STRATEGIES FUND CLASS INSTL DVIDEND REINVESTED AT 11.55 NAV ON 03/28/14 29.126 -336.40 Total -$3277.72 Securities transferred in Securities transferred out Dale $107,274.48 4107,274.48 Activity asoption Arrounl Money balance activities feb 28 Balance forward $49.546.11 Mar 4 Deposit UBS BANK USA DEPOSIT ACCOUNT 1929 Mar 7 Deposit UBS BANK USA DEPOSIT ACCOUNT AS OF 03/06114 0.08 Mar 11 Deposit UBS BANK USA DEPOSIT ACCOUNT 19.039.42 Mar 31 Closing UBS Bank USA Deposit Account $68,604.90 Account name: GHISLAINE MAXWELL Friendly account name:Indw V49939X6 Account number: Y1 23571 55 Your Finandal Advisor: SCOTT STACK MANILYLE CASRIEL 212-821-70001800-308-3140 Toe UBS Bank USA DepOs4 ACCOurit is your primary sweep, option SDNY GM 00021270 Cfle7COOF005479793 Ny7003303405 00004 0314 030579304 Y1235715501013000 Page 47 of 86 CONFIDENTIAL EFTA_00 I 3 I 890 EFTA01274097 *UBS Your notes CNP70003005479754 NP7003303405 00004 0314 030575004 VI 23571550 1p,MY_GM_00021i491 48 of 86 End of statement for account number Y1 23571 SS CONFIDENTIAL EFTA_00113 I 89 I EFTA01274098 Important information about your statement LEIS Financial Services ix. (the F im or UBS Anoxia' Senites). is a merrter of all ',Motel Nosily, cow** and optins exchaves. LES Fe-ercial Selects and LBS Bank USA n rdrect sutodares of LES AG and affiliaies of LES Secultin U.C. Ti. Fim's I kende' statement is available upon mgrs. The Fir* excite* off ices are a: UBSFinanuol Strums Ix. 1200 Harbor Boulevard Weehawken, to 07066 Ibis statement represent the any official record of yas LBS Financial Memos account. Other records, mapt official tar document containing cordlicting date should not be relied Lyon If you befew there is an error cr omission, please report it irrmedately n *Ming to the Ranch Manager of the office servilesour account. AtInach al figures shown We intended to be accurate. statement data toxili not be used for tar purposes Rely sae& on yea-end tax forms, Form 1008 Salk 10425, etc.) whin prepregyour tar return. The Finn it required by law to report to ty IRS all taxabk Evidence. report*le rcntamble ditizknds and taxable Merest eared on wounties held in gar amont, net proceeds an safe transactore, and con base on certain covered mantes. Communications with the Finn . Please re-confirm any oral cormnricatorts in wring to funher protect your rights. incbdrig your rcht order the Semites Manor Protection Act (SWAT • If thefinancial nstitution on the top left of the front of this statement is not WS Anatol SeMes. CBS Brenda' Sereces carries you account as cleanng locker by anargenent wih the indcated &Mahon We Wormed you of tie relationship whin you opened this roost. h this case. your birds and sectsnesa-e boated a LBS financial Services and rot the krodocng broker. al you must make a neon of ray era or Main to both bums. A Ilaccornt statements shall be deemed complete ad accurate f not objected to ii swan; within 60 days. • Plate diect customer emplanes or ggpiies to he Fen'sClkm Relations Dtpanment a 201.352.1699 cr toll free a 800-354-9103, 8:CO A.M. to 6:CO P.M. ET Monday through Fred* a in mei* to LEE Financial Stinnes Ix., Client Relations Depalment, P.O. Box 766 Union City, NJ 07087. • ki case of ern Or Wen gge about an electronic hrds Wanner (Wit bi puymm or UBS Visedebit card tranuctsore. call 62-1000, or vane to UBS Frenoal Services tic„ MOO Harbor Blvd, 6th floor. Weammeen W 07086. Aim RMNESA Senees Cal or write as soon as you cart if you tilt yes staerrent or receipt is men; or if you need more Whomation stoat a on* on the statement or main. The Firm or Card hear as *PlkablX muff her from you no later than 60 days aher fie Fim sera you the len stamen on whit the error or problem *Peered. - Bowie you- name ad accost number 6f any) — Desoto the once or the wander you are mon about, and melon as clear& as mu can why you believe t is an error a Win* need more eicrmanori — Prowde thedollar arro.nt of the suspected error. The Fim or Cad Issuer Ma insestigate your complaint and eel correct anyerrorjammed/. Please mate all disks payable to the Fern or tie financial institution Skirted on fro front of this statement h adzliten to regular accost fees. accounts mai be subject to mailenrce fees, chars for late parent for sec rtes purchases and charges Ice unpaid amounts in cash manes. Accounts that ate transferred to other institutions may be subject to a wands sm. UBS Sweep Options UBS offers options for sesepng cash biomes, balances to bfl deposits a UBS Bak USA and UBS AG Sufficed March (Bank Sweep Preganns), money market mewl fixds (Mori. Fends) and the InternationalDeposit Ascent 00Alfor customers withal International Reyoune Management Account. Through to Bank Sweep Fvogane, cash balances re swept to U16 Sisk USA up to n radakhod Fed ad then to LES AG Stanford Branch or a Money Fund. Deposits at UBS Bat USA are FDIC nuked in accordsce with FCC rules. For mere raormation please mit mwrldicgov. Deposes at UBS AG Stanford Brach ad tares of Money kinds aro rot incised by the FCC. Throup the OA, atailable Moan balances are swept to deposit accounts at UBS AG New Yak Branch and UBS AG Carron Bunch Thew deposits are not insured by to FDC. Balances Feld at the LES AG Carnal Brads are tempera* exposed to the sorreign Sc of the Casten elands, and Were is no gmantee or other obligation of LBS AG to repay ex Saxes while on the UBSC grans Brad's books. Deposes at LES Bat LEA and each UBS AG Bench are not protected by SIPC. Money Fund shires ae protected by SIPC. See 116 F hernial Services Amami Promotion' bobw Upon you reg.est, bale-ices in the Bank Sweep Program or OA may be withdraw' and shares of a Money And may be liquidated, end the proceed returned to you or sour secirkin mane. Furter information about available sweep options, inhering anent merest rates and yet., a mailable at www.ds comfiseepyiekt, from your Financial Miser or by calling 800.762.1000. UM Financial Services account protection Melia, is a member el the Secretes Avesta Protection Corporation COPC), *nkh protect seriatim account. of its members up 1500,C00 Cncluding S283,000 for <elm kr bash). The SIPC asset protection Imes XPV to all account Wet you hold n a particular cape*. The Fim, togeeher with certain atlEates, ha also purchased onplaTental protection. The magnum amount payable to al eligible there, collect's& rider this protection is 5500 million as of December 10, 2013. Woad to the pokyconditions ard limitation, cads X the firm is further protected kr iso to $1.9 million n the aggregate for all you accounts held n a pasioalar capacity A ftull copy of We poky wiring n available upon request. The SIPC protection and the supplemenUI protection both do not apply to. • Ceruin &ncial asses controlled by (and imboted your account value) but held away from UBSFina-col Services (e.g.. certain ash at UBS Bat Id cadn at LES AG Stanlord branch (I) insuram mcdX1S, including variable enmities, and fie shires of mutual find' who* such thanes are registered diedly n tot name of the account holler on to backs and wads of to applicable issuer a transfer agent); • Crain ruminate contracts or imesement interest fir.g., limited partnership' and gime placements) tat are rot regrind is-derPe Securities Act of I S03; ad • Commodities contacts (e.o, Moron exchange and pm iota metal centred°. nduding futures contacts ad cormoditanzofion contracts. The SIPC protects:nand do suppkmental protection do not apply to these assets even 4 they otherwise appear on you Maternal" 1Fe SK proteden and the sollokrientalprotenion Mr not protect mare changes en the maks vale of you investments (whether a a result of market monement, issuer birkruptCy Cr otherwise} More information is amid* "pm req.et You may obtan more Bacanation tote SEC noising the SIK &ochre, by contacting5'PC a 202-371-8300 or by %nano the SIM **Wee ar wientappoE Dividend Reiweebibent Program (DAP) The prke reflected is an average price. You may obtan the acb.el price Iran tots Financial Advisor. Only Mole tares se purchased under DM; partial shires will be cold rd tot cats wa be deposited b your account. The 6videni reiwearnere price applied by to Mier ma/ 6ffe from the make( pte at which Wepanel shires ae sold CM, whole urns may be head in YOU' accost. If you a-e entned Maim-lel inn as annuli of a dviderd Parent or armee, the Firm an either sell penal Lnla at mein peke a accept an arnaunt &ambled by a regiaered clewing agency, and credit you' accare. Investment objectives The nehmen object* rd risk profile Me speolk to each account and my mybetween Please edam the Cum promote, in men; of any sign', Cant change in you. Maxie situation or immune% objectives. Fix each CONFIDENTIAL mount held, you choose one of We following Men: rent objectint • Endue CunentIrcome. Menne. es seekng the generation of income crib. • Achim Cepdaf Appeenetion: Investments waging growth of pence:sal rather than the generation 01 income. • Produce Combinaton of income and Caatol Appreciatcot Mesements seekkg both the generation of mane and gowthof precjoal. Oreriall rids profiles • Conservarre Seeks to mantain Paha pri-cloaL with low Sc and volatility to the roam mescal, send that means the awn" does not generate significant income or returns std may rot keep pace with inflation. • Moderate Willrig to accept sane rig to principal and tolerate some weir* to 'seek hirer returns. • Aggress*: Wiling to accept high Sc to pinopal and high salsa* to seek hgh returns one time. Statement leouseholdne We may consoldm at related account statements with the same slices. n the sate exam*. Accounts may be related Ice this purpose berate they have owners who also makaain pia mom relationships wit olive clients at the sane address. This practice's known as • householing • If you prefer to recebe Pdiedual statements masted in separate envetcpts — yOu May dries householding by (Ong sou F rennet Acker. Friendly amount name The Frendb amine name reflects al ormation that you wetted on the lirMs online whites webote. h e a customizable 'nick-urn? drown by you to aria you &eh ypr recordkeeping It has m legal effect on your account. You can dirge yos hiendb account names, through Online Services or by contact-9 murFinancial Adesor. Aegean overview • YAM (dreg accoontipordob Net of assets and liabilities. • Asset 'Atlas available cash balances, vain for restricted searey lest 1, and Global tine Deposits, urrealied marks to market, and caftan insets not held byte Fem. Does rot induct* unonced SeCuttiell assets at the end of the prior and one statement periods, or protest imestrients, invested stock options aid evercoabie stock anions • Eialubbes Includes debt betimes, onmardirg rrurgn loan credit fix, tort octant balances. • Casb/Noner beheires. Total of unimested amiable cash balances, plus UBS Bak LISA deposit IMancefi UBS AG Starrdotd Branch deposn balances and money market mmul fund sweep Sate,, at the cbse of the stamen period. Normormlocity bee credit balances in your *court ae rot segregated from other balances and Ix Film may use any ol these funds in the ordinary Caine of ib business. these funds ae payable Loon your darned. This total is included sn to cement period closing who. SDNY_GM_00021272 EFTA_00131892 EFTA01274099 Important information about your statement (coninued) U ndies Horatian Fa detailinformation cn the f its tending practices and &causes, refer to year Cleat Relatorthip Age-taunt or Accuse Agreement end the General Terms at Conditions UBS Statement of Credit fraction available in agreements and Diackwres at meguaksramirsauctIflotoses Vas testi Your stesMent kaftans soCurities ad other asset; held in the mart at the end of the sterner* period. You may ark forage/ay of hay paid secretes at anytime. You mayreceive securities used as loan collateral after owing any bairns due on tem. My securities Sanelenvd to the Firm dri-g tke statert penod are listedat market value as of the end of the statecraft period. • Can basis. In detemning the cost basis of the stories included in this statement, where indicated win the rumba. 'I,' UPS Fiera& Services has relied cninForwetion <braid from sources other than LES Frencial Semites. including nfornwirm Iran another him a that gooey have provided to you Finaxial Adam The Finn does not itlependently verify a parent.* the acaracy or ieklity day irforemtion provided by sours other tan 1**Siuncial Senates. aiatirs although UBS FintiCel Services general& pines this Huainan as it k received, the firm does not provide any isorances that fie information vow 'Cost basis- and threakzed gar/loss' it accurate as a tee date of this statement. As such phase do not way on this Horatian to make puchice a sale decisions. fermi papaws or *theme's*. Accounts tranderred to to fim may reflect girl loss rannatifi on& f or the period of tine they at held at to F rm More higorical Hama in tribe stied by yon Finance' Advisor. • Urroalised ganstlormes When data is fl ied:4k estimated uveafized gang buses ore ciniated ter inavaleal seosty lots. Re transaction data for matte( lob may or may not reelect commissions, turges ander security moraine:al i:n rents Dividend and oterre mesh-mai lots ad systematic perches+ lots are each combined to display one aver agedlot The • Trade date • [almaresentsthe original transaction wade date. • Callable securities Ban* and ;referred stock that the kat cats for eabr redemption wit be selected morel& by lot Iran among all seo.rties of fiat isst held hour name or in nominee name la as clients. Call halm rannatan c dote:led from third parties and es accuracy snot guaranteed. Other tall leases maybes' *Nth cold affect weld complete egcmiaton sill be provided upon request. • Certificates of derma (CDs) CDs are FDIC inured sp to 5250,000 h priajoal and accrued interest per &costa and per depository institution, 6 /accedence rah POIC rules. • Pricakalua Pets dial/wedfa securities and ogler products may be higher or lower than the price that you would scarify recte n the market Pries are obtained from vaious third party sources whifi use Delve to be retitle. but we do not gavakee their accuracy. - We gently eat the closi-g price when avalabba the mean of Me bid and ask prices fa fined mantles and <pions ex on& bid prices fa OTC seotties. - Less achey waded sea:ties may be priced using valuation model or the most recent per we obtained and may not nett an actual maget rice a Vat* - Certain position may appear without a price and will Mow as *price was rot available' if we are untie to obtain a pnce for a warty - Deposits or sectrfin dericnnaeed n currencies ocher thin U.S. dollars are related at the &Aching& rate as of the statement date. - Fa cabin securities wading in non.conf otmng clerannacea mice and qua-UN0am vale) may have been edits-Led to facilitateprat titan. To obtain current quotations, when stailible, contad your Financial Adlux. • Private MoMmeng and structured prudish. Bite nwstrrem savors (rchding drect paticipation acqarn and real estate imestment trust seurites) and tared patois are gently highly Aispid. Certain amused proists have not been registered with the Securities and Eachrr (omission o- under any state sautes laws. We prode ranted mares for pane investment leashes and structured products for informatkrul purposes only Aroma snot guaranteed. - These values may differ abstantiaby from aces. a any, at tech a rote tesanent security a structured modest may be barrel or sold and do not necessarilyrepresent the vats you may receive Won Illuidation. ▪ Thal pat), esanatesd vale ore as of a certain date ad are spited to US$ Feria-Pa Services on a regukt bass by in independere vitiation tem. - .war, generalpartner or sponsor estimated vales, ry, are supplied to therein by Ow Muer, genteel panne or sponsor and may be tabulated based on different information Iran tat used by tadparties Midst tar estinated values. - You can obtain Steam/ recansit regarding the methodology used to determine the retinae of value and The date of to Hamel'," that is the basis for fie en mate by contactrg your fa-uncial Advisor. - Thrd piety *stinted %Mrs my be reflected as •Not prked* n wee I sit *km wfe n Ydependent %elision tern has not suppled or is tide to assign a the. when we become avare that a materialevent has °coated that may call a poets* reported vela ita question. or when a value would be highly speoArtne due to fie nesse a the sturdy. - When neither an suer, general pane err sponsor estinated vale ma a thrd-pany estimated vale if road. the value of the secirrty wit be clamed haw itspurchaseprice. — •Dalriat cm to dace may include mkt of (meal. incomecc both — Ongnal int see • represeas the initial aterng price per unt and may not reflect your con basis • Restricted nowitios Ratted seurnin gently are rot currently Prole fps publk sale. UBSFinrcel Services as to matel price of the unrestricted slock of the same issuer as an mputed value for do restricted stock for prepuces of this areaway* oa4r To the relent that red:rifled smithies are elgbh la sae, the vats maned may be silonantialy less than the inp_ted value tnown • EM. retimatsd) inccene rang yield' and ratas. An 9:finale of anal incorre is based co current dividend at interest rates, assuning to salsifies will be held for one yea from statement date or until Matinty. This retinae ken& a gadelne, accuracy rd continued income are not gueenteed — Estimated a-ntal ?came and curet yield la certain roes of salsifies could include a retun of pmcgal or capital gars in whit case the est income Ordcurrent yeti would be overstated. — Estimated arial Scone and curet yield and the actual item a-alyield might be laver a higher than the estimated amounts. — An entate of a-ruaeced income (divdend ants interest) divded by the uncut market valetweregre balance is based on the tat dividend or interest payment made by the issuer and antes the seositieldeposts will be held for ore year from the statement date or until manly. Accuracy at continued weld me not warmed • Pants riot held by U3S 'rancid Sayan. Certain assets are rot held by the fern and not viten the Fern's possession or cawol. These assets are dsphyed on you statement for informational purposes orb. Positions ad values presented a riveted by the awry fern UBS Financial Services is not resparible for the ilaination and ekes not guarantee es accuracy. These assets we rot preened by Silt or the Finrs omplementalSIPC coverage. • Revenue sharing and additional compensation. — In addition to commissions on sales and 12b-I fees received n correction Mtn the destitution of mutual finds to of we Backe our fl aw mitt revenue Sharing Payments fr0llideoributors ardor advisors of the maul funds that we sell. These amounts are based on two darn cormorants amantol sales by UBS of a particular MAYA fund family to our clam, and 4) the asset value of &partner mutual fund I amiyi shares held at the 1mi — We and as afldiate also recte nett king and amber processing lees in consideration For transfer agent servies that we Provide to the mutual krt. Thew he, clenrallY are pad from insestor awns in the mutual fund and are a fried dam amount based a tie number of accounts at the broker-dealer holdng ensued lords of that fund CONFIDENTIAL — h atle on to otemoscni received n connection wth Me sale or danbinon o1 a-rury contracts and the investment mat units to our <lents, we andor our athlete nate retina sharng airrpensaan tram many of the inosance companies merman9 the amity contracts, athletes d to Murat extant or sponsors of theta. imestment rusts we disirbute - Cur affiliates ako newt wading cancnetkru and other correpercatan from reknual kids and nsurance companies whose protects we distribute. - Mermen, an anal fee from US$ Bark OA and LES AG Stanford Brant of up to szs per acts, sweepng to the barks under the UBS Bark Sweep Fr gram, Activity hbrenabon terming commissars and Otte, charges nand n COlint<110" wash ter oecutcrt of wades, Muting option transactions ha beerancluded calfirritits petits& furroNd to you, and wall be prowded to you wavily ash recpest. Shaft galling F you are engaged in short selling a Wu* yOu may nos a char the to cergin taros/iv costs for that particular smutty. Open arta Regarding Wen or •goaatilkancaecr adors fiat were not awaited by the statement date, open buy and tel stop orders are refixed by the anoure of dividends or rights on an ex-dividends a berets dee unless intruded otherwise by you. You are responsble for orders that are mauled the to your lila. to cancel Vining open orders. Primes To obtain a copy of at current Client (Macy Naito. please contact your France* Athisor or visit ar website at SMISMIROXIMMEAUgast, UBS anemia Services a rot a bit the RIK Busts Services Account GSA and IRMA are bitterer accounts which provide access so barking services a-idproducts though arnagenwits wall Staged barks at other thrdgavy banks, rod provides access to retrace and smut, protect tad by unaffiliated third-paw insurance compa-nis through Youra-ce agency subsilksies of UBS financial Services Inc. Imestment, nsura-ce. at a-ruttyproducts: Not IDIC inured • No bank guarantee* May bse valet RIM. Renate Management Account, Business Semites Account BA RMA and alternation& Resource Management Accost are registered service marks of UBS Fete's! Services Inc Via Spume is a registered salt* meek of Visa Intonational CBS Via Signetse cede cards at LES yea debt cards are iskied by UBS Bank USA with Fotffrn7liOri from Vs* U.S A Incorporated. UBS Financial Services he Pm 201402 SDNY_GM_00021273 EFTA_00131893 EFTA01274100 SUBS U8S Financial Services inc 299 Park Avenue 25th Floor New York NY 10171.0002 CNP7005608657041/ VI 0 Resource Management Account April 2014 GHISLAINE MAXWELL 116 E 65TH STREET NEW YORK NY 10065.7007 Account Frame: GHISLANE MAXWELL Friendly account name: Indiv.V499350C6 Account number: _3571 SS Your Financial Advisor: SCOTT STACK MANILYLE CASRIEL Phone. 212.821.700Y800.308-3140 Questions about your statement? Call your Financial Advisor or the Value of your account RMA ResourceUne at 800-RMA-1000, account 029723571 on March 31 (S) on April 30 (5) Your assets 1,054,781 51 1,061,175.35 16sIt our websIte: www.ubscomainancialservices Your liabilities 0.00 000 Value of your account $1,054,781.51 51,061,175.35 Items for your attention • If you use LIBS Online Services, consider changing your User Name and Password regularly to protect your personal data. Not enrolled? Go to ubs.cornionlmeservices Tracking the value of your account S Thousands 1,054.8 1,061.2 Mel 2014 Am 2014 Sou roes of your account growth duriag 2014 Value of your account at yea. end 2013 Net deposits and v‘Mndramals Your investment return: Dividend and interest income Change in market value Value of yew accoun on Apr 30, 2014 10.00 31,097,654.22 35,561.65 14,999.48 $1,061,17535 SDNY GM 00021274 Member SIPC CNP70009)09338657 Ne7000191745 COCO. Otte 030579704 vi23571350000000 Page 35 of 98 CONFIDENTIAL EFTA_00 3 1894 EFTA01274101 SUBS Resource Management Account April 2014 Your account balance sheet Summary of your assets Value on April 30 ($) Percentage of your xcount A Cash and money balances 68,798.69 6.48% B Cash alternatives 0.00 0.00% C Equities 272,234.94 25.65% D Fixed income 688,270.21 64.87% E Non-traditional 31,871.51 3.00% F Commodities 0.00 000% G Other 0.00 0.00% Total assets Value of your account $1,061,175.35 S1,061,175.35 100.00% Account name: GHISLAPIE MAXWELL Friendly account name:Indiv VA9935006 Account number: rt 23571 55 Your current asset allocation E A Eye on the markets Index Your financial Advisor. SCOTT STACK MANLYLE CASRIEL 212421.7000800-308-3140 . Cash and money balances may include available cash balances, UBS Bank USA deposit account balances, U85 AG Stamford Branch deposit account balances and money market mutual fund sweep balances See the Imponant information about your statement on the last two pages of this statement for details about those balances S&P 500 Russell 3000 MSC I - Europe, Australia & Far East Barclays Capital U.S. Aggregate Bond Index Interest rates on April 30, 2014 3-month Treasury bills: 0.02% One-month LIBOR: 0.15% Percentage change April 2014 Year to date 0.74% 2.56% 0.12% 2.10% 1.53% 2.31% 0.84% 2.70% CNP70X00050386S8 NP700019t 745 00304 0414 0305793N VI 23 571 SSOCOMy_Git000pas 36 of 98 CONFIDENTIAL EFTA 00131895 EFTA01274102 *UBS Resource Management Account 1.: Account name: GHISLAINE MAXWELL Friendly account narne:Indiv v49935006 Account number. Y1 23571 55 Change in the value of your account Summary of gains and losses April 2014 (SI Year to date CO Opening account value $1,054,781.51 $0.00 Deposits, including investments transferred in 0.00 1,157,928.70 Withatawals and fees, including investmentstransferred cut 0.00 -107,274.48 Dividend and interest income 2,264 56 5,561.65 Change in market value 4,129.28 4,959.48 Closing account value $1,061,175.35 $1,061,175.35 Dividend and interest income earned For purposes of tNs statement, tenability of interest and dividend income has been determined from a US tm mooning penpectivo. Based upon the residence of the account holder, =count type. or product type, some interest anaor dvidend payments may not be subject to United Slats (UP, enact Plitft0 Rico (PR) Income tarts The dent months; statement is not intended to be used and cannot be reSed upon for tar purposes. Clients should refer to the ;plead, tar reporting forms they receive from Le35 annualy, such as the ions 1099 and the FOrMS 480, for tar reporting information It is the practice of UBS to file the rocticatte tar reporting forms with the US interna rievente Serillfe aid PR Treaury Depattrrent, and in such forms accurately classify dvidenct anlia interest as tar exerrpt or tacit)* income. Pleat consult your in:Sudsier tar prepater April 2014 (8) Year to date (I) Taxable dividends 2,262.78 5,559.79 Taxable interest 1.78 1.86 Total current year $2,264.56 $5,561.65 Total dividend & interest $2,264.56 $5,561.65 Your financial Advisor: SCOTT STACKMACSLYLE CASRIEL 212-821-7000800-303-3140 vSues reported below exclude products for which gain and losses ate not decsifitcl. Realized gains and losses Unrealized Aptd 2014 (1) year to date (1.) gains and losses (3) Short term 0.00 0.00 12,799.22 long term 0.00 0.00 13,919.94 Total $0.00 $0.00 $26,719.16 Cash activity summary See Account activity this month for detals Balances in your Sweep Options are indudedin the opening and closing balances ira Le. FDIC Insurance applies only to deposits at UBS (Pack USA, not to deposits at UBS AG, Stamford Branch or bank deposits placedthrough the UBS Internat.:on, Depose Account program SIPC protection applies to money market sweep find holdings but not bent depOtili oboe/two( statement on the last two pages cf this document for deists Apnl 2014 (3) impottint inSormadon year to date (I) Opening balances Additions Deposits and other funds credited $68,604.90 0.00 $0.00 68,585.53 Dividend and interest income 2,264.56 5,561.65 Total additions $2,264.56 $74,147.18 Subtractions Funds withdrawn for investments bought -2,070.77 -5,348.49 Total subtractions -$2,070.77 -$5,348.49 Net cash flow $193.79 468,798.69 Closing balances 468,798.69 $68,798.69 SDNY GM 00021276 Cli1P7C008305668659NP70cOlgt 74580004 0414 030579004 YI23571550 008000 Pegs 37 of 98 CONFIDENTIAL EFTA_00131896 EFTA01274103 *UBS Resource Management Account April 2(14 UBS Bank USA Deposit Account APY interest period Mar 7 - Apr 6 Opening UBS Bank USA Deposit balance Mar 7 $49,565 48 Closing UBS Bank USA Deposit balance Apr 6 868,625.90 Number of days in interest period 31 Average daily babnce $66,151.30 Interest earned 81 .78 Annual percentage yield earned 0.03% Account name: GHSLAINE MAXWELL Friendly account name:Incliv V49935;06 Account number. Y1 23571 55 Your investment objectives: You have identified the following investment objectives for this account If you have questions about these obtectiws, disagree with them, or wish to change them, please contact your Financial Advisor or Branch Manager You can find a full description of the alternative investment objectives in important inbaanation about your statement at the end of this document. Your return objective: Current income & capital appreciation Your risk profile: Primary - Moderate Investment eligibility ccnsderation - None selected Your account instructions • tr t rnc' base dofa tit dv.rg rout! id is FIFO, First In, First Out Your financial Advisor SCOTT STACK MANLYLE CASRIEL 212 -821 .7030/800-308-3140 CNP70X9005688660 NP7OCOI 9I 745 COON 0414 030525004 Y1 2357i $50 03019AWG M0002%79 38 of 98 CONFIDENTIAL EFTA_00131897 EFTA01274104 *UBS Resource Management Account April 2014 Your assets Account name: GHISLAINE MAXWELL friendly account no:be:Indio V49935006 Account number: Y1 23571 55 Sane prices, income and current WI WS ShOnn may be approximate. As a result, gam and IOSIS may rial be acurately refkded. See unportant We/matron about your statement a the endol this Occurrent for !Mole Informal on. Cash Cash and money balances Cash and money balances may include avalable cah balances, USS Cant USA *Tout account baances. UBS AG Stanford Branch deposit account balances and money market mutual fund sweep balances. UBS Bank USA deposit account balances are insured by the FDIC Minn appliccble limits, but are not protected by SIPC. UBS AG Stanford Bram h deposit acoum balances am not minuted by FDIC aid we not proleded by SIPC Money market sweep balances are protected by SIC but are not insured by the FDIC. Sine the important information about yaw statement at the end of this document for details about those balances. etddng LOS BANK USA CEP ACCT Openng baance Gips/nobane on Apr 1 (SS on Apr 30 (S) Price per :Nee on Apr 30 (S) Average rate Your Nsandd Advisor: SCOTT STACKMANTLYLE CASILEL 212-821-70001800-308-3140 Dntdeno Interest Days in period period Cep =cunt CS) 68.604 90 68,798.69 Equities Mutual funds Totat renwestel is the Iola dal reinvested dvedends It does rot include any cash dedends. II is not a ta lot fot the purposes of determining bold ng pe nods or cost basis. The shares you receive ea h trre you reinvest d %Wends bt(Orne a separate tax al. Cost bases is the Iota purchase cost of the security. Ind udno reinvested of Wends The cost basis may need to be ad usted for return of carnal payments in order to deterrn ne the adlusted cat bass tar la< rep:rang popases. 250,000.00 trnrealited(fax)gain or loss is the dfference between the current value and the cost bats aid would genial), be your taable Ono, loss if the sec urrty was sold on ten date. The unrealoed gar) gan or loss may need 10 be fl usted lot rct um Of Captor payments In Older to determine toe reigned gain or lots for tax reporting Purposes, frwestment tom is the Current value Minus the arn3unt yOurriveSted n does not include snares that a'e not reflected on your statement, includngstsares MS have been realized as either a gam or a loss. It also does not Indus& cash dedends Thai were not teirwested Hd ng haJrrber of shares Purchase pride' Averace PnCe per spare (S) Client investrnent CS) Cost basis 01 P&P Der share en API 30 (I) value on Apr A) ($) Unrealized (tad gain or loss (1) investment NciOng return 01 period CLEARBROGE EQUITY INCOME FUND CLASS I Symbol. SOPYX Trade date: AM 26, 13 1,179.249 16.769 19,776.00 19,776.00 19.190 22,629.78 2853.78 ST Trade date: Jan 14, 14 296.210 18.470 5,471.00 SA7100 19,190 5.684.27 213.27 ST Trade date Jan IS, 14 283.181 18.549 5253.00 5253.00 19.190 5,434.24 181.24 ST continued next page SDNY GM 00021278 CelP7C00?0056B8S61 NO7003191745 00004 0414 030575004 Y123571%0 000000 Pap 39 of 98 CONFIDENTIAL EFTA_00131898 EFTA01274105 SUBS Resource Management Account April 2014 Your assets . Equities . Mutual funds (continued) Melting Humber of stares Purchase pied Meld? peke petalled (5) Client investment CS) Cent basis (S) Price per Share on apr 30(1) Value On Apr 30(5) unrealized One gein atlas (1) ImeStment Hddng return (5) period Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 19.190 5,425.61 18261 ST Trade date: Jan 17, 14 298.430 18.469 5,512.00 5.512.00 19.190 5,726.87 214.87 ST Total reinvested 14.767 18.760 277.03 19.190 283.38 6.35 (Al: 1812 Current yield 1.80% Sect-city total 2,354.568 17.637 41251.00 41,52803 45,184.15 3,656.12 3,933.15 COLUMBIA CONVERTIBLE SECURITIES FUND CLASS 2 Symbol: NCIAX Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 18.920 21,704.59 1,181.59 ST Trade date: Feb 19, 14 840.380 18.959 15,942.00 15,942.00 18.920 15,899.99 -4201 ST Total reinvested 10.535 19.080 201.01 18.920 199.32 -1.69 (Al: 1889 Current yield 2.35% Security total 1,998.092 18.351 36,465.00 36,666.01 37,803.90 1,137.89 1,338.90 HARBOR CONVERTIBLE SECURITIES FUND CLASS I Symbol: HACSX Trade date: lien 29, 13 1,872.780 10.250 19,196.00 19,196.00 11.270 21,106.23 1,910.23 LT Trade date: ken 17, 13 960.534 10.489 10076.00 10,076.00 11.270 10225.22 74922 ST Total reinvested 9.397 11.180 105.06 11.270 105.90 0.84 (Al: 4538 Current yield 184% Security total 2,842.711 10.334 29272.00 29,377.06 32,037.35 2,660.29 2,765.35 JP MORGAN INTREPID EUROPEAN INST Symbol: JFEIX Trade date: Aug 1, 13 435.452 23.134 10074.00 10,074.00 27.650 12,040.25 1,96625 ST Trade date: Aug 6, 13 439.831 23.286 10242.00 10242.00 27.650 12,161.32 1,919.32 ST (Al: 475 Current yield: 0.31% Security total 875.283 23.211 20,316.00 20,316.00 24201.57 3,885.57 3,885.57 MATTHEWS ASIA DIVIDEND FUND INSTL Symbol: MIPIX Account name: GHISLAINE MAXWELL Friendly account nem,: Indiv V49935006 Account number VI 23571 55 Your 15 sandal Advisor: SCOTT STACK MANY LYLE CASRIEL 212-821-7000/ 800-308.3 140 continued next page CNP70309009338662N1q000i91745002O10414 C130575004 Y123571440049JMYGM0002,4344 40 of 98 CONFIDENTIAL EFTA_00 I 3 1899 EFTA01274106 *UBS Resource Management Account April 2014 Your assets a Equities v Mutual funds (continued) Hddnq Nurrbee of shares Purchase piked Ape verrag eme de) investment (1) Cost Oasis (I) PIK! per share on Apt 30(1) Value on Apr 30(1) unrealized (ta4 coin or loss (0 investment HolcIng return CO period Trade date: Mn 29, 13 2,156.431 14.849 32,023.00 32,023.00 15.250 32,885.57 862.57 LT Trade date: Feb 1, 13 481.951 15.069 7263.00 7,263.00 15.250 7,349.75 86.75 LT Total reinvested 5.404 14.739 79.65 15.250 82.41 2.76 (Al: $1,356 Current yield: 3.36% Security tots 2,643.786 14.890 39286.00 39,365.65 40,317.73 952.08 1,031.73 SIT DIVIDEND GROWTH FUND CLASS i Symbol. SOVGX Trade date: /an 29, 13 2333.831 15.400 35.941.00 35941.00 17.860 41,682.22 5,741.22 LT Trade date: Jun II, 13 624.804 16.569 10353.00 10353.00 17.860 11,159.00 80600 ST EAI: $751 Current yield 1.42% Security total 2.958.635 15.647 46294.00 46294.00 52,841.22 6,547.22 6.547.22 TORTOISE MLP & PIPEttlE FUND CLASS INSTL Symbol. TORIX Trade date: Mn 29, 13 2296.774 13.330 30,616.00 30,616.00 17.350 39,849.02 9,233.02 9233.02 LT EAI: $367 Current yield 092% Total 3243.500.00 4244,162.75 1272.23434 423.072.19 428.734.94 Total estimated annual income: $4,838 Account name: GHISLAINE MAXWELL Friendly account name:Incas V49935006 Account number. VI 23571 55 Your Mnandd Advisor. SCOTT STACKMANLYLE CASRIEL 212421-7000/800-308-3140 SDNY GM 00021280 CNPT0303005838663 NPT000191 745 00004 0414 030575004 Y123571550000000 Pap 4t o£ ce CONFIDENTIAL EFTA_00131900 EFTA01274107 cat UBS Resource Management Account April 2014 Your assets (continued) Account name: GNISLAINE MAXWELL friendly account name: Indiv V49935006 Account number. YI 23571 55 Axed income Mutual funds rout reawested is me tots d a reinvested dvdends it does not mdudt any <ash Mideast. It is not a tar lot for the purposes of determinng hchingpenods or cost bans. The sham you receive etch time you earnest dedench become a separate tax lot. Cost INN is the tots purchase cost of the security. Ind udng reinvesteddie:lends: The cost bedsrev/ need tow adusted for return cf cerAtal payments in order toattennne the al tested cost beds for oar repaving purposes. Hddng AVENUE CREDIT STRATEGIES FUND CLASS INSTL Symbol: AC S8X Trade date: Nov 12, 13 Trade date: Nov 18, 13 Trade date: Nov 25, 13 Total reinvested EAL 51,034 Current yield: 3.18% Security total ETACKROCK HIGH YIELD 80ND I Symbol: BHY1X Trade date: Ian 29, 13 Trade date: fun 27, 13 Total reinvested EAI: $3,696 Current yield:6 03% Security total COHEN & STEERS PREFERRED SEC & INC FUND I Symbol: CP)0X Trade date: Jan 29, 13 Trade date: Feb 6, 13 Trade date: kin 14, 13 PurCh3Se pricer Mertes Averacy pace of spores per share (S) Client investment (S) Your Amodal Advisor: SCOTT STACK MAN LYLE CASRIEL 212-821-7000/800-308.3140 limeated (Nal gang a tour is the dfference between the current dime and the cost basis and wooed genera), be yOur Weak gin or loss 4 the security was sold on ties date. The unreenzed Oa0 On a foss may need to be &gusted for return olcamal parnents in order to detemi ne the realized gain or bas for Is tenoning purposes revertneent return is the current value anus the amount you invested a does not Include shares that we not reflected on you statement, Ind Ong shares that have been reedited as either a gain os a teL It also Wes not include cash dedends that van not reinvested cost oasis (s) Price per share en Apr 30(S) Value on Apr 30 (1) Unrealized gad investment Hddng In orloSS (S) return (1) period 910.736 11.270 10264.00 10264.00 11.750 10,701.15 437.15 Sr 912.566 11.300 10,312.00 10312.00 11.750 10,722.65 410.65 ST 911.661 11.319 10320.00 10320.00 11.750 10,712.01 392.01 ST 29.126 11.550 336.41 11.750 342.23 5.82 2,764089 11.299 30,8%.00 31232 41 32,478.04 1,245 63 1582.04 4,811.156 8.200 39,451.48 39,451 48 8.330 40,076.93 625.45 LT 2,481.156 7.959 19,750.00 19,750 00 8330 20,668.03 918.03 ST 70.352 8354 587.76 8.330 586.03 -1.73 7,362.664 8.121 59201.48 59,789.24 61,330.99 1,541.75 2,129.51 3.002.068 13.487 40,49) 57 40,490 57 13.540 40,647.99 157.42 LT 740.625 13.391 9,918.40 9,918.40 13.540 10,028.06 10966 LT 751.274 13.309 9,999.02 9,999.02 13.540 10,172.25 173.23 ST Continued neat page CNP70003005688664NP70C019i 745 000% Om C130575004 v123571 $50 COMAYGM0002,2,11 42 of 98 CONFIDENTIAL EFTA_00 131901 EFTA01274108 UBS Resource Management Account April 2014 Your assets . Fixed income . Mutual funds (continued) Nddng Weber of shares Purchase plket Average price per share ($) Client investment (5) cost basis CD Price per share en Apr 30(5) value on AN 30 (s) Unrealized Dad investment Holdng gain or loss (b return (S) period Total reinvested 46.668 13.323 621.77 13.540 63168 10.11 (Al: 43,851 anent yield. 6.2690 Security total 4,540.635 13.441 60,407.99 61,029.76 6IA80.19 450.42 1,072.19 DOUBLE LINE TOTAL RETURN FUND INSTL Symbol: DEILTX Trade date: /an 29, 13 12,498.155 11.379 142229.00 142229.00 10.930 136,604.82 -5,624.18 LT Total reinvested 103.220 10.929 1,128.19 10.930 1,128.19 EAI: 47,094 Current yield: 5.15% Security total 12,601.375 11.376 142,229.00 143,357.19 137'33.02 6,624.18 .4,495.99 EATON VANCE FLOATING RATE ADVANTAGE CL 1 Symbol: DFAX Trade date: lin 29, 13 7524.150 11.180 84,120.00 84,120.00 11.120 83,668.54 -451.46 LT Total reinvested 55.072 11.174 615.38 11.120 612.40 -2.98 EAI: 33,964 Current yield: 4.70% Security total 7.579.222 11.180 84.120.00 84'35.38 84280.94 -454.44 160.94 HARBOR HIGH VELD 80 FD INSTITUTIONAL Cl Symbol: NYFAX Trade date: Ian 29, 13 2,660.657 11.239 29,905.78 29,905.78 11.050 29,400.25 -505.53 LT Total reinvested 30.093 10.969 330.72 11.050 332.53 1.81 EAI: 11,687 Current yield: 5.67% Security total 2,690.750 11.237 29,905.78 30236.50 29,732.78 -503'2 -173.00 HSBC TOTAL RETURN FUND CLASS I Symbol: HTRIX Trade date: /an 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.190 39318.79 -385.86 -385.86 LT EAI: $741 Current yield 1.88% 114 MORGAN MULTI-SECTOR INCOME FUND SELKT SHS continued nest page SDNY GM 00021282 CNP70003005888665 NPT000191745 C0004 0$14 03057500S Y123571$50000000 Page 43 of 98 Account name: GHISLAINE MAXWELL Friendly account name: Indiv V49935006 Account number. VI 23571 55 Your Mnandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7600/800-308-3140 CONFIDENTIAL EFTA 00131902 EFTA01274109 SUBS Resource Management Account April 2014 Your assets . Fixed income . Mutual funds (continued) Melting Number of shares Purchase pncef Average peke per share (S) Client investment (S) Cost Oasis (1) Price per that en Apr 30(1) Value on Ape 30(1) unrealized NO gain or loss (S) Imestmeet Holding return (S) period Symbol: JSISX Trade date: Jan 29, 13 4,784.864 10.260 49092.71 49.092.71 10.370 49,619.04 52633 LT Total reinvested 0.921 10.390 9.57 10.370 9.55 -0.02 EAI: $1,268 Caren yield: 2.55% Security total 4,785.785 10.260 49092.71 49,102.28 49,628.59 52631 535.88 METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I Symbol: MWTIX Trade date: Oct 24, 13 7,192.344 10.709 77,030.00 77.030.00 10.740 77245.77 215.77 ST Total reinvested 30.268 10.694 323.69 10740 325.08 1.39 EAI: $2,239 Oxen( yield: 2.89% Security total 7222.612 10.710 77,030.00 77,353.69 77,570.85 217.16 540.85 RIDGEWORTH SEIX FLOATING RATEHIGH INCOME FUND CLASS I Symbol: SAMBX Trade date: Jan 29, 13 6,502.655 9.039 58,784.00 58,784.00 9.040 58,784.00 LT Total reinvested 45.248 9.069 41038 9.040 409.04 -1.34 EAI: $2,416 Current yield: 4.08% Security total 6,547.903 9.040 58,784.00 59,19438 59,193.04 •1.34 409.04 T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS Symbol: PFFRX Trade date: Jan 29, 13 5,394.060 10.270 55397.00 55,397.00 10.260 55,343.05 -53.95 LT Total reinvested 17.537 10.279 18028 10.260 179.93 -0.35 EAI: $2,251 Current yield: 4.05% Security total 5,411.597 10.270 55397.00 55,57728 55,522.98 -54.30 125.98 Total $686,768.61 $691,312.76 5688,270.21 43,042.57 51,50140 Total estimated annual income: 530,241 Account name: GHISLAINE MAXWELL Friendly account name:Insley W9935006 Account number: YI 23571 SS Your 15 nodal Advisor. SCOTT STACK MANLYLE CASRIEL 212.821.7000f 800-3088 140 CNP70303005488666NP7003191745 00801 0414 030575004 Y12357I 550 0049MYGM00021Pag 44 of 98 CONFIDENTIAL EFTA_00131903 EFTA01274110 SUBS Resource Management Account • . 2,, 1 . Your assets ri•m•-, Non-traditional Account name: GHISLA1NE MAXWELL Friendly account name: Indry v49935(X)6 Account number: Y1 23571 55 Mutual funds 1.:za rn.e;tc-4 -)1.3 cr a re n,,,szeo jv yrix n does not sncluCe any (aSh deCends It Is rot eta( lot to the purposes of determining fold ng pencils Or con basis. The shares you reeve thxh time you reinvest d %Klemm become a separate tax lot. Cost basis is the told purchase cost of the security. indudng reinvested ciedends The cost basis may need lobe adusted ice return of capita pa)Ments in ofeer boCettanne the a(iuSted COSt bans 10r la< repOring purposes. Your Eisend/II Advisor: SCOTT STACKMANYLYLE CASRiEL 212-821-7000/800-308-3140 rink:woe° crag gale or loss is the Ofference between the current value and the cost bees aldwOuld generaly be your taiatie gam or loss If the sec urn), was sad Cel Its date. The unreal/eft (tag gan or lOis may need to be ac)usted for return of capta pee-news In order to determine Use reszed gain or ices for tax fel:wing purposes. /miasmata teara is the oarent value rrinus the amount you invested. It does not include shares that are not reflected co yai r statement, Includ no; shares that haw been realized as either a gin or a loss. It also does not include cash dvdends that were not reinvested. Hddng Mittel of shares Purchase pace' Average price per share (S) Client tnvestrnent CS) Cost bans (1) Price per share co sex 30($) value on Apr 30 (5) unreatiredgae gain or toss (S) InieTtmerit Hotting return (S) period GATEWAY FUND CLASS Symbol. GTEYX Trade date: Jan 29, 13 Total reinvested EAL 1517 Current yield. 162% Security total 1.089.208 4.905 1,094.113 27.580 28.870 27.586 30,04b 36 30,040.36 30,040.36 141.61 30,181.97 29.130 29.130 31,728.63 142.28 31,871.51 1,688.27 1 27 1,689 54 1,831.15 LT Your total assets \Wire on Apr 30 (1) Percentage ot your account Cost bass (5) EsImiated annual income 01 unreaszed gain or loss Cash Equities Cash and money balances 68,798.69 6.48% 68,798.69 Mutual funds 272,234.94 25.65% 244,162.75 4.838.00 28,072.19 Need income Mutual funds 688270.21 6437% 691,312.76 30,241.00 -3,042.57 Non-traditional Mutual funds 31,871.51 3.00% 30,181.7 517.00 1,689.54 Total $1,061,175.35 100.00% $1,034,456.17 U5596= $26,719.16 Account activity this month ewe Aclibrity OfiCrOtiOn AMOUCII (1) Dividend and internstincomo Taxable dividends Apr I Owdend METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS 1 AS OF 03731114 169.36 continued next page SDNY GM 00021284 C HP70003005038667 NPT0o3t9t 745 P0001 0414 030575004 Y123571550000000 Page 45 of 98 CONFIDENTIAL EFTA 0[)131904 EFTA01274111 SUBS Resource Management Account April 2014 Account activity this month (contnueth Date Adnity Dividend and interestiacorne (continued) Taxable dividends (continued) Apr I Dividend Taxable interest Apr I Dividend Apr 1 Dividend Apt I Dividend Apr I Dvidend Apr I Dividend Apr I Dvidend Apr I Dividend Apr I I Dividend Total taxable dividends Apr 7 Interest Account name: GHISLAINE MAXWELL Friendly account name:Indiv V49939;06 Account nuntber. VI 23571 55 Your K nodal Advisor. SCOTT STACK MANY LYLE CASRIEL 212-821-7000/800-3C6.3140 Desorption Amount ID RIDGEWORTH SEIX FLOATING RATEHIGH INCOME FUNDCLASS I AS OF 03/31/14 214.54 DOUBLE UNE TOTAL RETURN FUND INSTL AS OF 0331/14 563.03 COHEN & STEERS PREFERRED SEC & INC FUND I AS OF 03/31/14 302.71 EATON VANCE FLOATING RATE ADVANTAGE CLIAS OF 03/31/14 327.66 P MORGAN MULTI-SECTOR INCOME RAND SELECT SHS 9.57 T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS AS OF 03/31114 180.28 BLACKROCK HIGH YIELD BOND I AS OF 0331/14 303.62 HSBC TOTAL RETURN FUND CLASS I 19.22 SIT DIVIDEND GROWTH FUNDCLASS I AS Of 04/10'14 172.79 52.262.78 UBS BANK USA DEPOSIT ACCOUNT AS Of 04/04/14 I 78 Total taxable interest Total dividend and interest income Investment transactions For more informaion about tne once/ vaue shown for restricted securities, see Important mtormatiorr about your statement a the end Of thls Oocunent DSe Actlety Desorption Ouamity vale (5) rime (1) Proceed: fran investment transactions (5) Funds withdrawn for investments beret ID Accrued 'merest (5) Apr I Reinvestment METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I DMDEND REINVESTED AT 10 68 NAV ON 03/31/14 AS OF 0331/14 15,858 .169 36 Apr I Reinvestment NOGEWORTH SEIX FLOATING RATEHIGH INCOME FUNDCLASS I DIVIDEND REINVESTED AT 9.06 NAV ON 0331/14 AS OF 0331/14 23.680 -214.54 Apr I Reinvestment DOUBLE LINE TOTAL RETURN FUND INSTL DIVIDEND REINVESTED AT 10.90 NAV ON 03/31/14 ASOF 03/31/14 SI 654 •563.03 Apr I Reinvestment COHEN & STEERS PREFERRED SEC & INC FUND I DIVIDEND REINVESTED AT 13.38 NAV ON 0331/14 AS OF 03/31114 22.624 -302.71 Apr 1 Remwstment EATON VANCE FLOATING RATE ADVANTAGE CL I DIVIDEND REINVESTED AT 11.16 NAV ON 29.360 -327.66 51.78 $2.264.56 03/31114 AS OF 03/31114 contrnued next page CHP7C0093056886613NP7003i9i 745 COON 0414 030575004 yt 23571 SW COMIY_GM_0002IIIN 46 of 98 CONFIDENTIAL EFTA_00131905 EFTA01274112 taUBS Resource Management Account Apra201.: Account activity this month (contrwed) lovestment tionsoctions (continued) Prcseeds Iran Funds inkestment Wthatlenti to Accrued Date Acuaty Description lilgentity vtlue (S) Price (1) transactions (1) imeSttnefilt DOugen (I) imerest 01 Apr I Reinvestment 1P MORGAN MULTI-SECTOR INCOME FUND 0.921 -9.57 SELECT 5445 DIVIDEND RENVESTED AT 1039 NAV ON 03131/14 Account name: GHISLAINE MAXWELL Friendly account name:India V49935006 Account number. VI 23571 55 Your Pinandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7800/800-308-3140 Apr I Reinvestment T ROVVE PRICE INSTITUTIONAL FLOATING RATE F CLASS DIVIDEND REINVESTED AT 10.28 NAV ON 03/3814 ASOF 03131/14 17.537 -180.28 Apr I Reinvestment BLACK ROCK HIGH YIELD BOND I DIVIDEND 36.405 -303.62 REINVESTED AT 834 NAV ON 03/31114 AS OF 03/31/14 Total -32,070.77 Date ACtivity Delcoplicn amount (5) Money balance activities Mar 31 Balance forward $68,604.90 Apr 2 Apr 7 Deposit 085 BANK USA DEPOSIT ACCOUNT AS OF 0804114 1.78 Apr I4 Deposit 085 BANK USA DEPOSIT ACCOUNT 172.79 Apr 30 Closing UBS Bank USA Deposit Account The u85 Bank USA Dep09tACCOunt Is yew primary sweep cpt.on DePOSIt UBS BANK USA DEPOSIT ACCOUNT 19.22 $68,798.69 SONY GM 00021288 0070003005038669NP708019i 745 00304 04i4 030575004 M3571550000000 ►age 47 of 98 CONFIDENTIAL EFTA 00131906 EFTA01274113 4tUBS Your notes CNP70009003f88670NP7000i91745 00034 0914 03057%04 Y12357.50 00MY_GM_0002Rtit 48 of 98 End of statement for account numb.' Y1 23571 SS CONFIDENTIAL EFTA_00131907 EFTA01274114 Important information about your statement LEIS Fiuncial Services tic. (the F im or UBS biaxial Sykes} is a merrter of all prince:el Nosily, ammo* and melons exchwges. LES Fe-erxial Mertes and U3S Bank USA are rdrect 'Wisdoms of LES AG and atlases of LES Seosein LIC. Tr Finis I henna' statement is available upon comas!. The Firrnk excite* off ices we a: LE5Finwoul Sermon to 1200 Harbor Boulevard Weehawken, rU 07086 This *dement represents the any official record of you' LES Finsmcial Mimes account Other moods, nape officialese documents. containing oxhide-eclat; should not be relied Loon le you been, there 6 an error cr omission, please report it irrmeciately narking to the Mandl Manager of the office sangmut account. Athargh al figures shorn T9 Wended to be accurate. statement data should not be used for tae purposes Rely meek on wmend tax forms, 0.e.. Form 1099. 5438. 10425, etc.) whin prewrimyour mx return. The Fim required by law to report to t* IRS all taxabk dividend. report** rontaxable MA:kinds and tadak Mena* eared on acuities held in you axant, net proceeds an sale transactor% and cost tests on certain covered margin. Communications with** Firm . Please re-confirm any oralcorm-functions in wring to further protect youtrotas. including your rote order the Sea-nein Inciter Protection Ace (SEA} • If Me finakd nslitution cn the top left of t& hart of this statement is not UBS biaxial SenMes. U3S Feencial Services carries you accost as deanng taker by sr/argument web the niched &Mahon We iriormed you of Ihie NI/a:ankh when you opened this amount. h the case. your lads and sectraina-e kcated a UB5 financial Strikes and rot 4-* iwoctong broke.. al you nut make afar of arty *nor or *Tinian to both NITS. ADoctant statements shall be deemed complete ad accurate f not objected ton wring within 60 days. • Ilene died customer complaints or iNUiin to he Fivn's C lent Relations Dna-ma* at 201.352.1699 crtollfree as 800454-9103, 8:00 A.M. to 6:00 P.M. ET Monday through Friim a in *Meg to LES Financial Services ix., Client Relations Depalment, P.O. Box 766 Union City, NJ 07087. • ti case of errors Or Wed Cm; about an electronic funds transler (W1 bi puymm or UBS Visedebit card trantictorts, call 63-1000, or wile to UBS Feenoal Seneca he., MOO Herber Blvd, 6th floor, Wahaween NI 07086. Men RIVINESA Serkes Cal or write as soon as you cart mu thilc yaw statement or receipt is awn; or if you need more info-mai On about a twofer on the stemmed or r9990. The Firm or Card Issuer as 4altkableknust her from you an later thin 60 days other to Fim sent you the fin stamens on whiin the error or problem *Pared. - howde jots name ad accost maker Of and - Desobe the *nor or he wander you me won about and .'clan as chat as you can why you believe a is an error or Wino° need more information — Proud. the dollar amount el die suspected error. The Fim or Cad Issuer wit negate your complaint and MI correct any error prompt/y. Please mate all checks payebk to the Fern or tie financial inititution in:kited on tie front of this seakment had:Phone° regd., octant fees. accounts may be subject to maetenance fees, chigoes for late parent for securities purchases and charges kr unpaid any:rants in cash &cases. Accounts that we transferred to other hettutions may be subject to a wander tee. UBS Sweep Option UBS offers optics for sweepng cash bine; biances to bank deposits at UBS Bale USA and U35 AG Manta' branch (frank Sweep Progame), money mato mewl krds NormFut) ad the Intonational Depose Accotnt (OA)for customers with a-i nternational Resource Mmagemeni Accost. Through tie Bank Sweep Pregan% cash balances re swept to UIS Berk UM up to an ratabkhod knit ad Memo LES AG Stanford Brand} or e Money Fund. Deposits at UBS Bak USA are FDIC mired in accordance with FDIC oaks. For more rat:mato-I please set memidicgov. Deposes at UBS AG Stamford Binh and tares of Money Funds at rot inured by the FIX. %romp the OA, araileble teat, balances we swept to depose accounts al UBS AG New Yak Branch and UB5 AG Cayman Bunch Thew deposits ate not rowed by der FIX. Balances Fold at to LES AG Carman Brads are tempera* exposed to the so ...reign risk of the Carnal elands, and dire is no 'man*e or other obligation of UBS AG to .way the bin es while cn the UBSC grans Brach's books. Deposes a 135 Bat LEA and each UBS AG french are not protected by SIPC. Money Fund shares we wotected by SIPC. See 1J3S Financial Services Mecum Protection' bobw Upon yaw mount bale-cgs n tie Bank Sweep Program or OA mat be seek:trams and shares of a Money Fund my be liquidated, and the proceed returned to you ormur sense in scare, Firl-te formation about available sweep options, ncteing anent merest rates and yet*, a soak k at www.tbacar/cwepy,elt, from your F hanc ial Advisor or by calling1108762.1000. UPS Financial Sonica sawn protection the Fan is a member of the Sear lies inveTOF Protection Corporation (IPC), whhh protect sororities account, of its members up 10 1500.0:0 incising S28),000 for darts kr cash). The SIPC asset protection knits aPV to all account that you hold n a palizuki warty. The Finn, together Mitt certain affiliates, ha also purchased stpploriental protection. The madmen amount payable to al ekgible there, tokeneak wok, this protection is 5500 million as of December 10, 2013. klo*ct to the poky condiliwn Baldimitation, cash a the firm is further protected kr in to $1.9 million n the aggregate for all Sou accounts held n a poicular capacity A IA ccpy of he poky waxing is maileble upon request. The SIPC protection and the hoplemenUe protection both do not apply to. • Certain Tramiel wort controlled by (and incbded your account value) but hell away from UBSFiriwool Senates (e.g.. certain(* cash at UBS Bark (i$ cash at LES AG StanIcrd branch (1) insuraxe prix4X1S, including variable enmities, and (hr) shires of mutual finds where such shares are registered diectly in the name of the account holder on to backs ad recede of the applied* issuer or trader agent); • Certain contain-a contracts or Mestment interest (eg., Pinked partneshix and prime placements) that we rot registered trder tie Securities Act of 1983; • Commodities contacts (el , Weir excha-ge and mai:usenet.' calrads), ndudivg futures contacts ad torm944CanTI contact. fine SIPC protects:a and tie supplemental protection do not apply to these Mtlet even el theyotherwise appear on gas seaternent. Ow SEC pietweion and the 74-*Olerreentalprotedion do not protect agave changes in the market vale of gar investments (whether as a result of market mosement, issuer bankruptcy or otherwise} More information is awed* rpm reopen You may obtan more racanaion abou SIPC. noticing the 58C Broth's., by coreaningSIPC a 302-371-8300 or by ositng the MK *Ohm ar YAW/.140‘041 Dividend ReiWetblbent Program (DPP) n-e rcke reflected is an away Fria. You may obtain the actual price Iromp.r Financial Advisor. Orey Wok tire are purchased under DIRT; partial shires will be won rd the cash neS be deposited in your secure The deeding reinvestment price applied by tie issuer may Offer from the mate( price at which the partial shires at sold Caelenelieu I:MeMale units may be held.' gar account. If you re entitled to a papal mut as a mull of a dviderd Portent or otherwise, the Firm vol ether sell panel web at rivulet pike or accept an amount determined by a registered clewing agency, rid credit your account Investment objectives the nemmert Minutes and risk profile we magic to each account and may vary between Please Seise the Fern prorreptk in men; of any signif tent dente in you. Make situaton or matron% objectives. kr each CONFIDENTIAL accent held, you choose one of Ihe following Meters* objeclher • Prodwe Cunentlrcome. bomb im es seekng the generation of income cab.. • AcAPabe Gaped Appreoeboo Investments waking growth of prncjaal rather than the generation of norm. • Produce Combinaton oilman. and Capital Ahem:lawn: 'vestments seeki-g both tie generation of wane and 'meth of prit011. Orwell risk precise • Con.wvathe. Seeks to mantel" raid pri-cloat with low risk and volatility to the accord overal, even if the. mews the accost does rot generate signif cant income or returns ad may rot keep pace with inflation. • Moderate: Wiling to accept some rids to pincPal and tolerate some totality to seek higher returns, • Aggressire: Wiling to accept high ridsto pnnopal and high solzeility to seek high returns OW( time. Statement Imuseholdre We may consolidate al related account statements with the same bairns n the same envetsge. Accounts may be related Ice this purpose bet &At they AMA owners who also maintain pea aware relationshps wan other clients at the sane address. This practice's known as • Muth:king ' II you prefer to receine I-diva:kat statements mailed in separate renal:cm — yOU may dales householdwg by Ealing your Premier Advisor. Friendly accourt name the Frendk octant name reflects information that you mewed on the firm's onlne *woes webste. II e a customizable rniclrern? &wen by you to mkt you with your recordkeepim. It has no legal effect on your accotra. Yea can charge your hiendk account names, through Otte Services or by contact-9 murFiencial Adthor. ACCOMn overview • MOM oinWer accoonelporofgan Net of assets and • Assets_ Inclas avertable cad, balances, vases for restricted scatty lest ), and Global Tine Def:03in, urrealied mats to market, and cattail stets not held by the Fim. Does rot inducer unonced secuttietl assets al the end of the prior and curent statement periods, or peva* iwesenwits, divested stock options and vendable stock options • Erattrties Include, debit bileran manardirg moron loans. credit the, dirt auctrit balances. • Casb/rroney balances. Total of uninvested mailable cash balances. plus UBS Bat LISA deposit batrices. UBS AG Starreord french depose balances and money market mewl fund swop Sate,, at the claw of She statement period. Noncom-rocky free credit balances in your accourt ere rot segregated from other balances and tie Pim may use any of these funds in the ordinary came of it business. these funds we payabk upon your darned. This total 6 included ri to anent period close"; value. SDNY_G M_0002 1288 EFTA_00131908 EFTA01274115 Important information about your statement (coninued) tandem, tfomeation For detated information on the Fires lending practices and dociastres, refer to you Clint Relate :robin Agreement or Accan Agreement aid the General Terns rd Conditions UBS Statement of Credit Practices available in Agreements andDixtosures at muratassaggaguaggainass. Yowietera Your netromint Remit acute( endother awes held is the iodate at the end ot the statement period. You may ask for delve of tiny paid sallies at ay time. You may receive securities used as loan collateral after prying any balance due on tem. Any securities transient tote Fin clsig the shrterent polled are lilted at maket value as of the end of the statement Period. • Cost basis. in (*limning the cost basis of to wanes included in this statement teem indicated wen the numb.. • I, • UBS FinancialServices It relied aninformation Planed from sources other than UBS Fhanoal Services, including information Iran another firm a that you may Abe provided to you Filarial Adieu. The Finn does not itloperclontly verify a pagan*e the actuary or vaklity d ay information provided by sates otter tan LEGAmoral Senrces. addlixt although LIDS Financial Services general& ipcletes this itamotion as kende:red, the firm dies not provide any amerances that the informatim vow "Cost basis" and Tairealded gar/loss's accurate as ot the date of his statement. As such please do not rety on his nIcemation to make puchane a sale decisions, forme prpotee otherwise. Accounts Wandered to the Fim may reflect girl loss itmatim on& for the period of tine they aw held a the Frm More historical ihamatcn can be allied by you. amnia Advisor. • thredized painglostes When data is availtle. eslinated tweaked gang lases we calculated fa retdat seas*/ lots. The transaction data for ndviial lot may or maynot Pitt ammissems, charges at washy narwhalOn events Dividend and oterrenwammi lots ad systematic paitne bts are each combined to display ale averagedlot. The • Trade dale • coast pesents the ((grid transaction trade date. • Callable securities Bat and ;referred stock that the issuer cats for eat rectenrobon wig be selected metal& by lot ten among all seoseies of that ista held hour mere or in nornhee II:melee as clients. Call feat i-dcnnatnn a dataned from third parties and is accuracy isnot guranteed. Other <all knives manna which cat affect weld <mote iroomatir matte provided upon request • Cartificates of depot (tsarCDs are FDIC Mist W to 82'93,000 in prianal and accrued interest per &costa aid per deposity instituter, inaccordance vet POIC rules. • Pitehalue Prot, dipbspd for securities and other products may be higher or lower than the price that you would anualy rece . in the minket Prices are obtaned from vaious third party sources which we beim* to be retitle. but we do not gwratee tem accuracy. — We genet* seethe closhg pricewhen ankle a the mean of to bid and ask prices fatted swathes and cptcro a on& bd prices fa OTC motes. - Less ache& waded securities may be priced ushg a valuation model or the moa recent rte we obtaned and may not reflect an actual matt rice or vote - Certain posits may appear withcul a price aid will show as 'price was rot available' if we re untie to obtain a pnce for a worry - Deposits or senates dendninated 6 currencies other tin U.S. dollars are reflected at the ewhinge rate as of the statement date. - Fa cerian states twang 6 noniron( ormrey cienomaccis. pica and quatery (face mkt may have teen adisted to facilitatebra:et vSusion. To obtain current quotalians, when serattle, contact par Financial Adam,. • Private irrestmeme and rtructured products. hit to meninx,* states (ncbdig drect participation crcqam and real estate investment its searites) and structred podxts ale general& highly Akpict Certain stn-chred peoicts have not been registered with the Securities and Each Copt o- under any slate securties laws. We vote estimated vibes for private investment wait is and structured palate for hdormatibrul purports only tatty knot guaranteed. - These values may differ abstain*/ from prices. a any, at which a ante nvesament security a structured ratan may be taAtil or sold and do not necessarilyrepresent the veinal may receive upon liquidation. ▪ Thad pat), esbmates of nale cue as of a renan dread are supled to UBS Fma-cial Services on a regalia' bass by in independent satiation tim. - Mum general partner or Mentor estimated yaks', it ry, are toppled to thereto by the mar, general panne or periatr and may be calculated based on e emel information Iran that used by tit parties to derive tea estimated values. - You can obtain additrul Hamann regrading the methodology used to determine the ratite of value and Ine date of the itrmalintha is the basis forte want by contactig your Financial Advisor. - mid party *sawed stay may be reflected as •Not prned* nave I sit firm. cote n ?dependent wilstion tim has not awl:Seder is aide to assign a vale, when we become aware that a material event has amend tut may call a poets& reported vale it question, or kken a value would be highly speottive due to the nave the security - When neither al suer, general part or sponsor (Iterated vale nor a thrtrany estimated vale is mad, the valued the wary will be &Keane km itspurchaseprice. - • Dsl•ko cm to date may inch)* returned capital. income cr both - 'Chu/nalins see • represent the totted Otero; price per unt and may not (elect Will COO basis • Restricted securities Restated ward in orrnralY are rot coma& table tor public sale. UBS Finical Services toes the matt price of the unrestricted stock cd the sane issuer as an mputed value fade matted stock for moon; of this statement on. To the tent that rearined learition are elQble la a the vale reeked may be saraantial& less than the ittp-ted value gnash_ • Est Betirnated) in.:cent and yields and rates. An estimate of area income is bawd am current added and interest rates, assuring tie stakes will be held for Cow year from statement date or until man-city This eddied hoc* a gakealne, accuracy rd continued moony are not guvranteed - Estimated anal tome al current yield fa certain types of stakes could include a rerun of pnemPal or capital gat in %frith case the est income Ordamen, yeti would be overstated. - Fainted areal tome awl current yeld and the actual item ad yield milt be kwer a higher than the estimated amounts. - An eatate ol trusteed name (divdend ands interest) divded by the cement market vattaverage balance it based on the last dividend or interest payment made by the issuer and manes the seositieddeposts will be held for one year from the statement date or IAN manly. Accuracy ad contnued weld we not gained • Assets not held by UBS 'rancid Services. Certain assets we rot held by the Fain and not nth the fens possessim or contol. These assets are (*played on yos statement for Informational purposes only. Position, aid values presented me Footed by the issui-g tan UBS Fivmcial Services is not rest:ramble for to ?formation and des not guarantee is accuracy. These assets an rot protected by SIK or the finis acplementalSIPC coverage. • Revenue sharing and additional compensation. — In addition to commissions on sales and 12b-1 fees received in correction with the attribution of inset Burin to Ourdents we nuke our Wit eceive r.Vgnua Sharing Perna from distributor ads advisors of the mat funds that we sell. These anowts are based on two diligent COMP:nentt- amant ol aim by UBS of a partirobi mutual fund family to ow clients; and Cs) the asset robed a prelim LT mutual fend I amilis shares held at tie Inn — We and 0.1" afliate abo recewe nem:eking and ormtus protesting lees h contlemtion for transfer agent ante that we prate to the oad fads. Thew lees generally are pad from investor me* in the metal fund and are a fried draw amount based an the number of accounts at the brokedeale holdng maul lads of that fund fmiy CONFIDENTIAL — h wide a to covimescni received n connector wth the sale or dolnbacon of array contracts and ,M immanent tat units toots <lents, we senor our affiliate mat pans sharing compensation f rom many of the inesance companies underveriti-g the amity contracts, Atte of to turat corpanes or sponsors of tetra inwarnent tests we tett - 0.11 Alu te. also neat trading cornrnotkro and other comperwairon from mutual finds and neto(e Companies whose product we datn1OUte• — We mat an anal fee from UBS Bait LOA and U36 AG Stanford Blanch of up to szs per accost swephg to the barks under the UBS Bait Sweep Frogman Activity hbrinationregadrigoannissars and otter chart homed n connectco with the *munch of vat, Hata option transactions ha been included cn anfirmaions revousty furnished to you. ad well be prowled to you promptly co retired. Sheet selling f rat are engaged in shat selling a security, yOLI may nor a charoe the to certain bartering costs for that particular secunty. Open order Regarding Pm or • sixdtillecancelled* crdas tit were not emptied by the statement date, open buy ad sill stop orders are redxed by the mount of dividends or rigas on an emdividerds Cr maitits date unless besotted otherwise by Ira" You are reparable fa orders that are weaned Be tour failure to caxel eating open orders. Privacy To obtain a copy of ax current Client Aiwa Naito please contact your Francis' Achisor or visit our website at wwwwIRDWafiticaOsugla UBS Anemia Services a rot a lurk the RMA, Basta Services Account RSA and IRMA are brokerage accounts which provide access to baking services and products through arrangement wath affiliated bat and other thrdmary banks, and provides access to nsura-ce and annuty prodstt hated by unaffiliated third-paw insurance compares through reurat agency subsidiaries of UBS Financial Services Inc. Internment nsura-ce. and ruttyproducts: Not MAC Mimed • No bank guarantee* May rose vale RYA. Resource Management Accard Business Semites Account BA BMA and alternation& Resource Management Accost are registered service marks of UBS Fruncial Services he Via Sipatue is a resonated senice mak of visa Intonational CBS Via Sartre aerie cards and LES Vita debt cards are isped by UBS Bank USA with prinession from Vew U.S A Incorporated, UBS Financial Services Inc Pt 204102 SDNY_GM_00021289 EFTA_00131909 EFTA01274116 SUBS UBS Financial Services Inc 299 Park Avenue 25th Floor New York IV 10171.0002 CNP70056.316790514 VI 0 Resource Management Account May 2014 GHISLAINE MAXWELL 116 E 65TH STREET NEW YORK NY 10065.7007 Account name: GHISLANE MAXWELL Friendly account name: a-dry:W*935006 Account number: _3571 SS Your Financial Advisor: SCOTT STACK MAW LYLE CASRIEL Phone 2 12.821 -7003/ 800-308-3140 Questions about your statement? Call your Finarog Advisor or the Value of your account RMA ReSOUrCeline at 800-RMA- 1000, account 029323571 on April 30 (1) on May 30 (1) Your assets 1,061,175 35 I ,073,774.63 lAsit our webslte: www.ubtcomtlinancialservices Your liabilities 0.00 0.00 Value of your account $1,061,175.35 $1,073,774.63 Tracking the value of your account S Thousands Sou roes of your acoarmt growth during 2014 Value of your account at year end 2013 1000 Net deposits and 1,061.2 1,0738 withdrawals $1,050,654.22 S Your nvestmentreturn Dividend and interest income 47)342.08 Change in market value $15,278.33 Value of your areoutt AOr 2014 May 2014 on May 30. 2014 S1,073.77463 SDNY GM 00021290 Member SIPC CW70001005631679 NP7000193246 C0004 1:614 030575004 Y123571550 000000 Pogo 35 of 98 CONFIDENTIAL EFTA 00131910 EFTA01274117 *UBS Resource Management Account May 2014 Your account balance sheet Summary of your assets Value on May 30111 Percentage of your account A Cash and money balances 68,819.78 641% B Cash alternatives 0.00 a00% C Equities 278,156.67 25.90% D Fixed income 694,642.20 64 70% E Non-traditional 32,155.98 299% F Commodities 0.00 0.00% G Other 0.00 0.00% Total assets Value of your account $1,073,774.63 Si ,073,774.63 100.00% Account name: GHISLAINE MAXWEU. Friendly account name:InchvV49939X6 Account number: YI 23571 SS Your current asset allocation I A Eye on the markets Index Percentage change Ma 2014 Year to date S&P S00 2.35% 4.97% Russell 3000 2.18% 4.32% MSC I - Europe, Australia Be Far East 1.76% 4.11% Barclays Capital U.S. Aggregate Bond Index Interest rates on May 30, 2014 3-month Treasury bills: 0.04% One-month LIBOR: 0.15% 1.14% 3.87% Your n sandal Advisor. SCOTT STACK MANLYLE CASRIEL 212-821.7030/800-308-3140 Cash and money balances may include available cash balances, UBS Bank USA deposit account balances, U85 AG Stamford Branch deposit account balances and money market mutual fund sweep balances See the Important information about your statement on the last two pages of this statement for details about those balances CNP70003005631680NP70C0197246 00004 0514 030575004 Y12357ISS00:PsofyyGm000211tri 36 of 98 CONFIDENTIAL EFTA_00131911 EFTA01274118 SUBS Resource Management Account May 2014 Account name: GHISLAINE MAXWELL Friendly account name:Indw ve69350D6 Account number. Y1 23571 55 Change in the value of your account Summary of gains and losses May 2014 (1) Year to date (1) Opening account value $1,061,175.35 $0.00 Deposits, including investments transferred in 0.00 1,157,928.70 Withdrawals and fees, including investments transferred out 0.00 -107,274.48 Dividend and interest income 2,280.43 7,842 08 Change in market value 10,318.85 15,278.33 Closing account value $1,073,774.63 $1,073,774.63 Dividend and interest income earned rot purposes of INS statement toobity of interest and dividend Income has been determined from a US tai reporting penpectior. Bad upon the residence of the account hokler, =count type, or product type, some Interest ands dvidend payments mey not be subject to United States (US) area Plitn0 Rico (PR) Income trees The (rent mont* statement is not intended to be used and canto: be feted upon for to purposes. Clients should refer to the applicable tae reporting forms they receive from UgS annual'', such as the Forms 1099 and the Semis 480, (cc Ise reporting information It is the practice of US$ to file the applicant tar reporting forms vAth the US Interna RevenLe SeMf e and PR Treasury otoarvrent and in such forms accurately classify dor:lends and 'a interest as tax exempt or tat* uxorne. Plea consult your indbidual tae prepare,. May 2014 (3) Year to date (1) Taxable dividends 2,278.63 7,838.42 M.312;:n!,:q.'ne 1.80 3.66 Total current year $2,280.43 $7,842.08 Total dividend & interest 32280.43 $7,842.08 Your Ilaandal advisor: SCOTT STACKMANLYLE CASNEL 212-821-70001800-308-3140 Yams reported belay exclude products for which gain andlosses are not dectifitd. Realized gains and losses Unrealized May 2014 (1) Year to date (14 gains and loses (1) Short term 0.00 0.00 16,201.73 Long term 0.00 0.00 20,836.32 Total $0.00 $0.00 $37,038.05 Cash activity summary See Account actraty this month lot deta Is Balances in your Sweep Options are inductdin the cpenng and closing balances vane. FDIC insurance applies only to deposits at U8S Bank USA, not to deposits at LOS AG, Stamford Winch or bank deposits pa«dthroush the LIErSInternetiond deposo Account pro7arn SIPC rioter tion *popes to money Marinet sweep find hordirgs but rot bast deposits. Snimportentinbonabon about your statement on the last two pages et' this document for caws May 2014 (1) year to date (I) Opening balances Additions Deposits and other funds credrted $68,798.69 0.00 $0.00 68,585.53 Dividend and interest income 2,280.43 7,842.08 Total additions $2,280.43 $76,427.61 Subtractions Funds withdrawn for investments bought -2,259 34 -7,607.83 Total subtractions -$2,259.34 -$7,607.83 Net cash flow $21.09 368,819.78 Closing balances 468,819.78 $68,819.78 SDNY GM 00021292 CelP7C009305631691 NP7003150246C0C04 05Ia 03057900I Y123S7ISS0000000 Pegs 37 of 98 CONFIDENTIAL EFTA 00131912 EFTA01274119 *UBS Resource Management Account May 2014 UBS Bank USA Deposit Account APY Interest period Apr 7 • May 6 Opening UBS Bank USA Deposit balance Apr 7 868,625 90 Closing UBS Bank USA Deposit balance May 6 1,68,819.78 Number of days in interest period 30 Average daily balance $68,761.59 Interest earned 81 .80 Annual percentage yield earned 0.03% Account name: GHISLAINE MAXWELL Friendly account name:Indiv V49935006 Account number: VI 23571 S5 Your investment objectives: you have identified the following investment objectives for this account. If you have questions about these objectives, disagree with them, or wish to change them, please contact your Fnancial Advisor or Branch Manager You can find a ful descripticn of the alternative investment objectives in important information about your statamant at the end of this document. Your return objective: Current income & capital appreciation Your risk profile: Primary - Moderate Investment eligibility consderat on - None selected Your account instructions • Your account cost basis default closing method is FIFO, First in, First Out Your Masud.' Advisor: scorr STACK MANLYLE CASRIEL 212-82I•7000/800-308.3140 CNP7O009005631682 N77000150246 COON OSI4 030575004 7123571 550 cOMYGM00021,1119 38 of 98 CONFIDENTIAL EFTA_0011319B EFTA01274120 *UBS Resource Management Account May 2014 Your assets Account name: GOII5LAINE MAXWELL Friendly account name:Indio vAgs35036 Account number. Y I 23571 55 Serrne prices, Incur* and current vaues Shona may be approximate. As a result, gym and IOSSel may nal be accurately reflected. See Important ntoyatabon about your statement a the end of ens dxurrem for more informaTion Cash Cash and money balances Cash and money balances may Mule avalable cah balances, UBS Cant USA &pont account Waxes. UBS AG Stardord Branch deport account baances and money market mutua fund sweep balances. UBS Bank USA del:colt accounl balances are insured by the FDIC vAl h n eon( ask limits, but are not protected by SasC U135 AG Stanford Brame h deposit acoum Wearier: are not insured by FDIC and we rot protected by SIPC Money market sweep balances are protected by WC but are not insured by the FDIC. Soo the rmportant information 'bowf)n:err statement at the end of this doormen' for dot ails stout term* balances. Hddng V85 BANK USA CEP ACCT Openng Wane Closing Wince CO Msy I (S) on May 30 (S) Pnce per share on May 30(S) Average rate Your financial Adviser: SCOTT STACKMANLYLE CASPJEL 212-821-7000/800-308-3140 onidend Interest Days in period period Cap growl (s) 68798 69 68,819.78 Equities Mutual funds Total reinvested n the Iota dal renvested dwdends M does rot include any cash OTAdends. It is rot ate lot for the purposes of determining hoed ng pe rods or cost basis. The shares you receive tab hrre you reinvest cludeldS teCOMe a separate tax 101 Cost basis is the told purchase cost of the security. inducing renvesteddwiends Tee cost basis may need to be ad usted for return of capital payments in order to determne the adlusted cat bars for tar rep:gang purposes. Purchase price' Number Average pace Hddn9 Of shares per Shale (I) CLEARBROGE EQUTTY INCOME FUND CLASS I Symbol. SOPYx Trade date: Ain 26, 13 1,179.249 16.769 19,77600 19,776.00 19.503 22,995.35 3,219.35 ST Trade date: Jan IA, 14 296.210 18.470 5,471.00 5,471.00 19.500 5,776.09 305.09 ST Trade date: )an 15, 14 283.181 l8.549 5253.00 5253.00 19.500 5,522.03 269.03 ST contoued next page Client inxestrrent 250,000.00 Unrealited (tar) gain or loss is the dfference between the current value and I he cost bads ri d would generaty be your taratde gin oar loss if the security was sdd on ten date. The unreatoed (tad gan cr loss may need to be sepsted for return Of cerata repents In Older to determine the reined gain or loss lor tax reporting Purposes. "vestment rearm is the Current vat* frInuS The aMOunt yOulmeSted does not include snares that are not reflectedon your statement, Includng shares the have been resited as either a gam or a loss. nano does not include cash dscdends nun were nol reinvested Cost PriCe per share Desis(s) on WI 30(3) mai 3011) value on unrealzed inrestrnent KiciOng return 0) period gain or loss (3) SONY GM 00021294 CPIPTCCICE005631683 NPTOCOIS0246 00004 0514 030575004 Y123571550000300 Page 39 of 98 CONFIDENTIAL EFTA_00I31914. EFTA01274121 UBS Resource Management Account May 2014 Your assets . Equities . Mutual funds (continued) Wiring Number of them Purchase puce Aircrew peke posher. (3) Client investmmt Cost basil (I) Pnce per shire Valve On on Mpi 3D(3) May 30 (I) unreanzed One Imestinert Hddng coin orlon (S) Mum (f) period (f) Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 19.500 5,513.25 274.25 ST Trade date: Jan 17, 14 298.430 18.469 5,512.00 5.512.00 19.500 5,819.38 307.38 ST Total reinvested 14.767 18.760 277.03 19.500 287.96 10.93 EAI: 1812 Current yield 1.77% Security total 2,354.568 17.637 41251.00 41,528.03 45,914.07 4,386.03 4,663.06 COLUMBIA CONVERTIBLE SECURITIES FUNDCLASS 2 Symbol: MAX Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 19.320 22,163.46 1,640.46 ST Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,942.00 19.320 16236.14 294.14 ST Total reinvested 10.535 19.080 201.01 19.320 203.54 2.53 EAI: 1839 Current yield 2.30% Stagily total 1,998.092 18.351 36,465.00 36,666.01 38,603.13 1,937.13 2,138.14 HARBOR CONVERTIBLE SECURMES FUNDCLASS I Symbol: HACSX Trade date: Jan 29, 13 1,872.780 10.250 19,196.00 19,196.00 11.410 21368.42 2,172,42 LT Trade date: km 17, 13 960.534 10.489 10,076.00 10,076.00 11.410 1035969 883.69 ST Total reinvested 9.397 11.180 105.06 11.410 107.22 2.16 EAI: 4538 Current yield 1.81% Security total 2,842.711 10.334 29272.00 29,377.06 32,435.33 3,058.27 3,163.33 JP MJRGAN INTREPID EUROPEAN INST Symbol: JFELX Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 27.650 12,040.25 1,966.25 ST Trade date: Aug 6. 13 439.831 23.286 10242.00 10242.00 27.650 12,161.32 1,919.32 ST EAI: 475 Current yield: 0.31% Security total 875.283 23.211 20,316.00 20,316.00 24201.57 3,885.57 3,885.57 MATHEWS ASIA DIVIDEND FUND INSTL Symbol: MIPIX continued next page CNP7000300.5631 684 NP7000193246 00004 06)4 030575004 y123571 580 0304MCGM_000211199S 40 of 98 Account name: GHISLA1NE MAXWELL friendly account name: Indiv V49935006 Account number. Y1 23571 S5 Your Asandal Advisor, SCOTT STACK MANY LYLE CASRIEL 212-82 140001800-308a 140 CONFIDENTIAL EFTA_00 I 3 1915 EFTA01274122