Case File
sd-10-EFTA01274941Dept. of JusticeOtherEFTA Document EFTA01274941
SUBS U85 Financial Services hc 299 Park Avenue 25th floor New Yolk NY I 017 1-0032 CNP70056E05870414 VI 0 Account names GHISIANE MAX WELL Your Kneaded Advisor: SCOTT STACKMAN/LYLE CASRIEL Phone 2 12-821 -7000/800-308-3140 Questions about your statemeat? Call your Financial Advisor or the RMA ResourceLine at 800-RMA-I000, account 029323574 %Ask our website: www.ubscomitirtanciatenaces Items for your attention . If you use UBS Online Senices, consider changing your User Name and
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SUBS U85 Financial Services hc 299 Park Avenue 25th floor New Yolk NY I 017 1-0032 CNP70056E05870414 VI 0 Account names GHISIANE MAX WELL Your Kneaded Advisor: SCOTT STACKMAN/LYLE CASRIEL Phone 2 12-821 -7000/800-308-3140 Questions about your statemeat? Call your Financial Advisor or the RMA ResourceLine at 800-RMA-I000, account 029323574 %Ask our website: www.ubscomitirtanciatenaces Items for your attention . If you use UBS Online Senices, consider changing your User Name and
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SUBS
U85 Financial Services hc
299 Park Avenue
25th floor
New Yolk NY I 017 1-0032
CNP70056E05870414 VI 0
Account names GHISIANE MAX WELL
Your Kneaded Advisor:
SCOTT STACKMAN/LYLE CASRIEL
Phone 2 12-821 -7000/800-308-3140
Questions about your statemeat?
Call your Financial Advisor or the
RMA ResourceLine at 800-RMA-I000,
account 029323574
%Ask our website:
www.ubscomitirtanciatenaces
Items for your attention
. If you use UBS Online Senices, consider
changing your User Name and Password
regularly to protect your personal data.
Not enrolled? Go to
ubs cornionineseneices
Value of your account
on March 31 (3)
on April 30 (3)
Your assets
0.00
4,803.158 85
Your liabilities
0 00
000
Value of your account
Accrued interest in value above
50.00
30 00
54,800,158.85
34.55805
Resource Management Account
April 2014
GHISLANE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065-7007
Tracking the value of your account
The LrianIS
As a service to you, your portfoto value of
$4.803,1% 8S hxl tides accrued interest
Sources of your account growth
during 2014
Value of your account
at year end 2013
sow
4.803 7
Net deposits and
witdrazzaki
$4,802,194.34
Your nvestrnent return
Dividend and
interest income
312,358.51
Change in value of
accrued interest
94568.05
00
Change in
market value
418962.05
Ain 2014
Apr 2014
Value of your scant
on Apr 30, 2014
$4800.158.85
SDNY GM 00022184
Member SIPC
C NP70302009938697 NP7003191 745 00036 0414 030575004 m3574550000000
Page 65 of 08
CONFIDENTIAL
EFTA 00132%04
EFTA01274941
SUBS
Resource Management Account
April 2014
Your account balance sheet
Account name:
GHISLAINE MAXWEU.
The value of your account mclucts assets held a UBS and cenan assets held anai Iran U8S
page I
fp more idournation.
Summary of your assets
Value on
April 30(1)
Percentage of
your account
A
Cash and money balances
19,623.53
041%
yo
B
Cash alternatives
3,112,209.61
64.83%
C
Equities
463,909.58
9.67%
D
Fixed income
1,142,954.55
23.81%
E
Non-traditional
0.00
0.00%
F
Commodities
23,601.80
0.49%
0
Other
37,859.78
0.79%
Total assets
Value of your account
$4,800,158.85
34,800,158.85
100.00%
rent asset allocation
Eye on the markets
Index
Your Fi Asocial Advisor
SCOTT STACK MANLYLE CASRIEL
212-821.7000/800-308-3140
Cash and money balances may Mdude
available cash balances, UBS Bank LISA 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 tast
two pages of this statement for details about
those balances
S&P 500
Russell 3000
MSC] - Europe, Australia & Far East
Barclays Capital U.S. Aggregate Bond Index
Interest rates on April 30, 2014
3-month Treasury bills: 0.02%
One-month LIBOR: 0.15%
Percentage change
Apr,' 2014
Year to date
0.74%
2.56%
0.12%
2.10%
1.53%
2.31%
0.84%
2.70%
CNP X0000%88688 NP70C0 9I 745 CCM 041 4 030579004 yi 23574550 03fOlyott 000
66 of 98
CONFIDENTIAL
EFTA 00132805
EFTA01274942
Resource Management Account
*CBS
Change in the value of your account
April 2014 ($1
Year to date IS)
Opening account value
$0.00
$0.00
Deposits, including investments
transferred in
4,802,194.34
4,802,194.34
Dividend and interest income
12,358.51
12,358.51
Change in value of accrued
interest
4,568.05
4,568.05
Change in market value
-18,962.05
-18,962.05
Closing account value
$4,800,158.85
$4,800,158.85
Dividend and interest income earned
For purposes of tits ststenwrit, taabity of interest and dhdena income ha been determined Fran a US
Ian reporting Perspective. Based upon the residence of the account holder, account type, or product type,
some interest andor deiClend payments may not be sublets to United Slates (US) and, Puerto Rico (PR)
income taxes. The dent monthly statement is not intended to to used and cannot be reied upon fa tar
purposes. Clients should refer to the appetite tar reporting fours they teethe tram UBS annualy, such as
the Forms 1099 and the Forms 480, for tat reporting iMormatrow n IS the priXACe of UBS to file Itit
appricade far reporting forms vAth the us internal Revenue SeMce and PR Treasury Department, and in
such rooms accurately classify cludenct ardor interest a ten exempt or towable income. Please consult your
IndWdual tar prepanr.
April 2014 (1)
Year to date ft)
Taxable dividends
61.63
61.63
Taxable interest
12,2% 88
12,296.88
Total current year
$12,358.51
$12,358.51
Total dividend & interest
$12,358.51
$12,358.51
•
I
MA
• U._
Summary of gains and losses
Values reported below exclude product for which gam and losses are not classified.
Realized gains and losses
Unrealized
April 2014 (5)
Year to date ($)
gains and bsses IS)
Short term
Goo
0.00
I 8,735 60
Long term
0.00
0.00
19,260 68
Total
$0.00
$0.00
$37,996.28
Your PIsandal Advisor:
SCOTT STACKMANLYLE CASRiEL
212-821-70001800-308-3140
Cash activity summary
See Account .064ythis month for details. Balances in your Sweep Options are induced in the cpenng and
closing balances vain. FDIC insurance cpsees only to deposit a UPS Bank USA, not todes:crab at US$ AG,
Stamford Branch or bank deposits placed throult the UBS International Depose Account program SIPC
protection *pits lo money man.' sweep hod holdings but rot bank cupolas. Seeimportant Mlonnedon
about your statement an the last two pages of this document for &teas.
April 2014(5)
Year to date IS)
Opening balances
Addibons
Deposits and other funds credited
$0.00
3,119,473.63
$0.00
3,119,473.63
Dividend .and interest income
12,358.51
12,358.51
Total additions
$3,131,832.14
$3,131,832.14
Subtractions
Funds withdrawn for investments
bought
-3,112,208.61
-3,112,208.61
Total subtractions
-$3,112,208.61
-$3,112,208.61
Nat cash flow
$19,623.53
$19,623.53
Closing balances
$19,623.53
$19,623.53
SONY GM 00022188
CW70009005668689 NP7000191 745 00006 0414 030575004 Y123574S50 COODOD
CONFIDENTIAL
Page 67 of 98
EFTA [10132806
EFTA01274943
SUBS
Resource Management Account
April 2014
Your investment objectives:
You have identified the following imestrnent objectives for this account If you have questions
about these objectives, disagree with them, or wish to change them, please contact your
Fnancial Advisor or Branch Manager You can find a full description of the alternative
investment objectives in important inkemation about your statement at the end of this
document
Account name:
HIM.AINE MAXWFLL
Your return objective:
Current inccene & capital appreciation
Your risk profile:
onmary - Moderate
Investment &lcbitty consideration • None selected
Your account instructions
• Your account cost basis default closing method is FIFO, First In, First Out
Your financial Advisor:
SCOTT STACK mat LYLE CASRIEL
212-821.7000/800-308-3140
CNP7C0C9005688690 NP70C0I9I 745 00C06 NM 030575004 yi23574$50C0MINYGMGooSitt 68 of 98
CONFIDENTIAL
EFTA 00132807
EFTA01274944
*UBS
Resource Management Account
April 2014
Your assets
Account name:
Sane paces, income and current vanes ShOnn may be approximate. AS a fella, gala and IOUSMai not
be acurately reflected. See Important mlonnabon about your statement a the end ol this dxurrent for
more informaeon
Cash
Cash and money balances
Cash and money balances may include avalable cash balances. UBS Bar* USA deposit acount Warren.
UBS AG Stanford Branch deposit account baances and money market mut ua fund sweep baiances
UBS Bank USA deposit accounl balances are insured by the FDIC Winn applicable limits, bul are not
potected by 9PC MS AG Stanford Brow h derovt Account Wines we not insured by FDIC and age not
voltaic' by SIPC Money market sweep balances are protected by WC but ere not insured by the FDIC.
Set the frneorrant information about your statement at the end of this document for details about those
balances.
Hddng
Cash
LIBS BANK USA CEP ACCT
Total
Openngbdance
Closing Wane
on Apr 1 (1)
en Apr 30 IS)
GHISLAINE MAXWELL
Pnce per Mace
on Apr 30 (1)
Average
rate
Drildenl interest
period
Your Nnandri Advisor:
SCOTT STACKMANLYLE CASRIEL
212821-70001800-308-3140
Dar in
period
Cop mount (1)
0.00
4,921 88
000
14,701 65
250.000 00
$0.00
819,623.53
Cash alternatives
Money market funds
Monty market funds are neither insured for guaranteed ty the Federal Deposit Insurance Commotion or any other gorenerrotnt agency
share, it is possible to lose money by Infesting in these funds.
Tatar reinvested o the tors dal reinvested dydends n does nos include any cash dedencts, is is not a is
lot for the purposes of determining NO ro periods or cost basis. The shares you receive exh Imo you
reinvest d vdenck become a separate tax lot.
Cost bass o the total purchase cost of the security, inducing reinvesteddin:lends The cost basis may
need to be alusted for return cf capital payments in order to dettonne the °dusted cost basis for tar
reporting purposes
Purchase price/
Number
Average price
Client
mddng
of oats
per flee (S)
Investments)
JP MORGAN NEW YORK
MUNICIPAL MONEY MARKET
FUND MORGAN
though money market funds Seek to deserve the value c4 your imestment at 51.00 per
unrealized (taxigan or loss is the difference between she current yaw' and the con basis and wood
generely0e your farad e pan or loss if the security was sold on this date. The unrealized (UN) pan or JOS, may
need to be acLusted for ret sin of capita parreMs in order to de-4,nnine the retied gain or loss for tax
rePriaine purposes.
Investment return Attie current value mint the non: you invested ft does not include shares that are not
reneged on your statement, inducing shares that haw been realized as either a gan a a loss. t aso does
not include cash dvichnds that were nor: reinvested.
1.0000
--This information was unavailable—
Cost
Pr'« per share
oasis (1)
on Apr 30 (5)
Value on
Ape X (Si
1.000
1.00
Unrealized
InsesOnent Hdring
On or loss en
return IS)
',Med
continued next page
SDNY GM 00022188
CHM:007005688691 NP700319174500036 0414 030575004 Y123574550000000
Page 69 of 98
CONFIDENTIAL
EFTA_00 132808
EFTA01274945
*UBS
Resource Management Account
Ann( 1.:
Your assets Cash alternatives
Money market funds (Continued)
Account name:
GHISLAINE MAXWELL
You r Anandal Advisor:
SCOTT STACK MANYLYLE CASRIEL
212.821.7000f800-308.3140
Furctrera pilfer
sorter
Average price
Chem
Hddng
sr stuns
per shoe (S)
Ir....timers+ (S)
Symbol. VNI, AA
UBS SELECT PRIME
INSTITUTIONAL FUND
EAI: $934 Current yield 0.03%
Total
Total estimated annual income: $934
Equities
Common stock
Wiring
Trade
date
Hurter
of shares
Purchase pdcd
Average Dice
per share ($)
COSI NOS (S)
Price per share
on Apr 30(0
Vaue on
A0(3041
Urodized
Hddng
gain or loss CH
period
APACHE CORP
Symbol. ADA Exchange: NYSE
EAI: $95 Current yield: 1.15%
May 17, II
30.000
119289
3,578.67
86.800
2,604.00
-974.67
LT
lun21,11
32.000
117.744
3,767.83
86.800
2,777.60
-990.23
LT
Aug 2, 11
33.000
122.933
1,056.80
86.800
2,864.40
-1,192.40
LT
Security total
95.000
120.035
11,40330
8246.00
-3,157.30
SAW OF AMER CORP
Symbol: MC Exchange: NYSE
(Al; 138 Current yield: 0.27%
May 17, 11
303.000
11.860
3,593.84
15.140
4,587.42
993.58
LT
lun21,11
313.000
10.670
3,339.86
15.140
4,738.82
1,39695
LT
Aug 2,11
328.000
9.802
3215.15
15.140
4,96592
1,750.77
LT
Security total
944.000
10.751
10,148.85
14,292.16
4,143.31
CMGROUP INC
Symbol: C Exchange. NYSE
EAI: $14 CuiTent yield: 0.08%
May 17, 11
115.000
41249
4,743.71
47.910
5,509.65
765.94
LT
Jun 21, 11
121.000
38.285
4,632.57
47.910
5,797.11
1,164.54
LT
Aug 2, 11
l22.0O3
38297
4,672.24
47.910
5,845.02
1,172.78
LT
Security total
358.000
39242
14,04852
17,151.78
3,103.26
continuednext page
Colt
Price per share
basis (S)
on 4/x 30(1)
Value on
Unrealized
Apo 30 (S)
On De IOU (i)
Investment Hddng
Mum (1)
peeled
3,112,208.610
1.000
3,112,20861
3,112208.61
1.000
3,112,208 61
$3,112,208.61
$3,112208.61
$3,112,209.61
80.00
CNP70303005668692NP700019174500006 0414 C00575001 Y12357455000Mliy_ GM00022109 70 of 98
CONFIDENTIAL
EFTA_00 112809
EFTA01274946
SUBS
Resource Management Account
[
Your assets . Equities . Common stock (continued)
',ochre vice
ifJO
writer
Average prke
Price per share
value on
uneedIzed
Hold ng
Wiring
dui(
of shares
per share (S)
Cost bast, (1)
on Apr 30 di
Apr 30 (Si
gain or loss (t)
period
GENERAL MOTORS CO
Symbol: GM Exchange: NYSE
(Al: 41,648 Current yield: 3.48%
Nov 18. 10
1373.000
36 416
50,00000
34.480
47,34104
-2,658.96
LT
GERON CORP
Symbol. GERN Exchange OTC
Nov29, 10
LOCO 000
5.709
5,709 32
1.980
1,98000
-3,729.32
LT
Dec 6, 10
2.000 000
6 210
12,420 00
1.980
3,960 00
-8,460.00
LT
Security Iota(
3,000 000
6 043
18,129 32
5,940 00
.12,189.32
SCHLLIMRERGER LTD NETHERLANDS
ANTILLES
Symbol SLEt Exchange. NYSE
EAT 4181 Current yield 1 58%
May 17, 11
37.000
81 270
3,037 00
101.550
3,757.35
750.35
LT
lure 21, 11
40.000
82 436
3,297 45
101.550
4,062 00
764.55
LT
Aug 2,11
36.003
89 433
3,219 59
101.550
3,655.80
436.21
LT
Security total
113.003
84284
9,524.04
11,475.15
1,951.11
TWITTER INC
Symbol 1TNTR Exchange' NYSE
Nov 7, 13
2,000 CO3
45 160
90320 00
38.970
77,9.10 00
-12,380.00
51
Total
1,203,574.03
1182,385.13
-121,187.90
Total estimated annual income: $1,976
Account name:
GHISLAINE MAXWELL
Your /I sandal Advisor:
SCOTT STACKMANLYLE CASRIEL
212-821-70001800-308-3140
Closed end funds & Exchange traded products
Total reinvested is the tota d at reinvested dvsdends n does rot include any cash dvide rods. n is not a tat
lot for the purposes of determining hold rg periods or cost basis. The shares you receive each hire you
reinvest d %idea ber(Orne a separate tax at.
Cost basis is the :015 purchase cost of the security. indudng ronvestedthdends The cost basis may need
to be &lustedIv return ot captal payments in order to determine the a:lustedcowl ban for tat reporting
imposes.
Hddng
SPC42 S&P SCO E TF TR
Symbol: SPY
Trade date: 1u112, 13
EAL 45,206 Current yield. 1.85%
Purchase Circe(
Number
Avelace ctKe
of SAMPS
per shares)
1.495.000
Client
investment
167.496
250,407.85
Unrealized (tar) gain or loss is the dfference between the current value and t re cost bads aid would
genera/ be your tatatle gain a loss lithe sec win was sdd co this date. The unrealized0093nd* loss
may need to be 1/gusted for return of <VW Parments in order to dere rmine tree reszed gain or Ices lot tax
(twang purposes.
investment COM is the current value sinus the arnOunt yOU Err...este° R does not incruoe shares that are not
selected on your statement, includngsteres that hait teen reenZedaS timer on era loss It also OUts
not include cash dodends that were not gel weStect
Cost
PrKe Der Share
oasis
cn Apt 30(1)
250.407.85
188.310
CNP7C00;005688693NPT0o3t9i 745 0003S
CONFIDENTIAL
Apr 30 (1)
gain or losS ($)
Value on
unrealized (tad
rorrestrnent Hddng
return ($)
Mired
281523.45
31,115.60
31.11860
ST
SDNY GM 00022190
0414 030575004 Y123574%00000:0
Page 71 of 98
EFTA 00132810
EFTA01274947
sUBS
Resource Management Account
April 2014
Your assets (continued)
Reed income
Corporate bonds and notes
Plitt: are obtaned born indent ',cavil quaint:op butea's that we ccoputeteed valuation formulas to
felt Sate current values Actual market watts may vary and thus gal nsllosses may not be accurately
reflected. Cost basis has been actuved for accreted original issue clscount (OlD). Cost basis has been
Account name:
GHISLAINE MAXWELL
Your It sandal Advisor:
SCOTT STACK MAII LYLE CASRIEL
212-821.7000/ 800-308-3140
automatically aciusted for anoneaton of bond premum using I he constant yield method If you have
made a tax election to deduct the premium anceliration on tanazde debt UKunits, you may request U9S
adult cost bails fa the tend premium emendation.
Trade
Taal face slue
Purchase
Aclusted
Price On
Witte on
Unrealized
Hdong
Hddng
date
at maturity (I)
once (3)
cost OOPS (S)
AP( 3001
Apt 30(S)
gen of loss (3)
period
HSBC FIN CORP NTS WE
RATE 02.900% MATURES 1011915
ACCRUED INTEREST 312083
CUSIP 40429XYB6
Moody- Baal
S&P A
EAI: 32,900 Current yield: 2.84%
Oct 12, 10
100,000.000
100000
100,000.00
102.769
102,169 00
2,16900
LT
GENT ELEC CPTL CORP
ADS RATE MATURES05111/16
CUSIP 3696262 VS
Moody Al
5&P AA+
EAS 4217 Current yield 043%
50,000000
---This information was unavailable—
99.965
49,992 50
BMX OF AMER INTERNOTES
NTS WE
RATE 03.600% MATURES 1111916
ACCRUED INTEREST $2,475 00
CUSIP 06050WDW2
Moody. Baal
S&P A-
154,668.00
4,668.00
EAI: 15,400 Current yield. 3.49to
Nov 01, 10
150,000.000
103.000
150,000.00
LT
103.112
P MORGAN CHASE & CO
NTS WE
RATE 07.900% MATURES 0429'49
CUSIP 46625HHA I
Moody Bal
S&P: BBB
EAU 111,850 Current yield: 6.99%
150,000.000
---This information was Unavailable-
113.000
169,500 00
Total
MS0,000.000
5250,000.00
5476,31950
56,83700
Total accrued interest 52.595.83
Total estimated annual income: $20,367
CNP7C00900SE88694 klk7rXelel745 00006 0414 030575004 V12357455000alliyGht 000Sliff 72 of 98
CONFIDENTIAL
EFTA 00132811
EFTA01274948
*UBS
Resource Management Account
ir.1,C11
Your assets e Fixed income (continueel)
Municipal securities
Account name:
GHISLAINE MAXWELL
Your Finandel Advisor:
SCOTT STACK PAAN, LYLE CASRIEL
212-821-70001800-308-3140
Psicr-xe cbtancd trom Inckrenden1 quotabon tusedis that Lee ccerputettzed vel uatIon formules to
dscount ror seostIkt essued d a cscount. whe n ong
'cel [Leus n &gard, amottadon hm teen
cals Watt cLatent ydues Ad ual ~Let vetes m
very slo taus gainglosses roeit not be accucately
<koe uting Ih (ons!~ yell met hod. otherm se amoniration KEK been done vurig Ine straight Ine
reflected Cosi basis bas been autaretcaly Øusledfor mandstoiy am:nl:ani:n of bord prerri urn on
methcd
coupon tasseserrpt muntgal sec udies ming the constant ?iels' rretbod and lor acc teled ccigOd issue
TWp
kor face vá ue
Puicnase
Alusted
Mee on
Vak* on
Unrealized
HdCrng
Hching
Ode
d ~tom (0
pnce(S)
celt buis
40 30(S)
apr 30 Ui
gen ot loss (1)
penod
MICHIGAN MUN 80 AUTH
RV
BE/Ri
RATE 05.000% MATURES 10r01/26
CALLABIE 10/011169100.00
ACCRUEO INTEREST 1201.39
NAP 59455TPE3
Moody- Paa
SW: AAA
EAI: 12,500 Current yield 4.57%
Original tost basis 155.424.00
Nov 22, 11
50,000000
E1RDVILLE TEX ISD UT-07
BLO REF-07 PSA
&VR/
RATE 05.000% MATURES 0711929
CALLABLE 02/15/17 0 100.00
ACCRUEO INTEREST 11,04167
CUSIP 090874FV5
Moody Aaa
SB.P. AAA
EAI: 15,000 Current yield 4.55%
Original tost basis 1110,503.00
Nov 14, 11
100,000 000
MASSACHUSETTS ST H,TH &
EDL FACS AU RV 8 EIE /121'
RATE 05.000% MATURES 0711932
CA LLABLE 07/15/15 O 103.00
ACCRUEO INTEREST 1729.16
CU9P 57586CFW0
Moody Aaa
S&P: AAA
CAI: 12.500 arrent yield- 4 76%
Original tost basis 154.040.00
Nov 22, 11
50,000 .009
Total
$200,000.000
Total accrued internt $1.97222
Total estimated annual inoome: $10,000
105.565
52,782.53
109.501
54,750.50
1,967.97
LT
105 766
105,766.77
109.900
109,900.00
4,133 23
LT
102 755
51,377 56
105.117
52,55830
1,180.94
LT
$209.926.86
$217.209.00
$7.2$2.14
SDNY GM 00022192
CW7030305688695 W7003191745 00036 0414 030575004 YI 23574550 000000
Page 73 of 98
CONFIDENTIAL
EFTA_00132812
EFTA01274949
4tUBS
Resource Management Account
April 2014
Your assets a Fixed income (continued)
Preferred securities
Hddng
Train
dd.
lansiner
of atom
Pun boo pine
per :hr. (S)
Cott bars (I)
Price per dare
cn Apr 30 (Si
Vane on
Acs 30(S)
Unrealized
gan Of IOU
Hddng
period
OTIGROUP CAPITAL XII
FXDFLT TRUST PFD
7.875% DUE 10130/2040
Symbol: C.PRN Exhange: NYSE
EAI: 319,690 Current yield: 7.22%
Oct 4, 10
10,000.000
26130
261,300 00
27.760
272,600 00
11,300.00
LT
COUNTRYWIDE CAP V
7.000%
CUE 1110I/36CAUABLE
Symbol CFC.PR8 Exchange: NYSE
EAI: 17,350 Current yield: 6.87%
Oct 26, 10
4,200000
23.518
98,77896
25.490
louse Do
8,279.04
LT
JPMORGAN CHASE OP XXV
6 700%
WE 04102/40
Symbol: .IPM.PRC Exchange: NYSE
EAI: $4,188 Current yield: 6.42%
Mar 25, I 0
2,500.000
25.030
62,500.00
26.080
65200 00
2,700 00
LT
Total
Total estimated annual income: 631,228
$422,578.96
6444,858.00
622.279.04
Account name:
GNISLAINE MAXWELL
Your Komodo! Advisor.
SCOTT STACK MANLYLE CASRIEL
212.821.7000l800308 3140
Commodities
Closed end funds & Exchange traded products
total reinvested s the tots del tonvested d %extends It does not Indio wry Con &Act rob. It is not a HA
lot for the purposes of determining timing periods or cost balls. The shares you receive each tee you
reinvest dudends become a separate tax lot.
Cost bases is the tote purchase cost of the security, Ind udno renvestedd Wench_ The cost bashfray reed
to be a4usled for return ei capita portents In order to determine the dusted cat bars la tar reporaiv
purposes.
Lenrealezed (fad gain oe loss is the all (menet between the current value and the cost bats and would
genera►/ be your teat* win or loss If the security was sad on the date. The unreeled flaO gain a loss
may need to be a4usted for return of capita parents In order to determine the reazed gain or Ices for tax
Wading purposes.
kreestment return Is the curreM value minus the amount you Invested. It does not Include Mans that are not
reflected on you statement, includno sheets that haw been realizedas either a grin a a loss. It also does
not O'clock cash chedends that were not reinvested
RtardlEne price
Hurter
Average price
client
Cost
Price per Mae
value Co
Unrealized Gad
investment Hosing
Hddng
of owes
per stole (S)
investment (S)
basis (1)
co my 30(1)
Apr 30(i)
gain or loss (S)
return(%)
period
SPDR GOLD TRUST
Symbol: GLD
Trade date: Sep II, 12
190.000
168.060
31,931.40
31,931 40
124.220
23,601.80
-8,329.60
-8329.60
LT
CNP70309009168696NP700019I 745 00006 0414 030575004 VI 23574550 COrifffitwGM0002t199 M of 98
CONFIDENTIAL
EFTA 00132813
EFTA01274950
UBS
Resource Management Account
21 1.:
Your assets
• -
Account name:
GHISLAINE MAXWELL
Other
Closed end funds & Exchange traded products
Iota reinvested is the Iota d al reinvested dsedends
does not include arty cash duCends. n Is not a tar
lot Ia the purposes of determining hold rg periods or CaA basis. Tile Mares you Wove <Ws la* you
refinest de/dead become a separate tax 101.
Cost &SOS *5 the tots purchase cost of the security. Inducing reinvested 0 cOends Ire cost basis may need
to be ad uttersIce return d capul payments in order to determine the a:lustedcost bsas la tar reporting
purposes
ttddng
Elf METAL SEC./RITES LTD
ETFS PHYSICAL GOLD
Symbol. EFMSf
Your total assets
301000
—This information was unavailable—
Value on Apr 30 (5)
Percentage of
your account
125 780
37,859 78
Cost
bases (S)
Estimated
annual incccre
Unrealized
gain or loss (5)
Cash
Cash and money balances
19423.53
041%
19423.53
Cash alternatives
• Money market funds
3,112,209.61
64.83%
3.1122011.61
934.00
Equities
Common stock
182,386.13
203,574.03
1,97600
-21,187.90
Closed end funds & Exchange traded
products
281,523.45
250,407 85
5,206.00
31,1 15.60
Total equities
463,909.58
9.67%
453,981.88
7,182.00
9,927.70
Mad income
• Corporate bonds and notes
476,319.50
250,000.00
20,367.00
6,837.00
Municipal securities
217,209.00
209,926.86
10,000.00
7282.14
Preferred securities
444,858.00
422,578.96
31,22800
22279.04
Total accrued interest
4,568.05
Total fixed income
1,142,954.55
2321%
812,505.62
61,595.00
36,396.18
Commodities
Closed end funds & Exchange traded
products
23201.80
0.49%
31,931.40
-8,329.60
Other
• Closed end funds & exchange traded
products
37,859.78
0.79%
Total
$4,800,158.85
100.00%
$4,500,251.24
$69,711.00
$37,996.28
• Missing cost basis intarnsllm
Purchase puce
Number
Averag. pxe
Client
at shares
per share (I)
investment CS)
Your PI nandal Advisor:
SCOTT STACKMANLYLE CASRIEL
212-821-70001800-308-3140
tinteakzed (tax) gam or bss 6 the diligence between the current value and the cost bags andwould
generaty be you' untie gen or loss if the sec ally was sold on lees date. The unteakted dm) gen Ce lea
may need to be adjusted for return of acted parems in ceder to determine the realized gain or loss for tar
escorting purposes
investment serum Is the current value minus the aradunt you I needed it does not include shares that are not
reflected on your statement, inducing shares that have been realized as either a son a a loss It also does
not include cash dvdends that were not winvested.
Cost
basis el)
Price per share
cn Apr 30(1)
Value on
Apr 30 (/)
unrealized ea,)
initsunent Hddng
931n or loss (I)
return (I) Pool
SONY GM 00022194
CZIP7C00;005668697 NP700319I745 030)5 0414 030579004 v173574550000000
►ape 75 of 98
CONFIDENTIAL
EFTA_00132814
EFTA01274951
SUBS
Resource Management Account
April 2014
Account activity this month
Oat
Auhay
Oexnpeon
CHECK DEPOSIT
CHECK DEPOSIT
Account name:
GHISLAINE MAJONEU.
Your II sandal Advisor:
SCOTT STACK MAMLYLE CASRIEL
212.821.7000/800.308.3140
Arrount
Deposits and other funds credited
Apr 2
Deposit
Apr 22
Deposit
3,112,145.98
7,326.65
Total deposit and other funds credited
$3,119,473.53
Date
Actiati
Descrotion
Amotert (T)
Dividend and interestincome
Taxable dmdends
Taxable interest
Apr 30
Dvidend
U8S SELECT PRIME INSTITUTIONAL FUND
61.63
Total taxable dividends
$1.63
Apr 15
Interest
HSI< FIN CORP NTS NE 02.900% 101515 DTD10151CfC04151 I PAID ON
1,450.00
100000
CUSIP: 40429XY86
Apr 29
Interest
1P MDRGAN CHASE & C007.900% 042949 DID042308PC 103008 NTS BIE
PAID ON
150000
CUSIP: 46625HHAl
CITIGROUP CAPITAL )III EXEYELT TRUST PFD 7.875% DUE 10302040RA°
ON
10000
CUSIP: 173080201
5,925.00
Apr 30
Interest
4,921.88
Total taxable interest
$1229628
Total dividend and interest income
$12.358.51
Investment transactions
For more information recut the pore/value shown for restricted secunties. see fmportant informabn about
;rout statement a tee end
Die
Activity
inn document
Desciphon
Quantity
Proceeds lion
Puna
Investment
withdrawn for
Accrued
Valve (SS
Price CP
transactions (5)
inwesirrwrits bOuGht
interest (S)
Apr 2
Receive Dtc
DRDVILLE TEX ISD LIT-07 BLD REF-07 PSA
KM 5 DUE 021529 070 011507 CALLABLE
CUSP: 090874FV5
100,000.000
108,909.00
Apr 2
Receive Dtc
MASSACHUSETTS ST HLT11 & EDL FACS AU RV II
Wilt/ 5 DUE 071532 DTD 080305 CALLABLE
CUSIP: 57586CANO
50,000.000
52,547.00
Apr 2
Receive Ott
COUNTRYWIDE CAP V 7.000% DUE I UOli 36
CALLABLE
CUSIP: 222388209
4200.000
107,142.00
Apr 2
Receive Dtc
APACHE CORP
95.003
8,001.85
continued next page
CNP7C0074305588698NP7OCOI9I 745 00006 0414 030575004 7123574S5000MpiyGht 0002%115 76 of 98
CONFIDENTIAL
EFTA (81132815
EFTA01274952
SUBS
Resource Management Account
April 2014
Account activity this month icontnued
Investment transactions (continued)
Die
scanty
Desolption
0ueMity
wive CO
Praeeds from
irriesvneH
Price 0)
tomatoes (1)
funds
Wthdrami 1a
Accrued
nutmeats boupt (3)
merest CH
Apr 2
Receive ON
1FMORGAN CHASE CAP )00X 6700% DUE
04(02(40
CUSIP: 48125E207
2.500.000
64.475.00
Apr 2
Receive Dtc
GT GROUP CAPITAL XII FXDIFLT TRUST PFD
7.875% CUE 101302040
CUSIP: 173080201
10,000.000
276,700.00
Apr 2
Receive Dtc
BANK OF AMER CORP
944.000
16265.12
Apr 2
Receive Dtc
GEKERAL MOTORS CO
1,373.000
47,890.24
Apr 2
Receive Dtc
GERON CORP
3,000.000
6,150.00
Apr 2
Receive Dtc
Cff GROUP INC
358.000
17269.92
Apr 2
Receive Dtc
SCHLUM BERGER LTD NETHERLANDS ANTILLES
113.000
11038.97
Apr 2
Receive Dtc
SPOR GOLD TRUST
190.000
23,620.80
Apr 2
Receive Dtc
TWITTER NC
2,000.000
91.460.00
Apr 2
Receive ON
SPDR S&P 500 EU TR
1,495.000
282,375.60
Apr 2
Receive
111 MORGAN NEW YORK MUNICIPAL MONEY
MARKET FUND MORGAN
1.000
1.00
Apr 2
Receive Dtc
GEN_ ELK CP1L CORP 00.433%051116
DTO051107 FC081107 MED TERM NTS
CUSIP: 36962G2V5
50,000.000
49,971.50
Apr 2
Receive Dtc
BAIN OF AMER INTERNOTES 03.600% 111516
DTDI 10410 FC051511 NTS WE
CUSIP: OE050WDW2
150,000.000
154,654.50
Apr 2
Receive Dtc
HSBC FIN CORP MS BIE 02.900% 101515
DTEH 01510 FC041511
CUSIP: 40429XY86
100,000.000
102224.00
Apr 2
Receive Dtc
J P MORGAN CHASE & CO 07.900%042949
DT0042308 FC103008 MS WE
CUSIP: 46625144A1
150,000.000
169,687.50
Apr 2
Receive Citc
MCHIGAN MUN BD AUTH RV
BEM 5
DUE 100126 DTD 110206 CALLABLE
CUSIP: 59455TPF3
50.000.000
54,797.50
Apr 3
Bought
UBS SELECT PRIME INSTITUTIONAL FUND
3,112,146.980
1.000
-3,112,146.98
continued next page
Account name:
GHISLAINE MAXWELL
Your Mnandal Advisor:
SCOTT STACK MANLYLE CASRIEL
212-821-7C00(800308-3140
SDNY GM 00022198
CNP70003005688699 NP7000191 745 C0006 0114 030575001 Y123574550 000000
Pap 77 of 98
CONFIDENTIAL
EFTA_00132816
EFTA01274953
*UBS
Resource Management Account
April 2014
Account activity this month (contrived)
Investment transactions (continued)
Oat
Aansty
Description
Proceeds Iran
inwstinent
Quantity
vaue
Price (S)
transactions (1)
funds
withdrawn fa
Accrued
investments bought (3)
interest (5)
Apr 22
Receive
FIT METAL SECURITIES LTD FITS PHYSICAL
301.000
37.539.21
GOLD
Apr 30
Reinvestment
UBS SELECT PRIME INSTITUTONAL FUND
61.630
-61.63
DVIDEND REINVESTED AT I.00 NAV ON
04I 3014
Total
.83.112.208.61
Securities transferred in
51.682,72031
Oat.
Activity
Cestription
Amount (t)
Money balance activities
Mar 31
Balance forward
50.00
Apr 3
Deposit
UBS BANK USA DEPOSIT ACCOUNT
250,000.00
Apr 4
Withdrawal
UBS BANK USA DEPOSIT ACCOUNT AS OF 04l03/14
-250.000.00
Apr 16
Deposit
LIBS BANK USA DEPOSIT ACCOUNT
1,450.00
Apt 23
Deposit
LIEIS BANK USA DEPOSIT ACCOUNT
7,326.65
Apr 30
Deposit
UBS BANK USA DEPOSIT ACCOUNT
5.925.00
Apr30
Closing UBS Bonk USA Deporit Account
$14,70165
The UBS Bank USA Deposit ACCOunt is your primary sweep cplion.
Mar 31
Balance forward
$0.00
Apr 3
Deposit
LIB5 AG DEPOSIT ACCOUNT
2,862,145.98
Apr 4
Withdrawal
WS AG DEPOSIT ACCOUNT AS Cf 04/03/14
-2,862,146.98
Apr30
Closing UBS AG Deposit Account
$0.00
Account name:
GHISLAINE MAXWELL
Your IIsandal Advisor:
SCOTT STACK MANY LYLE CASRIEL
212-821.7000/800-308.3 140
me UBS AG Deposit Account is your second:Ty sweep option.
CNP70009009938700NP70C0191745 00006 0414 030575004 Y123574550000661tpcom0002wir 78 of 98
End of statement for account number Y1 23574 S5
CONFIDENTIAL
EFTA_00132817
EFTA01274954
Important information about your statement
LEIS Financial Services tio. (the F im or UBS Financial
Services} is a master of all orinokel sxvly, ammo*
and opt:ins ex pages. LES Ft-encial Settees and U3S
Bank USA we rdrect subskiares of LES AG and
affiliates of LES Sect:rein LIC. The Fim's Handal
statement is available upon reopen. The FM* titan*
&Ices re a:
!Assn/nod Same% Pc.
1200 Harbor Boulevard
Weehawken, to 07066
Ibis tenement represent the any official record of yas
LES Financial Sawn account. Other words, nape
official lair doarrient contahing cordlicing date should
not be relied Lyon If you befew there 6 an error cr
omission, please report it irrmedately n *Ming to the
Pinch Manager d the office sentigmur account.
Ath,u7i al figures shown me Mended to be accurate.
statement dated-0M not be used for tar purposes key
sae& on yea'-end tax kerns, te.. Form 1099. 54alli
10425, nog whin prepwrgyour to return. The Fim
required by law to report to tot IRS all taxable dividend,
reposed* rchtnabla datickeds and tat Menet
eared on securities held in you axant, nit proceeds
on sale transactore, and cost tom cc certain covered
secwitin.
Communications with the Finn
. Please reconfirm any oral sorrow-tabor* in swing
to further protect your nits. incladng your Ned
usdtr the Sainted Wooster Pre/Action Act (OPAL
• If thefins-KM hstitution an the top left of We UM
of this names* is not 1)85 Financial Sources, U35
Frenoal Session carries you account a cleamg
baker by anargerront yeah the /skated inslitulien
We iriormed you of he ntlatonshis whim you
opened this alto t. friths case, your WS and
souse,, we located a UB5 RnancUl Services and rot
the rwootecnig broker. ad you nut **sands's'
el any mar or anititiOn to both 'inn.
*pattern statementsshall be deemed complete ad
accurate if not objected ton wee* within 60 days.
• Meese died customer complaints or bobsiits to tie
FixersClient *Ulu 's Depannent at 201.3521699
crtollffee a 800-354-9ICG, 8:CO A.M. to 6:00 P.M.
ET Monde? through Frklay a in yeti* to LE6
Financial Settees it., Client Relations Depalrnent,
P.O. Box 766 Union City, NJ 07087.
• Incase of (grey; Or WM, On; about an electronic
fixds Wanner (W1 bi puymm or UBS Visedebit
card transaction, call
62-1000, or wile to UBS
Frontal Semen eic„ 1000 Harbor Blvd, 6th floor.
Weehawken NI 07086. ABry RMNIESA Sakes
Cal or write as soon as you can, if you that yxr
statement or receipt is men; or t you need more
irdomation *cut a turn* on the staternert or
resetot. The Firm or Card MUM as aPfnablekniof
heat from you ns later then 60 days after Ye Fim
sent you the fro remanent on needs the error or
problem *Pared.
- howdeyokr name ad accost number Of any)
- Desoto the egos or the wander you sod vitro
about and neaten ao dear& arta can why you
believe e is an error ce ohne° need more
eicnnation
— Proud. the cblar anti ol the suspected error.
The Fim or Cad Issuer wit ricassigae your complaint
and wet correct any error promptly.
Please mate all thesis papist to the Fern or the
financial inititution Skated on die front of this
staterrent had:Men to sepia accord fay accounts
my be subject to marterunce fees, chars for late
parent for sautes purchases and charges for unpaid
amounts in cashaxons. Accounts that we transferred
to other Mentions may be subject to a windy tee.
UBS Sweep Options
UBS offers options for sweepng cash betakes, biances
to bank deposits at UBS Bat USA and UBS AG Starrewd
brads (Bank Sweep Progeny), money market mutual
kids (Matey Fund) ad the International Deposit
Accant (0Alfor customers withal iteutional
Resource Management Account. Through the Bank
Sweep Progeny, cash balances re swept to U16 Bark
USA up to in easlakhod Fend ad thento LES AG
Stanford Brandt or a Money Fund. Deposits at UBS
Bak USA are FDIC lured in accordance with FCC
rules. For more nformatin please sot wwwldrogov.
Deo,* at UBS AG Stanford Biarxh red ewes of
Money Funds at rot nosed by the FCC.
Thrown the OA, addible tooth balances we swept to
depose accounts at UBS AG New Yak Branch and UB5
AG Cayman Branch These deposits are not insured by
she FCC. Balances held at the ISS AG Curial Brad,
are tempera* exposed to the sovereign risk of the
Carnet Mends, and Were is no (patentee or other
obligation of ISS AG 10 repay +. Wines while on the
UBSC trans Bradt. books.
Deposis a LEIS Bat LEA and each UBS AG Bench are
not protected by SIPC. Money Fund shires ire protected
by SIPC. See *U35 Fremont Seven Arson Protection'
bobw
Upon yak reg.est, balms in tie Bart Sweep
Programsor OA ma be writhes" and shares of a
Money Fund my be liquidated, and the proceeds
returned to you or our nineties woont.
Cutlet re ornaton about available sweep options,
nothing arnil 'Merest rates and yet*, a suitable at
www ktc comrsseeppekt, from your F hark al Advisor
or by calling 1100(762(1000
UBS Financial Services account protection
The
is a member el the Sourdes Inverter Protection
Corporation 6IPC), *nkh protect securities account. of
its members up to 5500,000 Cncluolig S2B),000 for
dams kr cash/ The SEC asset protection 'mks apply to
all account fiat you hold n a palkular capaoly.
The Fim together nth certain tains, ha also
purchased anplowental protection. The myrinun
anoint payable to al Mgt* die*, Pritchett& titer
this protection is S500 million as of December 10, 2013.
klotot to the pokyconditions ad Witten, ash at
the Firm is further protected kr Listette million n the
aggegate for all you accounts held n a poioalar
capacity A hi copy of the poky wiring n imailtble
upon moutst.
The SIPC protection end the supplemenUI protection
both do not apply to.
• Certain Tramiel Asses controlled by (and incited A
your account value) but held away from UBSFina-col
Services (e.g.. certain(* cash at UBS Bak Id cad, at
LES AG StanIcrd breath (u) insurate pcdX1S,
including variable anomalies, and 00 shires of mutual
finds whore such than are registered deny it the
name of the account holier on We both ad records
of the applicable issuer or tender agent);
• Certain minimal contracts or niestment interest
pg., limited partnashix and prime placements) the
ore rot reunited srder tie Securities Act of I S03;
aid
• Commodities contacts (e.g, laeign exchange and
anti:usenet.' entredE nduding futures contacts
ad tormoditrootion contracts.
Tee SIPC protection and the supplemental protection do
not apply to these assets event they otherwise appear
on yas statement. h. SEC protection and the
PEOlerrentalpronoion do not protect agave changes
in he math vain of yxr investments (whether as a
resin of market itiOyenlent iSSuer bakruptcy CO
otherwise}
More information is avalable kpon nomad You may
obtan nue itomation abou SIPC, raidng the 5PC
Brochure, by cortaningSIPC a 202-371-8300or by
%ninon), Sift websih ar YAW/.140‘041
Dividend Ihitrietbibenit Progran (DPP)
The wke reflected is an average price. You may obtan
the actual prke kanyew Financial Advisor. Onbsikore
Owes are purchased under Dli; partial shares wil be
won rd the cash wit be deposited
your accost The
dviderd renvesenent price applied byte issuer may
differ from the market pte at which thepartied shires
we sold
Cmleielieu
I;e4, whole mots maybe held in you' accouol. If you a-e
entad to a palul use a a result of a dviderd Panto'
Or otherwise, the Firm yell ether sell panel red at
rivulet peke or accept an amount thumbed by a
registered cleans agency, andcredit you' accost.
Investment objectives
The nvesenere Wine* red risk profile we magic to
each account and may vary between. Please Seise the
Finnprompt, in unroof any tint Cant Wongo n year
foetal situacn or investiture objective.. kr each
CONFIDENTIAL
account held, you choose one of the toll:wing
itesenent °Neches'
• fsodue Cument !mom.. inotnie its seekng the
generation of income cr*.
• ArAiske Capra! Appreciation: Investments waking
growth of prncesal rather than the generation ol
income.
• Plocioce Combinaton oilman. and Capital
Appieciatcp, l-wesiments seeki-g both the generation
ol norne and polish of prittoll.
Overall risk mega
• Con.wvaeor Seeks to martian nilid pncpal with
low risk aid volatility to the accord cteral, even if
that mewls the accost does not generate significant
income or returns ad may nst keep pace with
inflation.
• Moderate: Willing to accept sane sit to principal ad
tolerate some votateity to seek hgher returns.
• Aggress*: Wiling to accept high risk to pinopal ad
high solatilty to seek high returns our tine.
Statement liouseholdhe
We may consolidate at related account statements with
the same bairns n the same envelope. Accounts may
be related la this purpose bet &At they haw owners
who also maintain pia accost reheiondips wit other
clients at the sane address. This practice k known as
•
stab
king ' II you prefer to rec.* a-diva:hal
statements mailed in separate elerelves— you may
dike-e household,* by oiling yow F nattier Advisor.
Friendly actown name
the trendy accost name reflects el amnion that you
emend on the Firm's onlne settees webyte. R e a
customizable *niclrurne' chasm by you to amid you
with sou recordkeephg. It has * legal 0941 on your
aCCOult. You can charge yos Ftendfii account names,
through Onire Services or by contakirgmurFaancial
Adis,.
Ammon overview
• vatm of morarrounehornith Net of assets rd
• Assets_ hulas evadable cad, balances. vans lOt
restricted sear* lest 1, and Global time Deposits,
urrealted marks to market and cetah ants not held
by the Fins Does not include unpaired MU:Merlassets
al the end of the prior and curet staterrent periods, or
precise ivestnwns, invested stock options aid
enmesh. stock anions
• Sialaines lndudn debt b.IIIM•1, ontarding rrergn
loans. credit lie, dOlaCtant balances.
• Cash/money balances. Total of unimested amiable
cash balances. plus UBS Bak 1.6A depose barce5 UBS
AG Parraoid Earth deposit balances and money market
matual fund sweep Saxes, at to obit of tie
statement period. Noncormlodey free credit balances in
your acootrt av rot segregated from other balances
an tie Fern mar use any of these unds in the ordinary
course of its business. These funds we payable apron
your darned. This total is included ri de anent period
dnri value.
SDNY_GM_00022198
EFTA (10132818
EFTA01274955
Important information about your statement (coninued)
Undiva adoration
For Matedinformation on the Finis lending practices
and abuses, refer to yas Client Relate:reship
Agrannerd or &con Agreement and the General
Timm at Conditions UBS Statement of Credit Fraction
available in agreements and Dixfoscrres at
umw
romarroadargyggap
Yes mete
Your natement itemise. waiter. endother au held
tithe accant at the end of the staters pert. You
may ask for deity a tut, paid satiates at ant time.
You may retie securities used as loan collateral after
prying any beta due on tem. k -y securities
In
to te Sim dsi-g the satant period are
listed at market value as of the end of the Patera*
period.
• Colt basis. In detemning the cost basis of to
senates included in this statement, where indicated
wash the nurrbe• -1,• UBS Fiord& Services hat relied
cn information obtained from sources other Mantled
Pivotal Senices, including ireformiticm won anode-
lam a that you may have provided to you Finaxial
Adam. The Finn does not holepardently verify a
gaunt the acaracy or talky day information
provided by sons offer than UESEhancial Senates.
edition although UM SintiCel Services general&
abut tie Horatian as Ukase:ad, the firm
does not provide any assonance tat the Haat
titer 'Cost basis" and laveakzed gar/loss' is
accurate as of the date of thO statement. As such
please do a
reay on this Hermitian to make
padaa Tale decisions. friss papases
otherwise. Accounts transferred to tie rim may
reflect gainlloss Harivan on& for the period of
tine they we held a to F rm More historical
hitt cn tan be added by yon Braid Advisor.
• Unrealised gaiwilinees When data is tate.
estimated urearized gainer Imes a* Waisted Ice
invite( seosty lots. We transacten data for
ncliriztal lots may or may not reflect cantata
&urges ander tectsity reorganized tan tat
Dialed and otervenastment lots an systematic
padvse lots are eachcombined to display one
avanagedlot. The • Trade date • cat cements the
aigrul transaction wade date.
• Callable securities Back and referred stock that
the naleats for ear& recknpf ion wil be selected
mortal& by lot Wan arrong all seosties of tat
isste held now rant or in wail.. name la as
<limn. Call imam Hainatt b cbtaned from third
parties and es accuracy isnot guaranteed. Other all
teases mayeat which cal *en yell' complete
rdonnater nate provided upon request
• Certificates of deposit (CDs) CDs are FDIC inured
c.p to S295,000 n relabel and accrued interest per
&costa ad pee deposityinattixt it accordance
wit FDIC rules.
• Pa/value Prom dirt/sadfor securities and ester
products may be higher or lower than Mega that
you would anualy reek* n the mallet Prices we
obtained from various third party sources itch we
beleve to be retitle, but we do not gavantee their
accuracy.
— We generaty a the closi-g pricewhen awlabba
de mean of the bid adask prices fa hoed
acuities and cplcro a only bd prices to OTC
seosties.
▪ test acne& waded securities may be priced ushg
valuation model or the moo recent pre. we
obtaned and mat not reflect an actual market rice
or vat*
- Caftan position may appear without a price ad
will ;haw as 'price was rot available' 8 we re
unto to obtain a pine for a sturdy
- Deposits or states denzeninated incurrencies
otter tan U.S. dollars are reflected at the eichinge
rate as of the statement date.
- For certain yeettinn *sang in non.conformng
carionnalcris. Mce aH gond), 0 ace alai may
have been adsted to facilitate prate yrdusia.
To obtain current quotatias, when wattle, cordan
Ka Financial Attar.
• Private arrest ener and rtruckered product..
hivate nwstrrem saurian (Many drect
paticipation tatgarn and realestate imestment trust
seurites) and acted madam are general& highly
Aka Cent tatared crotch hove not be..,
registered with the Securities and Excha-
Connasion a under any nate securities laws. We
prosde estimated tat for private investment
wanks and structured products fon illormatkrul
purposes only errancy knce guaranteed.
- These values may differ absentee/ from prices.
any, at which a paw inresanent security a
structured mixtact may be bough or sold and do
not necessarily represent the Matsu may receive
upon rquialtion.
- Thief paly tsbrnites of vale cue as of a certain
datea-id are applied to UBS Fna-cial Services on a
regus basis by an independent vitiation tint.
- lam general panne or mentor estimated vaLts,
it ary, are supplied to therein by die tar,
general pane or mador and may be calculated
based on different adonnation from tat used by
thid parties to derive their estimated values.
- You can obtan addiand Harnett regaling
the methodology used to determine the edite of
value an tie date of to Hamann that is the
basis fate tine* by contactrg your Fivncial
Advisor.
- Th id party *stated vitas may be reflected as
•Not pad' nal. I sit tent taw n
independent vitiation tern has not %puled or is
able to assign a vale, when we become avare
that a materialevent ha coasted the may call a
pretty reported sae it question. or ten a
value would be highly spectiLative due to he nattre
of the sturdy.
- Whirl neither an mit general panne or sponsor
*stinted sake net a Ottani estimated peke if
'road. the value d the scarily will be different
fran itspurchaseprice.
- •DstrIzocia to date may octalp return of
mar. income a both
- •Crignal a
see • represents the taut ottani;
price pee unit and may not (elect Will cost basis
• Retitled securities Restrded ware in gervetalY
are rot currently eagble Sze publk sale. UBS Finacal
karats toes to market price of the unrestricted stock
of the sane issuer as an ensued value for de
restricted stock for propane of this 'litany* on. To
the tent that restricted Securities are 'Babb la a
the vala ratted may be sthaantial& less than the
inpmed value Mown
• Est (eetirneted) incite anent yields and rates.
An estinate of ravel income is based co tuna
Sicked and interest rates, assuning tie securities will
be held for one year Worn statement date or until
MIlitity This retinae don& a gaztalne, accuracy
rd continued nconw are not guaranteed
- Estimated anal nccme rd curet yold la
certain tapes of securities could include a rebsn of
pmcbal or capital gars h tich case the est
income Ord canted yield would be °tenanted.
- Estimated and income at ascent yield and the
actual imam a-adyield mi;ht be laver a higher
than the estimated amounts.
— An estinate of rruarced ncome (deadens' andor
interest) divded by the cant market
valtraverage balance is based on the bet dividend
or rawest payment madebythe issuer and
arms tae seositeadeposts will be held fa one
year from the statement date or until mahrity.
Accuracy an content yield me not arta
• AISal not held by UBS 'rancid Services. Certain
assets are rot held by the Fein and nee urthh the
Fern's possesst or control. These assets are
claalyed on mar statement fa informational
purposes only. Position, and values presented se
Footed by the Owing Inc, UBS Financial Services
not rescuable for the Halation and des not
guarantee is accuracy. these assets an rot pretested
by SiK or the Fain's suppWrental SIC coverage.
• Revenue shoring and additional compensation.
- In addition to commissions on safes and I 2b-I fees
received n correction web the dabibution of
nvattW Itrids to our slants we make our Alfas
flan ttvonut daring ParsInts from distributors
ado adinces of the mutat funds that we sell.
These anoints are based on two deferent
SOMPSnentf-
amantol sales by UBS of a
partiaaa mtAual fund I ami& to our c lint and Ce)
the asset value °taps-auBr mutual fund I amity's
shares held at the It
- We and os afMate also receive nemaking and
ormtus processing lees in consideration For
under agent at
that we mesa to the
rrukal fads. These fees generally are pad from
imestor assets in the natal fund and are a freed
Maar amount based an be nutter of accounts at
the brokendealer holdng maul lads of that fund
Emily
CONFIDENTIAL
- h ankh en to comment; received n tonnes-an
rah tan sale or distribUion of array contracts
and an investment mat omits to our <lents, we
senor our affiliate rimed retina sharim
corrpecsat from many of the insurance
oarrpan is umbra...erg the arty contracts,
*hates of to insane conpans or sponsors of
the urw imestment wets we ambit.
- Cur affiliates ako revoke wading ccomniskra and
other compereaten from natal fwdk and
tante commodes whose products we distribute.
- barmen* an anal fee from UBS Banc LEA and
L8S AG Stanford Brand of up to szs per accost
sweeping to the bat under the UBS Bank Sweep
Fragrant
Activity
ha:emetics". regudng <unmask/vs and ogler churl
iscurrid in connectco with eve wecutcrt of radii,
ndudno option transactions ha ban induct on
cadandions (serous& lashed to you. an sull be
petaled to you pconptly co retiree.
Shen selling
I ICU ZS engaged in short warp a Sea! ti' y, you may
hoar a charge die to certaintan:gag costs for that
particular WW1".
Open adorn
Regarding Men or • gxcitikancelker orders eat
were not mewledbythe statesmen date, open buy an
se stop orders are refixed by the mount of dividends
of rights on an ex-dividerds or earitits date unless
m0uded otherwise by you. You are rnponsble for
ceders that are brat a
coyote failure to (sate
eating open orders.
Parry
To obtain a copy of in tureen, Client AnnecyNotice
please contact your Francis' Achisor or veit our %weasel.
at 111112a6121024624212irsb
UBS Financial Services a rot a bat the MK Busiest
Swam Account BSA and IRMA are brokerage scants
which provide access to barking services ad products
through wangler's-as scow affiliated bat add other
thedpaty barks, rid provides access to rotate and
amiay protat owed by unaffiliated thirdity
insurance arrant through rourame agency
subsidiaries of UBS Financial Services Inc.
Investment, nsuraxe. and ruttyproducts:
Not VIC inured • No bank guava.** May bat vela
RYA. Rearm Management Account, Business Services
Account 854, BMA and alternation& Resource
Management Accost are registered service marks of
UBS Fraud Services la
Via Statue is a regiaered sertice nark of visa
Intonational CBS Visa Stare credit cards at Les
Visa debt cards we Owed by UBS Bank USA with
borne:don from yea U.S.A Incorporated.
MS Financial Stevie** Inc
Pm 2O(4O2
SDNY_GM_00022199
EFTA (10132819
EFTA01274956
*UBS
11135 Fnancial Semites hc
299 Park Avenue
25th Floor
New YOrk, NY 1 0 I 71.coa2
CNP700563I 7090514 VI 0
Account name: GHISLANE MAXWELL
Resource Management Account
May 2014
GHISLAINE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065-7007
Your Nnendal Advisor-
SCOTT STACK MANILYLE CASRIEL
Phone 212.821.700D/800.30R-3140
As a service to you, your portfoko value of
Questions about your statement?
Call year Financies1Ady60, Of ife
Value of your account
S4,79%749 41 includes accrued interest
RMA Resourceline at 800-RMA-1000,
account 029323574
on April 30 (f)
on May 30 (5)
Your assets
4,800,158 85
4,799,749.41
lAsIt our websIte:
vinfirw.ubscomifinancia4sennces
Your liabilities
000
0.00
Value of your account
$4,800,158.85
$4,799,749.41
Accrued interest in value above
54,568 05
14,380 54
Tracking the value of your account
S Thousands
Sources of your account growth
during 2014
Value of your account
at year end 2013
50 .00
4,800.2
4,799 7
Net deposits aid
viettdriaiv*ii
sAso2,1 94 34
Your nvestrriznt return
Dividend and
interest income
117,042.91
Change in value of
accrued interest
1488054
Change in
market value
423858 38
Anni 2014
May 2014
Value of your account
on May 34 2014
54799,749.41
SDNY GM 00022200
Member SIPC
CH1,70309305601709 N47003150246 00036 0514 030579001 Y1235745500013000
Pegs 6S of 98
CONFIDENTIAL
EF1'A_00132820
EFTA01274957
*UBS
Resource Management Account
May 2014
Your account balance sheet
Account name:
GHISLAPIE MAXWELL
The value of your account inducts assets held a U8S and certan assets held anay from U8S
page I
for more
Summary of your assets
Value on
May 30 (1)
Percentage of
your account
A
Cash and money balances
24,242.79
051%
Yo
B
Cash alternatives
3,112,274.75
64.84%
C
Equities
458,589.58
9.55%
D
Fixed income
1,145,323.04
23.86%
E
Non-traditional
0.00
0.00%
F
Commodities
22,881.70
0.48%
36,437.55
0.76%
Value of your account
$4,799,749.41
100.00%
$4,799,749A1
rent asset allocation
Eye on the markets
Index
S&P 500
Your Nnandal Advisor.
SCOTT STACK MANLYLE CASRIEL
212-821.70301800-308-3140
Cash and money balances may Mdude
available cash balances, VBS Bank VSA deposit
account balances, UBS AG Stamford Branch
deposit account balances and money mar ket
mutual ford sweep balances See the Imponant
information about your statement on the fast
two pages of this statement for details about
those balances
Russell 3000
MSC I - Europe, Australia & Far East
Barclays Capital U.S. Aggregate Bond Index
Interest rates on May 30, 2014
3-month Treasury bills: 0.04%
One-month LIBOR: 0.15%
Percentage change
May 2014
Year to date
2.35%
4.97%
2.18%
432%
1.76%
411%
1.14%
3.87%
ownooegoscei 71 0 NP70C0197246 C0C06 0514 030579004 Y123514550 0gapiyGitoontipsi 66 of 98
CONFIDENTIAL
EFTA_00132821
EFTA01274958
*DUBS
Resource Management Account
May 2014
Change in the value of your account
May 2014 (S)
Year to date (1)
Opening account value
$4,800,158.85
$0.00
Deposits, including investments
transferred in
0.00
4,802,194.34
Dividend and interest income
4,684.40
17,042.91
Change in value of accrued
interest
-187.51
4,38a54
Change in market value
-4,906.33
-23,868.38
Closing account value
$4,799,749.41
$4,799,749.41
Account name:
Dividend and interest income earned
For purposes of this statement, tactility of inkiest and cfnidend income ha been drionnined from a US
tau mooning perspective. eased upon the resIdence of the account holder, account type, or product type,
some InfereSt fade( dvIdend payments may not be sublen to United States (US) ardor Puerto Rk0 (PR)
income tarn. The client monthly statement is not intended tote used and cannot be feted upon for tar
purposes. Clients should rete, to the applcide tax repotting forms they teethe Iran UBS annualy, such as
the Forms 1099 and the Com 480. to tan reporting infoimanon n IS the pranced U85 to file the
cceicatle tar reporting forms Win the US internal Revenue SeMce and PR Treasury Department, and in
such forms accurately classify midencs eta Interest a tax excerpt or towable Meant Pleat consult your
inchedual tar pregame.
May 201401
year to date (S)
Taxable dividends
92.47
154.10
Taxable interest
4,591.93
16,888.81
Total current year
$4.684.40
$17,042.91
Total dividend & interest
$4,684.40
$17,042.91
Summary of gains and losses
values reported below exclude products for which gam and losses ate not classified.
Realized gains and losses
Unrealized
May 2014 ($)
Year to date ($)
gains and bsses (S)
Short term
0.00
0.00
12,208.75
Long term
0.00
0.00
30,192.59
Total
$0.00
$0.00
$42,401.34
Your II nandal Advisor:
SCOTT STACK MANYLYLE CASRIEL
212-821-70001800-308-3140
Cash activity summary
See Account mintens month lot details. Balances in your Sweep Opt cos are induCed in the openrg and
closing balances vars. FDIC Insurance apples only to deposits at UBS Sank USA, not to decants at WS AG,
Stamford Bench or bank deposits oared throu0 the UBS International Depose Account peogram SIPC
pate< bon applies lo money modest sweep find holdings but rot bark deposits. Se* Important information
about your statement on the tat two pages of this document for details.
May 2014 IS)
year to date ($)
Opening balances
Additions
Deposits and other funds credited
$19.623.53
0.00
$0.00
3,119,473 63
Dividend aid interest income
4,684.40
17,042.91
Total additions
$4,684.40
$3,136,516.54
Subtractions
Funds withdrawn for investments
bought
-65 14
-3,112,273.75
Total subtractions
-$65.14
-$3,112,273.75
Not cash flow
$4,619.26
$24,242.79
Closing balances
$24,242.79
$24,242.79
SONY GM 00022202
C ete70303005631 71 1 NV7003197246 00006 0514 030579004 Y123S7aSSO 000000
CONFIDENTIAL
Pogo 67 of 96
EFTA_00132822
EFTA01274959
SUBS
Resource Management Account
May 201 4
UBS Bank USA Deposit Account APY
Interest period Apr 7 - May 6
Opening UBS Bank USA Deposit balance Apr 7
80 .00
Closing UBS Bank USA Deposit balance May 6
821,461.23
Number of days in interest period
30
Average daily balance
$7,107.23
Interest earned
80 .20
Annual percentage yield earned
0.03%
Account name:
GHISLAINE MAXWELL
Your investment objectives:
You have identified the following investment objectives for this account. If you have questions
about these objectives, disagree with them, or wish to change them, please contact you.
Financial Advisor or Branch Manager. Youcan find a ful description of the alternative
investment objectives in Important information about your statement at the end of this
document.
Your return objective:
Current income & capital appreciation
Your risk profile:
Primary - Moderate
Investment eligibility ccasideration - None selected
Your account instructions
• Vow account cost basic default closing method is FIFO, First In, Fist Out.
Your linandal Advisor:
SCOTT STACK MAMLYLE CASRIEL
212521.7000(800.308.3140
CNP7030500563171 2 NP70C0IS0246 C0M 0514 030575004 yi23574S500ZIWIYGM00022499 68 of 98
CONFIDENTIAL
EFIA_00132823
EFTA01274960
UBS
Resource Management Account
May 2014
Your assets
Account nanse:
GHISLAINE MAXWELL
SOnle (Wes, income and current vaues Sham may be approximate. AS a Wok gam and liOSSCS
col
be acurately refkded. See important urformation about your statement a the end of this dxurrem for
more Informaeon
Cash
Cash and money balances
Cash an% money balances may include avalable cah balances, USS Bank USA depoat account balances.
UBS AG Stanford Branch deposit accum balances and money market mut ua fund sweep balances.
UBS Bank USA deposit account balances are insured by the FOC vitt h n tun( eble limits, but are not
pointed by SIPC 1)85 AG Stanford Bram h devout account banes am not insured by FDIC end are not
proteded by SIPC Money market sweep balances are protected by SPC but ate not insured lathe FDIC.
See the rmportant information about your statement at the end of this document for dot aas about those
balances.
Openng Wane
Closing Wake
Ncldng
on May I (S)
on May 30 (S)
Cash
Pnce per share
on May 30 (0
Average
rate
Your financial Advisor:
SCOTT STACK MARY LYLE CAsRiEL
212-821-7000'800-308-3140
Dntdena interest
Das in
period
period
Cep annual (3)
4,921.88
0.00
LTBS RANK USA DEP ACCT
14,701 65
24.242.79
250.000 00
Total
Cash alternatives
Money market funds
$19,623.53
$24242.79
Money market funds are neither insured rot guaranteed by the Federal Deposit Insurance COrporati on or any other
share. It is possitle to lose money by Infesting in these funds.
Total reinvested A the total d S reinvested dvdends II does not include any cash dedends, it is rot alai
lot for the purposes of determining bad ng periods or cost basis. The shares yOu Retire tXh lime you
reinvest dvdenck became a separate tax lot.
Cost one is the total purchase cost of the security, indudng renvesteddacknds The cost basis may
need to be aclusted for return d capital payments in order to deterenne the a4ustedcost basis for tar
reporting pupates.
Purchase road
Nurnber
Average dice
Client
skidoo
of snares
per thane (I)
investment (S)
JP MORGAN NEW YORK
MUNICIPAL MONEY MARKET
FUND MORGAN
1.000
mrriment agency
though money Markel funds seek to deserve the vane of your Imtsvneni at $1.03 per
Unmated (tot gan or bss is the <Afferente between the current value and the cost basis and would
gene rely be your Image gain or loss if the security was sold on this dae. The unrealized (tat) Con or loss we/
need to be ac*usted for retun of capita pare Ms in order to determine the rested gain or loss for tar
rePg(ting DWPOSeS.
Investment return is the current value minus the annount you invested. R does not include shares that are not
reftecled on your statement. inducing shares that have teen reared as either a gan or a loss. Ralso does
not include cash civicBnds that were not reinvested.
--This in formation was unavailable---
Con
Price per share
basis IS)
on May 30 ($)
Value on
May 30 (5)
1.000
1.00
Unrealized
mwstment eiddng
On or loss CD
return (3)
penal
continued next page
SDNY GM 00022204
C HP70000005631 7t 3 NP7003193246 00036051 a 030575004 Y123574%0000000
Pegs 69 of 98
CONFIDENTIAL
EF1'A_00132824
EFTA01274961
SUBS
Resource Management Account
4
Your assets
Cash alternatives
Money market funds (Continued)
Missing
Symbol: VIshOZX
UBS SELECT PRIME
INSTITUTIONAL FUND
EAI: 4934 Current yield 0.03°4
Total
Total estimated
I income:
Equities
Common stock
$934
Purchase price
Trade
hunter
Average price
once per share
Weise on
Unrezazed
Hades
Holdng
date
or shares
per share (Si
Cost beds CO
M May 30(0
May 30 CP
gain or loss d)
period
APACHE CORP
Symbol: APA Exchange: NYSE
(Al: $95 Current yield: 1.07%
May 17, 11
30.000
119289
3,578.67
93.220
2,795.60
-782.07
LT
Jun 21, 11
32.003
117.744
3,767.83
93.220
2,933.04
-784.79
LT
Aug 2, 11
33800
122.933
1,056.80
93.220
3,076.26
-980.54
LT
Security total
95.000
120.035
11,403.30
8,855.90
-2,547.40
SAW OF AMER CORP
Symbol: SAC Exchange: NYSE
EAI: 138 Current yield: 0.27%
May 17, 11
303.000
11.860
3,593.84
15.140
4,587.42
993.58
LT
lun21,11
313.000
10 670
3,339.86
15.140
4,738 82
1,39896
LT
Aug 2, 11
328.000
9.802
3,215.15
15.140
4,965.92
1,750.77
LT
Security total
914403
10.751
10,148.85
14292.16
4,143.31
011GROUP INC
Symbol: C Exchange NYSE
EAI: 414 Current yield: 0.08%
May 17, II
115.030
41249
4,743.71
47.570
5,470.55
726.84
LT
Jun 21.11
121.000
38.285
4,632.57
47.570
5,755.97
1,123.40
LT
Aug 2, 11
122.000
38297
4,672.24
47.570
5,803.54
1,131.30
LT
Security Total
358.000
39242
14,04852
17,030.06
2,981.54
continued next page
ChP7000B00563i 714 NP7000190246 00006 C614 03057930t Y123574550 COlictiky_GM 000224!5 70 of 98
Furardft? Duce'
Number
Aniage once
d stuns
per sham (T)
Account name:
GHISLAINE MAXWELL
Client
I nyestmeni (S)
Cost
Price per mare
basis (S)
on My 30 (SS
valueon
May 30 (1)
Your Pi Bendel Advisor,
SCOTT STACK MANY LYLE CASRIEL
212.821.7000/800.308.3140
Unrealized
eon oe loss (5)
Investment licking
Mum (S)
period
3,112273.750
1.030
3,112,273 75
3,112,273.75
1 000
3,112,273.75
$3,112,273.75
$3,112,273.75
$3,112,274.75
$0.00
CONFIDENTIAL
EF1'A_00132825
EFTA01274962
SUBS
Resource Management Account
May 2014
Account name:
GHISLAINE MAXWELL
Your /I nandal Advisor:
SCOTT STACK MANLYLE CASRIEL
212-821-70001800-308-3140
Your assets Equities . common stock (continued)
Purchase Puce'
Two
Norge
Average price
Price per shire
value on
untedized
Hold ng
Hddng
damn
of shares
per share f
Con basis (S)
on may 30(11
May 30 (1)
gain or loss (t)
period
GENERAL MOTORS CO
Symbol: GM Exchange: NYSE
(Al: 11,648 Current yield 3 47%
Nov 18. 10
1373.030
36 416
504300 00
34.580
47 ,478 34
-2,521.66
LT
GERON CORP
Symbol GERN Exchange: OTC
Nov29, 10
LOCO 030
5.709
5,70932
2.080
2,08^0.00
-3,629.32
LT
Dec 6, 10
2.060 030
6 210
12,420 00
2.080
4,160 00
-8,260.00
LT
Security Iota/
3,000.000
6 043
18,129 32
6,240 00
.11,889.32
SCHLIJM8ERGER LTD NETHERLANDS
ANTILLES
Symbol. SIB Exchange. NYSE
EAI: 4181 Current yield 1 54%
May 17, 11
37.000
81 270
3,007 00
104.040
3,849 48
842.48
LT
ltri 21, 11
40.000
82 436
3,297 45
104.040
4,161.60
864.15
LT
Aug 2, 11
36.000
89 433
3,219 59
104 040
3,745 44
525.85
LT
Security total
113.003
84284
9,524.04
1,756.52
2,232.48
TWITTER INC
Symbol TARR Exchange NYSE
Nov 7, 13
2,060 003
45 160
90320 00
32.440
64,880 00
-25,440 00
51
Total
1,203,571.03
$170,532.91
-133,041.05
Total estimated annual income: 51.976
Closed end funds & Exchange traded products
Total removed is the tag d at reinvested d ndends Mopes rot include any cash dvidends. It is not a tar
lot for the purposes of determining honing periods or cost basis. The shares you receive eah rime you
Nimes! d udends become a separate tax 3t.
Cost basis is the totS purchase cost of the securny. inducing remvestedcludends The cost basis may need
lobe &lustedfa return of capital payments in order to determine the a:Lustedcat bars for ta report ng
purposes.
Hotting
Site S&P 5COETF TR
Symbol. SPY
Trade date: hat 12, 13
EAT $5,206 Current yield. 1.81%
Purchase rirqd
Nober
Average piece
of shafts
per shale (S)
1,495.000
Client
nvestment
167.496
250,407.85
UnteaNzed (tar)gain or Mss is the dfference between the current value and lte cost basis aid would
ceneraty be your tattle gin or loss lithe sec laity was sold pin ten date. The unrealzed (tad canoe loss
may need to be actusted for retuin of capital Payrrems in order to determine the reazed gain Or loss 10 tax
rebating purposes.
investment ream is the current value minus the amount you in
It does not induce shares that are not
cowedon yrui statement, inciudngslwes that h81t teen ftallIe0 SS either a gin cc a loss It also (acts
not include cash dude/Ids that were not reinvested
Cost
Price per On
value on
Unrealizedgad
imestrnent Hddng
basis El)
on Nay 30(1)
May 30 (s)
gain or loss (St
return (S)
period
250,407.85
192.680
288,056.60
37,648.75
37648.75
ST
SDNY GM 00022206
C HP71:00330563 17i 5 NP70C0I50246 COCOS °SI 403057`004 vt 235745500000GO
Pegs 71 of 98
CONFIDENTIAL
EFTA_00132826
EFTA01274963
SUBS
Resource Management Account
May 2014
Account name:
GHISLAINE MAXWELL
Your assets (continued)
Foxed income
Corporate bonds and notes
Nees are cbtrined from Independent quotation bureaus that tee coaputeezed valuation formulas so
Sc date current velues actual market vetoes may wry aid thus gairenosses may not be acctraely
reflected Cop basis has been acted for acc reed otiglnal issue dsount (OID). Cop basis has been
Hddn9
Tiede
date
Total fat Out
at maturityFP
PuKhaSe
prIce (S)
Aclusted
cost bays (s)
Rice on
mev 30 (1)
vuueon
May 30 (t)
Uniedited
cyan oi IOSS (S)
Hading
pined
HSBC FIN CORP NTS BIE
RATE 02.900% MATURES 1011915
ACCRUED INTEREST $362.50
CU9P 40429XYB6
Moody Baal
S&R. A
EAI: 42,900 Current yield: 2 .84%
Oct 12, 10
100,000.000
100.000
100,000.00
102.158
102,158.00
2,158.00
LT
GENL ELEC CFFTL CORP
AD) RATE MATURES05/11/16
CUSP 36962G2 V5
Moody Al
S&P: AA+
EAI: 8212 Current yield 042%
Dec 11, 09
50,000.000
90.789
45,394.50'
100.014
50,037 00
4,612.50
LT
BANK OF AMER INTERNOTES
NTS WE
RATE 03.600% MATURES 191916
ACCRUED INTEREST $22500
CU9P 060SOWDW2
Moody. Baal
A-
EAI:
EAI: 55,400 Curent yield: 3.49%
Nov 01,10
150,000.000
100.000
150,000.00
154,813.50
4,813.50
LT
P MORGAN CHASE & CO
NTS WE
RATE 07.900% MATURES 042949
ACCRUED INTEREST 3987.49
CU9P 46625HHAl
Moody Bal
S&P: BBB
EA1 41 I ,850 Current yield: 7.01%
Dec 22, 09
150,000.000
105.272
157,909.17s
112.750
169,125.00
11,215.83
LT
Total
Total accrued interest: $1.574.99
Total estinutted an nu al income: $20,362
S4S0,000A00
6453,303.67
6476,10350
$22,799.83
Your it sandal Advisor:
SCOTT STACK MAN LYLE CASRIEL
212-821.7000/800-308.3140
automatically aclusted for arrortization of bond prernum using tte corium yield method If you have
made a Is election to deduct the prerriurn annexation on taiutio debt securities, you troy request UBS
admit cop basis for the tend premium amodization.
inckates cost basis informalion pond by you or another third party. UES f S has not reified this information and does not guarantee its accuracy.
CNP700C6005631 71 6 NP7000193246 00006 0514 0130575004 Y123674SSOOOMYGM0002/2tee 72 of 98
CONFIDENTIAL
EFTA _00132827
EFTA01274964
*UBS
Resource Management Account
May 2014
Account name:
CHISLAINE MAXWELL
Your Nsandd Advisor:
SCOTT STACKMANSLYLE CASRIEL
212-821-7000/800-308-3140
Your assets a Fixed income (continued)
Municipal securities
Pikes are cbtaneol from Independent quotation bureaus that use oarpiedzed will/MCA formula to
&count for securities issued at a account. When orignal cost bias is displayed, anoiezation ha teen
colt Sate current values. Actual maiket Sues may vay and thus gam/losses mg not be accurately
done using lit constant yieldmethod, otherwise amortization has been done using the straight me
reflected. Cost basis has been autcmaticaly aciusted for mandatory 8mo/dustier) of bond venison on
crehod
coupon tar-earrot municnd securities wingthe constant yield method and for accreted oignd issue
Hddng
Twee
date
Total fae vaue
at maturity (1)
OuKhat
00041
Metaled
cat bee/3 (V
Pike On
May 30 (V
" Wi3o
ueoun)
gun ijnotitio*SSZe(f)
HOe
Ckilibl
tiod
MICHIGAN MUN BD AUTH
FN
BE/RI
RATE 05.000% MATURES 10'01/26
CALLABLE 10'01/16 0 100.00
ACCRUED INTEREST $409.72
CUSIP 59455TPF3
Moody Aaa
SW: AAA
EAI: $2,500 Current yield: 4.54%
Original cost basis. $55,424.00
Nov 22, 11
50,000.000
105.384
52,692.25
110.012
55,006.00
2,313.75
LT
61RDVILLE TEX ISO LIIT-07
BUJ REF-07 PSA
13IE/FV
RATE 05.000% MATURES 031929
CALLABLE 02/1917 0 100.00
ACCRUED INTEREST 51,45833
CUSIP 090874FV5
Moody Aaa
SW: AAA
EAI: $5,000 Current yield: 4.55%
Original cost basin $110,503.00
Nov 14, 11
100,000.000
105 606
105,606 43
109.947
109,947 00
4,340 57
LT
MASSACHUSETTS ST HLTH &
EDI FACS AU RVB BIE IR/
RATE 05.000% MATURES 0711932
CALLABLE 07/15/15 0 100.00
ACCRUED INTEREST $937.50
CUSIP 57586CFW0
Moody Aaa
SW: AAA
EAI: $2,500 Current yield: 4.77%
Original cost basis $54,040.00
Nov 22, II
50,000 .000
102.574
SI ,287.02
104.888
52,444 00
1,156.98
LT
Total
Total accrued interest 52.805.55
Total estimated annual income: $10.000
$200.000.000
$209,585.70
$217,397.00
$7,81130
SDNY GM 00022208
C NP7C0O3305631 71 7 NP7003193246 000:05 0514 0305750CM 71735743SO00MM
Page 73 of 98
CONFIDENTIAL
EFTA_00132828
EFTA01274965
SUBS
Resource Management Account
May 201 4
Your assets Fixed income (Continued)
Preferred securities
Hiring
CITIGROUP CORAL XIII
FXDFLT TRUST PFD
7 875% WE 10'30/2040
Symbol: C PRN Erchange NYSE
EAI: 119,690 Current )field. 7 19%
COUNTRYVVIDE CAP V
7.000%
WE 11101/36 CALLABLE
Symbol. CFC PR8 Exchange. NYSE
EAI: $7,350 Clement yieid.6 79%
JPMORGAN CHASE CAP X0(Pc
6 700%
WE 04102/40
Symbol, )PM.PRC Exchange. NYSE
EAI: 44,188 Cttrent yield. 6.42%
Total
Total estimated annual income: $31,221
Trask
<Ike
Account name:
GHISLAINE MAXWELL
lanrber
Puts hose pore
of shares
per share (S)
Cost barn (5)
Price per share
may 30 (51
Value on
Mai 30 ($)
Yourlqnandal Advisor:
SCOTT STACK MANLYLE CASRIEL
212-821.70001800.308.3140
Unrclized
Hddng
gan or loss (i)
period
Oct 4, 10
Oct 26, 10
Mar 25,10
Commodities
Closed end funds & Exchange traded products
10000 COO
26 130
261,300.00
27.400
274,030 OD
12.700 00
LT
4200.000
23.518
98,778.%
25.760
108,192 00
9,413.04
LT
2,500 000
25.000
62,500 00
26.100
65250 00
2,750 00
LT
Icita re.rwesteO is the told J d- Rnr, ffeU Jseler.Lts II ion rot ntlucle arty Cash dviderkb. Il Is not a tat
lot for tne purposes of determining hoid rg pe reds or cost basis. The shares you receive etch In you
reinvest dwdenct become a separate tax lot.
COSI Data is the tad purchase cost of the security, Inducing reinvested dvdends The cost basis may need
to be eluded for return cl capital payments in Omer to deteinne the actusted cat beets Ice tar cepa/ling
purposes
Hddng
SPDR GOLD TRUST
Symbol. GLD
Trade date: Sep 11, 12
PurchaSe Once/
rein-be,
Average price
Client
of shares
per share (S)
investneint (3)
S422.578.96
$447.442.00
524,863.04
Unita:SI ftatigaut or ross is the Ofference between the current v.due and tne cost basis and would
generaby be yowls...4:1e ganef loss If the sec salty was sold an tks date The unreaked (tag gain or loss
may need to be adjusted for ret Mn of caplet parems in oder to determine the realized gain or tees for tax
reporting Purposes
Imesttnent fetal IS the aortal van ninuS the /MUM you infected It does not include Shales that art not
reflected on your statement, includng shares that have been realized as elltien gain ce a loss It also does
not include cash I:.m:fends that were rat *Infested
Cost
PrKe per Share
basis (S)
on May 30(4)
value on
unrealized Rain
iniemment Herring
May 30 (3)
gain or loss (3)
return (3)
Period
190.000
168.060
31,931 40
31,931.40
120.430
22,881.70
-9,04970
-9.04970
LT
0070300305631 71 8 NP7OCOIS0246 0303I5 0514 030575004 yt 23574sSOCOMENYOM0002Elie9 74 of 98
CONFIDENTIAL
EF1'A_00132829
EFTA01274966
6VBS
Resource Management Account
May 2014
Account name:
GHISLAINE MAXWELL
Your assets (continued)
Other
Closed end funds & Exchange traded products
Iota: temested is the iota d at renvested dwdencts Ildoes not include any cash &Wends. It Is not alai
ICA lee the purposes of determining hold n9 Le oats or cost basis. The shares you receive etch lure you
reinvest dedends become a separate tax lol
Cost bases *5 the KAN purchase cost ol the security. inducing reneestecidisciends see cost basis may need
to be eluded for return to/ capid payments in order to doe:none the actusted cost Oats Ice I. reporting
outposts
Your Pi sandal Advisor:
SCOTT STACKMANLYLE CASRIEL
212-821-7000/800-308-3140
tinteabe r ffaxigam or bss 6 the difference between the current value and the cost ban aid would
general), be your taable gan or loss If the sec unty was std co IM date. The unteakted gag 9an o loss
may need to be gusted for return of capita pigments In order to detain** the realized gain or loss lot tax
reporli ng purpOies
Investment serum Is the current value minus the amount you I needed It does not include shares that are not
reflected on your statement, includng shares that have been realized as 'Mier a gen cr a loss It also does
not ',dude cash dvidends thai were not seinnrsted
addng
maunder
of shares
Purchase pica
Average pare
per share (I)
Cheat
Avestasen1 (S)
Cost
oasts tit
Price per share
on May 30 ($)
value on
May 30 (5)
unrealized (tat)
gain of loss 0)
Ineedrnent
return
Hddng
period
ETF METAL SECURITIES LTD
ETES PHYSICAL GOLD
Symbol: EFMS1
Trade date: May 17, 11
152.000
147.139
22365.13
22365 13
121.055
18,400.36
-3,964.77
LT
Trade date: kin 7, 11
149.000
152.370
22,703.25
22,70325
121.055
18,037.19
-4,66606
LT
Security total
301.000
149.729
45,06a 38
45,068.38
36,437.55
-8.630.83
-8.630.83
Your total assets
Value on May 300/
Percentage of
your ac (Cunt
Cost
basis (5)
Simated
annual interne 01
Unteened
ganot loss (I)
Cash
Cash and money balances
24,242.79
0.51%
24,242.79
Cash alternatives
• Money market funds
3.112.274.75
64.84%
3,112373.75
934.00
Equities
Common stock
170,532.98
203,574.03
1,97600
-33,041.05
Closed end funds & Exchange traded
products
288,056 60
250,407.85
5,206 00
37,648.75
Total equities
458,589.58
9.55%
453,981M
7,182.00
4,607.70
Axed income
Corporate bondsand notes
476,103.50
453,303.67
20,362.00
22,799.83
Municipal securities
217,397.00
209,585.70
10,000.00
7,811.30
Preferred securities
447,442.00
422,578.96
31,228.00
24,863.04
Total accrued interest
4,380.54
Total fixed income
1,145,323.04
2346%
1.085.468.33
61,590.00
55,474.17
Coincides
Closed end feeds & Exchange traded
product
22,681.70
0.48%
31,931.40
-9,049.70
continued next One
SDNY GM 00022210
C HP70009305601719 NP7003193246 COCOS 0514 030579004 Y173574550000000
►age 7S of 98
CONFIDENTIAL
EFTA_00132830
EFTA01274967
SUBS
Resource Management Account
May 2014
Your assets
Your total assets (continued)
Account name:
GHISI AINE MAXWELL
Your A Bendel Advisor:
SCOTT STACKMAI/LYLE CASRIEL
212-821.7000/800-308.3140
Ydue on Miff 30 (1)
Percenta,v of
Cost
your
couni
NUS (S)
Esurnatea
annual income (SI
Unreaized
utin or loss (1)
Other
Closed end funds & Exchange traded
products
Total
• MiSSI rg <QV basis inIcernalico
36437.55
0.76%
45.068.38
-8.630.83
Account activity this month
$4,799,749.41
100.00%
$4,752,966.53
$69,706.00
$42,401.34
Date
Adnity
DEcription
Amara (5)
Dividend and interestieoome
Taxable dividends
May 22
Cividend
APACHE CORP PAID ON
95
23 75
May 23
Cividend
CMGROUP INC PAID ON
358
3.58
May 30
Dvidend
035 SELECT PRIME INSTITUTIONAL FUND
Total taxable dividends
$92.47
65.14
Taxable interest
May I
IntereSt
COUNTRYWIDE CAP V7000% DUE 11/01/36 CAU.ABLE PAID ON
4200
1,837.50
CUSIP: 222388209
ORS BANK USA DEPOSIT ACCOUNT AS OF 0906(14
0.20
May 7
Interest
May 12
IntereSt
GENE ELEC CPTI CORP 00.433% 051116 DTD051107FC081 107 MED TERM
NTS PAID ON
50000
CUSIP: 3696262V5
BANE OF AMER INTERNOTES 03 600% 111516 DTD11041CFC05151 1 NTS
B/E PAID ON
I SC000
CUSIP 06050WDW2
54.23
May 15
Interest
2,700 00
Total taxable interest
Total dividend and interest income
64591.93
$4.6$4A0
CNP7C000305631 720 NPVCOIS0246 COM 0514 030575004 Y1 23 5 74550 00QMYGM0002ttli 76 of 98
CONFIDENTIAL
EFTik_00132831
EFTA01274968
SUBS
Resource Management Account
May 2014
Account activity this month (continued)
Account name:
GHISLAINE MAXWELL
lavesbnent transactions
For mare Information stout the mice/value shown for restricted securities, see k000rraor Informaion &bout
your 'cerement at the end of MK COI anent
Dalt
Des( option
Proceeds Iran
investment
Quality
ledita (5)
Price (1)
tramactions (5)
Funds
unkluoren la
inonlownrs barOt
Accrued
interest (S)
May 30
Reinvestment
UBS SELECT PRA& INSTITUTIONAL FUND
65.140
-65.14
DIVIDEND REINVESTED AT 1.00 NAv ON
093014
Total
-$65.14
Date
Activity
Desorption
amount (5)
Money balance activities
Apr 30
Balance forward
$14,701.65
May I
Deposit
UBS BANK USA DEPOSIT ACCOUNT
4,921.88
May 2
Deposit
UBS BANK USA DEPOSIT ACCOUNT
1,837 50
May 7
Deposit
UBS BANK USA DEPOSIT ACCOUNT AS OF 090E/14
0.20
May 13
Deposit
UBS BANK USA DEPOSIT ACCOUNT
54.23
May 16
Deposit
UBS BANK USA DEPOSIT ACCOUNT
2,700.00
May 23
Deposit
UBS BANK USA DEPOSIT ACCOUNT
23.75
May 27
Deposit
UBS BANI: USA DEPOSIT ACCOUNT
3.58
May 30
Closing UBS Bank USA Deposit Account
$24,242.79
Your /I nandal Advisor:
SCOTT STACKMANLYLE CASILEL
212-821-70001800-308-3140
The UBS Bare USA Depogt Accourd Is your primary sweep cpl.on
SONY GM 00022212
CUP70003305Eal 721 NO7003197246 00036 0514 03057%04 7123574$50000300
Bags 77 of 96
CONFIDENTIAL
EFTA_00132832
EFTA01274969
4tUBS
Your notes
(N670303005631722 NP7000193246 00006 ON 4 0305750N VI 23574550 COV161YGM0002tegg 79 of 98
End of statement for account number Y1 23574 55
CONFIDENTIAL
EFFA_00132833
EFTA01274970
Important information about your statement
LBS Financial Services ix. (the F im or UBS Anoxia!
Serried( is a merrter of all prinejsal Nosily, cannot*
and colons exchages. 1.85 Fe-ervial Services and U3S
Bank USA we rdrect sutra:Sarin of LBS AG and
affiliates of LES Soultin UC. The Fim's I handal
statement is available upon cetera. The Firrilkeeetaire
offices are a:
!Astra/null Sepias It
1200 Harbor Boulevard
Weehawken, rU 07086
Ibis statement represent the an/ official record of yaw
LBS Financial Santos account Other wads, 'kept
official the cbarnain containing central-radon should
rot be relied Lyon If you believe there is an error cr
emission, please report it irrmalately narking to the
Ranch Manager et the office sentragmw account.
Atitigh al figures shown are Handed to be accurate.
statement data shout' not be used kr tat purposes Rely
sae& onyea.-end tax fams, te.. Form ENE SEE
10425, etc.) whin prepergyour tax return. The Fine a
required by law to won to the IRS all taxabk Evident,
report** rentracalok dia.:kinds and adale edenfa
eared en secteties held in you accent, net proceed
en sale trareactixo, and cost base cccenain covered
swaths.
Communications whilst., Firm
. Please re-confirm dry oral cormtancatrarts in wring
to funher protect your rads. incladrig your rad
order the Setrities Inertia Protection An (WA)
• If thefinancial nstitution cn the top left of Me tort
of this statement is no UBS Sinaloa Sakes, CBS
Prenoal Services carries vox &down a clearng
lostte by anargerrant web the rotated intlitutal.
We Wormed yet of this relationship whim you
opened this attar. hats case, your trek and
soirees a-e located a LBS tnancial Sena'sand rot
the rivoctacng broker, aid you root make a Feral
of rap aver or *Tuition to both HMS.
A N accant staternrits shall tie deemed complete ad
accurate 1 not objected to in wren; within 60 days.
• Please diect customer emplanes a i-cpiies to he
Fran's C lent Relations Depament at 201-352-1699
• tolkfree a 8004569103, 8:CO A.M. to 6:e0 P.M.
ET Monday through Frklak a in wring to LBS
Financial Settees ex., Clive Relations Depalment,
P.O. Box 766 Union City, NJ 07087.
• ti ease of erten or Oast ion; about an electronic
bids tondo (BT), bi puymm or UBS Vsedebit
card Vankactiork, call
62-1000, or mite to UBS
Frenoal Sentra ex„ 1000 Harbor Blvd, 6th floor.
Weehawken NI 07086. AHm RIANBSA Staves
Cal or write as soon as you can, it you hrk your
staerrent or receipt is nor* or if you need more
infomation *oat a urn* on the statement or
cocci* The Firm of Card hoar fas toPirakIE muff
her from ram no later than 60 days after te Fim
sent you the fen stmenera on whidn the error or
problem altered.
- Prowle you name ad acco.rt number 0 any).
- Desoto& the ono or he transfer you ant tsar,
about and 'ratan as cleat as yam cm why you
believe a is an error a why you need more
information
- Proud. the &Aar arisen d Ite suspected mot
The Fran or Cad Issuer Mt iniestigete yew cemplaint
and will cared any error prompt/.
Please mate all OWLS paythie to the Fen or tie
financial intteutian itdcated on fro bent of to
stakament hatlilan to negate accord fen accounts
may be subject to mailena-ce fees, chars for late
parent for souks purchases and charges for unpaid
amounts in cash accounts. Accounts that ate transferred
to offer habitant may be subject to a swan fee.
UBS Swap Option
UBS offers options for sweepng cash bola e; biances
to ban deposits at UBS Bat USA and UBS AG Slanted
branch (Etank Sweep Progama, mormyrnaka manual
knot (Morey ands) ad the rate-nationalDeposit
Accent 00Alfor customers with at Memational
Resource Management Account. Through tie Bank
Sweep Proaann cash balances re swill to UISEttric
USA up to an exabkhod knit ad then to LBS AG
Stanford Bradt cc a Money Fund. Deposits at UBS
Bak USA are FDIC roved in accordace with FDIC
oaks. For nxre nlamation please vat wwwidicgok
Deposes at UBS AG Stanford Brach ad tines of
Money Funds an rot inured bathe FCC
through the OA, arailable to cash balances we swept to
depose accounts at UBS AG New Yak Branch and CBS
AG Cayman Brach Thew deposits are not inured by
the FDK Balance, Fold at to LBS AG Cayman Bath
are tempera* exposed to the sovereign risk of the
Cayman blends, and there is no grarantee Cr other
obligation of UBS AG to repay the Saxes while on the
UBSC grans Brach's books.
Deposes a LES Bat LEA and each UPS AG Bench are
not protected by SIPC. Money Fund shires me protected
by SIPC. See *U35 Financial Service. Attune Protection'
bobw
Upon yea retest, balances n to Bank Sweep
Prcgramoe OA may be withdrawn and shares of a
Money Fund may be liquidated, and the proceeds
returned to you <flour so-Arkin amount.
FLrl-er information about available sweep options,
ncleing anent attest rates and yet*, e suitable at
www kb: comriseepysekt from year F tune al Miser
or by calling 0067621000
UBS Financial Services aceoean protection
the f mm is a melte of tla SeardeS Invella Protection
Corporaticn (SIPC), whkh protect securities account, of
its members up to 5500,000 (mixing S2B),000 for
dams kr cash) The SIK asset protection Imes WPV to
all account tat you hold n a palioular capacity.
The Finn, together with cenain affiliates, ha also
purchased tpplemental protection. The madmen
amount pad* to al eligible diens, cote ow& Leda
this protect:eras S500 million as of December 10, 2013.
kloXet to the pokeyconditions ad limitation, cash a
the firm is further protected kr in to 11.9 million n the
aggregate for all your accounts held n a Delimiter
capacity A hal ccpy of te poky wodng is /nibble
LOOn request.
The SIPC protection and the supplemenUI protection
both do not apply to.
. Certain &uncial Mats controlled by (and ridded A
your account vain) but held away from UBS Fine-col
Services (e.g.. certain(* cash al UBS Bat Id cad, at
L85 AG StanIced bunch (1) insuraxe pecdadt.
including variable enmities, and (hi) shares of mutual
fwidt where such them are registered dienly n tot
name of the account Foliar on the books a-4 roads
of to applied* issuer or balder agent);
• Certain en...timer* contracts or nestment nteest
(eg.. limited partnethix and pirate placements) the
are rot registered under tie Securities Act of 1%3;
ad
• Commodities contacts (e.g, lister radia-ge and
pito kus metal cotract). raduding futures contacts
ad tormeditroPtim contracts.
the 51K wotectsm and Ite supplement/ protection do
not apply to these Man evens theyotherwise appear
on you. Maternal" The SEC protection and the
maCikriental protection der not protect aped changes
in the maim vale of yea investments (whether a a
result of market movement, iSSua bwitruptcy or
OthoWeit)
More information is amid* upon roma You may
obtan sae hicanation oboes SIPC. incladng the 51K
twinge, by coraaning SIPC a 202-371-8300 or by
steno the SIK **take ar YAW/.140‘01P
Dividend ReiWatbibant Program (DPP)
The ate reflected is an swage price. You may obtan
the actual price Iron tots Financial Advisor. Oray vac*
tore are puithasedunckr COW; partial shares will be
told rd tot cash wa be &potted I-. your account. The
Eviderd reiwesvnent price applied by to issuer may
•
from the market pia at which tie partied shares
we sold
Ca lebelieu
Chap whole units may beheldn year account. Btu are
entitled to a palol use as smolt of a dviderd Paftneril
or otherwise, the Firm red either sell petal unit at
trinket peke a accept an amount Examined by a
registered clearing agency, and credit your accora
Investment objectives
The 'Iasi:nal axone' and ask profile we speak to
each account and may my between Please adase the
awn promote, in men; of any signikant demo n yow
finaxial situacn or madmen objection. per each
CONFIDENTIAL
account hekk you choose one of the Wawa*
jinni
objedier
• Prod*. Currentbkome. intim es seang the
generation sof income crib..
• Adrift* CeptbrIApprociat;on: Insearnentt seeking
growth of prnaaal rather than the specaratim of
mown?.
• Ptodoce Combination of Income and Capital
Appreciation- I-vestments serati-g both to generaticn
of num. and 'mirth of tetra.
Overall risk prof des
• Consavada Seeks to maintain Sol pro pat, with
low Sc and volatility to the acorn meal, rend
that mews the accost does not generate significant
many a rooms wit may rot keep pace with
inflation.
• Moderate: Wilk* to accept came risk to principal and
tolerate some 'rotate* to seek hgher returns.
• Aggress*: Wiling to accept high Sc to penopal aid
high Watley to seek highreturns over time.
Statement householdhe
We may consolidate at related account statements with
the sane ibtiress ri the some gnat*. Accounts may
be related Ice this purpose betake they haw owners
who also maintain pia acorn rolationshps wit other
clients at the sane address. This practice's known as
• householing • II you prefer to roe* rebuttal
statements mailed in separate envetpes — y0U may
date household.* by riling you F rennet Advisor.
Friendly accourt name
the Frendk accord name reflects al whiten that you
emend on the Firm's entree sauces websat II is a
custonizable lnicleurne • cFraten by you to atria you
kith you recordkeephg. It has * legal effect on your
accost. You cal target:is hiendE accunt names,
through Onte Services or by contactrgyourFrancial
Attar.
ACCOalt overview
• nabe of mor acrountiporniXis Met of assets ad
• Asset 'Atlas salable
salableus,
cash balances, vales for
restrictedsearey
I, and Global tine Deposits,
urrealied marks to motet, and caftan ands not held
by the Fin. Does rat include worked
pet assets
al the end of the prior and curent statement petiods, or
prorate irwestrewits, panted stock options and
emendable stock onions
• (lattices Includes debt blIIM•5, culvert* rroign
loans. credit the, tat accent balances,
• Casb/rooney balances. Total of animated avalable
cash balances. plus UBS Bat LISA deposit barcek 1.65
AG tarraord Branch depose balances and money market
most fund sweep Saxes, at the cbse of he
statement period. Noncormlockty Vet credit balances in
your account we rot segregated from other balances
NA tie Fern may use any of these funds in the ordinay
course
C
of it business. these funds ere payabk upon
yaw Oxnard. This total is included in tie cuTent period
slosh;
SDNY_GM_00022214
EFTA (10132834
EFTA01274971
Important information about your statement (con inued)
lending itfonnation
Fcr Matedinformation on theSi-Ms fending practices
and disci:sues, refer to your Clem Relatership
Agee-nen or &c ant Agreement and the General
Timm an Conditions UBS Statement of Credit Fractia
available in Agreements adDiabsures at
miguakusaittaguagladascas
Vass mete
Your netsment iternirm securities adoring awe; held
h the arrant at the end of the riatemere period. You
may ask for deSsery of fully paid secuties at anytime.
You may receive stories used as loan collateral alter
paying any Wince due on ihem. M-y securities
transferred to to Finn drip de Pawned penod are
listed at market value as of the end of the flatiron
Period.
• Cost basis in detemning the cost basis of tie
wanes included in this statement, where indicated
rah the number 'I/ UBS Fr-axial Servings has relied
cri information cbtairrid from sources other than LES
Frenoal $erdcv, including nforrnsion kern another
lim a that gooney have plevided to you Finaxial
Masa. The Finn does not independently verify a
parent...the acosacy or varsity day information
Provided by sans other then Mkuncial Senn,.
eicitirs although LOS Finrcel Senses general&
&dew this Hammen as it s (eend, the firm
does not provide any awarances that the llamado,
under -Cost basis" and "Lthrealaed gar/loss' is
accurate as of the date of this statement. As such
please do not rely on this nIcenation to make
&schwa tale decisions, fermi papaws a
&henries Accounts Wandered to to Fin, may
reflect girlloss tdamati:n ong for the period of
tine they ate held a the Frm More historical
rikrinaten cube actled by yotr Fawned Advisor.
• thredized gain/lose When data is rattle.
esiinated Ltrearized glint Imes we ciciAated Ise
idvidat zany lots. n.e transictson data for
venial 101f may or may not triad <immense.
Merges ands'acuity reorganized in everts
Dividend and olverrenvestment lots rd systematic
purchase lots are each combined to display cue
averaged lot The • Trade date • [Mann presents the
aiarul transaction wade date.
• Callable securities Bait and ;referred stock that
the Semeats for erg redemption wit be selected
nvately by lot van arrorg all seo.reies of tat
is.. held hour nowt or en nominee name la as
clients. Call bane idainatin c catahed from third
parties and Ss accuracy snot guaranteed. Other call
leases may's:est ;Mich could affect yield complete
Mortnatir MOW provided upon request
• Certificates of deposit (CDs) CDs are FDIC Mend
sato S293,0OO in prcpal and accrued interest per
&costa ad per depositorylacteal:4 in accordance
vet POIC rules.
• Preehralue Provo dirtryed for vacuities and other
;reduces may be higher or lower than the price that
you would actually receite in the mirk& Prices are
obtained from vaious third party sources siren use
Delve to be intik. but we do not garnet their
accuracy.
— We gentraly tae the closig priceOwn avalabba
the mean of the bid ad ask prices fa lined
sautes and <piers or orry bid prices fa OTC
weenies.
- Less actirity traded securities may be priced using
valuation model ate moo recent prke we
&tared and may not reflect an actual maket price
or vita
- Cedar, position may appear without a price are
will taw as 'price was rot available' if se re
untile to obtain a pnce for a warily
- Deposits or swishes denzeninated 6 currencies
other tan U.S. dollars are reflected at the eichinge
rate as of the stater-rent date.
- Fcr teem seculars trading n non.conformng
dentmnatccis. pice aH qua-MyOam 'eta) may
have teen adasted to facilitate prow Viulart
To obtain current quotations, whin amiable, contad
your Financial Athlete.
• Private instments and eructated producb.
hive, rnestrrent seanfirs &Wing drat
participation ptqam and real estate investment trust
se rain) and struared pain ale generaly highly
Akeid. Certain au-deed peaLck have not been
registered with the Securities and Exirha-
C omission a under ani state securties laws. We
pronde estimPed ekes for aware investment
leashes and structured (modem lot edormalbrul
purposes only. Arcing scot quirenteed.
- These valuer may differ %Sanaa./ from pries. if
any, at eh& a prime nresanent security a
structuced enxIxt may be toAl-d or sold and do
rot necessarilyrepresent the vala you may receive
Won Tiluidation.
- Thad party estimates of wka ay as of a certain
date and are seoplied to UBS Fna-cial Services on a
repute bass by an independent satiation ism.
- Mar, generalpanne or spornor estimated vaLos,
ary, ant supplied to therein by the inner,
geneal pane or sponsor and may be calculated
based on deferent itormation Iran that used by
theeparties to derive ter estimated values.
- You can obtain additcrul Neonatal regarding
the methodology used to determine the vitiate of
value ad the date of to Hamacher that is the
basis for the marinate by contactig your Financial
Advisor.
- TAW party estinmed wakes may be reflected as
•Not ;kW h weer I sit *ins. wee n
idependent elation tem has not suppled or is
wade to assign a mak when we become avare
het a materialevent has °cased tut may call a
whom* reported vela its question. or when a
value would be highlesPeculative due to the nesse
of the starry.
- When neither al &ter, general prime or sponsor
*stinted vela nee a tindery estimated alas if
menthe the value el de wanly me be diktat
hoe its purchase price.
- • Dstrixt cm to date • may metale return of
canal, income a both
-
we • represents the initial along
pose per unit and may not (elect ps ton basis
• Restricted securities Restrded warren generally
are rot outran? agate fa public sale. UBSFiracal
Services rises Me market price 01 the unrestricted slack
of the sane issuer as an mputed value for the
testticted sack for purposes of this 'Women. onk To
the extra that reariaed sects-hies are Metre Ise sale,
the ale recessed may be stbriantialg less than the
irvued value Snot"
• En. (estirneted) inane. and yields and rates.
An estinate of anal income is bawd a. current
&ricked ad interest rates, assuring tie swishes will
be held for one yea from statement date or until
rilltifity, This mina. acing ag.YbNe, accuracy
rd continued intone are not guvranteed
- Estimated anal income an current yield fo-
cettain topes of seaskies could include a retun of
pmcpalor calomel gats in seri& case the est
income Ordcurrent yeldl would be &wasted.
— Estimated anal Sane rd current Weld and the
adapt exam ad yield mi;ht be twee a higher
than theist:matedamounts.
— An estmate of aruareed home (diedend ands
interest) divded by the &nem market
valaraverage balance is based on the last &Mend
or interest payment made by the issuer and
asstries the seas- es/deposes will be held for one
year tom the statement date or until mah.tity.
Airway red continued yield ere not gained
• Pants not held by U3S 'rancid Services. Certain
wets ate rot held by the Fern and not warn the
Fen's possession or ono'. These assets de
dspleyed on los statement for informational
purposes onty. Potions ad valuer presented ana
Mended by the swag fern UBS F ranee' Services is
not reversals for ths ilaination and des not
guarantee es accuracy. These assets are rot preened
by SIC or tie Finns u.pplemerealSITC coverage.
• Revenue sharing and additional compensation.
— In addition to commiseons on sales and I 2b-I fees
received in camection with the distnbution of
initial lin& to °ardent ...a mock, our al Mate
receive mono taring Pagrents from deaributors
Coda attracts of die inn.' funds that we sell.
These anoints are based on two defence
Cern
0 t* amant ol 'elm by UBS as
partaile mutual fund I amiy to ow clients and Cia
the asset value of ape-Soar mutual fund I amigt
shares held at tie Inn
- We and os attain also Nan nem:eking and
Donbas processing lees in consideration For
trader agent ante; that we pee& to the
mutual krds. Thew few generale are Pad from
investor assets h the 'natal fund and are a toted
dela amount based an the number of accounts at
the brokeedeale holdng mewl had of that hind
CONFIDENTIAL
- h xenon to caermsscra received n connector.
veth the safe or Monbikon o1 any contracts
and Int investment that nib to our <lents, we
ands our affiliate marina resent sharng
corrpensain from many of the inesance
companies underwear-9th. anity contracts,
Milates of tit insurance ompanes or sponsors of
the um immanent mats we distrbute
- Ca Arian also receive trading cornramits and
other con-pertainfrom mutual hats and
&Wan& Companies whose averts we detnIOUte•
- IVe emir.* a anal lee from UEIS Bait OA and
LIES AG Stanford flash of up to szs per accost
sweeping to the barks under the UBS Bat Sweep
Fri:grams
Activity
hbernaticareceridrigcannissens and other charges
nand
connedin with tie tem:1[n of wades,
ncludny option transactions ha been included on
&Memnon, erevously fanned en you, an ea be
Fended to yOu pavilycn recpest
Shaft waling
F kcuae engaged in that selling a security, yOu may
hair a change dye to certainban:wig costs for that
particular securty.
Open arta
Reading Wen or fsoodtilkanceflar crders that
were not mauled by the statement date, open buy an
sed stop orders are redxed by the mount of dividends
a rights on an ex-divider& a eniaits date unless
intruded mheewer by you. You are row:ramble for
orders that are heated date to your failure to taxer
elating open orders.
Privacy
To obtain a copy of at current Client hinny Nan
please contact sour Francis' Achisor or edit our %wroth.
gatividGeRstagtikaasetla
UBS Financier Services a rot a brie We WA, Business
Services Account BSA and IRMA are brokerage /taunts
which provide access to barking services and products
ttrough armaments Yet ablated barks and other
threpary banks, ad provides access to nsurace and
a-nuty prodat toad by unaffiliated Uneasy
insurance compries through Murano, agency
subsiiieries of UBS Finarcial Services Inc.
Investment, nsuraxe. and amity products:
Not IDIC inured • No bank guarantee* May tee vela
RYA. Resource Management Acccunt, Business Semites
Account 85A, BMA ad ntematioral Resource
Management Accost are registered service marks of
UBS Fruitier Services Inc
Visa *mere is a regaered serrice mark of Visa
Intonational CBS Via Signatue credit cards at UBS
Vea debt cards are bayed by UBS Bank USA with
permission from Vita U.S A Incorporated.
UBS Financial Seri/ices Inc.
Rev. 201402
SDNY_GM_00022215
EFTA_00 I 32835
EFTA01274972
S UBS
085 FeianCial Semites Inc
299 Park Avenue
25th floor
New York NY 10171.0002
CNP7605456953 0514 X123 Y1 0
Account name: GHISLANE MAXWELL
Your Financial Advisor:
SCOTT STACKIAANILYLE CASNEL
Phone 212.821.70001800.308-3140
Questions about your statement?
Call /0,a Finan:ra: Advisor or tl.e
RMA ReSourceline at 800-RMA-1000,
account 029023574
Malt our websIte:
www.ubscomifinancialservices
Items for your attention
• ken .414,4, Cet Um rr.utUdi fund shares
held in select 085 Investment Advisory
Programs will be converted starting in
lune. See your statement activity for
details
UBS Strategic Advisor•
June 2014
GHISLAINE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065-7007
Value of your account
on May 30 (S)
As a service to you, your portfolio value of
$1,702,055 92 includes accrued interest
on lune 30 (S)
Your assets
4,799,749 41
I ,702,055 92
your liabilities
0 00
0.00
Value of your account
Accrued interest in value above
$4,799,749.41
$4,380.54
51,702,055.92
16,893.05
Tracking the value of your account
S Thousands
4799.7
1,7021
May 2014
Jun 2014
Sources of your account growth
sludgy 2014
Value of your account
at year end 2013
Net deposits and
virittdrarrth
Your nvestment return
Dividend and
interest income
Chair in value of
accrued interest
Change in
market value
Value of your account
on Am 30, 2014
$1,702.055.92
$O00
S1,665,243.15
417,476.56
56,893.05
$12,443.16
SDNY GM 00022216
Member SIPC
C NP7C009306498953 NV7003293741 COCOS 0614 030579004 Y123574550 11 1000
Pogo 67 of 102
CONFIDENTIAL
EFT/t00132836
EFTA01274973
SUBS
UBS Strategic Advisor
lune 2014
Your account balance sheet
Account name:
GHISLAINE W00NEU.
The value of your account inducts assets held s UBS and cenan assets held ma/ from U8S
page I
for more iremnation.
Summary of your assets
Value on
Percentage of
lune 30 (I)
your account
A
Cash and money balances
0. CO
0.00%
B
Cash alternatives
0.00
0.00%
C
Equities
488,269.63
28.69%
D
Fixed income
1,150,888.55
67.61%
E
Non-traditional
0.00
0.00%
F
Commodities
24,327.60
Value of your account
$1,702,055.92
S1,702,055.92
1.43%
Yo
rent asset allocation
Eye on the markets
Index
Your R nand) Advisor.
SCOTT STACK MANLYLE CASRIEL
212-821.7C00/800-308-3140
Cash and money balances may !dude
available cash balances, UBS Bank USA deposit
account balances, UBS AG Stamford Branch
deposit account balances and money market
mutual I trid sweep balances See the Important
information about your statement on the fast
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 June 30, 2014
3-month Treasury bills: 0.04%
One-month LIBOR: 0.16%
Percentage change
lime 2014
Year to date
2.07%
7.14%
2.51%
6.94%
0.99%
5.14%
0.05%
3.93%
CNP MO0006498854 NPT0C0298741 C0M CM 4 030575004 Y123574550 1 1 opiyGm000liggo7613 of 102
CONFIDENTIAL
EFTA _00132837
EFTA01274974
*UBS
UBS Strategic Advisor
Change in the value of your account
tune2014(V
Year to date IS)
Opening account value
$4,799,749.41
$0.00
Deposits, including investments
transferred in
0.00
4,802,194.34
Withdrawals and fees,
including investments transferred
out
-3,136,951.19
-3,136,951.19
Dividend and interest income
433.65
17,476.56
Change in value of accrued
interest
2,512.51
6,893.05
Change in market value
36,311.54
12,443.16
Closing account value
$1,702,055.92
$1,702,055.92
Accent name:
GHISLAINE MAXWELL
Dividend and interest income earned
For purposes of iris statement, tmablity of interest and Ontdend Income has been determined foam a U5
tar ',porting poretclint. Based upon the residence of the account holckr, account type, or pcodtel typo,
sane interest ardor dvidend payments may not be subject to United Slates (UA ardor Puerto Rico (PR)
Income tarts The tient months/ statement is not Intended to be used and cannot be retied upon for tar
purposes. Clients should refer to the molicaale tar reporting forms they recent from LISS annualy. such as
the corns 1099 and tne Fern 480. for LP reporting infoimation It IS the practice of LIRS to file the
appitcatie tar reporting forms with the US mternN Revenue Semis aid PR Treatu0 Department, and in
such forms accurately CZ9 fy dividend ands interest as tat *inapt or tarts.* *mane. Pleat consult your
indgdual tar preparer
lone 2014 (5)
Year to date IS)
Taxable dividends
432.84
586.94
Taxable interest
0.81
16,889.62
Total current year
$433.65
$17,476.56
Total dividend & interest
$433.65
$17,476.56
Summary of gains and losses
vdoes repelled ltelew exclude products (or which gam and losses are not deasdred.
Realized gains and losses
Unrealized
lune 2014 (1)
year to date (t)
gains and bses (1)
Short term
0.00
0.00
33,813.55
Long term
0.00
0.00
45,264.03
Total
$0.00
$0.00
$79,077.59
Your linandel Advisor:
SCOTT STACK MANYLYLE CASRiEL
212-821-70001800-308-3140
Cash activity summary
See Account oat.* the month for &la's &lances in your Sweep Options are inductdin the canng and
closing Mantes taw. FDIC insurance applies only to deposits at u85 Sank USA, not to deposits at UBS AG,
Slarreord trench or bank deposits placed througi the USSInternetorof Depose account program SIPC
potec bon applies to money market snoop find holdings but not bag* deposits. Seelmnottanr inSonna6on
about your statement on the last two pages d this document for deists
lune 2014 (5)
Year to date IS)
Opening balances
$24,242.79
$0.00
Additions
Deposits and other funds credited
0.00
3,119,473 63
Dividend and interest income
433.65
17,476.56
Proceeds from investment transactions
3,136,517.54
3,136,517.54
Total additions
$3,136,951.19
$6,273,467.73
Subtractions
Professional management fees and
related services
-299 86
-299 86
Other funds debited
-3,136,65133
-3,136,651.33
Funds withdrawn for investments
bought
-24,242.79
-3,136,516.54
Total subtractions
-$3,161,193.99
-$6,273,467.73
Net cash flow
-$24,242.79
$0.00
Closing balances
$0.00
$0.00
SONY GM 00022218
ClaP7OX03C6498955NP7003298741 00036 CO 4 030575004 Y173574S50 MOW
►ego 69 of 102
CONFIDENTIAL
EFTA_00132838
EFTA01274975
*UBS
OS Strategic Advisor
lune 2014
UBS Bank USA Deposit Account APY
Interest Period May 7- Jun 5
Opening UBS Bank USA Deposit balance May 7
821,461 23
Closing UBS Bank USA Deposit balance Jun 5
$0.00
Number of days in interest period
30
Average daily balance
820,982 61
Interest earned
80 .81
Annual percentage yield earned
005%
Account name:
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 full description of the alternative
investment objectives in important inkrrmation about your statement at the end of this
document.
Your return objective:
Curient income & capital appreciation
Your risk profile:
Primary - 11/4/titivate
Investment eligibrity consderat.on - None selected
Your account instructions
• Yew account is currently coded for margin.
• You account cost basis default closing method is FIFO, First In, First Out
GHISLAINE MAXWELL
Your financial Advisor
SCOTT STACK MANLYLE CASRIEL
212-821.7000/800-308-3140
CNP7C003006498956NP70C0i9814100036 0614 030575004 Y12357455011 MiliyGhteetting70 of 102
CONFIDENTIAL
EFTA_00132839
EFTA01274976
UBS Strategic Advisor
UBS
lia
2014
Your assets
Moment
GHISLAINE MAXWEU.
Your Plnauda! Advlson
SCOTT STACKMAMLYLE CASR1EL
212-821-70001800-308-3140
Same PK" incOMe and current va UeS Sneen may te aps:brom:Gale. As nes ut. øre and lOWS mai nOl
te .wcurately reflecled. See i/spor:sn nnIonnabon &hour yoot stå:einen! a 'he end ol this otourrent for
mole Infortnalon
Cash
Cash and money balances
Cash ard aorey Dalanes mal 'Kl ude avalable cah balances, VEG Bank USA depoet account balances.
UBS AG SlanSard Branch clepos.raccwrn bulances and money maket mutua fund smep balances.
UBS Bank USA deposif accounl balsotet areinsured by the FOK vål h n «øk dale limits, bul ere not
polerled by WC. UBS AG Stenford Bram h depoet account taines tue not insured by FOK Ard ete nor
polerled by WC Money ~MI sneip balances are pro* ected by WC bul are not insured bi the FDIC.
Set the tmportant information abowt amor staten«. at the end of this document for dataa; erte i herr
beances
Openng bearer.
Glosing tane
Fore per :nec
Average
Hddng
on lun 1 (S)
on lun 301S)
on lun 30 (1)
rate
Cash
Drikk nd Interest
pence,
Dass
pen od
Cap mang fl)
0 00
-9 44
(SS BANK USA DEP ACCT
24242 79
9.44
250.000 00
Total
Equ ities
Common stock
Purchase prat
Trade
iagrber
Avveg< orke
Pfift pe Shift
\taue on
Unte aked
Hold gg
HcIdno
date
of shares
per slum (1)
Cost basis ($)
on jun 30 ti/
Jun 30 (1)
oain or loss (1)
Pene('
APACHE CORP
Symbol: APA Exchange: NYSE
E41: 195 Curreot yield: 089%
May 17, 1 1
30.000
119289
3,57867
100.620
3.018 60
-560.07
LT
lun 21,11
32.003
117 744
3,767 83
100.620
3,219 84
.547.99
LT
Aug 2,11
33.000
122.933
4056.80
100.620
3320.46
-736,34
LT
Seetrity total
95.003
120035
11,403 30
9,55890
-1,844.40
BANK OF AMER CORP
Symbol: BAC Exchange: NYSE
EAI: 138 Current yield: 0.26%
May 17, 11
303.003
11 .860
3,593 84
15.370
4,657.11
1,063.27
LT
lun 21,11
313.000
10.670
3,33986
15.370
4,81081
1,470.95
LT
Aug 2, I1
328.000
9.802
3,215.15
15.370
5,041.36
1$2621
IT
contknyed next page
SDNY GM 00022220
CalP7030;0C6498957NP7003798741 OCCOS C6I 03057930I Y173574550 11 1000
Page 71 of 102
524,24239
$0.00
CONFIDENTIAL
EFTA_GO 132840
EFTA01274977
*U BS
UBS Strategic Advisor
lurt? 201 4
Your assets . Equities . Common stock (continued)
led dng
Trade
date
Wren
of :ham
Pomba* price/
Avenge price
per sham (S)
Cost bask (I)
Peke per stare
as sun 30(f)
Value on
iun 30(1)
U dealized
gain of loss (1)
Hddrg
defied
Security total
944.000
10.751
10,148.85
14,509.28
4,360.43
OT1GROUP INC
Symbol: C Exchange NYSE
Etd: 414 Current yield: 0.08%
May 17, 11
115.000
41249
4,743.71
47.1.00
5,416.50
672.79
LT
Jim 21,11
121.000
38285
4,632.57
47.100
5,699.10
1,066,53
LT
Aug 2, 11
122.000
38.297
1,672.24
47. ICO
5,746 20
1,073,%
LT
Security total
358.000
39242
14,048.52
16,861.80
2,813.28
GENERAL MOTORS CO
Symbol: GM Exchange: NYSE
EAI: 41,648 Current yield: 3.31%
t*Ov 18, 10
1,373.000
36.416
50,000.00
36300
49,839.90
-160.10
LT
GERON CORP
Symbol: GERN Exchange: OTC
Nov29. 10
1,000.000
5.709
5,709.32
3.210
3,210.00
-2,499.32
LT
Dec 6, 10
2,000.000
6210
12,420.00
3.210
6,420.00
-6,000.00
LT
Security total
3,000.000
6.043
18,129.32
9.630.00
-8,499.32
SCHEUMBERGER LTD NETHERLANDS
ANTILLES
Symbol. SIB Exchange: NYSE
(Al: 4181 Current yield 1.36%
May 17, II
37.000
81270
3,007.00
117.950
4364.15
1357.15
LT
Jun 21, 11
40.000
82.436
3,297.45
117.950
4,718 00
1,420.55
LT
Aug 2, 11
36.000
89.433
3,219.59
117.950
4,246.20
1,02661
LT
Security total
113.000
84284
9,524.04
13328 35
3,804.31
TWITTER INC
Symbol. TWIR Exchange: NYSE
Nov 7, 13
2,000.000
45.160
90,320.00
40.970
81,940.00
-8,380.00
ST
Total
$203,574.03
$195,668.23
.67,905.80
Total estimated annual income: $1,976
Account name:
GHISLAINE MAXWELL
Your Hound.' Advisor:
SCOTT STACK MANLYLE CASRIEL
212-821-7000/800-308.3140
CNP70303006498993 HP7000293741 00006 OM 4 030575004 VI
1 1 1
Y
23 574550
Gmoocat92172 of 102
CONFIDENTIAL
EFTA_00132841
EFTA01274978
UBS Strategic Advisor
T
June 2014
Amount name:
GHISLAINE MAXWELL
Your assets a Equities (continued)
dosed end funds & Exchange traded products
row reirteent4 is the tots of a reinvested dWiendS
don not include sly cash dedenct. a is not a tat
lot la the purposes of determining hold rg periods or cost basis. The shares you receive each one you
reinvest d vcknds become a separate tax lot.
Cost bases is the told purchase cost of the leeway. Inducing lanvestedd sidendS TN' cost basis nay need
to be Ousted fa return of capita payments in order to determine the aciusted cost bees for tar reC0 firg
purpxts
Hddng
SPCA S&P 500 ETC TR
Symbol. SPY
Trade date: kit 12, 13
EAI: $5,352 Ctsrent yield: 1.83%
Fixed income
corporate bonds and notes
Prices ae cbt rad ham Ind-modem quotation bureaus that use computer:Hi vitiation formula 10
calculate current values Actual maket eaves may vary and thus windlasses may not be accurately
reflected Cost basis has been &lusted for accreted ongina issue clscount (01D) Cost basis has teen
Purchase prier
Nurrtser
Average pace
of shares
per share (S)
Client
investment (S)
Your El nandal Advisor:
SCOTT STACKMAN/LYLE CASRIEL
212-821-7000/800-308-3140
tweakedCW9-mo/ loss n the calf«ence between the current %Sue and t lie cost beds and would
genera
be your tsetse gin or loss if the secLaitywassddca this date The unreasfed (tax) gin a loss
may need lo be acRusted for ret urn of apta payments in order to determine the reatzed gain or loss for Ia.
triad ng Ps/Moses
Investment Mtn?, is the current vane rNnus the amount you invested It does not include shares that are not
reflected on your statement. inctudng shares that IW3W been realized as either a gin or a loss It also does
not ndude rah chidends that were not reinvested.
Cost
Price per shme
basis IS)
on run 3001
Value on
his 30 (S)
Unrealized 030
inrestrnent Hddng
coin or loss (5)
return 01 period
1,495.000
167.496
250,407.85
mclOng
I-ISBC RN CORP NTS 8/E
RATE 02 900% MATURES 10/1915
ACCRUED INTEREST 3604.17
CUM:, 40429XYB6
Moody. Baal
S&P A
EAI: 32,900 CUrrent yield: 2.84%
GENL ELEC CPTL CORP
AD/ RATE MATURES 0911/16
CUSH, 369626215
Moody: Al
S8P: AA+
EAI! 3212 Current yield 042%
tracle
date
Total face vaue
Purchase
s mai unly
pore (S)
Oct 12,10
100,000000
100 000
250,407.85
195.720
292401.40
42,193.55
42,193.55
ST
autOrniic ally adusted for fl(IVII/ZalOn of bond Itinerant usngtie constant yield met hod If yOu have
made a tax election to deduct the venom ancelization on tattle debt secunties, you may request UBS
alust cost basis forth. bond premumarnOrlilatiOn.
Aciusted
PriCe On
Value On
cost basis 01
Jun 30(S)
Jun 30 CM
Unrealized
Ncidng
gan or loss (1)
period
100,000.00
102.123
102,123 00
2,123.00
LT
Dec 11, 09
50,000 003
90 789
45,394 50
99.992
49,996 00
4,601 50
LT
continued next page
SDNY GM 00022222
CHP7C00?306493959NPIOCOritiVal COCOS C61 4 030575004 Y173574550 MOM
Pug* 73 of 102
CONFIDENTIAL
EFTA_00132842
EFTA01274979
SUBS
UBS Strategic Advisor
June 2014
Account name:
Your assets Fixed income . Corporate bonds and notes (continued)
Hddng
BANK OF AMER INTERNOTES
MS WE
RATE 03.600% MATURES 1111916
ACCRUED INTEREST 367500
CUSIP 06050WDW2
Moody Baa2
S&P A-
EAI 15,400 Current yield 3 44%
Nov 01,10
150,000 000
100 OCO
150,00000
JP MORGAN CHASE & CO
NTS WE
RATE 07 900% MATURES 04Q9a9
ACCRUED INTEREST 41,975.00
CUSIP 46625HHA1
Moody. Ba 1
S&P: BBB
EAI: 111,850 Current yield: 7.07%
DEC 22.09
150,000000
105272
157,909.17 1
Total
5450.000.000
1453,303.67
Total accrued interest S3,254.17
Total estimated annual income: $20,362
Tiede
Total face nue
PurChE6e
date
at maltxlly (S)
vice (S)
GHISLAINE MAXWELL
A4usted
cost basis (S)
F'nCe on
Jun 30 01
Vaue on
zun 30(14
Your linandul Advisor
SCOTT STACK MAJILYLE CASRIEL
212-821.70001800-308.3140
unresized
Haan;
gan or lot (S)
Penal
imitates cost basis inSormaion prattled by you a another thud perry. U8S FS has not reified this informs/on and does not guarantee its accuracy.
Municipal securities
Puce, ate obtantd from independent Quotation tweaks that use corepienzed valuation formulas lo
talc Sate cuatent edits Actual rnatket values 'ary very and thus 99 nUloises may not be marately
reflected Cost basis has been &domestically &dusted for mandatory amortization of bond prerni urn on
coupon taxcomps municoS sec unties u9ng the constant rile method and for act riled original issue
104.525
156,787 50
6,787 50
LT
I l 1.750
167,625.00
9.71583
LT
$476,531.50
$33227.23
ciscount for wallies issued at a dncount. When ongnal cost 0(64 is daidayed, amortization has been
date using the constant yield method, otherniw amortization has been done using the straight line
method
Trade
TCC9 lace Mlle
Purchase
Aclusted
Pnce on
Value on
Unrealized
itching
Hddng
dale
a ma1tnly (5)
OrXe(S)
COSt th:TaiS (S)
Jun 30(S)
Jun30 ff.)
gan or IOSS (3)
vend
MICHIGAN MUN 80 AUTH
RV
BE/ P/
RATE 05.000% MATURES 1001/26
CALLABLE 10/01/16 0 100.00
ACCRUED INTEREST $61&05
CUSIP 59455TPf3
Moody An
S&P: AAA
EAI: 12.500 Current yield. 4.57%
original cost basis 355,424.00
Nov 22, 11
50,000 CO)
i 05 191
52,595.74
109.422
54,71 1 00
2,11526
LT
conbnued next page
C711,71:003006498960NP700O298741 COCOS °SI 4 030575004 x123574550 11 toigyGlit000lltwa74 of 102
CONFIDENTIAL
EFTA 00132843
EFTA01274980
UBS Strategic Advisor
UBS
kale 2014
Your assets Fixed income
Municipal securities (continued)
liddng
8IRDVILLE TD( ISD U/T-07
BED REF-07 PSA
BLUFF
RATE 05.000% MATURES 0211929
CALLABLE 02115/17 0 100.00
ACCRUED INTEREST 31,87&00
CU9P 090874FV5
Moody An
S&P: AAA
EAI: $5,000 Current yield: 4.57%
Original cost bat $110,503.00
Nov 14, 11
100,000.000
MASSACHUSETTS ST 11TH &
EDL FACS AU RV 8 WEIR(
RATE 05.000% MATURES 0711932
CALLABLE 07/15/15 0 100.00
ACCRUED INTEREST $1,145.83
CU9P 57586CFWO
Moody Pao
S&P: AAA
EAI: $2,500 arrant yield: 4.79%
Original cost basis $54,040.00
Nov 22, 11
50,000.000
Total
5200.000.000
Total accrued interest: $3.638.88
Total estimated annual income: $10,000
Account name:
GHISLAINE MAXWELL
Your !Mandril Advisor:
SCOTT STACKMANLYLE CASRIEL
212-821-7C00/ 800-308-3140
Trade
total laevSue
Purchase
a4uSsed
Price on
v4ueon
Unredized
Hddng
die
at
(t)
Once(S)
cost base 01
fun 30 (S)
Jun 30 (S)
can or lost (1)
period
Preferred securities
Hddng
OTIGROUP CAPITAL XII
FXC%FLT TRUST PR)
7.875% WE 103012040
Symbol.. C.PRN Exhange. NYSE
EAI: $19,690 Current yield: 7.11%
COUNTRYWIDE CAP V
7.000%
WE 11/01136 CALLABLE
Symbol: CFC. PRB Exchange: NYSE
EAI: 17,350 Current yield:6.73%
Oct 26,10
4200.003
23.518
93,778.95
26.000
109,200.00
10,421.04
LT
canonised ivy page
Trade
deft
Oct 4, 10
ig.0C0 COO
105.435
105,435.03
109.344
109,344.00
3,90&97
1.1'
102.380
51,190.23
104.418
52,209.00
1,018.77
LT
$209,221.00
$216,264.00
$7,043.00
Poet per share
value on
Unrealized
Hdcing
Ccli Weis (S)
Cr. Jun 30(4)
Jun 20 (t)
nein or Ion (S)
period
'6130
261,300.00
27.700
277,000.00
15,700.00
LT
SDNY GM 00022224
CNP700030064543961 NP7000296741 00006 0614 030575004 Y123574550111000
Page 75 of 102
CONFIDENTIAL
EFTA_00132844
EFTA01274981
*U BS
U BS Strategic Advisor
lune 2014
Your assets . Fixed income . Preferred securities (ContintedI
Hddng
JPM0RGAN CHASE CAP )OUX
6 700%
CUE 0402/40
Symbol /PM PRC &change NYSE
EAI: 14,188 Current yield 6.44%
Mar 25, 10
2,500 COD
25000
62,500.00
26.000
65,000.00
2,500 00
LT
Total
$422,578.96
$451,200.00
$28,621.04
Total estimated annual income: $31,228
Account name:
GHISLAINE MAXWELL
Your Asandal Advisor
SCOTT STACK MANYLYLE CASRIEL
212821.70009300-308.3140
Trade
Number
Purchase pace
Nice per share
Value on
dive
of shares
per share IS)
Cost haus (S)
an fun 30(S)
tun 30 (I)
Unrealized
Hddng
gin or lass ($)
period
Commodities
Closed end funds & Exchange traded products
Total teifiVegtO is the total of a reinvested d Wends It does not incluc* any cash elvirc*nds n is not a to
lot for the purposes of determining hold rg periods or cost Oasts. The shares you receive eah Lase you
reinvest dwdench become a separate tax lot.
Con WM is the t0141 purchase cost of the security. Induing reinvested d videnct She cost basis met need
to be a usted foe return of capded payments onorder to determine the equated cost tan ear tar repontng
Investment return is the current value minus the amount you ingested It does not include shares that are not
purpoSes
reflected on your statement, incrudng shares that haw been redlzed as either a wen or a loss It also does
not "lure cash dui:leo& that were not reinvested
Purchase wet
Pamper
Average price
Client
Cost
Price per 'Mee
Value on
unreal:00ml
Ine:Orient Hotting
Hddng
of storm
per share (S)
investment (S)
basis (s)
on Jun 30 (S)
rut 30 (S)
gain or loss (5)
return (5)
Period
SPUR GOLD TRUST
Symbol. GLD
Trade date: Sep II, 12
190.000
163.060
31,931.40
31,931.40
128.040
24,327.60
7,603.80
4,603.80
LT
Unrealized (ca.) gam or loss is the ClIferenCe between the current value and tte cost basis and would
general./ be your I gable gain a loss If the sec unty was sold on tin date The unrealized (tax) gan Cr loss
may need to he adjusted for return of captor payments In order to determine me reatzed gain or ices for ta*
'Mating purposes
Other
Closed end funds & Exchange traded products
kis: te Trieste/ s the Iota 0 a re :nested iv' ehch n dots rot ni woe try cash dtic*rods. rl is not eta<
lot fa the purposes of determining tiding periods or cost basis. The shares you receive eah tare you
reinvest d %Wench become a separate tax lot.
Cost basis is the told purchase cost of the security, indudng renvesteddodends Tee cost basis may need
tote &lusted Ice return of cams payments in order ba determine the adusted cost bad for tar reporting
loiestmern return is the current value minus the amount you infested It does not include shares that are not
purpoSts.
reflected on your statement, inducing shares that have been realized as either a gun or a loss It arse Wes
not include cash dodench that were not reirwested
Hddng
ETF METAL SECURITIES LTD
PurChaSe wed
Hunter
Arceleg price
or shares
per share (S)
Client
investment (S)
UnreaNzed (fax)gain or loss is the difference between the current value and tie cost basis amid would
generous be your tactile gan or loss if the security was sad en tin date. The unreas2ed (tad gan a loss
may need to be adjusted for return of capita payments in order to determine the realized gain or loss for tax
'<Porting purposes.
Cost
Price per share
baSiSdl
on Jun 30(1)
Value on
Unrealized0EN
imestment Hddng
Jun 30 (5)
gain odoss (S)
return (S)
period
continued next page
CNMC003006498962NM00O298741 00035 DEA 4 030575004 Y123574S50
lthl,nr_Gm_00011,92576 of 102
CONFIDENTIAL
EFTA 00132845
EFTA01274982
UBS Strategic Advisor
Amount name:
CHISLAINE MAXWELL
Your assets . Other . Closed end funds & Exchange traded products (continued)
siddng
ETES PHYSICAL GOLD
Symbol: Efft4SF
Trade date. May 17, 11
Trade date: Jun 7, II
Security total
Your total assets
vale on Ilia 33 (5)
voter:tine d
your account
Cost
baso (S)
Bemated
annual inane (SI
Unrealized
gain or loss CD
Equities
Common stock
195,66823
203,574.03
1,976.00
-7,905.80
Closed end funds & Exchange traded
products
292,601.40
250,407.85
5,352.00
42,193.55
Total equities
488,269.63
28.69%
453,981.88
7,328.00
34,287.75
Need income
Corporate bonds and notes
476,531.50
453,303.67
20,362.00
23,227.83
Municipal securities
216,264.00
209,221.00
10,000.00
7,043.00
Preferred securities
451,200.00
422,578.96
31,228 00
28,62164
Total accrued interest
6,893.05
Total fixed income
1.150,888.55
67.61%
1.085,10343
61,590.00
58,891.87
CommotIthis
Closed end fonds & Exchange traded
products
24,327.60
1.43%
31,031.40
-7,60320
Other
Closed end funds & Exchange traded
products
38,570.14
2.27%
45,068.38
-6.498.24
Total
$1,702,055.92
100.00%
$1,616,085.29
$68,918.00
$79,077.58
purclow P:m7,
Nutter
Aveiage race
of shares
misrule ft/
Client
investment CD
Cost
Price per Owe
basis (S)
on Jun 30(1)
Your Financial Advisor.
SCOTT STACKMANLYLE CASRIEL
212-821-7C00/ 800-308-3140
Value on
Unteented
tun 30 6)
gain or loss ($)
investment NolcIng
return CP
period
152.000
149.000
301000
147.139
152.370
149.729
22365.13
22,703.25
45068.38
22365.13
22,70325
45.068.38
128.140
128.140
19,47728
19,092.86
38,570.14
-2,887.85
-3.61039
-6,49824
-6,493.24
LT
LT
Account activity this month
Dale
Actlity
Deie4ODOD
AMOurit (6
Dividend and intents:tine:ono
Taxable dividends
fun 6
Dvdend
1)85 SELECT PRIME INSTITUTIONAL FUND
11.50
Jun 26
Dvklend
GENERAL MOTORS CO PAD ON
1373
411.90
Jun 27
Cividend
BANK OF AMER CORP PAID ON
944
9.44
Total taxable dividends
643214
SONY GM 00022226
0070303006498963 NP700029874I 00006 0614 030575004'023574550 111000
CONFIDENTIAL
Page 77 of 102
EFTA_00132846
EFTA01274983
4tUBS
UBS Strategic Advisor
lune 2014
Account activity this month koninued
Account name:
GHISLAINE MAXWELL
Your Pi Bendel Advisor:
SCOTT STACK MAPILYLE CASRIEL
212-821.7000800-308-3140
Oat
Activity
bexnption
Amount (S)
Dividend end interestisconw (continued)
Taxable interest
Jun 6
Interest
UBS BANK USA DEPOSIT ACCOUNT AS OF 0610914
0.81
Total taxable interest
Total dividend end interest income
$0.81
$433.65
Date
*tinny
Description
Amount (5)
Jun 26
Fee Charged
INITIAL. FEE
-299.86
Total professional management fees
4299.86
fees
Date
Activity
Description
Amount (5)
Other funds debited
Jun 6
Transfer
TO Y1 23575 0100
-3,136,516.54
Jun 9
Transfer
Jun 10
Transfer
Jun 27
Transfer
Jun 30
Transfer
Total other hinds debited
43,136,651.33
TO Y1 23575 0100
-12.31
TO Y1 23575 0100
-1.00
TO xI235750100
-112.04
TO Y1 23575 0100
-9.44
Investment transactions
It, rare infrnaron
t?, price/value shown for restricted securities, see Important information about
you/ staremenr a the end of this Oof anent
Date
abthity
Jun 3
Bought
UBS SELECT PRIME INSTITUTIONAL FUND
24242.790
-24,242.79
Jun 6
Sold
Description
Proceeds from
Funds
ursestrran1
withdraw, Ice
Orrantity
Vara (I)
Pose (S)
transactions (1)
investments bcocht (5)
Accrued
ireeres1 (S)
UBS SELECT PRIME INSTITUTONAL FUND
-3.136,516540
3.136.51654
Jun 10
Sold
JP MORGAN NEW YORK MUNICIPAL MONEY
-1.000
MARKET FUND MORGAN FBOID 41604953295
1.000
100
Total
53,136,517.54
-$24,242.79
Date
ACtroty
Oescrolion
Amount (S)
May 30
Balance forward
Jun 4
Withdrawal
UBS BANK USA DEPOSIT ACCOUNT AS OF 0903114
-24242.79
Jun 9
Deposit
UBS BANK USA DEPOSIT ACCOUNT
12.31
Jun 10
Withdrawal
UBS BANK LISA DEPOSIT ACCOUNT AS OF 06109/14
-12.31
Jun 27
Deposit
VB5 BANK VSA DEPOSIT ACCOUNT
112.04
Money balance activities
$24242.79
continued next Page
CPIP705C9306498964NP7000293741 OM 0614 030575004 Y123574550 HM& Cant 00044778 of 102
CONFIDENTIAL
EFTA 00132847
EFTA01274984
*UBS
UBS Strategic Advisor
June 2014
Account activity this month (controed1
Date
Money balance activities (continued)
Jun 30
Withdrawal
Activity
Acoount name:
GHISLAINE MAXWELL
Your Pi nandal Advisor:
SCOTT STACKMANLYLE CASRIEL
212-821-7000/800-308-3140
DeSCrplien
Amount IS)
UBS BANK USA DEPOSIT ACCOUNT AS OF 05/27114
-102.60
Jun 30
Closing UBS Bonk USA Deposit Account
The UBS Bank USA Deposit Account is your primary sweep colon
Realized gains and losses
The estimated realized gaits and losses stovm belay are not for tar purposes. Please rote that gan of loss
recognized co the sae or redemption of Wizen Structured PeCOUCts. Ike Contingent Debt Seculibes. may
canary, and not capita, gain b loss. Please check alb your tax advisor To calcitale gem and losses. wt
liquidate the eldest security Id first. 'Ns is knows as the first d rs lint out or Pro &counting method We use
ths method unless you specified wNi h tar lot to close when you paced your order Thins known as a *nisi
purchases or VSP orders See Important information about your statement a the end of this document la more
Gains and losses not calculated
Security &Serration
Melnoel
JP MORGAN NEW YORK
MUNICIPAL MONEY MARKET
FUND MORGAN
I
Quantity Of Purchase
Sae
fat vita date
date
$9.44
tribm1MOn We may not del sal gans and losses la at capta changes. we autcmancaay adjust cost basis for
tar.trampt and AMT coupon munlopa sec unfits for estimated emollient°, ce bond premnms aid tor accreted 0,0
for securities issued at a dscount
A you requested that U8S adust cost basis for the bend premium amortization on
ta.atle debt secunties then cost taw reflected for these securities has been adjusted Estimates in the Unclassified
sedlon can not be ciassrfled as sawn term or long term bet arse dliOrmaliOn is micani; or the product Is one in wench
the gat Moss 4c urinal is not provided
Sae
Cost
amount (S)
barn (S)
Wash sale
cost basis
adjustment(S)
Loss (S)
Gan (S)
1.000
tun 09, 14
1.00
0 DI
--This information was unavailable--
SONY GM 00022228
C NP7000;006498965 NV70002%741 00036 0614030575004 Y123574S50 IMO)
Pap 79 of 102
CONFIDENTIAL
EFTA_00132848
EFTA01274985
*UBS
Your notes
CNP71X10301,6498956 NP70002•38741 00006 0614 030575004 Y123574550 1 1 WIY_Gh4_000.1n200 of 102
End of statement for account number Y1 23574 S5
CONFIDENTIAL
EFTA_00132849
EFTA01274986
Important information about your statement
LEIS Financial Services ix. (the F im or UBS Anoxia!
Services} is a mrrebet of all princizel sxvly, cannwilly
and options exchwges. LES Fe-erxial Services and LES
Bank USA at rdrect subsdares of LES AG and
affiliates of LES Se:Latin LIC. The Finis I handal
statement is available upon reoen. The Fin* wreathe*
offices an a:
LES Sinancel Semis to.
1200 Harbor Boulevard
Weelmeikeo, to 07066
Ibis statement represent the any official record of yes
LES Pi-uncial Sown account. Other records, rapt
official tar do-intent containing conflict-Oat; should
not be relied kpon If you beene there is an error cr
omission, please report it irrmedately narking to the
Ranch Manager of the odic. sentig your account.
Athavii al figures shown T. .'ended to be accurate.
statement &stash:0i not be used for tar purposes Rely
meek Goys-end tax lams, te.. Form 1099, Sae.
10425, etc.) whin preprergyour to return. The Few, is
required by law to report to t* IRS all taxabk &violence.
reportable rontaiabli clitirknds and tat Merest
eared an wounties held in you anent, net proceeds
on sale transactor-6, and cost basis on certain covered
martin.
Communications whistle Finn
. Please re-confirm arty oral cormoricatons in yeti*
to funher protect your nits. incladrig your rite
order the Salsifies Ireetor Protection Act (MIAS
• If thefinancial nstitution en the tcp left of the front
of this statemere is not LES Anatol SeoMes. LEIS
Frontlet Semites caries you accost as cleanng
looker by anargernent rah the indcated instaution
We Wormed you of this relationship when you
opened this accost. h this case. your Ards and
sautes we located a UBS financial Services and rot
the iwoctiong broker..wd you mast make a roloal
of try neer or *Mein to both NM.
ADaccost statementsshall be deemed complete ad
accurate t not objected ton vein* within 60 days.
• MOM divot customer complaints or tzpiies to he
Fitn's C lent Relations Dna-Meet a 201.352.1699
cr tolkfree a 800-354-9103, 8:CO A.M. to 6:CO P.M.
ET Monday through Friday, a in ming to LES
Financial Semites lx., Client Relations Depalment,
P.O. Box 766 Union City, NJ 07087.
• In case of errors or West ins about an electronic
funds wander (Wit bi puymm or UBS Visedebit
card transections, call
62-1000, or wife to UBS
Fronoal Senna tic„ 1000 Harbor Blvd, 6th floor.
Week/Men W 07086. Min RIANESA Serkes
Cal or write as soon as you can, jou tilt yens
staterrent or receipt it mpg or if you need more
information *cut a turn* on the statement or
metier The Sim or Card InUte fas toPlcable)nosf
has from you no later than 60 days aher the Fim
sent you the fen staement on which the nor
Problem Moored.
- howde you- name ad accost nutter Of any)
— Desoto the nor he wander you me won
about and .'clan as cleat as mu can why you
believe t is an error or why you need more
eicrmation
— Proud. the dollar amyl d to suspected error.
The Fie or Cad Issuer wis hansigne your complaint
and MI correct any error prompt/y.
Please make all checks paste to the fern or the
financial institution inScated on tie front of this
Oak:merit h acklittn to regd., accost fees accounts
mai be subject to matrenanCe lees, charges for late
parent for securities purchases and charges kr unpaid
amounts in cash accosts. Accounts that we transferred
to other Mitutions may be subject to a wander tee.
UBS Sweep Option,
UBS offers options for sweepng cash biomes, balaxes
to ban& deposits at UBS Bat USA and UBS AG Star iced
branch (Etink Sweep Progamr), moneymakk mutual
ends (MoregFu-dth and the International Deposal
Account (0Alfor customers with wi ktcmational
Resource liAmagemern Accost. Though the Bank
Sweep Progeny, cash balances re swept to UISEtwit
UM up to an is-goblet...3 knit ad then to LES AG
Stanford Brandt or a Money Fund. Deposits at UBS
Bak USA are FDIC mead in accordrce with FDIC
rules. For nxre nformation pease act wwwidicgov.
Deposes at UBS AG Stanford Bush std turn of
Money Funds as rot inured by the FCC.
Through the OA, weilible to cash balances we swept to
deposit accounts at UBS AG New Yak Branch and LES
AG Cayman Bunch These deposits are not round by
ate FIX. Balances Feld at the LEIS AG Carom Brash
are tempera* exposed to the sovereign risk of the
Capon glands, and there is no 'grantee or other
obligation of WS AG to IVO) iht boraxes while on the
UBSC grans Botch's books.
Deposes a LES Birk LEA and each UBS AG Branch are
not protected by SIPC. Money Fund shires we protected
by SIPC. See -U35 Feanciel Services Accost Protection'
bobw
Upon you want bale-ices in tie Bank Sweep
hi:gransor OA may be withdrawn,. and shares of a
Money Fund my be liquidated, rd the proceeds
returned to you cc mur nose in accast.
Further formation about available sweep options,
robbing ono* eterest rates and yet*, a available at
mon:. comrsseepyiekk from year f nano ial Advisor
or by calling 800.762.1000
UBS Financial Services OX01.191% probation
The Fern is a member el the &areas Invoke Protection
Corporaticn (SIPC), whnh protects securities account. of
its members up PoS500,0:0 Criclieding 5250,000 for
dams kr cash) The SIPC asset protection Imes XPV to
all account tot ycu hold n a palkular capacity.
The Fim, together with certain at antes, ha also
purchased kpplonental protection. The madman
amount payable to al eligible Wert, cobecteren knit
this protection is 5500 million as of December 10, 2013.
klothot to the pokyconditions wet knitation, cash X
the Firm isfurther protected kr up to $1.9 million n the
aggregate for all your accounts held n a poicular
capacity A full copy of he poky wiring n available
upon request
The SIPC protection and the supplemental protection
both do not apply to.
• Conan &uncial Assets controlled by (and incLided
your account valudb.:1 hell away from UBSFina-vbil
Services (e.g.. certain() cash at UBS Bark Id cad, at
LES AG Stankrd bunch PO insigne prothX1S,
including variable enmities, and 00 shares of mutual
finds where such shares are registered dndk in the
name of the account Foliar on the becks ad records
of the applicable issuer or transfer agent);
• Certain rnestmert contracts or niestment invests
(pg., limited partnership and prime placements) the
we rot *peered under tie Securities Act of 1933;
ad
• Corrinediton contacts (e.g. foreign exchange and
yeti:corneal contracts). including futures contacts
ad tormoditeccifion contracts.
the SIPC wotecton and the sup:amnia' protection do
not apply to these assets eon if they otherwise appear
• gar maternal" he 9PC protection ad the
skthOlerrientalproteoion do not protect again changes
in the market vale of you investments (whether as a
result of market mthemenl issuer bankruptcy Ce
otherwise}
More information is amid* mxn reomest Voir may
obtan more hfcanation abou SIPC, incising the 5WC
Brooks., by cortaningSIPC a 202-371-8300 or by
%Meng the Slit websim sr VAMMEC.041
Dividend Reiwetbibent Engrave (DPP)
n-e rcke reflected is an away Fria. You may obtan
the actual price Iran mkt Fnancral Advisor. Orly *hob
tares are purchased under Dli; partial shires will be
sold rd tlw cash war be &potted in your account. The
dviderd reinvestment price applied by the issuer may
Offer from the market price at which the partial shares
me sold
Caelskeliew
I;Mi whole units may be held in yokr accost. if you are
entitled baptist unit as smolt of a dviderd Parkol
or otherwise, the Finn eel other sell panel knit at
rivulet peke or accept an anaunt &Omitted by a
regktered cleat* money, at credit you accost.
Invenreent objectives
The neon:not °biomes std risk profile we speak to
each account and may my between Please adelse the
Fern pinny in weenyof any signikant change in yoke
Maxie' situaicn or mower% objects... per each
CONFIDENTIAL
want held, you choose one of the following
inestrrent
• Padua CunentIrcome. I,.s bon es seekng the
generation of income crik.
• Achim Capes! Apmenetion Investments egging
growth of prncpal rather than the generation of
income
• Produce Combinaton oilman. and Capital
Appel:lawn: 'vestments smite* both the generation
of name and 'mirth of Wit011.
Enroll risk precise
• Consenorhar Seeks to mantan nilid pi-cloak with
low risk and validity to the accord ovemal, teen if
that mewls the accost does not generate significant
income or room ad may net keep pace with
inflation.
• Medea: Wilt* to accept some rid( to Omit:sal and
tolerate some +/XXI* to seek hirer returns.
• Aggress*: Wiling to accept high no. to principal and
high with* to seek high returns over tint
Statement Isouseholdne
We may consolidate a1 related account statements with
the sane address n the sere teatime. Accounts may
be related Ice this purpose beault. they haw owners
who also maintain pit accost rot/tomtit)s with other
clients at the sane address. This practice's known as
• householing ' R you prefer to receine rdiedual
statements noted n separate tweets:es — you may
doh-. householding by piing your Fronk:a Advisor.
Friendly acceurt name
the Frendk octant name reflects of ormation that you
owned on the firm's onlne sonnet webste. R o a
customizable 'nick-urns' dawn by you to Mtiff you
wish par recordkeepim. It has no legal effect on your
account. You can change yos hiendk account names,
through Onthe Services or by contact-9 murFtantal
Athiscr.
&scow% overview
• Mai Of Mir artnewelpOrntdra Net of assets ad
IiAA
• Assets_ hulas available cath balances, vases for
restricted sear* km 1, and Global time Deposits,
urrealted marks to market and caftan mats not held
by the Fem. Does not include choked SeCuttiell assets
al the end of the pior and anent stale
periods. or
private iwestrrents, messed stock options aid
vendable stock anions
• Ciatottea Includes debt balwees, onverdirg rrergn
loans. credit the,
accent balances.
• Cash/reoney balances. Total of unimested amiable
cash balances. plus UBS Bath LISA deposit hoaxes. 1.85
AG Sanford Branch deposit balances and money market
most fund sweep Saxes, at the tbs., of the
ctaemert period. Noncormlocky free credit balances in
your accourt we rot segregated from other balances
and the Fern may use any ol these funds in the ordinay
course
itsbusiness. these funds we payable upon
your dery d, This total n included in to anent pwiod
closi-g value.
SDNY_GM_00022230
EFTA_00132850
EFTA01274987
Important information about your statement (Continued)
Lending Hornet/on
Fa &fared information cn the inrs lending prathes
and docbsues, refer to yas Clent RekatoWlip
Agee-runt or Accord Agreement at the General
Towns at Conditions UBS Statement of Credit fraction
available in Agreements andOridosures at
musaassailmmuctgdarabscats
Yoe meta
Your attement Bemires securities end otlwr awns held
hike aocarit at the end of the stammers period. You
may ask for &Grey of ft* paid seosities at ay time.
You may receive securities used as loan collateral after
psting any barna due on them. Ary *curates
transferredto Me Fan cksi-g the statement penod are
liged at market value as of the end of the Staticrert
Feria
• Cast basis. In detemning the cost basis of tie
stoats included in his statement, where indicated
wih the number '1,• UPS Fivercial Services has relied
on information obtained from sources other thantR5
Pi-social Senices, including Oaf ormairm kern anothe-
Item a teat puma, have provided to you Finaxial
Advisor. The Finn does not indripadently verify a
oast. the acaracy or yak% dry inform ation
provided by sosces other tan LEGAuncial Senates.
Pi aolcitirs although LIDS Finaxel Seines general&
&den this Hamann as it is received, the firm
don not provide any afittrances that to hformation
titer "Cost basis" and 'Unrealized gar/loss' is
accurate as of the date of his statement. As suck
please dome nay on the. nfametion to make
puchara a Tale decisiont false p-rpatescr
otherwise. Accounts tranderred to to Fim may
reflect girl loss rdanution only f or de period of
tine they ae held a the F rm More Netlike'
hien/Wen tanbe adied by you' Financial Aditior.
• Urevalited gabs/loam When data is arailtib.
eninated u-rearized gain( Imes ay calculated der
seamy
ii vaaS
lots. The transaction data for
niirictal lob may or May not !Oka ammissms,
Marrs arida acuityreorganization rants
Dividend and °tarn, mean& lots an systematic
pachne lots are each combined to display one
aye aged loll)* • Trade date • cols& pesents the
argil transaction trade date.
• Callable securities Bach and ;referred stock that
to Mon cats for ea& redemption wil be selected
mpattal& by lot Iran arrong all seo.riies of tat
issia held Dour name or in nominee nen* la as
clients. Call teats* ilcnnati:n b cbtaned from third
parties and as accuracy isnot guaranteed. Other call
leases may exot which ttuld affect yield conpfete
Piton/late:a will be provided upon request
• Certificates of deposit (men CDs are FDIC Pulsed
sp to 5250,000 in prixDal and accrued interest per
depositor ad pee deposinyinaitution, inaccordance
rah FOIC rules.
• Preekalue Press divinedfa »rutin and *her
products may be higher or lower than Device that
you would fl atly reek* in the market Prices cue
obtained from vaious third party sources which tee
Delve to be rektile, but we do not gairavee their
accuracy.
- We genera, use the closiw priceOwn avelabba
the mean of the bid ad ask prices folaed
acuities and <pions a on& bd prices kit OTC
seosities.
- Less ion& waded securities may be priced ushg
valuation model or the moot recent peke we
obtained and mat not reflect an actual market rice
or weir
— Certain position may appear without a price and
will thaw as 'price was rot available' if we are
unthle to obtah a pnce f or a stony
- Deposits or struts denominated n curreroin
other Mon U.S. dollars are reflected at the &Aching&
rate as of the statement date.
- For cerien weaken tracing D non.conf alma
cleracrnatcra mice at quany 0 ace vake) may
have been adsted to facilitateprow valuation.
To obtain current quotations, when wait*, contact
aura Financial AdAscr.
• Private irrestrnenti and etrve0aad produib.
hivate ncestrcert seculars (Indig drect
paucipation ;acorn and real estate investment trust
auxins) ad strums& prodsu are generally highly
Aiorkl. Certain stir-dared crotch have not been
registered wih the Securities and Excha-
Commission a under am, state securties laws. We
provide estimated Yates for private investment
wait is and structured products for riformatiarul
purposes only. Accesacy knot guaranteed.
- These values may differ ebstantiaht from prices.
any, at eh& a private twesenent security a
structured pnalact may be &Olt or told and do
not necessarily represent the vas you may receive
ton rquidetion.
▪ Thiel pity esbrnites of tale act as of a cerean
date and are suoplid to UBS Fnacial Services on a
regus baW by in independent vacation km.
- Issuer, general panne- or warner estimated vase,
ary, are supplied to the Fm by the Mauer,
genwal pane or sponsor and may be calculated
based on &feral irdonnation Iran that used by
thid parties to derive their strafed values.
- You can obtah additional ricernaion regarding
the methodology used to datemine the "Minato of
value ad the date of +a Hamann that is the
basis for the eranate by contact iv your Fe-uncial
Advisor.
- TAW party estnwed virtues met be reflected as
•Not eked' h sena I sit aims wfe n
Pdependent vitiation limn has not stippledor is
amble to assign a vale, when we become avare
that a materialevent has &oared tut may call a
poem& reported vela it question, or van a
value would be highlyspeculative due to Me natee
of the security.
- When neither an suer, general panne or sponsor
estimated irate nor a thrdiparty estimated vas if
mad. the value of the scanty will be &tenni
iron ispurchaseprice.
- • DssIsizoi cro to date • may include returnof
cadets', income te both
- 'Crignal int see' represent the maul Otero;
price per unit and may not reflect rxr cost basis
• Restricted securities Restreted warn in generally
are rot currently erigble Ice publk sale. UBSFinexal
Services toes Me &flit price of the unrestricted stock
of the same issuer as an enputed value lade
feinted stock lei purpons of this 3fatomont on. To
the relent Mat restricted securities are ergbh fa sae,
the vale received may be sdonantial& less than the
iftp-ted value drown
• Ea. Bastirneted) income. anent yield' and rates.
An estivate of aryl income is based on current
Sicked ad interest rates, assuming tee snakes will
be held for one yea from statement date or until
nutisity. This retinae bony a gaielne, accuracy
ad continued ncome are not emanated
- Estimated anal bone ant cvrent Wald fcr
certain types of seosities could include a retun of
pmcpalor opts' gains h wed& case the est
income Ord amen, yelc$ would be overstated.
- Estimated anal lean and twin yield and the
actual exam and yield *Iv be lower a higher
than the estimated amounts.
— An estMate of aruateed income (divdend anchor
interest) died ed by the current market
valaaverage balance it based on the tat dividend
or hitter payment made by the issuer and
assesses tie seas-bet/deposes will be held far act
year from the statement date or until mab.r Ay.
Accuracy erd continued weld we not garanteed
• Aston not held by U3S 'rancid Services. Certain
assets cue rot held by the Fern and nor within the
Fen's possession or &ova These assets de
dorolsyed on yon statement for informational
purposes only. Positions ad values presented an
p nded by the inui-9 fim UBS Francial Services is
not res&roble for Mos ilarnation arid &es not
guarantee as accuracy. These Assets are rot protected
by Silt or to Fan eaoplementalSIPC coverage.
• Revenue sharing and additional compensation.
— In addition to commissions on safes and 12b-t fees
received in correction war the distnbution
mutual funds to oat cent we mock, our /Baal*
receive revenue *Wing Payments from distributors
a-dor advisors of the impact funds that we sell.
Theseamounts are based on two dean
COMP:nentf-
tlY amcentol sale, by UBS of a
pa-titular mutual fund family to our clients,: and CO
the asset value of ape-hoar mutual fund I emit/3
share; held at the Inn
— We and as afliiate also recewe networking and
erne:usprocessing lees in consideration For
transfer Vent se vies that we provide to the
trawl fired, These fees genenllY are Pad from
investor assets h the mutual Sind and are a fired
dela amount based on tie number of accounts at
the brokaidealer holdng maul lads ot that fund
CONFIDENTIAL
— h notion tOCOmm6erninnened n connection
wth the sale or OstribiDon o1 a-rury contracts
and int rwestment mat units toot, <lents, we
ands our affair* recewe oven sharng
oarrpensaion tram many of the inesanc•
&moan ids underwriti-g the amity contracts,
*kites of Ire insurance corpanes or sponsors of
teen investment rusts we distrbee
▪ Oar affiliates also receive trading canrniskre and
other cornea-cationfrom mutual kr& and
nsuonce companies whose prOCIXIf we distribute.
- Werner,* an anti fee from UBS Bark LOA and
LIES AG Stanford Branch of up to szs per accost
sweephg so the barks under the UBS Bair Sweep
in:gran.
Activity
hbrrnation regudrig cant:nays and *tier &arr.
Ousted NI connedco with he etecutcn of rade,.
bduding option transactions ha barn included an
callirrnaions meow& furnished to you, an will be
provided to you growl& co recpest.
Short
F you are engaged in short selling a security, you may
hair a charge the to certain bcrrosag costs for that
particular secunty.
Open adore
Regamling open or 'soodtikanceflacr ceders tat
were not teecuted by the stammer( date, open buy an
sea stop orders are refixed by the amount of dividends
a rights on an e*dividerOs a antes date unless
hassled otherwise by yar. You are responsble for
orders that re Discoed de to your failure to cacti
Vining open orders.
Privity
To obtain a copy of az current Client &WrayNon
phew contact your Francis' Achisor or edit w website
ate.
UBS Financial Services is rota bark the RMA. Business
Senior( Account GSA and IRMA an brokerage accounts
which provide access to barking services a-idproducts
through arrangers-its web aft Aged bats at other
thrdbaly banks, aid provides access to nsura-ce and
anuty, procUcts toad by unaffiliated third.paly
insurance companies through Poura-cia agency
subsidiaries of UBS Finarcial Services Inc.
Investment, nsuraxe. at rutty products
Not IDIC inured • No bank guava.** May tee vela
RYA. Resource Management Account, Business Services
Account BSA, BMA ad alternation& Resource
Management Accost are registered service marts of
UBS Francis! Services he
Via *rave is a regidered snide* mark of visa
International uBs Via Sigmase credit cads at LES
yea debt cards are ise.red by UBS Bank USA with
prmession from no U.S A Incorporated
UBS financial Services Int
20402
SDNY_GM_00022231
EFTA_00 I 32851
EFTA01274988
S UBS
UBS Essential Semites Inc
299 Park Avenue
25th Floor
New York NY 10171.0002
CNP7005780483 0711 )Q V1 0
Account name: GH1SLANE MAXWELL
UBS Strategic Advisor
July 2014
GH1SLAINE MAXWELL
116 E 6511-1 STREET
NEW YORK NY 10065-7007
Your Financial Advisor:
SCOTT STACKMANLYLE CASR1EL
Phone 212.821.70001800-308.3140
Questions about your statement?
Call ,icia Fir-ran:Jar Advisor or the
Value of your account
RMA Resourceline at 800-RMA-1000,
account 029323574
on June 30 en
on July 31 (1)
Your assets
1,702,055 92
1,668,807 77
Visit our websIte:
bteArw.ub&comefinancia1senaces
Your liabilities
0.00
0.00
Value of your account
51,702,055.92
51 46%1307.77
Accrued interest in value above
16,893 05
Tracking the value of your account
S Thousands
88,206 39
1,702.1
As a service to you, your portfoko value of
$1,668,807.77 includes accrued interest
Sources of your account growth
during 2014
Value of your account
at year end 2013
sae°
Net deposits and
1,668.8
viiithdr.8445
31,638,608.19
Your investment return
Divdendard
interest income
426,110.87
Change in value of
accrued interest
48,296.39
Chance in
market value
-64,147 69
lun 2014
1J 2014
Value of you account
Orr Ad 31, 2014
51,668,807.77
SDNY GM 00022232
Member SIPC
CHP7C007005789483 NP7003168666 00036 0714 030579004 Y123574650010000
Page 67 of 100
CONFIDENTIAL
EFTA 00132852
EFTA01274989
SUBS
UBS Strategic Advisor
July 2014
Your account balance sheet
Account name:
GHISLAINE MAXWELL
Tne value of your account Induces assets minx u85 and cenan Mess held away Iran u8S. See page I
for more Idol:nation.
Summary of your assets
Value on
July 31
Percentage of
your account
A
Cash and money balances
0.00
000%
B
Cash alternatives
0 CO
000%
C
Equities
459,638.26
2814%
D
Fixed income
1,138,094.39
6820%
E
Non-traditional
0.00
0.00%
F
Commode ies
23,444.10
1.40%
37,631.02
2.26%
Total assets
Value of your account
$1,668,807.77
$1,668,807.77
100.00%
Your current asset allocation
Eye on the markets
Index
Your K Randal Advisor.
SCOTT STACK MANLYLE CASFOEL
212-821.7000800.3083140
Cash and money balances may include
available cash balances. UBS Bank USA deposit
account balances. 085 AG Stamford Branch
deposit account balances and money mat ket
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 July 31, 2014
3-month Treasury bills: 0.03%
One-month LIBOR: 0.16%
Percentage change
July2014
Year to date
-1.38%
5.66%
-1.97%
4.83%
-1.96%
3.08%
-0.25%
3.66%
0470003005769484 NP70C01$3665P3036 0714 030575004 Y123574S50011MyGrit000lltra368 of 100
CONFIDENTIAL
EFTA_00132853
EFTA01274990
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