EFTA01252367.pdf

*UBS UBS Financial Services Inc 299 Park Avenue 25th Floor Resource Management Account New York NY 10171.0002 November 2015 CNP70056439451 11 5 Y2 Y1 0 OHISLAINE MAXWELL 116 E 65TH STREET NEW YORK NY 10065.7007 Account name: GHiSLANE MAXWELL Friendly account name: Ind CasNSaving Account number. Your rinandal Advisor- SCOTT STACK MANILYLE CASRIEL Phone: Questions about your statemeet7 Call your Rnancial Advisor or the Value of your account RMA Resourcetine at 800-RMA-1000, on October 30 (5) on November 30 (5) account 029323575. Your assets 3,847,398.37 4,057,096.22 14sIt our websIte: Your liabilities 0.00 0.00 www.ubs.corntfinancialservices Value of your account 53,647,398.37 $4,057,096.22 Sources of your account growth Tracking the value of your account during 2015 value of your xenon t S lhovi.ancs at year end 2014 54,20069.81 Net deposits and 4,2089 4057.1 withdrawals 4154,725.68 3.84' 4 9- Your nveStinent return. Dnidendarxl interest income 96,445.16 Change in market value 43,493.07 Value of your account Nov 2115 on Nov 30, 2015 14057.096,22 DK 2014 Oft nis SDNY GM 00023052 PA•mbor SIPC CNP7000S005643445 NP7000197349 00007 Page 1 of 8 CONFIDENTIAL EFTA_00133672 EFTA01252367 SUBS Resource Management Account November 2015 Account name: GHISLAINE MA,AN ELL Friendly account name:Ind:CasPiSaving Account number: Your A modal Advisor. SCOTT STACK MANLYLE CASRIEL Your account balance sheet Summary of your assets Value on Percentage of November 30 ($) your account A Cash and money balances 0.00 000% Your current asset allocation B Cash alternatives 555,582.39 13.69% I C Equities 0.00 a00% D Fixed income 3,501,513.83 86.31% E Non-traditional 0.00 0.00% F Commodities 0.00 000% G Other 0.00 000% Total assets $4,057,096.22 100.00% 0 Value of your account $4,057,096.22 Eye on the markets Percentage change Index November 2015 Year to date S&P 500 0.30% 3.01% Russell 3000 0.55% 2.58% MSC - Europe, Australia & Far East -1.54% 0.95% Barclays Capital U.S. Aggregate Bond Index -0.26% 0.88% Interest rates on November 30, 2015 3-month Treasury bills: 0.21% One-month LIBOR: 0.24% CNP70003005613446 NP7003190349 00037 11I 5 030575004 M_0002309Y0 2 of 8 CONFIDENTIAL EFTA_00133673 EFTA01252368 SUBS Resource Management Account Account name: GH1SLAINE MAXWELL Your Pi vandal Advisor: Friendly account narne:Ind.CaShiSaimng SCOTT STACK MANYLYLE CASRIEL November 2015 Account number. Change in the value of your account Summary of gains and losses Yaues reported teicw exclude products for which gain anO iosses are not classified. November 201 5 (31 Year to date (I) Realized gains and losses Unrealized Opening account value $3,847,398.37 $4,208,869.81 November 2015 (1) Year to date (1) gains and losses (3) Deposits, including investments transferred in 507,936.76 1,376,240.24 Short term 0.00 0.00 -3,493.07 Withdrawals and fees, including investments transferred out -300,00000 -1,530,965.92 Cash activity summary See Affoont ettnrty thrs month for dela IS Elniar(eS in your SveeDOPitiOnS are includedin the opening and Dividend and interest income 1,761.09 6,445.16 C1C6ing booms yaw. FDIC insurance apPleS Curly 10 depOsits a U8S Bank VSA., not to CepO9TS at 1185 AG. Stamford Band) or bank deposits paucithrourp the UBS inteinanorta Deposit Account progarn. SIPC Change in market value 0.00 -3,493.07 protection applies to money market sweep fund hddirgs but rot bank *posits. See important inSomnahon aboat your statement on the tint two pages a( this document for eetals. Closing account value $4,057,096.22 34,057,096.22 November 2015 (3) Year to date (1) Opening balances $0.00 $0.00 Dividend and interest income earned Addittons roe cuiposts of its slaterneni, ra.an:ity of 'nines! an) doden0 income n.Y. been (*leg/Inflect than a US Deposits and other funds credited 507,936.76 1,376,240.24 tar repotting percprdne. gaga upon the resident, of the account holder, account type, or product two, some interest ardor dvidend payments may not be subject to United Staes (US) ardor Puerto Rico (FR) Dividend aid interest income 1,761 09 6,445 16 Income tares. The (tent month)/ statement is not intended lo be used and (wool be reeed ubOn fa lac purposes. Clients should refer to the asxlictle tar reporting loam they recent. from 185 annualy, such as Proceeds from investment transactions 300,000.00 5,130,972.45 the franc* 1099 and the PCOnS 480, fOr tac reporting information it IS the practice of U85 to file the exegetic, tar reporting forms with the US interne Revenue Sennce and PR r«asury Department and in Total additions $809,697.85 $6,513,657.85 such forms accurately ossify diu*nct ardor interest &siert exempt or to able incur. Plea, consult your indeduel tax prepare( Subtractions November 2015 (l) Year to date 13) Other funds debited -300,000.00 -1,530,965.92 Taxable dividends 1,761.09 6,443 52 Funds withdrawn for investments bought -509,697.85 -4,582,691.93 Taxable interest 0.00 1.64 Total subtractions -S809,697.85 -$6,513,657.85 Total current year $1,761.09 $6,445.16 Total dividend & interest $1,761.09 $6,445.16 Closing balances $0.00 S0.00 SDNY GM 00023054 C eiP7C009305643947 NV7003193349 00037 11150305790041 Page 3 of 8 CONFIDENTIAL EFFA_00133674 EFTA01252369  Account name: r3HIS AINE NiA'+1h'Etl. *UBS Resource Management Account November 2015 friendly account narne:Inl Ca.."-Jcavng Account number. Your Knandal Advisor srf-71 STACY P.V.MrLYLF ,TACk EL San. UBS Bank USA Deposit Account APY Interest nem() Oct 7 - Nov 5 Opening UBS Bank USA Deposit balance Oct 7 $178,483.70 Closing UBS Bank USA Deposit balance Nov 5 $0.00 Number of days in interest period 30 Average daily balance $0.02 Interest earned $0.00 Annual percentage yell earned 000% Your investment objectives: You have identified the following investment objectives for this account If you have questions about these objectives, disagree with them, or with to change them, please contact you Franco' Advisor or Branch Manager. You can find a full description of the alternative investment objectives in important information about your sratementat the end of this document Your return objective: Current income 8, caPital appreciation Your risk profile: Primary Moderate investment eligibility consideration None selected Your account instructions • Your account cost bases default closing method is FIFO, First In, First Out. CNP7ODC0305643448NP7OCOIS034903C07 INS 030575004 _GM_00023Age 4 of CONFIDENTIAL EFTA_00133675 EFTA01252370 SUBS Resource Management Account Account name: GHISLAINE MAXWELL Your Finandal Advisor: friendly account narne:Ind.CashSawng SCOTT STACK MANLYLE CASRIEL November 2015 Account number. Your assets Some prices, income and current vaues shown may Ise approximate. AS a result. galas sidlosses may riot be accurately reflected. Set smporunt inkvenanon atrout your statement a the end of ths cticumem fOr mote information_ Cash alternatives Money market funds Money market funds are neither insured ror guaranteed try the Feder$ Oeptisil Insurance Corporation (x any Other gOke'went agency. Although money market fundS Seek 10 areseive ire value of your in‘estrnent at Si 500 per share. ins possible to lose money by investing in these funds, rotas reinvested is the tots cr d reinvested dvdtnds II does rot include any cash drAcends. n Is not a tar Uneesized pax) gam oe loss is the titrereme between the current value and me con basis ad would lot fa the purposes of determining bardrg periods or cost basis. The shares you receive each ',cc* you generally be your taxed e gan or loss if the leeway was sold on this date. The unrealized ear) gan or loss may reinvest d %Mends become a separate fax Id need to be acEusted for red Len of cared pompNs in order to determine the reaTred gain or loss for tax Cost bases is the tots purchase cost of the security. inducing reinvested d odends mire cost basis may reposing Purposes need to be Oustedfor return el capital payments in order to determine the Aimed coil barn for tat Investment corium n the current value minus the .;mount you invested does not include share; that are not recortirg purposes reflected on your laterbeM, indudno shares that have been *aired as either a gain or alas. R aso ctes not 'novae cash clAdenC6 that were no reinvested eutChlik prefer NwrOer Average price Client Cost Price per share value on unrealized Investment itching Hddng cf shoes per share (1) Investment (1) basis (S) on Nov 303/ Nov 30 (S) on or loss (S) return (5) period U8S SELECT PRIME INSTITUTIONAL FUND 555,582.390 1.000 555,592.39 555,582.39 1.000 555,582 39 EAl. 4500 Current yield 009% Fixed income Mutual funds Total eernvested is the total d as reinvested dvidends n does not include any cash dwdends. It is not a Onreakzed (ridge., or foss is the dfference between the current value and the cost basis and wairld tar lot for the ourtoSeS Of detenninng hcircing periods or cost basis. The shares you receive each time you generally be your tactile gain or loss d the security was soldpiths date. The unrealized Rad Gan Cr loss may relinest dwdendS becamea separate tax at. need to be ads/sled for return of capita PERMentS In order to determine the realized gan or loss fa lac Cost bases is the tali purchase cost of the security. inducing ronvesteddudends The con basis may reporting purposes_ need tO be °lusted for return d capital payments in order 10 deft/Moe the °lustedcost basis for tat investment return is the current value (onus the amount you Invested. I does me Include ShareS that zre no retOrting imposes. reflected on your statement, inducing shares that hare been realized as either a gan Or a toss. It also noes not include cash dgdends that were not reinvested Purchase pied Number /tempt once Client Cost Price per shoe Value on Unrealized ea•) imestment Nadi"; Hddng of shares per share (t) investment (S) basis (S) on Nov 30(S) my 30 (1) gsin or loss (S) return (Si period PLCFNAM SHORT CURATION INCOME FUND Y continued next page SDNY GM 00023056 CelP7C003305643949NP7003197349 OOCO7 NIS 030579004 Pane S of 8 CONFIDENTIAL EFTA_00133676 EFTA01252371  Account name: GHISLAINE MAXWELL UBS Resource Management Account November 2015 Friendly account name: IndCashrSaving Account number: Your Amanda Advisor. SCOTT STACK MANLYLE CASRIEL YOLK assets Fixed income . Mutual funds (contrived) Purchase price IAlaner Average pece Client Cost Prxe per share Value on On/edited Oen) inwstment Hddng Hddng ot :hare: per share (1) rneestrnent (5) basis (l) on /Soy 30 (5) Noy 30 (5) grins or loss (S) return (5) period Symbol: PSDVX Trade date: Jul 20, 15 348.605 578 10.040 3,500,005.25 3,500.005 25 10.030 3,495,513.95 .3,491.30 sr Total reinvested 498.493 10.033 5,001.65 10.030 4,999.88 •1.77 EAI: $21,295 Current *Id, 0.61% Security total 349,104.071 10.040 3,50000525 3,505,006.90 3,501,513 83 -3A93.07 1,508.58 Your total assets Percentage ol Cost Estimated UrvealiZe0 value on Now 30(5) your account town (51 annoy inane (S) 9On or loss (5) Cash alternatives Money market funds 555,582.39 13.69% 555,582.39 500.00 i5xed income Mutual funds 3,501,513.83 86.31% 3,505,006.90 21,295.00 -3,493.07 Total $4,057,096.22 100.00% $4,060,589.29 $21,795.00 43,493.07 Account activity this month Crate Actinty Description AMOunt (I) Deposits and other funds credited Nov2 Transfer JOURNAL FROM VI 23570GHISLAINE MAXWELL 126.78 Nov 2 Transfer JOURNAL FROM Y I 23571GHISUsJNE MAXWELL 231.56 Nov2 Transfer JOURNAL FROM Y1 23572GHISLAINE MAXWELL 2,104.18 Nov2 Transfer JOURNAL FROM VI 23568GHISLAINE MAXYVELL 392,08632 Wu, 2 Transfer JOURNAL FROM VI 23574GHISLAINE MAXWELL 113387 92 Total deposits and other funds credited $507,936.76 Oat nanny Descry:mon Amount (5) Dividend and interest income Taxable dividends Nov2 Cwidend PUTNAM SHORT DURATION INCOME FUNDY AS OF 10130(15 1,704 20 Nov 30 Dvdend UBS SELECT PRIME INSTITUTIONAL FUND 56.89 Total taxable dividends $1,761.09 Total dividend and interest income $1.761.09 Cote Actiely Desorption Annurl (S) Other funds debited Nov 20 Withdrawal FEDERAL FUNDS COMPUMENTARY FED FUND WIRE TO Haddon, Morgan -50,000.00 and Foreman, AT WELLS FARGO BANK, NA continued next page CtIF7C0C0305643950 WOG°i S0349 COCO? 1115 000230JMe 6 of 8 CONFIDENTIAL EFTA_00133677 EFTA01252372  Resource Management Account Account name: GHISLAINE MAXWELL Your PInandal Advisor: SUBS November 2015 friendly account name: Ind:CasNSawng Account number. SCOTT STACK MANLYLE CASRIEL Account activity this month (contrived) Date Actinty Description AMISH (5) Other funds debited (continued) Nov23 Transfer JOURNAL TO VI 28776 GAISLAINE MAXWELL -250.000.00 Total other funds debited .5300,000.00 levestment transactions For more IMonition about the price/value shown for restricted securities, see Important information about your statement M Me end of this clxunent. Proceeds Iran Funds investment witbdown fp Accrued Date Acthity Description Quantity Yale CS) nice CS) Transactions (S) investmentsNaar (s) I merest CS) Nov2 Reinvestment PUTNAM SHORT DURATION INCOME FUND V 169.910 • 1,704.20 DIVIDEND REINVESTED AT 10.03 NAV ON 10/36/15ASOF IC/30I1S Nov3 Bought UBS SELECT PRAVE INS1T/UTONAL FUND 507.936.760 -507,93676 Nov 20 Sold UBS SELECT PRIME INSTITUTIONAL FUND -50,003.000 50,000.00 Nov23 Sold MS SELECT PROVE INSTITUTIONAL FUND -250,000.000 250,003.00 Nov30 Reinvestment 1.185 SELECT PRIME INSTITUTIONAL FUND 56.890 -56 89 DIVIDEND REINVESTED AT I.00 NAV ON I If 30115 Total $300000.00 -$509,697.85 Date ActMty OescrtsbOn mrount Money balance activities Oct 30 Balance forward $0.00 Nov 3 Deposit UBS BANK USA DEPOSIT ACCOUNT 250,000.00 Novo Withdrawal OBS BANK USA DEPOSIT ACCOUNT AS OF 1V03/ 15 -250.000.00 Nov30 Closing UBS Bank USA Deposit Account $0.00 The UBS Bank USA Cepopt Account is your primary sweep coon Oct 90 Balance forward $0.00 Nov 3 Deposit UBS AG DEPOSIT ACCOUNT 257,936.76 Nov 4 Withdrawal UBS AG DEPOSIT ACCOUNT AS Of 11103/15 -257,936.76 Nov 30 Closing UBS AG Deposit Account $0.00 me UBS AG Deposit Account is you secondary sweep °plot OriNY GM 00023058 CNP7000S00564.3951 NP7000193349 00007 1115 030575004 Page 7 of 8 CONFIDENTIAL EFTA_00133678 EFTA01252373 *UBS Yournotes CONFIDENTIAL EFTA,B36, EFTA01252374  Important information about your statement U3S Financial Semites M. the F im or UBS Amami* - r nattr nt,-rror rrj ,rt: for cash). The SIPC asset protection limits al)02f0 account Mkt, you choose one of the following Services), is a merrter of all orincbol scarily, ammo* — Mate the error or tie kande( you at umure yl accuts Mat youhold in a panictitim capacity. imesment objectirer and cptcris exchages. 1.036 Financial Settees and LES abota, and explain as clay as you cal shy you The Finn, together with certain affiliates, ha alto • Prague Current/mom.. minim as sedng the Bank USA at rdrect abdomen of LES AG and bairn t is an error cr why you need more pathos* wppbrnental protection. The megrim generation of income only. anilines of LBS Se:train U.C. The Fin,'. Glenda' 1-demotion mount mire to el eIgige clams, colecleery coder • Mist* Opt*, Approciatan: Iniontrnentt making statement is available upon reopen. The Firn's adage.* — ProMde the dollar amotnt of the suspected CfrCr• this protection is 1500 millon as of (*center 10, 2013. yowl" of prncpalrather than the gen/ration of off ices am a: nose e. The Firm or Cad Issuer wil Menge,. Jour ampairt Wont rode poky corditons ad Imitations, cash • Produce Combination of erten' and Capital Finincul Seeneet and MI correct any error prompter. I see take nom ton the Firm is totem protected for tp to %I 9 million el the of seektg both the generator 1200 Harbor Eitulward ICS business dad to do iht. we wit credi your accomt ammigate for all dour amounts held in a partimlar of noon* and go:mho' Weehawken, NJ 07086 For the mount you their 6 hem* so tat you will haw capacity. A fta copy of tie poky wading is mailable Meuse of the matey dring the tine h takes us to Up011 Owen risk profiles This statement represents the cc* officialreccrd of you complete our fumigation. 1.85 Feircial Semites account. Other war* rapt The SIPC protection and the supplemental protection • Comstwatid. Seeks to matitin ntuH prinepat with official tar doarnents. containing confided data shot* Fleas" make all *yds payable to the Fim or kw both do not tank' to' low risk and volatility to the amount owral, e'en if rot be reliedIan If youbedew there is an emx or thenctal id:tut:on rdcated on tie front of this dig means the account does not generate signetcant • Certain financial assets controlled by (and ticludd n mom a mum aid may rot keep pace with emission please capon h immediately n **mg to the statement hag:kir to regal., accost fees meant, your account value) WI held away Morn UBS imaginal Iffinch Manager el the *ice soaring your account. may be subject to mai-mono lees, charges for late Services (e.g., remain(0 cosh at LBS Bark. (i) cab at inflation. mammy for warkin purchases and chums kr unpaid LES AG Suamliad bunch, (id i-turame Froelich, • Madmen Wiling to accept some risk to pincaol ad Mktg, al Figures shown are ntended to be accurate. area is n cash accounts. Accounts that at hardened including variable annunin, and 00 Mores of mutual *lure some votatAty to seek hgher returns. statement data shxdd not be used for tar purposes Rely to other institutions may be subject to a trawler fee. finds where such shares are registered drectry n the • Apprespie: Wiling to accept high rise to prnopal and solely on yeatend lax SCOTUS. Form 1009 5498. nane of re ammo" holier on tie bock, ad records hi/awl:stay to seek highreturns over tine. 10425, etc.) whinpreprigyour tar return. The Finn UBS Sweep Optima of re applaud* Mau or transfer agent), required by low toreport to tie IRS all taxabk Maiden* MSS offers cptiass kr simpfg cash balances, Winces • Certain rmnImeed contracts or irractrued intermit Statement Imuseholdne report** raktaicable cluidends and gable Meng to ba-A deposits at UBS Bak USA and UBS AG Starricrd (eg., limited panneerhix and private placement.) tat We may consoldre al related account statements with end en Pasties Feld nye., roost,net proceeds trench (Bank Sweep Programs), money market mutual ere rot registered under the Securnes Act of 933; UV sane address n the SIITO eurebm. OCC0J115 may on sae transactors, and cog Lod on certain covered bra (Money Fula) rdtheMeng *nalDepose ad be related Ice this purpose bemuse they have owners martin. Accoum (1)Arct customers with an international • Cornnoditaes contacts (e.g, foreign "charge and who ako maintain gilt accost relaionships with other Remote Management Account. Through tie Bank prec tus metal caged* including futures contracts chink at the same address. This Draftee 6 known as Comentnications with the Fire Sweep Programs. cash balances ere swept to 11135 Bak ad commodity option f f •hatelroldrg 'Ilya; prefer to receire tdbedual • Please re-confitm any oral corm-km*03ns in wring USA up to an established knit ad then to UBS AG statements mated n separate envebms — you may to fuller protect your rips, MIAng your rapt, Stanford Braids a a Money Fund. Deposits at U85 The SIPC protects* and dm suppkmental protection do decline hauseholding by calling parr Fhancial Ackitor. index the Sodritin Investor Protection An (SEA) Bank USA are FDIC inured in accordance with FDIC not apply to these asset es,if Sty otherwise appear • B the fMax ial fentition an the tcp lets of Me pant nat. For core ilennation pease kit wrmidic on du Materna*. The SEC ototecien ad the Friendly account name of this statement is not LBS Fnaxbl Servkes, LGS Deposes at LES AG StanfordBra-ch aid shams of sdPakerrental protection do not prefect agent changes The Friendly account mane reflects int°maim that you Financial Services canes you account as Mang Matey Funds at rot inbred by the FDIC. in the malim vabe of your investments (whether as a entered cat the firm's online services veggie. It a a broker byma-gement well the ticketed ingauton result of market monerment, issuer brkruptcy cr ciatornitable tnielrierm • chosen by you to mkt yea We *Mimed you of the radon** when you Through the OA, arailable ton* Wirers are swept to Ph/rickey with your recordkeeping it has no legal effect an your opened this OCCOJII. In hi cask your kr& arid depose accounts a UBS AG Hew Yak Branched LBS account. You can change yea Riendryaccomt names. seosities are located a UBS financial Semites and rot AGC wanBrad-. These deposits are not Mitred by More idorrrotion is maitre iron reamsf Yoo may thwugh Orre Services a by contactrg you Fina-cial re froolcigbroker, and youmatt mace a report tieFOC. Balances held at the LES AG Cayman Branch obtain more information about SIPC, holding the 51K Achisor. of ay emx or emission to both firms. ate temporally imposed to the sovereign irk of the Brochure, by contacting SICC at /02-3738300d by Carron "lands, and Mete is no gwartee a other twig the SIC *Otte ariontw.alptoop Acuson overview All account statements shall be cleaned ccenOte and *Coition of LES AG to repay Me balances while cash, • trate accountipordoko Net of moats and accurate t not objected ton twiii-g within 60 days. LES Cayman's Brach's books. Dividend Reiwertment Program (DRIP) The price reflected is an mere?. price You may obtan • Atka loofas eyelids cash balances. vales l or • Please divot customer complaints or tickies to he Deposits at MS Bait USA and eachUBS AG Branch are the actual price from you Financial Advisor. Orty whole restricted storey lest), and Global Free Deposits, Fim'sClem Relations Depavnent a 201.352.1699 not protected by SIC. Money Find shoes are protected darn re putchnediadm DRIP; partial theses will be wreaked marks to market, and revisit assets not held or toll-free at 8C0-3S4-9103, 8:00 A.M. to 6:00 P.M by SIPC See '3135 Ftoncial Services Account Thotecticnt cod ad the each wff be deposited M your account. TM by to Fim. Does rot include unmated motile/assets ET Monday through Friday, a in *Mfg to U3S bebw. rkeiderd reinvestment pricesupplied byte issuer may at the end of the pior and norm statement periods, or Peened %Nees Ix., Client Relations DePatment, Offer from the market price at Moth tie partial shares pane vented stock options and P.O. Box 766 Union City, NJ 07087. Upon yam: regret, balances in re Bad Sweep ye sold 'amenable stock options • hum of errors or chrestirs about an electronic Programs a OA may be withdrawn and shorn of a • Liakkies Include, debt Winn edge-ding rnagn funds transfer f&T bt psyment cr UBS Vodeclebit Money Find may be liquidated, ad the proceeds Cadelelieu loaf, credit rev, 001accord batmen. card transactions, call 800-762-1000, a wife to UBS returned to you or your searties amount. Crib' whole units may be held n yotr account. if you at • CashAeoney balances. Total of uninvested available Fe-uncial Services lx., 1000 Hata Bic*, 6th floor, entitled to a paid unit as a result °far:Gilded payment cash balances, plus UBS Bak USA deposit es,LBS Vikehankert NI 07086, Attrc Ret103SA Sew*. Fitter Holm** about available sweep optiant, • amermse, the Firm *11ether sell panal Wt, at AG Stamford (ranch depose balan