EFTA00236389.pdf

US$ Finanaal Services Inc. UBS 299 Park Avenue 25th Floor Resource Management Account New York NY 10171-0002 September 2014 CNP7006552657 0914 XI2 VI 0 GHISLAINE MAXWELL Account name: GHISLAINE MAXWELL Friendly account name: Cash/Savings Account number: Y1 23575 S5 Your Financial Advisor. Phone. Questions about your statement? Call your Financial Advisor or the Value of your account RMA Resourceline at 800-RMA-1000, on August 29(S) on September 30 (5) account 029023575. Your assets 6,624,321.96 6,076,451.41 Visit our website: Your liabilities 0.00 0.00 www.ubs.corrVfinancialservices Value of your account $6,624,321.96 $6,076,451.41 Soirees of your account growth Tracking the value of your account during 2014 Value of your account Thousands at year end 2013 50.00 6,624.3 Net deposits and 6,076.5 withdrawals 56,075,829.53 Your investment return: Dividend and merest income 5621.88 Change in market value 50.00 Value of your account on Sep 30, 2014 $6.076.451.41 Aug 2014 Sep 2014 Member SIPC C NP700090O5552657 NP7000298W0 0C007 0914 030575004 Y I2 3575550 110000 Page 73 of 100 CONFIDENTIAL UBSTERRAMAR00000690 EFTA00236389  Resource Management Account Account name: GHISLAINE MAXVVEU. Your Financial Advisor. UBS September 2014 Friendly account name Cash/Sayings Account number: Y1 23575 55 Your account balance sheet Summary of your assets value on Percentage of September 30 (5) your account A Cash and money balances 0.00 0.00% Your current asset allocation • B Cash alternatives 6,076,451.41 100.00% C Equities 0.00 0.00% D Fixed ilcome 0.00 0.00% E Non-traditional 0.00 0.00% F Commodities 0.00 0.00% G Other 0.00 0.00% Total assets 56,076,451 41 100.00% B Value of your account $6,076,451.41 Eye on the markets Percentage change Index September 2014 Year to date S&P 500 -1.40% 834% Russell 3000 -2.08% 6.95% MSCI - Europe, Australia & Far East -3.81% -0.99% Barclays Capital U.S. Aggregate Bond Index -0.68% 4.10% Interest rates on September 30, 2014 3-month Treasury bills: 0.02% One-month LIBOR 0.16% CNP70309006552658 NP7000298800 00007 0914 030575004 Y123575550110000 Page 74 of 100 CONFIDENTIAL UBSTERRAMAR00000691 EFTA00236390  Account name: GHISLAINE MAXWELL Your Financial Advisor. Resource Management Account ICI UBS September 2014 Friendly account name: Cash/Savings Account number: Vi 23575 55 SCOTT STACKMAWLYLE CASRIEL Change in the value of your account Cash activity summary September 2014(5) Year to date (S) See Account activity this mond, for detais. Balances in your Sweep Options are included in the opening and dosing balances value. FDK insurance applies only to deposit at UBS Bank USA. not to deposits at UBS AG, Stamford Branch or bank deposits placed through the UBS International Deposit Account program SIPC Opening account value $6,624,321.96 $0.00 protection applies to money market sweep fund holdings but not bank deposits See Important information about your statement on the last two pages of this document for details. Deposits, including investments transferred in 2,340.15 7,176,589.42 September 2014 (5) Year to date (5) Withdrawals and fees, Opening balances 50.00 50.00 including investments transferred Additions out -550,315.09 -1,100,759.89 Deposits and other funds credited 2,340.15 7,176,589.42 Dividend and interest income 104.39 621.88 Dividend and interest income 104.39 621.88 Closing account value 56,076,451.41 56,076,451.41 Proceeds from investment transactions 550,315.09 1,110,440.06 Total additions $552,759.63 58,287,651.36 Dividend and interest income earned Subtractions For purposes of this statement. taxability of interest and dMdend inaame ha been determined from a US Other funds debited -550,315.09 -1,100,759.89 tax reporting pefspective Based upon the residence of the account holder, account type, or product type. some interest and/or dividend payment may not be subject to United States (US) suitor Puerto Rko (PR) Funds withdrawn for investments score taxes. The client monthly statement 4 not intended to be used and cannot be relied upon for tax purposes Giants should refer to the applicable tax reporting forms they receive from UBS annualy, such a bought -2,444.54 -7,186,891.47 the forms 1099 and the Forms 480, for tax reporting information his the practice of UBS to file the applicable tax reporting forms with the US Internal Revenue Service and PR Treasury Department, and Total subtractions 4552,759.63 -$8,287,651.36 such forms accurately classify dividends anclior interest a tax exempt or taxable income Please consult your individual talc prepaer. hosing balances $0.00 $0.00 September 2014 (5) Year to date (S) Taxable dividends 104.39 620.18 Your investment objectives: Taxable interest 0.00 1.70 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 Total current year $104.39 5621.88 Financial Advisor or Branch Manager. You can find a full description of the alternative Total dividend & interest $104.39 5621.88 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 consideration - None selected CNP70009006552659 NP700O298800 00007 0914 030575004 Y123575550 1 ICOX Page 75 f ' , CONFIDENTIAL UBSTERRAMAR00000692 EFTA00236391  Resource Management Account Account name: GHISLAINE MAXWELL Your Financial Advisor. UBS September 2014 Friendly account name: Cash/Savings Account number: Y1 23575 55 SCOTT STACKMAN/LYLE CASRIEL Your account instructions • Your account cost basis default closing method is FIFO, first In, First Out. CNP70009006552680 NP7000.298800 00007 0914 030575004 Y123575550110000 Page 76 of 10:: CONFIDENTIAL UBSTERRAMAR00000693 EFTA00236392  Resource Management Account Account name: GHISLAINE MAXWELL Your Financial Advisor. Friendly account name: Cash/Savings UBS September 2014 Account number: Y1 23575 55 SCOTT STACKMAN/LYLE CASRIEL Your assets Some prices. income and current values shown may be approximate As a result. gains and losses may not be acosately reflected. See important information about)ourstaternent at the end of this document for more information. Cash alternatives Money market funds Money market funds are neither insured nor guaranteed by the Federal Deposit Insurance Corporation or any other government agency. Although money market funds seek to preserve the value of your imestinem at SI CO per share, it is possible to lose money by investing in these funds. Total reinvested is the total of all reinvested dividends. it does not include any cash cfnidends it is not a tax unrealized ftaxigain or kiss is the difference between the current value and the cost basis and would lot for the purposes of determining holang periods or cost basis. The shares you receive each time you generally be your toad, gain or loos if the security was sold on this date. The unreaked :tax) gain or loss may reinvest dividends become a separate tax lOt need to be adjusted for return of capital payments in order to determine the leaked gain or loss for tax reporting purposes Cost basis is the total purchase cost of the security, inducing reinvested dividends The cost basis may need to be adjusted for retail of capital payments in order to determine the adjusted cost basis for tax investment return is the current value minus the amount you invested It does not include shares that are not reporting purposes reflected on your statement, including shares that hae been realized as either a gain or a loss It also does not include cash dividends that were not reinvested Purchase price/ Number Average price Client Cost PrKe per share Value on Unrealized Investment Holding Holding of shares per share (S) invesbnent IS) basis(S) en Sep 30(S) Sep 30 tS) gan or loss (S) return IS) period UBS SELECT PRIME INSTIRTRONAL FUND 6,076,451 410 1.000 6,076,451.41 6,076,451.41 1.000 6,076,451.41 EAI: 41,215 Current yield: 0.02% Your total assets Percentage of Cost Estimated Untealsted Value on Sep 30 (5) your icemen basis(S) annual income (SI gain a loss (5] Cash alternatives Money market funds 6.076.451.41 100.00% 6,076,451.41 1,215.00 Total $6,076,451.41 100.00% 36,076,451.41 $1,215.00 Account activity this month Date Activity Description Amount IS> Deposits and other funds credited Sep 2 Transfer FM Y1 23572 5100 1,376.93 Sep 3 Transfer FM Y1 23571 7100 38.59 Sep 3 Transfer FM Y1 23570 9100 57.80 continued next page CNP7030900655266i NP70002988C0 00007 0914 030575004 Y123575550110000 Page 77 of 100 CONFIDENTIAL UBSTERRAMAR00000694 EFTA00236393  S Resource Management Account September 2014 Account name: GHISLAINE MAXVVEU. Friendly account name Cash/Savings Account number: Y1 23575 55 Your Financial Advisor. SCOTT STACKMAWLYLE CASRIEL Account activity this month (continued) Date Activity Description Amount IS) Deposits and other funds credited (continued) Sep 4 Transfer FM Y1 23570 9100 155.96 Sep 4 Transfer FM Y1 23568 7100 710.87 Total deposits and other funds credited $2,340.15 Date Activity Desmption Amount (SI Dividend and interest income Taxable dividends Sep 30 Dividend UBS SELECT PRIME INSTITUTIONAL FUND 104.39 Total taxable dividends $104.39 Total dividend and interest income $104.39 Date Activity Description Amount It Other funds debited Sep 24 Transfer TO Y1 25339 1100 -400,000.00 Sep 26 Transfer JOURNAL TO Y1 23692 116 EAST 65TH STREET U.0 -150,000.00 Sep 29 Transfer TO Y1 23570 9200 -315.09 Total other funds debited -$550,315.09 Investment transactions For more liformation about the priceNalue shown for restricted securities, see important m formation about )dux statement at the end of this document Proceeds from Raids investment withdrawn for Acaued Date Activity Description quantity Vela (51 Pria(SI tranactions (Si investments bought (S) interest(SI Sep 2 Bought UBS SELECT PRIME INSITRMONAL FUND 1,376.930 -1,376.93 Sep 3 Bought UBS SELECT PRIME INSTITUTIONAL FUND 38.590 -38.59 Sep 4 Bought UBS SELECT PRIME INSTITUTIONAL FUND 924.630 -924.63 Sep 23 Sold UBS SELECT PRIME INSTITUTIONAL FUND -400,000.000 400,000.00 Sep 26 Sold UBS SELECT PRIME INSTITUTIONAL FUND -150,000.000 150,000.00 Sep 29 Sold UBS SELECT PRIME INSTITUTIONAL FUND -315.090 315.09 Sep 30 Reinvestment UBS SELECT PRIME INSTITUTIONAL RIND 104.390 -104.39 DIVIDEND REINVESTED AT 1.00 NAV ON 09/30/14 Total $550,315.09 42,444.54 CNP70009006552662 NP7000298800 °Cal 0914 030575004 V123575550 11CCOO Page 78 of 10(: CONFIDENTIAL UBSTERRAMAR00000695 EFTA00236394  Resource Management Account Account name: GHISLAINE MAXWELL Your Financial Advisor. Friendly account name: Cash/Savings 50011 STACKMAWLYLE CASRIEL UBS September 2014 Account number: Y1 23575 55 Account activity this month (continued) Date Activity Desaiptiai Amount IS) Money balance activities Aug 29 Balance forward $0.00 Sep 4 Deposit UBS BANK LISA DEPOSE ACCOUNT 57.80 Sep 5 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 09/04/14 -57.80 Sep 24 Deposit UBS BANK USA DEPOSE ACCOUNT 250,000.00 Sep 25 1Mthdrawal UBS BANK USA DEPOSE ACCOUNT AS OF 09/24/14 -250,000.00 Sep 30 Closing UBS Bank USA Deposit Account $0.00 the UBS Bank USA Deposit Account is your primary mem option Aug 29 Balance forward $0.00 Sep 24 Deposit UBS AG DEPOSIT ACCOUNT 150,000.00 Sep 25 Withdrawal UBS AG DEPOSIT ACCOUNT AS OF 09/24/14 -150,000.00 Sep 30 Closing UBS AG Deposit Account $0.00 The UBS AG Deposit Account is your secondary sweep option. CNP70009006552663 NP7000298W0 00007 0914 030575O04 Y123575550 11CCU: Page 79 ', CONFIDENTIAL UBSTERRAMAR00000696 EFTA00236395  UBS Your notes CNP70009006552664 NP7C00298800 00307 0914030575004 P123575550 11C000 Page 80 of 10C End of statement for account number Vi 23575 S5 CONFIDENTIAL UBSTERRAMAR00000697 EFTA00236396  Important information about your statement IBS Enamel Services tic One fern a UM Hamel Servers), The Fen a Cad ester wll nventgate your complaint end holder a. fie looksrid wads d the JcplKabee issuer a envelopes — you may dec Inc bouseholcing by care year sane-ter of all peep& seturen carroodoly end Ways wecarat at ever proropily Paler agent). inarcol Advisor «hews UBS Frontal Senses and LAS Bank USA are ndorect subsckares of UM AG and affiliates of VAS Secuntes Please rake all drecie bard* to the Fan a the fnancel • Certain investment canrama mestrnent regrets (t g. Friendly account name LLC the Fan's fnancel state-nerd emodern. teen ceded intention undated on the tent d the StallEfilEa Ii anS3f1 kneed panne-shire ad prorate oleo:dents) that are rot The friend) accent none reflects nionnalon that you the Faris epaulet offNS are a figtild, account fees, accounts nay be weed to rairetamd under the Sauter} Act id 1933. and entered on the Firms wane metes wet*te It 6 a reword-ore fare. Charges la de payment for secure/ea aestomeabk 'nickname' chosen by you to assist you with MSErotical Services Inc purehareS and Gorge, fa woad amounts nosh accounts • Cannadtaes antiati g, foreign exChange and year reCOrdlapn; h haS no legal effect on your account. 1200Hata Mutual Accounts that are transferred to alit rebtutions may be Naos metal conlhais), inckAng futures contracts and You can change your Friendly account nano. troop Onlne Weehawken, NI 07086 subject to Means* fee. Yernnodtr Won corneas Served a by contacting your Financial Advisor rhos statement represents the only dime record of your UBS USS Sweep Options the SVC Roland, and the supple-rental protectiondo rot Account overview Fnancial Servicesaccount Other wads. reed official la. UBS otters Wens for revere ash Winces, halunces to appal to these assets wen I they offerkwe appear cro you/ • Valt..? Ci >VW "CCOtroratioba Net ce assets aid °moments. antanng *deicing data shad not be riled bark depouts at UBS Barn USA and U3S AG Stamford Gooch statements the SK protection and the daparrental tabard con I you televe there 6 an end Or om6sOn, please (Bank Sweep Procyon* troney market routed knds(MCney boredom do rot protect aganst changes on the market • Asters Nadel available cash balances. vibes for sepal t rewernalety n morns to the BranchManager d the rads) ad the areernalcnal Depend Account (Ileke vaka of year (henna(' (Metter as a result of modal retraced "Kuril (ea). anal Gebel Time DePOSIS. unrealced dice servng your account names with an wens coal Resoace Managernere rocnemere, ewer bankruptcy a ethernet) maks to maid. and cenan assets not held by the Farm ACLOCIII Trough the Os* Sweep Brogans. cash hatlinCtS Dare not tab* °Weed sear( offiesseff a the end of the Mbabane' figures Moan are Mended to be abide, are swept toLinBark USA up to an estate:bed km and Mae oriormatcn 6araatle upon report Y0.1 may obtain pond and Ghent statement peed, a private Restraints. stared data should not be used fa lb NocareS Rely then to UBS AG Stanford bard, or a Money Fund. Deposits rat nfamacn about SVC, ntherci the SVC Brochure, Winded flak Were and Grenade Pak 0010re Solar on year-end tax lardy° e.Fam 1099, Sat 10425, at UBS Bank USA are FDC rimed n accordance with FCC by contain; 9K at 202/371400 of by visaing the 9K • Coheres roduclesalrel balaXeS.GAVardorg Inaba NC ) when adoreg pow tar return The Fan 6 required by WM Fa wore Womb on please apt wan fdoc gov websee at vanesipcsag bans, credit kne, shod account batted. law to repot to the RS al tarebb Godsend, repeciatre nor Offenses AG Stardord anch an:Ishame, money • Caywrooney batman Total of uninvested natal* cab mode choiends and taxable nicest earned on secures UBS Fuxis are ma rowed by the MC Dividend Iteinvestarent Neurone NON held n der Masai, net dared on sale traniadae, aid balances, fall6 U3S Bank USAdepart balances. PBS AG cos bass od certain corned adobes throat the 04 available leach balances reswept to The Pen .elected man average price You may obtain the Stamford Branchdepart tared and (More market mutual actual (Nix from your Financial Adobe Only whole shoves lund sweep batees, at the cbse of the statement peed depart accounb a LOS AG nate York Broach and WS AG are pechared under partoal shares woe be sold and the Nonanynolty tee <win batted n your accent are not Comenunkatioas with the arm Cayman Stanch Rene deposit, are not rowed by the FDIC cash will be deposited n your accord The cludend sectegated tram other Maces and the ram may use any of • Pease reconfrmat oral COMINSIGSIPOIIS in arcing to Balances held a the UBS AG CaymanBranchare temporal, rearmament price suppled by the sear may differ iron the these funds on the adnay course of es boarress These fads hither protect your rights. onadng pat rights trek; the moored to the sorecrem risk of the Capron band. and made: Nee at whoch the petal shares are told Ye payable tern your demend The related n the Sawa es nester NUM on Act (SPA) there bra guarantee a other Wigtonof OBS AG to repay need period deong value. the balances while on the UBS Cayman's Brach's books Cadefolieu • if the Inannal neuron a' the lop ail of the front of the Only Mb* units may be head in you accoont d you are Leading infante statement itrot (BS Snared Sarvces, UBS Enamel Deposits a UBS Bank USA and each LOS AG Brach are not efeaktlt0 a panel unit 16 a result d a dividend payment a protected by 9K Money Pad Shard are Protected by 9K For detailed infornalcn on the Fans kndr0 practices and Sawn yams pia OCCOUll a <berg broker by cthowse, the rem will ether sell partial urns at market Nee outlives, tern to your Caere Rebtonsho Agreemeot or arrarrearient yarn We (Geared institution We named See -1850-tancal Services account Protect or below or accept an amount ckliannal by a regorned c kering Account agreement and the Cenral Terms and Con:leen you Of the relerenShO when you Ceded the account n agency. ad credit your account LEIS Statement of Credit Practices available re Apreements the case. your funds and securities are breed al PBS UPOn par reardl. balances nth. Bank Sweep FnOgrams 0A may be wthdrean, ad shares of a Money Fad may be and Oonnaes at www utocorrrearaccrabbra. f meek,' ServaS at not the ntreduCrig Order. and you kroestment objectives must mate a report of any evor or condom to both fans. liquidated, and the Maeda returned to you or your Tee nuesiment CbjeCtires and rek Notre are SOK At to wah Sautes account Yow assets account and may vary between Pease advise the Fern YOU, statement leffuteS securities and other assets held on Al account statements Mal be deemed carp** and Dromovy n riff en of ay significant change on Father roldraten about araiabk sweep went'. rc1udn3 your fnano& the account at the end er tie statement tercel You may ad aconite rf not objected to on writing wain 60days situation or amstrnent cloyeaws For each account held, for delwery of fully ad sec unties al any tent You nay carent interest rates and yells, 6 arable at you chooseoneof the tod0wrg nordnwe decrees www dos anesennviattle. Iran your Carnal Admix a le rand satiates used as law colateral doer papng arty • Pleat dreCt customer arrOlionts a attunes to tne Aria • Pada. Current /acme in estoner-es setting tar balance dh, or, them Affi se<uites unletted to the Form Caere Relatcre 06c 3fUnent a 205-352-1693 a tOlatree eating 9:0.762.ICOO generale. of name only ding the Slaernert petal are teed a rnrket value ad at 800354.9103. 8 CO A M to6 CO ET Mendel • scAttee faecal Appear...aeon restrenisseekng growth the end of the Marred Road U.S Financial Services account protection throoM friday. Or n *yang U3S Fawned Served re . The Fan ea a mernta et the Souks hyena Protect cr porcoal rater then ft ?MgratCn d MOTO • Cost basis. in &armory the cod basso d the returnee Caere Beta OnS Department, Scor 766 Union City. NI • Proolta COtakvlifOl1of moms and Caforalappentorten included n thiSSe1811011, wee indicated with toe 07087 Corporation (SVC), who detests sent etre accounts of es reenters up lo SSW/Zed(mixing 5250000 la (tarns lo when-rens seeking both the gestation of exam and nutter'I; OBS Fn/rail SIMMS PIM Itied On (aSh) the SPC abet protection Ines ably to al aakreS 9f0fith 01 printed niar1J6C4Icalarecl Iran fasces other than UBS • in case of erred a questions about an electronic lads antacid Services, freldng nfaniai Iran maker form transfer OA tat owned or as arnamiebe card [het you hold in a particular catty The Fink together with rerun dila has alto purchased Overall risk profiles a that you may here fronded to your iota Advt.* transactcns. caileOD2621O00 or write to (I S Financial • coronae Seeks to fraintan nod PrrcCaa. wth tow The Frm does not rekreendcrely verify Cr guarantee the Services ex. TOCO Harbor Blot .6th Bar, Weehawken. NI SuNderrental OrdeCton The manakin amount payable to 07066, atm FtNtel3SA Serval al eegrble CintS. Collecredy under this ',credal is SS00 risk and waled, to the account overall, even Asa means ,eouray or validity of any reawaken provided by Macre nylon aS d December 10.2013 the account does not generate significant stone or Other than UMhared Services returns and may not kat pace with Inflation Call of Yee as SOCA aS you can, if you tarn yOa • makyare Wiling to accept some sok tO yamiCOal and n *Odeon. although MSFaired Service' generaly statement of raept 6 wrong greyest need hare Subject to the potty conditionsand Imitations. cash at We Fan 6 father pretectedfOr let to St 9 ninon n the honoree some vagary to seek higher moans updates this geometer. as d is reCentet the Firm does not yeamatron Man a transfer an thestate/Imre or receipt