EFTA01597543.pdf

Retirement Accou u t UBS Financial Services Inc SUBS Private Wealth Management 299 Park Avenue 26th Floor Resource Management Account New York NY 10171-0002 January 2020 ANP70056089190120 Y1 0 GHISLAINE MAXWELL IRA 139A CHARLES ST. APT #233 Account name: GHISLANE MAXWELL IRA BOSTON MA 02114-3252 Friendly account name: Indiv: IRA Account type: : ithvidual Retirement Account Account number: Your Financial Advisor. SCOTT STACKMAN/LYLE CASRIEt. Phone Questions about your statement? Value of your account Call your Financial Advisor or the on December 31 (S) on January 31 (3) RMA Resourceline at 800-RMA-1000, Your assets 59,030.64 59,033.28 account 029023697. Your liabilities 0.00 0.00 visit our website: Value of your account 359,030.64 $59,033.28 www.ubs.com/financialservices items for your attention Help protect yourself from fraud and review bank, credit card. and brokerage Sources of your account growth statements regularly. Also, get your free credit report annually from wenV.annualcreditreport.corn Tracking the value of your account during 2020 Value of your account S Thousands at yea end 2019 899,030.64 Your investment return: 590 59.0 570 57.0 572 577 Sat • • Dividend and interest income Change in 4264 market vaue $000 Value of your accouit on Jan 31, 2020 559,033.28 Dec 2011 Oec 2015 Oec 2016 Dec 2017 Oec 2018 Dec 2019 ran 2020 SONY GM 00009876 Member SIPC Page 1 of 6 CONFIDENTIAL EFTA01597543  Resource Management Account Account name: GliSLAINE MAXWELL IRA Your Fineadri Advisor: *UBS January 2020 Friendly account name:Indiv. IRA Account type: Individual Retirement Account SCOTT STACKMANLYLE CASRIEL Account number: Your account balance sheet Summary of your assets Value on Percentage of January 31 (s) your account Lash end money balances 59,033.28 100.00% Cash and money balances may include A Your current asset allocation available cash balances, UBS Bank USA deposit B Cash alternatives GOO 0.00% account. UBS FDIC Insured Deposit Program Bank accounts, MS AG Stamford Branch deposit C Equities 0.00 0.00% account balances and money market mutual fund sweep balances. See the important information D Fixed income 0.00 0.00% about slur statement on the last two pages of this statement for detais about those balances. E Non-traditional 0.00 0.00% F Commodities 0.00 0 00% G Other 1100 0 00% Total assets 559,033.28 100.00% Value of your account 559,033.28 Eye on the markets Percentage change Index January 2020 Year to date 58P 500 -0.04% -0.04% Russell 3000 411% 411% MSC I - Europe, Australia & Far East -2.08% -2.08% Barclays Capital U.S Aggregate Bond Index 1.92% 1.92% Interest rates on January 31, 2020 3-month Treasury bills: 1 50% One-month LIBOR: 1.66% GM 000098/99. 2 of 6 CONFIDENTIAL EFTA01597544 SUBS Account name: GliSLAINE MAXWELL IRA Your N fluidal Advisor: Resource Management Account Friendly account name: IRA SCOTT STACK MANLYLE CASRIEL January 2020 Account type: Individual Retirement Account Account number. Change in the value of your account Cash activity summary January 2020 (S) Year tO date(t) See ACCOunt activity MAS month for deters. Balances in your Sweep Options are inducted In the cpenng and closing balances value. FDIC insurance applies to deposits at UBS Bank USA and al banks participating in the UK FDIC Insured Deposit Slogan, It does not apply lo deposits al UBS AG, Stamford Branch 9PC Opening account value $59,030.64 $59,030.64 protection apples to money market sweep fund holdings but rot bank deposits. SeeImportant informaten about your statement on the tat two Pars d this document for Mats. Dividend and interest income ) 64 264 January 2020 ($) Year to date ($) Closing account value $59,033.28 $59,033.28 Opening balances $59,030.64 $59,030.64 Additions Dividend and interest income earned Dividend and interest income 2.64 2.64 For purposes d Ws statement. tentrily of interest and dwiend Income haS been deformed from a US Total additions $2.64 $2.64 tat reputing perspective. Erased upon the residence of the account holder, account type, or product type, some Interest andor dividend payments may not be suttect to united states (US) ander Puerto Rico (PR) income tares. The (lent mom* statemem rc not intended 10 be used and Cannot be relied upon for tar Net cash flow $2.64 $2.64 purposes Clients should Niel to the applicable Inn reporting forms they receive from U8S annually, such as the Forms 1099 and the Fonts 480, for tax reporting information. It is the practice of UBS to file the Closing balances $59,033.28 $59,033.28 EpOiCable lac reporting loans wth the US internal Revenue Service and PR Treasury Department, and in such forms accurately classfy dveends ancircr interest as tax ecen-pt or tatable intone. Please consult your Inclvidual tax prepare" UBS Bank USA Deposit Account APY January 2020 (S) Year to date (S) Interest period Dec 6 - Jan 7 Interest 056 056 Opening UBS Bank USA Deposit balance Dec 6 $59,030.64 Total current year $0.56 $0.56 Closing UBS Bank USA Deposit balance Jan 7 $59,033.28 Prior year adjustment 2 08 2.08 Number of days in interest period 33 Total dividend & interest $2.64 $2.64 Average daily balance $59,031.08 Interest earned $264 Annual percentage ye Id earned 0.05% SDNY GM 00009878 Page 3 of 6 CONFIDENTIAL EFTA01597545  Resource Management Account Account name: GFISLAINE MAXWELL IRA Your rineedel Advisor. *UBS January 2020 Friendly account name:Indiv. IRA Account type: Individual Retirement Account SCOTT STACKMANLYLECASRIEL Account number Your investment objectives: You have identified the following investment objectives for this account If you have questions about these objectives, disagree with them, or wish to change them, please contact your Financial Achesor or Branch Manager. You can find a full description of the alternative investment objectives in important informaton 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 Your account instructions • UBS Financial Services Inc is your IRA custodian. • Your account cost basis default closing method is RFO, First In, First Out. GM 000091OAge 4 of 6 CONFIDENTIAL EFTA01597546  Account name: GHISLAINE MAXWELL IRA Resource Management Account Your Mnandal Advisor: *UBS January 2020 Friendly account name: Indiv. IRA Account type: Account number. individual Retirement Account SCOTT STACKNIMILYLE CASRIEL 212.821-7000800.308.3140 Your assets Sane prices, income and current vanes sham may be approurrwle As a result. gains and losses may not be accurately reflected. See Important information about your statement a the end of thiS document ip more inlonnaton. Cash Cash and money balances Cash and money balances may inducle avalade cash balances, UBS Bank USA &oda t account balances, U85 Bank USA and all UBS FDIC Insured Rogan Bank deposit accCunt Waxes are insured by the FDIC within UBS FDIC Insured Rogan Bank &lances. U85 AG Stamford Branch deposit account Mayes and money applicable Iinits, but are not protected by 9K. UBS AG Stanford Branch deposit account balances are not insured market mut ud lung sweep balances. by FDIC and are not protected by 51K Money market sweep balances are protected by 51K bul are not Insured by the FDIC. See the Important ;Normeven about your statement at the end of ors document for details abate those telances Opering baEnCe Closing Waite Rsce per share Average Deadena Interest DEO sl Hddng on /an 1 (1) on mn 31 (S) on /an 31 (b) rate period penod Cep amount (1) UBS BANK USA DEP ACCT 59,030.64 59,033.28 250,000.00 Your total assets Percentage of Cost Estimated Unrealized Value on Jan 31 (S) sour amount toils (S) annua income (5) gam or losS (S) Cash Cash sad money balances 59.03328 100.00% 59,033.20 Total 559,033.28 100.00% $59,033.28 Account activity this month Date Aunity Description Arnown Dividend and interest income Interest Ian 8 Interest 1185 BANK USA DEPOSIT ACCOUNT AS OF 01107/20 0.56 Total interest $0.56 Miscellaneous Jan 2 Interest UBS BANK USA DEPOSIT ACCOUNT AS OF 12/31/19 2.08 Total miscellaneous 82.08 Total dividend and interest income 82.64 SDNY GM 00009880 Page S of 6 CONFIDENTIAL EFTA01597547  Account name: GHISLAMIE MAXWELL IRA UBS Resource Management Account January 2020 friendly account name:Inc/Iv IRA Account type: Individual R sir ent Account Your 15nanciel Advisor. SCOTT STACK MANLYLE CASRIEL Account number. Account activity this month (continued) Date Activtty Desuiptico Amount (S) Money balance activities Dec 31 Salaam forward 359,030.64 Jan 2 Deposit UBS BANK USA DEPOSIT ACCOUNT AS OF 12/31119 2.08 .Ian 8 Deposit UBS BANK USA DEPOSIT ACCOUNT AS Of 011071,20 0.56 Jan 31 Closing USS Sank USA Deposit Account $59,033.28 ...—..._GM_000094fige 6 of 6 End of statement for account number vt 23697 SS CONFIDENTIAL EFTA01597548  Important information about your statement LBS Fiuncial kmices ex. (the Firma LBS Financial hear from youno later than 60 clays after the Fern capacity. A ful copy of the polio; sordeg is available income or rears and mayn't keep pace yeah Services), is a member of all prixipi socvdy, corny* sent you the fist statement on which the error or Loon request. inflation andoptions exchanges UBS Financial Services and LBS pobtem *awed. • Moderate: Waling to accept sane risk to pampa' and Bale USA are ifdirect stbskloies d LBS AG and — Provide you name ad accurst number Of any). Neither the SIPC protection nor the supplemental tolerate sane volatlity to seek hider returns affiliates of LBS Smuts LLC. The Firm's fru/nal — Desube the error or the transfer you re inure protection apply to: • asgressne: Willing to matt hip risk to principal and statement is available upon request. The Firm's execute* about. ad eiplat as clearly as you can why you • Certain financial assets antrolkd by (and ext.:led in high volatility to seek high teR over time. Offices are at: beano it is an error a why you andMOM you account value) but held away from UBS Financial • mostowntiagibrity Consicloratan: d selected, a Services. For burn* certain (0 insurance products. portion of the portfolio for that atom may include UBS Financial Services ex. — Provide the dolt, amore of the suspected error. ixludrg vaiabl rates, and 6i) shares of mutual complex 'trawl:es, limited liguidty and greater 1200 Harbor Boulevard funds registered nthe name of the account holder on sobriety. Weehawken. N107086 The Firm Or Cad Issuer will investigate you complaint the books of the issuer Or Vander agerrJ; and willcorrect dry error promptly For ahged errs • hvestmmt contracts a rreestment Serest, {e.g. Statement "householdirer This statement represents the ony officialrecord of you' nhgNng LOS Visa•debe cad transactions, 4 we take Imbed panne-etas and private placements) that se We may COnSOkiate A tetrad account statements with Les Financial Services accoura Other records, except more than 10 business days tO do this, we will credit not registered under the Securities Act of 1933; the same address in the same envelope. e g. because °thetal tax drulternS, cantering callting data should you accant fa the imam you thank is in mum, so that • Commodities contracts (e.g., foreign exchange and they have owners who also mantas ;ore account rot be reed upon. If you beige, there ban error or you will have the use of the money &rig the tine it precious metal contacts), nclaing fumes contracts relationships wth other clients at the sane add-ess. If motion, pleas* report it immediately in wring ea the takes us to complete as nestgatein. and Calvvirry option Central% ad you peter to receive ndividual statements (tweed n Branch Manager of the office serving your account. • Depose accounts (except certificates of deposit) at (BS separate /metopes, you may decline householdng by Please male all checks payable to the Firm or the Bak USA, LBS AG U.S. branches and barks in the (tang your Fruncial Advisor Although all hams shown are intended to be accurate, financial ristituten indicated on the front of this FDIC erred Deposit Program. sttement data shook' not be used for tar imposes. Rey statement. In addition to regular account fees, accounts The 51K protection and the supplemental protection do Friendly moue name sold, on yes-end lax totem go., loan 1099, 5498, may be .Meet to mantenarce lees charges for late not appy to these assets awn d they otherwise appear The Friendly account None 6 a customizable • 'withal** 10425, etc.) when preparing your tax return. The Fern 6 payment for securities purchases and charges fa unpaid CC yds statements. The 51K protectionand the chosen by you to assist you with ye's' recordkeepio. moored by law to report to tie IRS all taxable dnidenok, amounts n cash accents. Accounts that are transferred stoplemental protection do not protect against charges It, no legal effect on your account, is not Mended to reportable nal-taxable dividends and taxable interest to other nstilutiten may be subject to a trader fee. in the market value of you revetments (whether as a reflect any strategy, predict rearnmerdation, earned on seas-nes held in your mask net proceeds result of market movement. muer banknotcy inestment objective a risk polite associated wth you- on sale transactions, ad cost basis an omen cowed UtS Sweep Options otherwise) accunts. and is not a prance a gJaraxee that wealth, securities UBS offers options for sweepeg cash balances to bait or any 1inarxiA results. can et willbe achieved. All deposit accanes at nanaffiated banks and abated Dividend Reinvestment Program (DRIP) investments invoke to risk of loss, ex kdro the ritk of COmmUtliCatiOna with the Firm banks and money make) mutuality:Is (Money funds). The pace reflected is an average prce. You may obtain loss of the trait investment. You can change your • Please re-confer., any Oral (Orrirrunicatictis n veiling Deposit accounts at LBS Bark USA and non-affiated the actual price km yam Financial Advisor. Only whole Fria* accost names through Onine Services a by to further protect your reps, including your rights banks panicipaing ti t a LBS FDICansured Deposit shires are purchased under DRIP; partial shares will be contacting your Finarcial Minor. under the Secuities Mesta Protection Act OSA). Program are FDIC-insured n accordance with FDIC rules. sold and the cash will be deposited in your account. We • I the Bruneitl inttution on the top left of the front For more iltamaiian please visit veterfik.9:n. Deposit chodend reinvestment price :belied by to issur may Account overview of this statement isnot Les Financial Services, LBS accounts at WSAG Stamford Branch and shares of deter from the market price a which the partial shares • Value of tors wountIportfofio Net of assets and Financial Services caries you account a clearing Money Funds are not in-redby the FDIC. a-e sold liabilities broker by arrangement with the indicated intedion • Assets Includes available cash balances. vakes for We Wormedyou of this relationshb when you Bak deposits are not protected by SIPC. Money Fond Calvin-Feta dunes :re protected by SIPC See -1.)85 lnancie Services restricted security (est), and Global Tine Deposits. opened this Accent In this raw, your finds and Orly whole units maybe held in yam secondly:0 are Account Protection' below. unrealized marks to market and certain assets ibt held secuties are located at UBS Financial Sweets and rot meted to a partial unit as a result of a dividend payment to. the Finn. Does not nckxle unpiced securities:assets the Mak"rg broker, ad you crust make a report • otherwise, the Firm will either sell grid tries at Upon your regain balances n the bank deposes may be at the end of the prior and oat statement prods. or of ay tar te meson to both ferns. market vice a accept an anoint deterinned by a private investments, invested nod options and • As *sorbed n the accost ag-eements, youmust wihdrann and shares of a Money Fund may be registered dea-rg agency, and freer yore account. liaidated, end the proceeds returned to you or you ~deal, stock options. notify us of any errors or fraud involving checks • Liable's. Voldes debit balances, *sundry margin reflected on your statement beta) 30 days after it was martinaccent. Investment objectives mailed a made mettle. bats, credit re, short account balances The nvestment objecuros and risk profile are specific to • Cashatoney balances Total of uninvested avalable • Please direct arstonw carotenes or nouries to the Futter nkonaton about available sweep options, each account and may vary between you. accounts. reludig current interest rates and yields, is evadable at cash balances, plus deposit balances at affiliated and Film's Client Relations Department at 201.352-1699 Please advise the Finnan:may in writing of an vieww.ubs comrsarepyields, from yore intend.' Advisor nahallikated banks, and money market mortal had or toll-free at 800-354-9103, 8:00 A.M. to 600 P.M significant change in you lino eizA situation or by eating KO-7621000. sweep balances. at the close of the statement period. ET Monday through Friday, or in witio to WS investment objectives_ For each account held, you Financial Services ls. , Client Relations Department, Non•Corrrtirley bee credit balances in you account are choose are of the Ioeowing investrnme objectives: not segregated from other balances and the Fern may P.O. Box 766UnionC ity,1107087. US$ Financial Services account protection • Prorkce Current fname: Investments seeking the the Firms a inerrber of the Secretes bosh". Protection use any these fords in the ordinay cane of its • All itatellentS shall be cleaned complete and accuse generation Of income Caly. banns These finds are payable upon your Orland. not objected to ri writing whit 60 days. Corporation (Sip, witch protects securities custonwn • Achill,* °pea/Appreciation: Mestments seeking o1 is rearben up to 1%0,000 (adding 5250.000 for 11-es total is ircbded in the anent period closing value. • For TTY services: Cal 844-612-0986 a from outside clams for ratal0 bplanatory broth.", available upon growth of or:idealrather than the generation of the US Call201-332.1495 ncome. tending information • h case of errors or cunt:xis about an electronic request a at raw strorg. The SIK asset protection ferns apply to A accounts that you hold in a particular • Produce Combination ofincome and Capital Fa detailed information on the Finis lending practices funds transfer (U1), bill parent or LIES Vise debt appreciation Investments seeking both the generation ad disc bsures, refer to you Client Relationshp cad transactions, cal 800-262-1000, or carte to UBS capacity- The Firm, together with carton athletes, has also of income and growth of principal. Agreement a Account Agreement and the General F etanoial Services lx., 1000 Harbor Bed, 61h floor, Terms and Ca-ditions LOS Statement of Credit Practices Weehawken.. Ni 07086, Attn: b.INSSA Services. Purchased supplemental inmate*. The maxims., Entttil payable to at eligbk chums, colectivey under Overall risk profiles mailable n Agrtem ants andDiscbsures tie protection is 5500 million as of Detester 10, 2016. • Connotive- Seeks to martin initial prix0al, with at lyvnv ohs eornlareconnAnclov•ws Call a write as soon as saran, 1 you think as km risk and minify to the accost overall, even 0 statement a receipt is wag a e you need more Weed to the pale y conditions and inlet:as, cash a theFinn i hither protected fa up to 11.9 million in the that means the account does not generate information about a transfer on the sinner or rice's* The Fein or Card Issuer (as appkable) must aggregate for al you accounts held in a wieder SDNY_GM_00009882 CONFIDENTIAL EFTA01597549  Important information about your statement (continued) Vats assets — FCC certan secretes trading in nonconforming • Est. (estimated) income, current yields and rates. - We Wen* compensation fromLes Bark USA, LOBS Your statement rites securities arid other assets held dencennatals, prior rd purr* NO value) may An estimate d anal icane if bated CO Current AG Stanford Branch ad non-allifire4 barks in the accosts' a the end of the statemere period. You have been adjusted to facilitate proper valuation. divicierd and nteren rates, assuming the securities roll through our cash sweep progams. may ask for delivery of fulY pad secwities at ay time. To obtain current quotations, when available. contact be hell For one year from statement date or until compensation may beam/gra* per account fee or You may receive women used as loan cabinet after your Fnncr Advisee. matunty. The *stellate is any a guideline; accuracy may be a percentage of average daiy decors poring any balance due on them. Any securities and continued income are not guaranteed balances. transferred to the Fern dung the statement period are • Private invermente and structured products. — Estimated ornual exam ted current yield fa listed at market value as of the end of the statement Private Mesa-nem securities (inclading deed certain types of mashies could include a return of Activity period. Partkipatith program and real estate investment trust crixnal a capital gain it which caw the est. Mom-tat:on regarding cornrnissions and other dames • Can bash. In deterinning the cost basis of the sertravis) and strucsured products are gni* hi"; income (and current yiek(1 would beoverstated. awned in comer ion with the execaion of trades, securities included in this statement, where indicated iliqu'd Certain structured prodons hhe not teen — Estimated maul name and current yield and the including option transactions has been ircluded en with the nuerber '1,• UBS F next.' Sayan has felted registered web the Securein and Exchange actual income and yield mi;eit be lower or high.. confirmations previously furnished to you, and will be a interrelation obtained Iron, sweets otter Man LBS Commaskn or under ary state securities laws. We than the estrnated amounts. provided to you Otani), on reeuest Arundel Sevres, Muting Monnation from mother provide minuted vases for prince inniestment — An enema* of arnuarned income Gayland ardcr fins or that you may haw provided to yap Financed worms ad structured products for informational interest) deeded by the <arena market Short selling Advisor. The Fern does not independently way a Accuracy is not gsranteed. vakeraverage balance is based on the last dividend if as ore engaged is short selling a security, you may garret the rosary a validity of ere intamatian — ce-dr.as rnay dil a Monomialy from prior, if al a ~est payment made by the issuer and aura charge on to reran borrowing costs fa that prcnaded by sources other than LBS Financial Sernces. any, at whch a private nvestment seCaltyor assumes the rarities/deposits will be held for a* paticuasecisiy. h alike% although LOS Financial Strikes genera* structured product maybe bouiw a so and do year from the stalemate date or urd matumy. updates this Mormation as it is received, the Fern not nocossanY resteeSere the va you may receive Act ray ad centimied yield are not waranteect Open orders does Mt provide ary assurances that the idarnation upon liquidation. Regarding open a ' good.ticancelkd • orders that under -Cost basic and 'Unrealeed gas-floss' is — Thad party estimates of value are as of a certan • Assets not held by UBS Financial Services. Cenan were not executed by the statement date, open buy and acorn as of the die of this statement. As such, date ad we supplied to UEISFina-nal Services on a assets we not held by the Fin and not within the sea stop orders are waxed by the amount of &dent please do not rayon this information to make regular basis by an independent valeatica fors fines possession a aren't new assets are or opt* an an tx.diederds or exrithis date uses rt.-chase a fie decisions. for tar purposes a — Issuer, general panne( or sponsor estimated vales, displayed on your staterneti for edornutional entnxted otherwise by you. You we responstee fa usl vn.e. Accounts transfeered to the Fin. me any, are mSsolied to the Firm by the issuer, purposes only. Poe ions and valves ;resented are orders that are executed der to you Lave to cancel reflect ate Hernial:an only for the period of general patter or sponsor and may be tabulated provided by the issung fem. UBS f auntie' Services is hating ern orders.