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ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
e "OriginalAgreement") WHEREAS, the Original Agreement was subsequently amended and restated in its entirety as of March 1, 2011 by the Amended and Restated Limited Liability Company Agreement of the Fund (the "Amended Agreement"); WHEREAS, the Amended Agreement was subsequently amended and restated in its entirety as of April 1, 2014 by
ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
"Original Agreement") WHEREAS, the Original Agreement was subsequently amended and restated in its entirety as of March 1, 2011 by the Amended and Restated Limited Liability Company Agreement of the Fund (the "Amended Agreement"); WHEREAS, the Fund's Certificate was amended to reflect the change of the name of the Fund to "AlphaKeys Mil
ty; Consent Judgment Cease & Desist, and Fines in varying amounts currently being paid to all 50 states. UBS Financial Services Inc. (together with UBS Securities LLC) agreed to pay a line of 5150 million (575 million to the NYAG and 575 million allocated to the remaining states). 5. Date of Action: July 16, 200
"Original Agreement") WHEREAS, the Original Agreement was subsequently amended and restated in its entirety as of March 1, 2011 by the Amended and Restated Limited Liability Company Agreement of the Fund (the "Amended Agreement"); WHEREAS, the Fund's Certificate was amended to reflect the change of the name of the Fund to "AlphaKeys Mil
Entities connected to both UBS Securities LLC and Restated Limited Liability Company Agreement

UBS AG
ORGANIZATION
United States
LOCATION
New York
LOCATIONthe Securities and Exchange Commission
ORGANIZATION
Federal Reserve
ORGANIZATIONCease & Desist
ORGANIZATION
New York State
LOCATION
Department of Justice
ORGANIZATIONUBS Fund
ORGANIZATIONBrought
ORGANIZATIONThe Ohio Division of Securities
ORGANIZATION
Fannie Mae
ORGANIZATION
Ghislaine Maxwell
PERSONLehman
ORGANIZATIONDept. of
ORGANIZATION
New Hampshire
LOCATIONthe North American Securities Administrators Association
ORGANIZATIONMassachusetts Securities Division
ORGANIZATION
Internal Revenue Service
ORGANIZATIONLehman Structured Products
ORGANIZATION