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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 Fund. Allocation of Investment Strategies and Investments to and Among the Feeder Funds and Other Accounts; Conflicting Investment Opportunities; Cross Transactions In addition to the Feeder Funds and certain related entities through which the Portfolio Managers invest, Millennium has established, and may in th
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
air and reasonable. Allocation of Investments to and Among Feeder Funds, Related Accounts and Other Accounts; Conflicting Investment Opportunities; Cross Transactions Although at present Millennium's only clients are the Master Partnership, the Feeder Funds and certain related entities through which the Portfolio
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
air and reasonable. Allocation of Investments to and Among Feeder Funds, Related Accounts and Other Accounts; Conflicting Investment Opportunities; Cross Transactions Although at present Millennium's only clients are the Master Partnership, the Feeder Funds and certain related entities through which the Portfolio
Entities connected to both UBS Securities LLC and Cross Transactions

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