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se. Page 3 of 4 CONFI DENTIAL UBSTERFtAMAR00004122 EFTA00239454 FOR EXISTING INVESTOR USE ONLY Disclosure Statement under Rule 506(d) UBS AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Departm
t forth in the Certificate of Formation as filed in the office of the Secretary of State pursuant to the Act, and upon the giving of such notice in the Certificate of Formation, the statutory provisions of Section 18-215 of the Act (and the statutory effect under Section 18-215 of setting forth such notice in the certifica
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se. "\.1.172-8-1-8 1 7-M A X ‘,/Wht. Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00002515 EFTA00238071 Disclosure Statement under Rule 506(d) UBS AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Departm
t forth in the Certificate of Formation as filed in the office of the Secretary of State pursuant to the Act, and upon the giving of such notice in the Certificate of Formation, the statutory provisions of Section 18-215 of the Act (and the statutory effect under Section 18-215 of setting forth such notice in the certifica
2 mentions1 same-page
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s person license. - rvi-A ><WVE L L Page 3 of 4 CONFIDENTIAL UBSTERRAMAR00001462 EFTA00237108 Disclosure Statement under Rule 506(d) UBS AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Departm
t forth in the Certificate of Formation as filed in the office of the Secretary of State pursuant to the Act, and upon the giving of such notice in the Certificate of Formation, the statutory provisions of Section 18-215 of the Act (and the statutory effect under Section 18-215 of setting forth such notice in the certifica
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Mutual Connections (127)
Entities connected to both Parent Company and the Certificate of Formation
Department of Justice
ORGANIZATION8 w/ Parent·3 w/ the
Internal Revenue Service
ORGANIZATION6 w/ Parent·5 w/ the
New Hampshire
LOCATION7 w/ Parent·3 w/ the
United States
LOCATION6 w/ Parent·3 w/ the
Samantha Power
PERSON5 w/ Parent·4 w/ the
Federal Reserve
ORGANIZATION6 w/ Parent·3 w/ the
the Delaware Limited Liability Company Act
ORGANIZATION3 w/ Parent·6 w/ the
the North American Securities Administrators Association
ORGANIZATION5 w/ Parent·3 w/ the
Civil Penalty
ORGANIZATION5 w/ Parent·3 w/ the
Cease & Desist
ORGANIZATION5 w/ Parent·3 w/ the
General State of NY
ORGANIZATION5 w/ Parent·3 w/ the
Brought
ORGANIZATION5 w/ Parent·3 w/ the
The Ohio Division of Securities
ORGANIZATION5 w/ Parent·3 w/ the
Back Taxes Payment
ORGANIZATION5 w/ Parent·3 w/ the
Swiss Federal Banking Commission
ORGANIZATION5 w/ Parent·3 w/ the
New York State
LOCATION5 w/ Parent·3 w/ the
Dept. of
ORGANIZATION5 w/ Parent·3 w/ the
Lehman
ORGANIZATION5 w/ Parent·3 w/ the
Fannie Mae
ORGANIZATION5 w/ Parent·3 w/ the
UBS Securities LLC
ORGANIZATION5 w/ Parent·3 w/ the