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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
y Withdrawal Charge shall have the meaning set forth in Section 4.3(c)(ii) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINR4 means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
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
Early Withdrawal Charge shall have the meaning set forth in Section 4.3(e) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINRA means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
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
Early Withdrawal Charge shall have the meaning set forth in Section 4.3(e) hereof. Fee means a fee paid to the Administrator, as provided for in the Administrative Services Agreement. FINRA means the Financial Industry Regulatory Authority, Inc. Fiscal Period means the period commencing on the Closing Date, and therea
Entities connected to both Parent Company and Administrative Services

United States
LOCATION
Federal Reserve
ORGANIZATION
Department of Justice
ORGANIZATION
UBS AG
ORGANIZATION
New Hampshire
LOCATION
New York
LOCATIONUBS Fund
ORGANIZATIONErnst & Young LLP
ORGANIZATION
Millennium
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATIONCayman
LOCATION
Internal Revenue Service
ORGANIZATIONBack Taxes Payment
ORGANIZATIONSwiss Federal Banking Commission
ORGANIZATIONUBS Fund Advisor
ORGANIZATIONAlphaKeys Millennium Fund
ORGANIZATION
New York State
LOCATION
Ghislaine Maxwell
PERSONDept. of
ORGANIZATIONthe U.S. Department of Labor
ORGANIZATION