3
Shared Docs
3
Same-Page
3 / 3
Mentions
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
ommencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period. The sum of the Fund Percentages of all Members for each Fiscal Period shall equal 100%. GAAP means U.S. generally accepted accounting principles. Indemnified Person shall have th
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
ommencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period. The sum of the Fund Percentages of all Members for each Fiscal Period shall equal 100%. GAAP means U.S. generally accepted accounting principles. Gate shall have the meaning set
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
ommencement of such Fiscal Period by the sum of the Capital Accounts of all of the Members as of the commencement of such Fiscal Period. The sum of the Fund Percentages of all Members for each Fiscal Period shall equal 100%. GAAP means U.S. generally accepted accounting principles. Gate shall have the meaning set
Entities connected to both Parent Company and the Fund Percentages

Department of Justice
ORGANIZATION
New Hampshire
LOCATION
Federal Reserve
ORGANIZATION
Internal Revenue Service
ORGANIZATION
United States
LOCATIONLehman
ORGANIZATIONthe Financial Advisor's
ORGANIZATIONDept. of
ORGANIZATIONUBS Securities LLC
ORGANIZATION
New York State
LOCATIONSwiss Federal Banking Commission
ORGANIZATION
Fannie Mae
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATION
UBS AG
ORGANIZATION
Samantha Power
PERSONUBS Fund
ORGANIZATIONLehman Structured Products
ORGANIZATIONMassachusetts Securities Division
ORGANIZATIONthe North American Securities Administrators Association
ORGANIZATIONCivil Penalty
ORGANIZATION