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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
filiated Fund Percentages means a percentage established for each Unaffiliated Member on the Fund's books as of the first day of each Fiscal Period. The Unaffiliated Fund Percentage of an Unaffiliated Member shall be determined by dividing the balance of the Unaffiliated Member's Capital Account as of the commencement of such F
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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
filiated Fund Percentages means a percentage established for each Unaffiliated Member on the Fund's books as of the first day of each Fiscal Period. The Unaffiliated Fund Percentage of an Unaffiliated Member shall be determined by dividing the balance of the Unaffiliated Member's Capital Account as of the commencement of such F
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
filiated Fund Percentages means a percentage established for each Unaffiliated Member on the Fund's books as of the first day of each Fiscal Period. The Unaffiliated Fund Percentage of an Unaffiliated Member shall be determined by dividing the balance of the Unaffiliated Member's Capital Account as of the commencement of such F
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Mutual Connections (126)
Entities connected to both Parent Company and The Unaffiliated Fund Percentage
Department of Justice
ORGANIZATION8 w/ Parent·3 w/ The
New Hampshire
LOCATION7 w/ Parent·3 w/ The
Federal Reserve
ORGANIZATION6 w/ Parent·3 w/ The
Internal Revenue Service
ORGANIZATION6 w/ Parent·3 w/ The
United States
LOCATION6 w/ Parent·3 w/ The
Lehman
ORGANIZATION5 w/ Parent·3 w/ The
the Financial Advisor's
ORGANIZATION5 w/ Parent·3 w/ The
Dept. of
ORGANIZATION5 w/ Parent·3 w/ The
UBS Securities LLC
ORGANIZATION5 w/ Parent·3 w/ The
New York State
LOCATION5 w/ Parent·3 w/ The
Swiss Federal Banking Commission
ORGANIZATION5 w/ Parent·3 w/ The
Fannie Mae
ORGANIZATION5 w/ Parent·3 w/ The
the Securities and Exchange Commission
ORGANIZATION5 w/ Parent·3 w/ The
UBS AG
ORGANIZATION5 w/ Parent·3 w/ The
Samantha Power
PERSON5 w/ Parent·3 w/ The
UBS Fund
ORGANIZATION5 w/ Parent·3 w/ The
Lehman Structured Products
ORGANIZATION5 w/ Parent·3 w/ The
Massachusetts Securities Division
ORGANIZATION5 w/ Parent·3 w/ The
the North American Securities Administrators Association
ORGANIZATION5 w/ Parent·3 w/ The
Civil Penalty
ORGANIZATION5 w/ Parent·3 w/ The