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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
income tax purposes, in his, her or its Interest in the Fund as of such time (determined without regard to such Member's share of the liabilities of the Fund under Section 752 of the Code, if any). Positive Basis Member means any Member who withdraws from the Fund and who has Positive Basis as of the effective date of 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
income tax purposes, in his, her or its Interest in the Fund as of such time (determined without regard to such Member's share of the liabilities of the Fund under Section 752 of the Code, if any). ML281817-MAXWELL B-S CONFIDENTIAL UBSTERRAMAR00002486 EFTA00238042 Positive Basis Member means any Member who withdraws
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
income tax purposes, in his, her or its Interest in the Fund as of such time (determined without regard to such Member's share of the liabilities of the Fund under Section 752 of the Code, if any). NMI MAXWELL B-S CONFIDENTIAL UBSTERRAMAR00001433 EFTA00237079 Positive Basis Member means any Member who withdraws fro
Entities connected to both Parent Company and the Fund under Section 752

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