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.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS
titute Member who is admitted to the Fund pursuant to Section 4.1 hereof, in such person's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Bas
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS
02485 EFTA00238041 admitted to the Fund pursuant to Section 4.1 hereof, in such person's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Bas
.8 million plus $20 million credited from the SEC settlement 4. Date of Action: Dec. 22, 2008 &ought By: Securities and Exchange Commission (SEC), Massachusetts Securities Division, New York State Attorney General (NYAG) and other members of the North American Securities Administrators Association. Auction Rate Securities (ARS
01432 EFTA00237078 admitted to the Fund pursuant to Section 4.1 hereof, in such person's capacity as a member of the Fund. Millennium Fund means Millennium USA LP, a Delaware limited partnership. Millennium Investment Manager means Millennium Management LLC, a Delaware limited liability company. Negative Bas
Entities connected to both Massachusetts Securities Division and Millennium USA LP

United States
LOCATION
Millennium
ORGANIZATION
New York State
LOCATIONLehman
ORGANIZATIONMillennium Management LLC
ORGANIZATION
Ghislaine Maxwell
PERSONthe Securities and Exchange Commission
ORGANIZATION
UBS AG
ORGANIZATION
England
LOCATIONCayman
LOCATIONUBS Securities LLC
ORGANIZATIONErnst & Young LLP
ORGANIZATION
New York
LOCATIONCease & Desist
ORGANIZATIONUBS Fund
ORGANIZATION
New Hampshire
LOCATIONCayman Islands Tax Matters
ORGANIZATION
Internal Revenue Service
ORGANIZATIONLehman Structured Products
ORGANIZATIONthe Cayman Islands Monetary Authority
ORGANIZATION