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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
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 Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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
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 Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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
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 Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
Entities connected to both Millennium USA LP and Connecticut Department

United States
LOCATION
Millennium
ORGANIZATIONMillennium Management LLC
ORGANIZATIONErnst & Young LLP
ORGANIZATION
Ghislaine Maxwell
PERSONCayman
LOCATIONLehman
ORGANIZATION
England
LOCATION
New York
LOCATION
New York State
LOCATION
UBS AG
ORGANIZATIONthe Mutual Funds Law
ORGANIZATION
Mohammed bin Salman
PERSONCayman Islands Tax Matters
ORGANIZATIONthe Non-USD Shares
ORGANIZATIONthe Cayman Islands Monetary Authority
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATIONUBS Securities LLC
ORGANIZATION
Federal Reserve
ORGANIZATIONUBS Fund Advisor
ORGANIZATION