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CESSING INC TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 053015-10-3) (1272.000) 76,310.18 (97,956.72) 2/26 Free Delivery BAXTER INTERNATIONAL INC TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 071813-10-9) (1.556.000) 10041/2 (106,834.96) 2/26 Free Delivery BLACKROCK INC TRANSFER
ACKROCK INC TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 09247X-10-1) (372.000) 87,501.00 (111.674.40) 2/26 Free Delivery CATERPILLAR INC TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 149123-10-1) (1,110.000) 91,931.25 (107.015.10) (2,171.05) JP Morgan Page 9 of 13 Confi
2 mentions1 same-page
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RADE DATE 02/25/14 (ID: 032654-10-5) AUTOMATIC DATA PROCESSING INC TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 053015-10-3) BAXTER INTERNATIONAL INC TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 071813-10-9) BLACKROCK INC TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID:
SERVICES INC. TRADE DATE 02/25/14 (ID: 071813-10-9) BLACKROCK INC TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 09247X-10-1) CATERPILLAR INC TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 149123-10-1) (1,110.000) 91,931.25 (107,015.10) (372.000) 87,501.00 (111,674.40) (1,556
2 mentions1 same-page
Page ?Same page
ESSING INC TRANSFER TO UBS (1,272.000) (97,956.72) FINANCIAL SERVICES INC. TRADE DATE 02/25/14 76,310.18 (ID: 053015-10-3) 2/26 Free Delivery BAXTER INTERNATIONAL INC TRANSFER TO UBS (1,556.000) (106.834.96) FINANCIAL SERVICES INC. TRADE DATE 02/25/14 102,841.72 (10: 071813-10-9) 2/26 Free Delivery BLACKROCK INC TRANSF
ACKROCK INC TRANSFER TO UBS FINANCIAL (372.000) (111,674.40) SERVICES INC. TRADE DATE 02/25/14 87,501.00 (ID: 09247X-10.1) 2/26 Free Delivery CATERPILLAR INC TRANSFER TO UBS FINANCIAL (1,110.000) (107,015.10) SERVICES INC. TRADE DATE 02/25/14 91,93125 (ID: 149123-10-1) J.P.Morgan Page 9 of 13 SB1062192-F1 285
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Mutual Connections (17)
Entities connected to both BAXTER INTERNATIONAL INC TRANSFER TO and CATERPILLAR INC TRANSFER TO
BLACKROCK INC TRANSFER TO
ORGANIZATION3 w/ BAXTER·3 w/ CATERPILLAR
Ghislaine Maxwell
PERSON3 w/ BAXTER·3 w/ CATERPILLAR
the Internal Revenue Service
ORGANIZATION2 w/ BAXTER·2 w/ CATERPILLAR
Nassau
LOCATION2 w/ BAXTER·2 w/ CATERPILLAR
JOHNSON & JOHNSON
ORGANIZATION2 w/ BAXTER·2 w/ CATERPILLAR
SEC .09
ORGANIZATION2 w/ BAXTER·2 w/ CATERPILLAR
FIRST BOSTON LLC
ORGANIZATION2 w/ BAXTER·2 w/ CATERPILLAR
PERSHING & COMPANY
ORGANIZATION2 w/ BAXTER·2 w/ CATERPILLAR
ANALOG DEVICES INC TRANSFER TO
ORGANIZATION2 w/ BAXTER·2 w/ CATERPILLAR
COLGATE PALMOLIVE CO TRANSFER TO
ORGANIZATION2 w/ BAXTER·2 w/ CATERPILLAR
GENERAL MILLS INC TRANSFER TO
ORGANIZATION2 w/ BAXTER·2 w/ CATERPILLAR
MC DONALDS CORP TRANSFER TO
ORGANIZATION2 w/ BAXTER·2 w/ CATERPILLAR
NEXTERA ENERGY INC TRANSFER TO
ORGANIZATION2 w/ BAXTER·2 w/ CATERPILLAR
OCCIDENTAL PETROLEUM CORP TRANSFER TO
ORGANIZATION2 w/ BAXTER·2 w/ CATERPILLAR
XILINX CORP TRANSFER TO
ORGANIZATION2 w/ BAXTER·2 w/ CATERPILLAR
INSTINET
ORGANIZATION2 w/ BAXTER·2 w/ CATERPILLAR
JPMorgan Chase
ORGANIZATION2 w/ BAXTER·2 w/ CATERPILLAR