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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
s, minimum initial Capital Contribution, assets underlying the Class, Sub-Class, tranches or Series and other terms. There shall be established two Classes of Fund Interests: Class A Interests and Class B Interests. In respect of each of Class A Interests and Class B Interests there shall be established two Sub-Classes
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
drawal rights, minimum initial Capital Contribution, assets underlying the Class or Series and other terms. There shall initially be established two Classes of Fund Interests: Advisory Class Interests and Brokerage Class Interests. New Series or Classes of Interests may be established by the Manager without providing not
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
drawal rights, minimum initial Capital Contribution, assets underlying the Class or Series and other terms. There shall initially be established two Classes of Fund Interests: Advisory Class Interests and Brokerage Class Interests. New Series or Classes of Interests may be established by the Manager without providing not
Entities connected to both Connecticut Department and Classes of Fund Interests

Fannie Mae
ORGANIZATION
New Hampshire
LOCATIONSwiss Federal Banking Commission
ORGANIZATIONthe Financial Advisor's
ORGANIZATIONParent Company
ORGANIZATIONDept. of
ORGANIZATIONBack Taxes Payment
ORGANIZATION
United States
LOCATIONUBS Securities LLC
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATION
Department of Justice
ORGANIZATION
New York State
LOCATIONthe Connecticut Department of Banking
ORGANIZATION
Internal Revenue Service
ORGANIZATION
UBS AG
ORGANIZATIONUBS Fund
ORGANIZATIONLehman Structured Products
ORGANIZATIONMassachusetts Securities Division
ORGANIZATIONthe North American Securities Administrators Association
ORGANIZATIONCivil Penalty
ORGANIZATION