*UBS Resource Management Account November 2016 Your assets Account name: CHISLAINE MAXWELL Friendly account name' v Mil nn m Account number. Sane ences, income and current vares shown may Ix applOximffle. Asa teste. gains /Id losses may nol be accutalely reflected. See Manama infolledbon about your statement a the end of ths document for fr.:« infornson. Non-traditional Pfivele egtity funds, Hedge funds, andOthet inwestrnents are field in your UEISFinarciai (UBS FS) holerage account. the pennons reported below reflect the leCOXIS of the osuets, and UBS FS does not guarantee the accuracy of theIWorm:mom The value shown is not necessarily the value you would receive (Km I he issuer if you sdd the assets. funds aderele sdd by UBS FS ale subject to ongoing due dagence, dthough the level perforrnedmay vary A dosed fund may be subject to noongdrig dligence A fund that you purchased elsewhere may never have been suteed to WS FS dligente. although UBS FS may receive a fee from IN fund's manage', which may comlitule a mooety of the rnanahementlincentive fee. Please contact your financial Adnsor with questions 'Est value per unit' is an estmate of value supplied by an independent valuation Ian and reflects oltustrrents for factors such as the Iquidty of the units. Hedge funds Wam) ALPHAKEYS PILLEN END BROKERAGE NO 10131/16 Trade date: PurchaSe pien ?tweet Avela9t Once of sews pet Share (a) Client investment 650,000.00 Your Pi nandal Advisor: SCOTT STACKMAMLYLE CASRiEL 212-821-7000'800-308-3140 Estimates Of vare suppled by issuers d (Man CrOyans Cntrich se gene toy 'net asset value estiMateS) are shown as 'Issuer est. value per unit'. for Private equty funds, 'Est. vdue per unit' is a value updated quarterly, based on the Net AsSet Value CNAViin the fund a of the date spedfed. BAUSkii by ading coital calls end tuttred rg dslnbutions ante the NAY date the NAV is primarily based on estimated portfolio vdues peorickd by the underlying fund sponsor These two values may vary because of differences in tht way they were estimated and because the • Third party est. ranee per one may have been prepared cm the Coos ol financier intonn/non other than yearend Reposed estimates may not reflect resale. liquidation or repurchase value, rf any, and may me reflect dst sow ons of ciagaal untl the next valuation is te0Orted. generally On an annua orseM.annualbalis See knpoama telesteett00 *Nit you( statement a‘ the end of Ms statement Cost Pelee per share =15(1) an Nov 30(5) value on vnredized(taU imestment Heilelag Noy 30 (s) gain or loss (5) return (5) period 650,000.00 1.000 682,506.00 32,5:)6.00 Your total assets Noft.tra &No nel value on Nor 30 (5) Hedge fu ede 682,506.00 Percentage cd Cost your tt egoist taus 100.00% 650000.00 Es1mated annual mcdre (5) Onreatted flan or loss (5) 32.606.00 Total $682,506.00 100.00% S650,000.00 632,506.00 SDNY GM 00027878 CW70003005635585 NP70031$52 I 9 OCICOB 11'6 030575004 Y128776550101010 Pogo S of 6 CONFIDENTIAL EFTA_00138498 EFTA01279107
*UBS Your notes CWOOD3005535586NMEM.19 MOM , I16 =WV. Mt, 'S.C. 'ONION Ght000218/W 6 01 6 End of statement for account number VI 28776 SS CONFIDENTIAL EFTA_00138499 EFTA01279108
Important information about your statement IS financial Services YR. (the Firm or UBS Finercial Strokes). is a merrber of all principal stuffy, ccmrrocky and esti:manna-9es. UBS Financial *nice, and 1.85 Bank USA we i-diect sank/ones of UPS AG and *dims of U35 Season LLC. The Fins f hknoal statement C available upon reuse's. The Font exeoshe alias ate a. LES Financial Snipes Inc. 1200 Harbor Boulevard Weehawken, NJ 07086 This statement represents the only official record of pot U3S financial Senates account. Other records, tape official to documents contanng soakingdata should not be relied spa, II soubane thee is an erne a Ominron please report it immediately n wring to the Branch Manager of the *ice serving your accost. Atha4' a figurer shown are Mended to be accurate. statement ekes *cud not be wed fa to proposes Rely sokak on yenend tax forms. Oa. , Form 1099. 5498, 10425. etc) when prepamg your tax return. The Firm a required by law toreps to the IRS all taxable addends, report/be rantaubk dation,* and uxtk Merest erred on seciaities held alma scant riot bands on see trawactiora, an cos* baskscertain covered monies, Ceeallardelifiline with the Finn • Pleaseremain, mei oral corrrnotations in wring tofurther protect your rights. inducing your ittitS Irhder the Seculies Investor Protection Ad (547AI • d the financol institution en the top leit of the fist of this statement isnot U36 f model St-vke CBS Financial Sankt carries yob =cum as clearing brisker by arra-gement van the toasted instauten We informed yaw of this relatOnthia when yW opened this accost h the cast your kits and testes tre boated a LOS financial Strikes and rot the iscdei-9 broker, ad you mat make amps of any ma or omission to both firm. As described in the account agreements, you must natty IA Of arty errors or fraud Mang chedcs reflected on your starter* *Min 30 Ilya alter d was mailed or made available. All staternents shall be deemed complete and accurate n all other respect if not objected to in veiti-9 within 60 days • Please dhect cuRomer complaints or no-nest° tie Fins C lent Relent Dep.:anent at 201252.1699 a tondo* r. 903.3M-9103, 8:03 A.M. to 603 P.M FT Monday through Friday, or in wing to LES Financial Senices hc., Client Relations Depatnent, P.O. Box 766 Unon Cy, 14.1 07087. • In case of errors or western about an electronic had, brands On). ba papist a UBS Vert:Wit card transactions, call 912762-1000, or write to UBS Fiscal Senices Ix., 1000 aorta flhd, 6th floor. Weehawken NI 07086, Atli RISAfe6A Sears. Caller mite as soon o you can, M you hit your stamen a receipt is man or if you need more intimation toil a transfer on the statement or receipt The firm or Card Its (as askable)must hear from you no later than CO days slier the Sim Sent y0u the tit stenos-a on which the era or problern *pored. - hetet your rams rd score number (4 arty) - Desolate error Or the Wander you revere about, end splain as okok as you cal why you believe * is an error a why su need more itsmaten. - ProWde the dolor arrant d the suspected era. The firm or Card Issuer vii h•estigme put compaht and eel correct ny error prenatal. for alleged mots 4Nokri9 UBS %Makdebit cad bawd ink if we take mere than 10 bus mess days to der this, we will credit yos accord for the EM0Ult stuthnk is in error, to net you wall have the use of Ile money during tie tine it takes us to complete our instigation. Please mire all checks payek to the Fon or the financial incaution indkated on the front of this statement In addition to regular accost fees, accounts may be skeet to maiiervirce Int throats for We parse kr securities purchases and charges kr unpaid amain n cash accosts. Accounts that at trannerren to other Ostia/Ss may be subject to a transits tee UBS Sweep Opeione LEG offers options for sweeping cash balances. balances to bale deposits at UM Bak USA and 1.8$ AG Ranked tooth (Bat Sweep Flocjarrs), moneymaker mutual lads (Money Funds) and the international Deposit Accused 024for customets with an Intetrutional &myna bantams* Account. Though the Bark Sweep Programs, cash balances at swept to LES Bank USA w to an estabashid knit ad then to UPS AG Stanford Brande or a Money Fund. Deposits at 1.85 Bank USA are FDIC inured in accorda-ce with FCC RAs. forms. information please Mit wwwfdic Deposes at LEG AG Stanford Brach ad shares of MoneyFadsare riot hared by the FDIC. Through the DA, (mailable to cadi balances are swop* to depose scants al UBS AG New Yak Branch and LEG AG Caimm Ranch Thew deposits arena toured by tie FCC. Balances held at the LES AG Cayman Branch are tompany imposed to the sovereign lit of the Cayman Mack, and there is no secants or other obligation of UBS AG to retail to Sates whiff al the LEG Cayman's Brach's books. Depose, a LES Bark USA and each UPS AG Branch are not protected by SIK. Money Fund shares are protected by SIPC. See 'LOS f hancial *vices Accost Protect-en' below. Lip:n your request balances in the Bare Sweep Program or DA may be vathdratrt and shares of a MoneyFadmay be liiidated, an the proceeds returned to you or your seoshes account Fishy Hamann about available sweep outwit mien; wren: interest rates and WICK 5 available at wmvubscordsweepreick from your F natio! Abair or by calling KO-762-1000. UPS Financial Saris account protection The Finn ri a rrontor SF the <to nine I--en-to• reStenswi Corporation (WC), whits protects warren haa-MS 01 its menters up to $920,000 (,neknling S2 50,003 kr claims for cash). The Slit asset protection limits apply to all accosts that you hod h a particular canacity. The Fin, together with certainaffiliates, has also purchased fiSplellentatplOteCtiOn. The madman anoint parabee to at eIgible dire Ct forectineb under this protests is ZOO maroon s of Decent., 10, 2015. Stbra to the poky ordilons ad limitations, cash a the firm is further protected fa up to $1.9 million n the aggregate kr all your accounts held n apneas capacity. A fIA copy of thepoky wading is arailtle vegan request. The Slit protection ad the suppkmental protection both do not say to • Cann nancial assets controlled by (and nelded n your account value) but nil away from WS Fina-col Services (e.g., certain( cash at UBS ark USA. 00 cash at 1.8$ AG U.S.banrhes, (4 Murata podacts, including variable annuities, and de darn of indult funds when such thins are registered direct& it the name of the account holder on tie bodes ad records of the applicable asue a transfer agent), • Certain nwsb-nent contracts or iniesiment interests (e.g., breed partnerships ad pirate placements) that an rot regilered under tie Studies Act of 1933; ad • Commodities contracts (e.g, kreign exchange and octopus metal contracts). including futures contacts ad commodity spies contract. The SEC protect On and the susamenul proteando not apply so these assets eon if they otherwise appear on yes statements. The SEC protection and the 9.470krnental protection do not protect agars changes as the market vale of your inflamed> (whether as 4 result of market movement, issuer batruptcy othenke) More irtormabon is saable ten request. You myy cbtan more ird omissionabout MK, oolong the SIPC Brod-at by contacting SIPC at 202-371 -83C0 or by visiting the SIPC webUto at sowspeorp Dividend Reinvestment Program pun The lute reflected b an average poke. You may Stan the actual price banns Emma Advise. Ore" whole shares an purchased under DRIP; partial than will be sold ad the cash wia be deposited your account The Sicked reinvestment price skpplied byte Ones may Offer Isom the mean pia al which the partial slums re sold Coeteirolieu tiny whole urns may be heed n yos acaunt. If pan entitled to a petal knit a a penult ol a &Ward paymera or enetwis, the Firm wall ether sell panel sh at market price a accept an amour* determined by a regiaered clearing agency, ad credit you' accost. Investment objectives The efentmeri objective and risk profile are spec lc to each account and may maybetween yor accosts Please advise the firm amp& in waning of ay sindicant change in your Iataxia situations investment *pawn For eachscant held you choose one of the folowin instrnent objectives. CONFIDENTIAL • Oman Cuneneincome: hossIments seekng the generation of income only. • Acheie Opeet Apron:Won. In...ones% seek tg /myth a principal rather than the gate ersain of intone. • Produce Caobauthn al Worse and Capital Appreciaton. Ivesonents seeking both the gentians of ham. and growth of prixpal. Overall ells profiles • Conservabe. Seeks to mantin Siff prircipal, wish low risk and volatility to the accost amok eon if dot means the soon does not sneak signalPant innw or returns an may rot beep pre with in nation. • Moderate. Willing to accept sane ride to priroPal and tolerate some votathty to seek higher returns, • Aggress/we: Wiling to accept high nit to pones* and high volat lily to seek high returns owe tin.. • lchostmehr E @OS, Considration:f selected, a Pnli0n of the porHoliof or that account may task canplex straeges, kneed lisicity and rater voktiky. Statement •hesseholdier We may concord* all related account statements with the same suns n the sane en vets, e.g. because they have 0wntrs who a10 maintain pal account relabithips well other clients a the same address* you infer to recent individual statement, mailed in separate ennekan, you may decline hocr,eholdng by ailing yrs Fiona *Swot Friendly ematte wane The Frxeclb mart nano is a olnanc*le 'nickname' chosen by you to assist you with your recordteePte). has no legal effect Cayour account You can Singe wow. hrendk nankin names. through Orithe Services a by contact :9 your eissancsal Athisor. Account overview • vote of yea. aaostOon(oto. Net of assets and 'abide A 3.1e b tolades amiable cash balance,, yokes fa restrkted tinny ), and Global Tire Deposit, amazed marks to motet, andcertain assets not held by the Fim. Does not include spread seckritiMassets at the end a the poor and anent statement rtnn0db. Of postale isamerin aliened stock options end ewrosable stock options • Othildes Includes alit balances. °Scantling margin kens, credit lit, short accost balances. • Cathhooney balances. Total of uninvested available cash balances, plus depose telexes at UBS Bank USA, LES AG U.S Branches ad money maker mutual fund sweep Waren at the awe of be stagnant period Notantredity free ae6t balances in yes account are riot segesied horn other balances and the f im may use ay of these lads in the 0rdiney course of is basins,. These funds re hirable won your darned. Tin total is ticketed in tho anent period awing vain? Lending information Fcr &tared information on the fans lording peaces and dockinven. refer to par Client Rebtiones SDNY_GM_00027880 EFTA_00138500 EFTA01279109
Important information about your statement (COMInded) Apt/nerd or ACCO-el Agfeerreill and the General Terms rd Conditions U3S Statement of Credit Practices ;nibble in Agreements and Dix Gower a mop nao rinfamunfekdato ores, YOU, MSS Your statement rumen securities ant other assets hell hint awarel at the end of he statement period. You may ask for deiverY of icy paid seoriies at anytime. You may receive securities used as loin collateral alter paying arty balance der en them. Any securities transferred to to Firm Brig the statement period ale listed at market value as of the end of the statement period. • Cast basis. In detranining die cost basis of the securities incbded en this statement, where indicated wih the number l, • WS F mineral Services has feted al information obtained from sources other than LIBS Francial Senicesi including information fever another bin a that sum* have provided to yes Finmxial Adam The Firm does not bedew-any werty a iaaarantre the aco_racy a rally of any irformation provided by souses car than LESFranco' Senices xerticrs *though UPSFig-MA Services general& Lmodates this nfermation as it is reeerved, the him does not provide any ldialrgei dal the illennalian ceder 'COO bate and *Unrealized gran lose is accurate as of the date of this statement. As such please do not rehyi on this nfoormlion to make protest or sale decisions for tax pesposes a otherwise. Accounts turdrared to to Firn may netted ger/loss ilarnatim only for the period cid tine they at held at she Firm More hiaorkal hicrmatcri cube aided by you' biaxial Advisor. • Unrealised gansFlones Yellen data s *vended trrodired suindloms re calculated Ice individual nosey lots. The transanan data for idvidaa lots may or may not ref let commisicns, rZ da security reorganization events an cl and ober reinvestment lots rd systematic ptscheot lots are each combined to display ore awraged lot The 'Trask date' coLmn presents the original transaction tale date. • Callable securities Bonds and preferred flock that the ever oats for eat redenplwn will be selected irprUlly by lot frcm among all swishes of that issue held hour name or it nominee ramie for or clients. Call Raise inkanation is obtaned from third pieties and is accuracy is net 9J:ranted. Other call hares moy wit which raid Mod wog camfete ifcrmation rake fronted upon request • Certificates of deposit COX. CDs are FDIC awed cpto $29),000 in principal and accrued intend per depoWor and per depository inaihrion h accordance Mtn FDIC nales • Priatvalue Prices digladd for securities and otter /cadets may be higher of lower that the price that mom would Keenly main in tie make rakes are obtained from verkus thid party sources whip we teethe to be reliable, bit we do not garantee ther accurxy. - We germak use he closing price when sealable a the mean of the bed and ask poxes for listed scoritin and option; a only bd prices for OTC searities. - Less 3Ctirtir traded securities may be priced usig a valuation model a se moss recent ace we detained end may not reflect en actual man n price a v-abe - Certain positions may Geer vratora a price errant will trot as 'rate was nol available • it we are unable to olAen a price fora 'awry - Deposits a securities denominated ilCUITOWC101 otier than U.S dollars at reflected as the exempt rate as of the daterneM date. - fcc certain securities fading n non-conformrig denornnstrons, price and quality (face eta) may have been Aided to facilitate peeper valuator, To obtain astern quotations, when 'eatable, contact yar Finacial Adviser. • Privet* Irwestmeries end stroceared prods de. Risme nvestmort warrties (i-cLdig deed participation program and real estate investment tad seositis) and struatred proixts are gmeralko highly druid. Celan dna-tired proce_cts have not been registered with the Securities and Ezell Commesion ce under wry slate secure:ram Sale Fronde edmated yak*, for private investment securities a-d structured products for idermatinal purposes cny. Artery is la guaranteed. - These wean may differ mbstamisty kern prices, il any. at which a Pride nueUrneell ntY structured product maybe bought or sold and do, rot necessalyraresent the vat* you may receive spat liquidator. - Third party mimosa of vain ate as ascertain date and are supplied to UBS Finarcira Services on a regitar basis by an independent vatration firm. - brain. general Danner or sponsor estimated ratan any, are 'sighed to the Fern by he nsuer, general partner or spormor and may be calculated based an deferent information tan tat used by third panes to derive their edinated values. - You can obtain addict-el iformation regardig the metccblogy used to decenniae the estimate of value and the dale 01 the Hamblinthat is the basis fa the estimate by contani-g your Financial Advisor - Third party 'singed valets may be reflected as 'Not paced in several situations: when an I-dependent valuation Jim has not sielsofed a it salvo to emir a vat*. oilmen we become ware that a material event has caused that may call a premousy regaled yak* rep question, or awn a value would be highy speotatime due to tie nature • the unsay. - When neither an issuer, general partner or SpOntOr estitwted value nor a thrd-paly estimated vitae is wooded, the seta d tie seanty write difierent Irons its caches* price. - • Datributicos to date' may indude ratan of capital, ncome orboth. - 'Original salt size' represents tie hkial offering pat per tria rime/ not reflect your Cat best - DIP rd unlisted ROT swains are not listed on a national wcurines exchange and are genera? liquid and even I they can be sold, to peke received may be led than the per tare estimated nth provided n the a-cont statement. . Resmicted recurides Resist-led wont, generaly are not (wren, Nglak for public sale. U8S Financial Service: use. the mthel priced the wirestricted stook of the sane issuer as an imputed value for the restncted Oak tor purposes °ISM; statement orgy To the extent that resticled searties are elgbk kr sale, the value receieed may be ubstarnialy less than the incised vabe down • En. (estimated) income. arrant yields and rates. An estimate of ritual income is based cn curets dosidend and interest rats, assailing tie legates will be held for cne yew from statement date or until maturity This estimate isony a gudolne; accuracy and continued income are not gu yenned - Estimated maul creme and carat yield fa certain types of leashes could rickide a reties of primp:dor capital gas is which use the est income (a-dcurrerg yield would be overstated, - Estimated anal income and anent yield and the actual rear* and yieU misfit be lower°, higher than the estimated amounts. - Are *dine* of snubbed income (deidend ands intoned) divided by the current malet valitiaverage balance is based an the tat dividend or /Merest payment nude by the issuer and amines tie sear het depdsts will be held foe cne year from dm statement date or until matwity Accuracy rd continued well we not grammeed • Assets not held bytes Financial Services. Cenah rands ore rot held bytelexes and not rutin the Fern's possession or crank These assets are displayed on loos statement for informational purposes only Positions and values presented re preluded by tie issuing firm. UBS &sandal Services is not retexemble for Ow information and does net guarantee es accuracy. These assets aro not protected by SAC or no Finn's SUpPlernerealSK corn?. • Revenue sharing and additional compensation — In addition to commissions on sibs and Ob.' lees received n correctionwith to distribution et mutual furds to ow dents we anchor our affikate receive revenue *Gin Payments Iran dranbutors at/ or advisors of them ant funds that we sell. These amounts are based on two Menem corrpononts (a the amowd of YIN by UBS of a Pa-natter mutual fund I amikr to our clients: and 8) the asset value of a particular matual fund famikes shires held a the Iran — We and use allAate ako receive networking and antis precasting fees n consideration for transfer agent WYSE" tat we provide to the mituallirds. These fees generally are pad from investor Meld it the. nutal lured and me a limed dodo amount bated on the marts, of accounts at the broker-dealer holing mutual lads of that fund fa-nily CONFIDENTIAL — h adoltion tocommissionsreceived n connection with the sale or distribution of arnuey contracts and test investment but grins tows clients, we endow our *hake recent reserve shaming compensation fromfumy of the instance companies under dlig the annuity Contreras, affixes of the insurance care dies or sponsors of tie ire imvstmmt outs we distil:on. - Our *Araks ago reeds, trading commoskons rd other condensate° fran nasal knob and extreme companies mhose products we datum. ▪ We receive an anal he from UM Bat USA rd 1.65 AG Stanford EeanCh Ot w to 425 per accarm sweeping to the barks under the UBS Bank Sweep Programs. Adivity Irkemafixeregardngeemmksiax and otier chases rand 'n connection with tie exeoraOn of trades, hcLedng option transactions has been inetackd on cantMimi:re prewousy !wished to you, and mill be prodded to you prcrrptly on repast Short telling you are engaged in short selling a security, you MP/ nor a charge de to Certain harovieg Costs for that particular searky. Open orders Regarding open or • gxchtiracancelled° ceders tat WHO not executed by the statement date, open buy and sill slop orders are nand by the mount of dividends or rig-etscn an ex-dividers:Is a Printed{ date sinless tratnxted cdienvise by pd. You are re for orders that are executed eta to your lalure to cancel eistrg open orders. Privacy To obtain a copy al at current Client Primacy Notice. please contact yes F hackie' Aehiscr or net our *range at maw oat ram/eaatnartirer 1.85 Financia Sakes a not a ball The AMA Business Services Account EGA and IRMA are brokerage accounts which provide access so banking services and protests thua4i aringernerits with dilated lurks and other Ihniparey banks, and provides Mtn to Oatra-ce and erolarY Prodxls krarad by unaffiliatedtad-party tour-eke ampres through insurance agency subsdianes of UBS Financial Services Inc. thownern, imwa-ce. ad randy products, Not FDIC Owed • No bank guaantew May lose vitae RMA. Resource Management Ann rii,BuSineSS Services Amount BSA. IRMA rd intonational Resource Management Accost am registered service mats of UBS Fnascii Strikes Inc Vila Signahre it a registered snria Milk 01 Visa MMalknat IRS Visa Signets* ova cards and UBS Visa debt cards ono Mind by UBS Bark USA wit pemusion Iran Visa U SA Incorporated. (JOS Pinencial Senices Ink Rev 201604 SDNY_GM_00027881 EF1'A_00138501 EFTA01279110
UBS UBS Fnancial Services tic. Private Wealth Management 299 Park Avenue 25th Floor New York NY 10171.0002 CNP70078411351216X12 YI 0 Resource Management Account December 2016 GHISLAINE MAXWELL P.O. BOX 308 TEANECK NJ 07666-0308 Account name: GfraStANE MAXWELL Friendly account name: Indy. Millennium Account number. Your financial Advisor SCOTT STACK MANILYLE CAST EL Phone 212-821.70001800.308-3140 Questions about your statement? Call your Financial Advisor or the Value of your account RMA ReSoUrCeUne at 800-RMA- I 000, account 029028776 on November 30 (I) on December 30(4) Your assets 682,506.00 683,739.00 tisItour websIte: www.ubscomffinancialsewices Your liabilities 0O0 0.00 Value of your account S682,506.00 3683,739.00 Items for your attention Help protect yourself from fraud and review bank, credit card, and brokerage statements regularly. Also, get your free credit report annually from Sources of your account growth woe annuakreditreportcom. Tracking the value S T0c-..0anc$ of your account during 2016 Value of your account at year end 2015 6250.000.00 Net deposits and Ess> 5 683.7 withdrawals $399,999.12 • Your nveStrffillt return Dividend art interest income 50.88 2i) 0 Change in rnarkot vat* 533,739.00 Value of your raceme on Dec 30, 2016 $663,739,00 Dec 2015 Noe 201E Dec 2016 SDNY GM 00027882 Member SIPC CNP701I0007641135 NrS0C03I0I36 C0003 1216 030575004 Ng 28776550 1100C0 Page 1 of 6 CONFIDENTIAL EFTA_00 138502 EFTA01279111
UBS Resource Management Account Decernter 2016 Your account balance sheet Summary of your assets Value on December 30 ($) Percentage of your account A Cash and money balances 0.00 0.00% B Cash alternatives 0.00 0.00% C Equities 0.00 0.00% D Fixed income 0.00 0.00% E Non-traditional 683,739.00 10000% F Commodities 0.00 000% G Other 0.00 000% Total assets Value of your account $683,739.00 5683,739.00 100.00% Account name: Friendly account name. Account number: Your current asset allocation Eye on the markets Your linancial Advisor. SCOTT STACK MAIst LYLE CASRIEL 212-821.7000/ 800-308-3140 Index Percentage change December 2016 Year to date S&P 500 1.98% 11.96% Russell 3000 1.95% 12.74% MSC I - Europe, Australia & Far East 3.44% 1.51% Barclays Capital U.S. Aggregate Bond Index Interest rates on December 30,2016 3-month Treasury bills: 0.48% One-month LIBOR: 0.77% 0.14% 2.65% O11170010007841136NP7003310136 00009 1216 030575004 v128776550 ilalyy_Gm_00027gtege 2 of 6 CONFIDENTIAL EFTA_00138503 EFTA01279112
SUBS Resource Management Account December 2016 Account name: GHISLAINE MA (WELL Friendly account n • I v nn m Account number. Change in the value of your account Summary of gains and losses December 2016 (1) Year to date (S4 Opening account value 3682,506.00 $250,000.00 Deposits, including investments transferred in 0.00 400,000.00 Withdrawals and fees, including investments transferred cut 0.00 -0.88 Dividend and interest income 0.00 0.88 Change in market value 1,233.00 33,739.00 Closing account value $683,739.00 $683,739.00 Dividend and interest income earned For rug:if:net:Of Ins staterneni, taiabiity of Filleted and ditden0 income ha, been determined from a us tax repotting perspedive, 8zed upon IM residence of the account hidden, account type, or product type, some interest ardor dvidend payments may not be subject to United Slater (US) ardor Puerto Rico (PR) Income Wei The (lent month)/ statement is not intended lo be used and carrot be reled upon for tat purposes. Clients should refer to the applictile tar reporting forms they recent. from 185 annualy, such as the forms 1099 and the Font 480, for tint repotting information rt Is the precut Of U85 to file the a:Oral:le tat reporting forms SIN the US internN Revenue Senile< and PR T«asury Departrrent and in such forms accurately &vary docknct arch interest as tax exempt or taste income. Pie*e consult your iredvdual tax prepare( December 2016(1) Year to date (1) Taxable interest 0.00 0.88 Total current year $0.00 $0.88 Total dividend & interest $0.00 $0.88 Your Pi sandal Advisor: SCOTT STACKMAIWLYLE CASRIEL 212-821-70001800-308-3140 Vedues reported below exclude products for which gaits and losses are not (testified Realized gains and losses Unrealized December 2016 (1) Year to date 04 gains and losses (3) Long term 0.00 0.00 33,739.00 Cash activity summary Ste Account &May Mrs month km deals 8018(10eS in your SveeDOOttor6 are indudedrn the optrerK) and dosing baances yaw. FDIC insurance appneS Only 10 depPSrtS at U85 Bank USA, not 10 &O915 at U85 AG. Starrtord Banded( bank deposits paced throuo the 085 internarona Depose Account postern SIPC peotenion apples to money market sweep fund hddingS but rat bank depOSits. Ste /inaptly)? in formatga about your statement on the tint two pages d this document for deists. December 2016 (1) Year to date (1) Opening balances Addtions Deposits and other funds credited $0.00 0.00 $0.00 400,000.00 Dividend and interest income 0.00 0.88 Total additions $0.00 $400,000.88 Subtractions Other funds debited 0.00 -0.88 kinds withdrawn for investments bought 0.00 -400,000.00 Total subtractions $0.00 -$400,000.88 Closing balances $0.00 $0.00 SDNY GM 00027884 CUP70310307841137 NV7003310136 0CION 1216 03057SOCM Y128776SSOI1C000 ►age 3 of 6 CONFIDENTIAL EFTA_00 38504 EFTA01279113
SUBS Resource Management Account December 2016 Your investment objectives: You have identified the Following investment objectives for this account If you have questions about these objectives, disagree with them, or wish to change them, please contact your Fnancial Advisor or Branch Manager. YOu can find a full description of the altemanve investment objectives in Important information about your statement at the end of this document Account name: Friendly account name: ir Account number: Your return objective: Currant income & capital appreciation Your risk profile: Primary - Aggressive Investment eligibility consideration - None selected Your account instructions e Your account cost basis default closing method is FIFO, First In, First Out Your financial Advisor. SCOTT STACK MANLYLE CASRIEL 2U-821.700O800-308-3140 GNI:II:010007841138 NP7003310136 00029 1216 03057%04 Y128776550 1 1 tcohy_Gm_000278O5te 4 of 6 CONFIDENTIAL EFTA_00 I 38505 EFTA01279114
*UBS Resource Management Account December 2016 Your assets Account name: GIIISLAINE MAXWELL Friendly account name:Indy Millennium Account number: Some pnCeS, inCOMe and current vaues ShoNn may I:tent:40,0We. ASS felt*. gains and losses may nos be accutalely refkaed. See smporiant inforrnaeon snow your statement a the end of ths docurneM fOr more infornmon. Non-traditional Private eqtaty funds, Hedge funds, WO Mei outset-emote held in your UEISFinarcial SeMces Inc. (UBS FS) holerage account. the potions reported below reflect the fecceds of the issuets, and UBS FS does not qv:neater. the tit( tnacy of the I Worm:nun The value shown is Me necessarily the value you would receive from the issuer if you sddthe assets. Funds actively sdd by UBS FS are subject to ongoing due digs/ice, athoutai the level performedrnay vary A dosed fund may be subject to noongong digence A fund that you pi/unwed elsewhere may never have been sated to FS dlige nee. all hough 1)85 FS may receive a fee tram t he funds manager,whit hfnay CCOSlitule a M4010 of the rnanagernentli Wenn* lee. Please contact your financia Achnof with questions ' Est vaue per unit' is an estimate of value supplied by an independent valuation ton and reflects aijustrrents for factors such as the lquidty of the units. Hedge funds Nd0ng ALPHAKEYS MILLEN FKO BROKERAGE 11/30116 Trade date: PurchMe PIK& trawnber Average puce of shares pet share (3) Client tnvestrnent 650,000.00 Your Pi nandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-70001800-308-3140 Estimates o/ )(due supped by Issuers of Colon pogroms (who are gene rat), 'net asset vaue' estutlates) are shout) as ' issuer est. vaue pet unit'. For Privae equty f unds, 'Est. value per unit • is a vaue updated quarterly, based on the Net Asset value NAV') in the fund as of the date spedfled alusted by ailing capital calls and 'obi real rg dst 'talons wire the NAY oak The NAY is primarily based on estimated portSolio vi ues provided by the underlying fund sponsor These two values may vary because of differences In the way they were estimated and because the 'Third party est • value per unit' nay have been prepared on the taus of financial irionnaton other than yetkend Reported estimates my not reflect resale, liquidation or repurchase vaue, if any, and may rice reflect dst ebut ons of caortal until the next valuation is reCOrted, ge nen* On an annual or serni.annua bttis See Important onfocrnatren scour your statement at the end of Ms statement Cost Price Per share basis (3) on Dec 30 (5) value on unrealized0M imestment Hddng Dec 30(5) ()Moor loss (3) 'mum (1) period 650,0C0 00 1.000 683,739.00 33,739.00 Your total asset Value on Dec 30 (1) Percentage or Cost your scant bass (1) ESInnated UrvedrZed annual infane dein or loss (1) Non•tradtional Hedge fads 683,739.00 100.00% 650,000.00 33.739.00 Total $683,739.00 100.00% $650,000.00 $33,739.00 Summary of approved payees and recurring payments dosed Co your instructions. the following payees and recurring payments are fortsilend 'approved payees' As e resuft (1)you may authorize attowicrialtfansters to Mesepayees Yerba 6y and (Lyon are no longer mammy hdirktual confirmations for payments to these Payees- Crsbutsement Payee descriptor) Amount (S) metroo YI23575 varied Transfer The payees and recurring payments £fed below do not include Bill Payments. thcfronic funds Transfers and Certain other transfers between accounts At CBS 11 you hive additional payees and/et recurring iktfUrflOnt On you war recent Separate mnfirmatoris from your financial AOVISOe. To update or cancel any of these instructions. please Ninon your Mama! Adr401 Type' Pent Payee on file Upon request Ha Na Apr 12, 16 Last used FrepuenCy Stan dare End dale date SDNY GM 00027886 C HP70310007841 139 NO7007310136 000711216 030579704 Y128776SSO 110000 Page 5 of 6 CONFIDENTIAL EFTA (8)138506 EFTA01279115
SUBS Your notes CNP70310007841140 NP70003i Oi 36 00003 1216 03057500t y128776550 ii di§tAY_GM_0002741940 6 of 6 End of statement for account number Y1 28776 SS CONFIDENTIAL EFTA_00 I 38507 EFTA01279116
Important information about your statement U3S Fiuncial Services Inc. (the Fern or UBS fared Serubes), is a member of all principal acuity, ccmrrothay and cptions exchanges. UBS Financial Semites and U65 Bank USA tie i-died subsilones of U5S AG and affiliats of U3S Secueles LK. The Fein's flume' statement C available upon recites. The Fowl exennise off kw are at LBS Finical Senses InC• 1200 Harbor Boulevard Weehawken, N107086 This StateMerit represents the one/ officialrecord of you- U3S Financial Services account. Other wads, Prep( official tm.dxunents. contanng contliOng data should not be relied Loan II you beim, there is an error cr omit:ion please report t inenedately n writing to the Brand, Manager of the afire serving your accost. Allticup al Homes shown are Mended to be accurate, statement &tett-Twit not be used for tar purposes Rely sclee/ on yeaund tax krms. (le , Form 1099. 5498. 10425. etc ) when prepamg your lax return. The Fit., required by law to repot to the IRS all taxable dividends, reporobb rantaubk anima and yoke interest eked an feCkeitiel held h pass accost net proceeds on see trataclions, rd cost basisancertain covered stashes. Osurearketkme with the Firm • Please reconfirm try oral commancatona in wring tofurther protect your rills. mdudrg your nt.'s utter the Seoshes Investor Protection Act ISPA). • If the financial Satiation on the top left of to Ircnt of this spools isnot LBS f natal Serytes LBS Financial Sonia* carries your down as dealing brdcer by arra-gement with the i-dcated insieutors We in you of to relatiM5hP when you opened this accost h the cast your is -a and securities are bated at UBS financial Services and rot the intolaci-g broker. and you nut make a repan of any ear or omission to both firma. As described the account agreements, you must nirn w of anti errors or kaud amobing chedis reflected on your statement weal 30 clays alter a was mailed or made available. All statement shall be downed carpi° and accurate in all other respects if not objected to in vering within 60 days • Please died customer complaints or nacres to tie Fitt's C tient Relato-n Department at 201.352.1699 cr toll-free r. 903.3544100, 8:03 AM. to 6 CO P.M. FT Monday through Frday. a in iwii-g to LES Financial Senices Inc., Client Relations Department, P.O. Box 766 Union C ey, N1 07087. • Fa TTY services. Call B44-612.0996 or firm cuts.* Ow US.; Cal POI .352.1495 • In caw of errors or wuritirts about an electronic funds wanner (EFT), bi parted or UBS Viseckbit card transactions, call BO -762-1000, or welt to UBS Fiancial Senates lx., 1000 Marta BIM., 6th flow, Weehawken ha 07086, Min RMASSA SING& Cal or 'fleas tor asyou can, if you Ihek par statement a receipt a *rag or if you need more hiorrsieliri aba.it a larder on the statement of retype. The Firm or Card mum Gs apple/binmut hee Iromyou no later than 60 days alter the Fern sera you the list ft amok on which the ems or FT0ilem arremed. - Fmk, you name ad accant nutter fsf any)) - Cosabe tie error or the fustier you re inure about, ad eotain as diary as jrcu can why you believe a is antra or why pas need more incrmaticn - Frondethe doles amatht d die suspected era. The Finn or Card Issuer wil Meatus,* your ampler., and will correct any error amp*. For alleged errors iwolving UBSVaaedebil cad transact:cm if we take more than 10 toe less days to do this, we MO credk post maul for the amount you that s in error, so that you wal have the use of the money dunng the tine n takes us to complete our iwestiptien. Please mike all checks payable to the Fern or the financial ingestion Muted on the front of OW tatement In addition to regsfar accoult leek accounts may be abject to mai-smarm lees. chines for We parrs.* tar securities purchases and charges kr unpaid amounts n cash accounts Accounts that tie tansferred to other instwlens may be subject to a bander lee. 1J06 /weep Options U65 offers options fa sweepig cash balances. balances to bark &posits at UBS Ba-kUM. and CBS AG StarMad branch (Bart Sweep Progarns), momYfluallef mutual Ord% Money Funds) rd the Interstional Depose Acccurt (Wu customers with an Int.-rational Rescue" ManaTemern Account. Though the Bat Sweep Program cash balances are swept to U3S Bank LISA Lp to an esubished knit ad then to UBS AG Stanford french or a Money Fund. outwits a LBS Bank USA are AX rand in accordance with FCC lulu. For more in( emetics, please visit wwwfdic got Deposal a WS AG Stamford Branch ad shares of Money Funds are not mated by the FIX. Through the DA amittle to cash balances are swept to depose atants al UBS AG New Yak Ranch and LBS AGCasnan Branch These deposits are not insured by the FIX. Baines held et the LBS AG Carman Branch are tempera* proud to the sovereign risk of the Cabmen Sands, and there is no iparareee or other citgabon of UBS AG to repay the betakes while on the UBS Cayman Branch's books. Deposes a LES Birk L6A and each UBS AG Branch are not protected by 51K. Money Fund shires are protected by SIPC. See 'S. Financial Services Accost Protection' below. Upon your request, balances n the Bank Sweep Programs or DA may be withdrawn and shares of a Mcney Furl may be liwidated, and the proceeds returned to you or Sto-rdin =Wit. Farther kormalcn about evadable sweep optons, nclairg rumen ireerest rates and yields, s mailable at ivmv.ubs,corriumepysIds, from your Financial Advisct or by calling 800762.1000. ULM financial Services account an:Seaton The rim ic a member of the Scsurio been Protection Corporation (9PC). which poled, warein acccunts of its members up to 5500.0P) (including 5250,0W ice Wins for cash). The SIPC asset protection limns apply to al anent that you hold n a panictler cepacky. The Firth together was certain off Pines, ha also purchased supplemental protection. The mini-run amount pays le to al Sob* diets. coliciwelyu-dm this protection is 1500 Sion as of Dec rater 10, 2015. 5.bjact to the poky ecninions and lirnitaticen, cash a the firm is further protected for up to 519 million h the agiregale for all ems accounts held h ay:Ocular twenty. A full ccpy of tie coley wading is mantle upon request. The SIPC protection rd the toplermntal protection both do not aPPIY • Certain financial assets controlled by (and "clad h your account value) but held away from WSfine-col Services (e 9., certain 0) cash at UBS Bark USA, 00 cash at WS AG U S.brard-in 0.0 rewa-ce prookin, including vaitle enmities, and (in shares of rititlial funds where such shares areregistered drealy n the rune ol the account holder an the books and roads of the awoke* issuer a transfer nosh • Chain 'utmost, contract a in...shunt interest (e 9.. lirMed partnership* ad pewee placements) that are rot regetered under the Securities Act of 1933; and • Commodities artracts (e.g. foreign excharge and pre( Lwx metal artractA inclucirg futures contacts ad commodity crib, contracts the SIPC proteclon and eke supplemental proteclon do not apply to these asset pen if theyotherwise appear on goer statements. The SVC protection ad the auplemertal protection do not protect against changes in the mates vale of you investments (whether a a result of market movement. issuer ba-kruptcy or etherize) More information is avelable upon ropes. Toomey cbtin more itormation about SIPC, including the SIPC Brth" by contacting SIPC at 202-371-83@ er by visiti-g the SIPC nwbsee at mew soc.org Dividend Reisvestment Program LOOP) The ark* reflected is an average aid You mar obtain the actual price km yes Financial Advisix . OAS, vhde Sures are purchased under 0 MP; partial shreswil be soli and the cash wit be deported in your account The dviderd tetwestinere price smaphed by the moo may dff e- from the makes ace at innch the ramid shares are sold CasIvielieu Orib whole units may be had in par wort if ryas re angled to a para.' rind as a result of a &Mord paerrern or ahenvise, the Firm will either sell partial dins at market are a accept an email determined by a regetered clean; agency, and aniclit jos accost Invert/went objective' The nveilmert objectives ad risk profile we speck to each account and may ray between you accords. Please /dude the Firm promptB in kiting at try addkant change in yar financial shuation a CONFIDENTIAL invesuneM objectives. For etchMack held, yawl choose one of the Sollowrg investment objectives: • Produce Curren t Income: twat-was seeking the generation of :tome one/. • AO*" CePVAPPecfation: Investments seeking growth of omega' rather than the gereraton of orison*. • Pnackge Conibination of intone and Capital Appreciation Inveknents seeki-g both the generation of nccme ad "moth of p-nci,al. overall sk profiles • Conservative- Seeks to marten Sol pri-cpth with low MA and mislay to the mourn overall even if that mesa to accost does not generate significant infer.? Or retire and may not keep pace with • Moderate Oiling to accept some nth to prompal ad tolerate sane ulat Say to seek Inkiner return*. • Apure:the: Milano to accept high risk to principal a-d hisgh volatility to seek huhreturns owe time. • mierment Caginkty Consobtation: F selected a portion of the poreloth for that account may etclude complh stroeges, linked liquidey and greaw Statement housekeldthe We may consoldate al related account statements with the some address in the same envekpe. e 9. because they have owners who ako mantels jont accost reenionshris wthi other dents a the same address. If you prefer to receive indiadaal statements mailed in separate *metopes, you may dthlre h:uSehOlifg by tang your Financial Advaot Friendly emoted name The Friendly account name is a cusianCatile "ndcriane' chosen by you to assist you with your reatedkeeprg ha no legal effect cn your account You ranchange your kindly accotrd names. through Onlne Services a by contacting you Financial Athisor. Account overview • Velar of nut wrowtywdolo. Net of assets at • Asset. Includes available cat balances. valauf or restricted murky fest), and Global Tine Deposits, unrealized marls to nuket, andcolon assets not held by the Pim. Does not include unpnced secutietasses at the end of the prior and anent statement period* or private inusenentb invested stock options ad ',erasable .rode options • Liabilities hales debt bala-ces, oAsta-dcg maga loans, credit line, short account balances. • Castrownw balanc.s. Total of unimested amiable cash balances, peas deposit balances at UBS Bank USA, UBS AG U.S Branches ad money maket mutat fuxl sweep balances, al to oboe of he statement poiod. Non-conmedity tree ae& balances in pas wan re no segnased from other bats-cos and the Firn may use any of these finds in the ordnay course of its business These funds at payable icon your demand. This total is ncbded in the current mind closing way,. SDNY_GM_000278B8 EFTA_00138508 EFTA01279117
Important information about your statement (COMItitted) Lending information Fa aimed 'Mammon on the Finis lending practices and chastens. refer to yrs Client Relata-Mip Ageemcnt or Accost Agreement rid the Gervaal Toms and Condition& UBS staterne-d of Credit Practices availkile in Aromas and Disclosures at jury oda.- atatareatiratireelna vas. Yost awls Your staremem itemises meanies ad other assets heti lathe award at the and of the stammer* period. You may ark for day* of fullf paid starlet at art time. You may receive acuities sad as loan collateral after paying any balance de an them. Any securities transient:deo the Fins dreg the statement period are lined at market via as of the end of the Bawer/ period. • Can bawd& In detirrnning the cost basis of the smokes included in this statement where indicated web the natter 'I,' LES Fhancial Servkes has relied oninformation obtained from sources other thant.85 Frunual Snares, including nformation from another Inn a that you may haw ;caviled to you Financial Advisor. The firm does rot independently way cc garnet the acaracy or nary d ay information provided by sauces other than I-E6Fhunial Semites. ▪ addran although LEO Franca Services grwaldi updates his rarrnation a il is received the Arm does not provide any assura-ces tat to Homan:a seder 'Cost basis' and "Unrealized gad loss' is accurate as a the date of this statement. As such. please do not reti on this reformation to make Wawa cr sale decisions. fa tie arrows or otherwise Accounts tra-riferred tote Fine may reflect gar/loss Herniation only foe tie period ot tine they are heed at the Fim More hitorkal reformatOm can be abed by your Finaroin Advisor. • Unrealized gainsaasses When data is width. estmated tree** gaindlosses an calculated kr ratan! saucy lots Ihe (inaction data for indevidal Mt may or may not reflect commission, charges arta security moraine** events. Ol-dend and other reinvestment lots rd mstematk puthase tees are each combined to diolay ore averaged lot The 'Trade date ocean poems the arghal Vantaction trade data. • Callable marital Bonds and referred stock that to issaf cats for eat; redemption veil be selected Martially by lot from amorg all startles of tat aatal held hour name or in nomree nano fa ter clients. Call team Haman* is *tinedfromthird patties and its accuracy snot garanteed. Other call teases may east which aukl affect Wed scalpel* hfamai on will be raided upon request • Cilnikatas of *Pea (CDs/. COs are FDIC retired up to 5250,000 it principal and accrued interest per &postai' end per depository institution h accordance with FDIC nit. • Price/value Prat displayed for securities and other PrCdols may be higher or lower (hit the pace that you would actualbr receive in he market. ftkes are obtained from various hid party sources *hill we believe to be militate, but we do not gamete their rout*. - We general/Me tie closed peke when amid* a the mean of the bid ad ask prices for lined Barites and option or or bd prices tcr OTC satiates. - Less actin* traded securities may be priced and a valuatim model ate mon recent gra we cbtined and may not reflect an actual market price a vatic - Cenan popery may appear wits n a rice ad will thew as • Fin was not avalable• if we are stable to cbtan a rata a tearity. - Deposits or securities denominated iourrercies oiler than U.S. dollars are reflected a the eahrge rate a of the statement date. - kr certain Bath* tradng idnonconforming denominations. rice rd qua-UM0am vale) may have been adjusted to facilitate paper *union. To cbtan °rem quotations, when aseardan, contact gar financial Adescr. • Private innevnanta and tructired products. Private itiestmert seo_rities fie Wig drect participate:en program ad real estate investment Inds morgues) and snorkeled pabas are gamely lughB din* Certain stratured Pm:4* be not been registered with the Securities and &haw Cannata' or under any state securities laws. We povideestinated vales la private investment Borges ard stature:I products for Hamm mil Pita* only Acct Jay is rot guaranteed - These values may diff er substantiaty from prem. II my, at which a pane int security a structured product may be bought or sold and do rot neanstritirepresert the vela you nine receive won liquidatim. - Third party eninses of vale are a of a cenain date ad are supplied to UBS Fna-oial Services on a regular bass by an independent valuation I irm. - Issuer, cant ail palm. a sponvx mina* valued it ay, are applied to the Fie bridle issuer, comical partner or sponsor andmay be cakulated based on deferent information tan tat tad by 'hod mattes loamw thee sawed values. - You can obtain adiaknal intemiatim regarding the metablogy used to detennine the estimate of value ad the date of the idorrnation that is the bass fir the estimate by contacted your Femoral Advisor. - Third party minuted vales may be reflected., 'Nat paced' in several stuatird when an rdeperdent valuation fern has not suppled m vette to assign a vala. when we become aware that a materialevent has *caned that may call a yetentaly reamed vale ito question. a then a value would be highly speculative due to the nature of the Bounty. - When Delta an issue, general pane or sponsor estimated value nor a thethpany estimated vats is mcnecled, the oleo of tie scarily will be different tom its purchase price. - 'Distributions to date may include rain of capital, none Urban - 'original unit size • moments Wre rind alleging rice per unrl and my not reflect war cost base. - DPI and in** REIT searees are not listed on a natimal mules mchange, and are generally liquid and event they can be sod, the prke received may te less than the per stare estimated vela prooiond n the accost statement. • Rankled eetithies Restricted acuities grimly we rot Mien* viable for public sale. US$ Fil111631 Services uses the market price of the unrestricted stock of to sane issuer in an Minted value f✓ the restricted stook dar aumcnes of this statement only. To the extent that raricied mashies are eligial• la Lite, the vale remind may be calritantialb less than the mated value town • Ea tiestinated) income. 0111.111 yields and rata. An estimate of antra name is bred on cuarem *Wird aid interest ram, attuning the margin will be held for one year from tenement date or um' matueity. This elan* is only a guider*, accuracy ad continued income are not guaranteed - Estimated avoid income and curing yield fa certain Man of manta could include a reran of radial or capital gains in which one the en. income (ad ounce yield would be overstated, - Estimated areal tame aid anent yield and the anal imam ridyield mita be lower a higher than the estimated mounts. - An estimate of a-rualeed income (ddrdend antra' interest) denied by the curent make valoravirage balance is based on the last divard or inmost payment made by the Muer and assumes tte sea:Wes/depot* will be held f or one year from the statement date or until madly. Accuracy ad continued yeld are not guaranteed • Aosta not held by UBS Financial Service& Cotten mats are not held by the Fim ad not with the Fern's possessen or control. These awls are (*played on yet statement for informational purposes only Positions and values resented we ',waded by the inured Inn UBS F rental Servrcnis not responale for this Mormaion and does not guarantee It accuracy. There assets are not protected Dy SIPC or the Fern's supplementaISIPC coverage. • Revenue Awing and Salon& cemparnatian. - h aaliton to canmbsims on sales a-d 12b.1 tees recewed n corneae* with the distrinan of mutual tint to our dents Y.* anon our affiliate recto* reverie shareg premieres tun data* max advisors of the mutual hall that we sell Thee. amount are based on two different conporentsr the won of sales by IRS of a particular nodal turd family tool, <lents; and 40 the asset ale of a particular mutual led fanny's threshold at the rim - We ander affiliate **receive network ea a-d annbus processed fees in consi*rattrif or transfer agent services tat we pad to tie mutual funds. Those feet generally are paid from inceetor assets h to mutual f und and are a foxed dollar arrant bawd an the number°, accounts at the bratadeale- foldng maid Knob of that (rod randy. — h addle:onto animations received in correction with the So er darbutian of annuity contracts rid CONFIDENTIAL Lot investerem oust units to as dents, we ender OS alike. receive retina trig complication Iron may of to entrance companies urciarmiting the annuty extracts. *Fates of the instance empties or sponsors of the at investmem b-usts we attribute. — Our a filiates afro sweetens:AN corrrnittians ad other compensation from mutual funds ad inwa-o9 canaries whose products we Ostia*. — We receive an eignial fee tam Les Bank USA and LES AG Stanford Bunch of up to 125 pa accord sweeping to the banks isdei the LBS Bank Sweep Program. Activity Information retrying commissions and other charges incurnd n col-ration with the neaten of tad* including option transactions has been naiad on confirmations previous), furnished to you, and all be provided to you aerially on realest. Short *ling If *ware engaged in short selling a security you may incur a charge due to certain tarawrg costs kr that paliota 'eases. °Pew widows Regarding oven or 'axidtilLcancellee ceders tat wire an executed by the statement date, open buy and se/ stop mars are ralked byte* amount of diudera orridus on an adulariaa erritin date unless intended othenvise by you. You are romonak tar orders that are mewled die (*you I elute to creel ming open orders. Privacy To obtan a copy of as current Client Privacy &Mice please contact vois Financial Adair or visit err wetsite at yanay, aht ram/nava- wear a. — LE6 F nancial suites isnot a bank. The RMA, Sunless Services Account 65A and OM are brokerage accounts which pack access to barking services ad Prates trauah wangements with *fined banks and od-er thid-party banks. aid provides access to inverse and amulty procticts issued by unattained fhb:Sparta iterate ampinin *aril inasame agency al:skivvies of LOS Financial Senras Inc - Itialment inura-ke, ad annuity producer - Not FDIC roured• No bank guarantee May lose vale - IMA. Resource Managendent Account, Banns Services Account BSA, IRMA and nterational Resource Management Aactr4 are myynered service males of LI3SFrenrial Semites ic. - VISA is a registered taderna-k owned by Visa International Service Assocetion ad used under kens* Tie UBS Vera creche cads ad the UBS visa all cards are issued by UPS Far* USA with permission from Visa U.S.A. Iroorporated. AA other *denial*, registered tarn arts, serva maks and rears** niece marks are of ter row* conga-lies LOS Fhwitiat Services the Rev 201612 SDNY_GM_00027889 EFTA_OO I 38509 EFTA01279118
*UBS 1.185 Fnancial Services etc Private Wealth Management 299 Park Avenue 25th Floor New York NY 10171.0002 CW7005653851 OT 17 X1 Y1 0 Account name: GNISLANE MAXWELL Friendly account name: Indy. Millennium Account number- Your linancial Advisor- SCOTT STACK MANILYLE CASRIEL Phone: 212-821-70001800-308-3140 Questions aboutyour statemett? Value of your account Call your Financial Advisor or the RMA ReSOurCeline at 800-RMA-1000, account 029328776 %isle our website: www.ubscomainancialseNices Items for your attention • Help protect yourself from fraud and review bank, credit card, and brokerage statements regularly. Also, get your free credit report annually from swew.annuakreditrepocicom. Resource Management Account January 201 7 GHISLAINE MAXWELL P.O. BOX 308 TEANECK NJ 07666-0308 on December 30 (9) on lanuay 31 (5) Sources of your account growth during 2017 vSue of your account at year end 2016 5683,739.00 Your assets 683,739.00 688,123.00 Your liabilities aoo 0.00 Value of your account Tracking the value Thc Lr;ancs $683,739.00 of your account $688,123.00 ER' 7 688,1 Your investment return Change in market value 94,384.00 Value of your account on Jan 31, 2017 S688.173.00 250.0 De< 2015 Dec kl 6 lan 2017 SDNY GM 00027890 Member SIPC 01110086005653051 NP70C0193593 00007 0117 030575004 VI 28776550100000 Page 1 of 6 CONFIDENTIAL EFTA_00138510 EFTA01279119
SUBS Resource Management Account January 2017 Your account balance sheet Summary of your assets Value on January 31 0.) Account name: Friendly account nark Account number: ■ Percentage of your account „ELL A Cash and money balances 0.00 0.00% Your current asset allocation B Cash alternatives 0.00 0.00% Total assets $688,123.00 100.00% Value of your account $688,123.00 Eye on the markets Index Percentage change January 2017 Year to date SW 500 1.90% 1.90% Russell 3000 1.88% 1.88% MSC I - Europe, Australia & Far East 2.91% 2.91% Barclays Capital U.S. Aggregate Bond Index 0.20% 0.20% Your II nodal Advisor. SCOTT STACK MAN LYLE CASRIEL 212-82 1.7000 800-308.3140 Interest rates on January 31, 2017 3-month Treasury bills: 0.51% One-month LIBOR: 0.78% CNP70003005E631352 NP7003193939 00037 0117 030575061 VI 28776550 10ffffliyGitoconedige 2 of 6 CONFIDENTIAL EFTA 00138511 EFTA01279120
Resource Management Account Ti) 'I " 2 -1 - Change in the value of your account Account name: GHISLAINE MAXWELL Friendly account name: Indy Millennium Account number. January 2017 Year to date (I) Opening account value 5683,739.00 $683,739.00 Change in market value 4,38400 4,384.W Closing account value 3688,123.00 $688,123.00 Summary of gains and losses vSues reported totem exclude rx0Oucts for which gars ant:mosses ate not Ossified. Realized gains and losses Unrealized January 2017 ($) Year TO date (1) gains and losses (4) Long term aoo omo 38,123 00 Your investment objectives: You have identified the following investment objectives for this account If you have questions about these objectives, disagree with them, or wish to change them, please contact you Friancial Advisor or Branch Manager, You can find a ful description of the alternabve investment objectives in lmportain information about your statement at the end of this document Your return objective: Current income & capital appreciation Your risk profile: Primary • Aggress-we Investment eligibikty consideration None selected Your account instructions • You account cost bass default closing method is FIFO, First In, First Out Your II nandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-70001800-308-3140 SDNY GM 00027892 C riP70009005653853 NP7003‘ 91503 00037 01 I 7 030575004 Y1787765501013000 Page 3 of 6 CONFIDENTIAL EFIA_00138512 EFTA01279121
*UBS Your notes c.,4.44,4”4.,,,,, ,....4.4,, , ..4,s4a,zenre.o,oggqi, G. 0002]6O.g., 4 of 6 CONFIDENTIAL EFTA_00138513 EFTA01279122
*UBS Resource Management Account January 2O17 Your assets Account name: GHISLAINE MAXWELL Friendly account name:Indy Milennrum Account number. Some prices, income and current values Shdrin may be approximate. ASS *Sul. gains asdasses may not be accurately reflected. See rroporiorr inrormarrOn about your statement a the end of the CecumeM for more information Non-traditional Private equty funds, wedge funds, and Other investments are held in your 118$ Finarcial services inc. (UBS FS) [oters:, account. The pootions reported below reflect the recceds of the issuers, and UBS FS does not patentee the actuary of the irIormaton The value shown is not necessarily the value you would '<Cave lam the issuer if you al cl the assets Funds sanely sdd by UBSFS ere subject to ongoing due dhgence, although the level performedrrsay vary A dosed fund may be subject to noonoong dimence A fund that you purchased elsewhere may never have been suNed to 1165 FS cllicence. althought-95 F5 may receive a let from lrefunds manager, whichmay constitute a mapilty of the rnanagementri meta* fee. Please contact your financial achnor with questions. ' Est 'due per unit' is an esemate of value supplied by an independent valuation arm and reflects alustrrents for factors such as the Squatty of the units. Hedge funds wdd ng ALPHAKEYS NILSEN FhO BROKERAGE NO 1031/16 Trade date: Purchase price Natal Aveiace once of spares pet Shale (S) Client investment CO 650,000.00 Your Pi nandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-70001800-308-3140 Estimates Of value Sialltcl by ISSuerS d Certain programs (Mich ale generally 'net asset aut.' est,t,*s) are shown as ' issuer est. value per unit'. For Wide equty f unds, 'Est. value per unl' iS a value updated quavery, based on the Net Anti Value NAV') in the fund a of the date specified °lusted by ading °natal calls and 'obi ractirg cast nbutrons gnu the NAV date. The NAV is primarily based on estimated partalio yams banded by the underlying fund sponsor These two values may vary because of differences In the way they were estimated and because the • Third party eft. value per unil* may have been Predated on the Oasts c/ financial irionnalon other than year.end Repealed estimates mar not reflect reside, liquidation or repurchase aue, I any, and may not reflect dst Mullets of cddital until the next vduah cn is (eroded nen, on an annual or semi-annual basis See rinporrara inlOrroattOn atour your statement en the end of this statement. Cost Price per share basis (1) on Ian 31 (SI value on unrealized (tar) investment Holding Jan 31 (S) ()floor loss (3) return (1) period 650,000.00 1.000 658,123.00 38,123.00 Your total assets Value on ran 3t (5) PerCentaVi C1 Cost your account bass (S) Estimated unedited annual interns (5) winos loss (S) Non•tradrtrtionel Hedge feeds 688,123.00 100.00% 650,000.00 38,123.00 Total $688,123.00 100.00% $650,000.00 $38,123.00 SONY GM 00027894 CNPTC003003653855NeTOCOlSe3588 COON 0117 030579004 Y126776350100000 Page S of 6 CONFIDENTIAL EFTA _OO138514 EFTA01279123
*UBS Your notes CNP7C0O3003653856 NP7000193588 00007 01 I 7 C00575004 v I 20776530 1 069*YGM0002786Age 6 of 6 End of statement for account number Y1 28776 SS CONFIDENTIAL EFTA_00138515 EFTA01279124
Important information about your statement U3S Financial Services Pc. (the turn or UBS Fintreial Sontag. is a merrber of all principal secuey, ccmrrodty and opt ere exchanges. UBS Financial Services and U65 Bank USA ane i-died subsilones of UPS AG and a eares of 1.85 Scurries U.C. The Fein's thermal statement b available upon recited. The Fincs tonna& offices are at: LBS Gina-col lances 1200 Harbor Boulevard Weehawken, NI 07086 This Statement represents the only official record of your LBS Financial Seneces account. Other wards, ocept official tw.dxunents. contanng conflicting data shook' not be relied Lean II you bete* there 6 an *nor a omission please report it immediately n wrong to the Branch Manager of the deice wirrg your account. Mihail.' al ligats shown re Mended to be accurate, statement ctn.. *cull not be used for tar proposes Rely mkt °nye...end tax rows, (Le , Form 1099, 519t 10425. etc ) when Drepamg your lax return. The Fim required by law to roan to tie IRS enterable dividends, report/kb rattarable dartkende and uxdak interest ironed on meanies held el pet =cowl. net proceeds co sale bread ire. rd cost basisalcertain covered seosaies. Caveranketkme wattles Finn • Please recorrom try oral cormuncatons in wnCrg to further protect your rites. indudrg your rghts utter the Secedes Investor Protection Act (SPAT • If the financial ithitution an the top left of to front of this gamma snot UBS Ennui Sevres, LBS Fronded Senates carries you =cunt as during tricker by arra-gerrent wile the rdcated inslitution We in you of the relatcnshio seinen irro opened this accost hew cast your era and leashes we located at UBS financial Services and rot the eitccbcrg broker, rd you mist make a repel of my error or omission to both firms As described in the account agreements, you must notW w of ay errors or taud hvotaing chedu reflected an your statement wean 30 days alter t was mailed or made available. All sutemores shall be deemed complete and accurate n all ether respects if not objected to in witeg within 60 days • Please drool customer complaints or nal-la:RSto tie Frors Clem Retsina Department at 201.35E-1B99 a Pittner at 800354.9103, 8:03 AM. to 600 P.M ET Monday through Friday. or in iwiti-g to LES Financial Senices lx., Client Relations Department, P.O. Box 766 Union C Cy, NJ 07087. • Fa TW services. Call B44-612.0986 or than outwit the US.; 61 201352.1495 • In caw of errors or darters about an electronic funds Wander (EFT}, bi payment or UBS Vistithit card transactions, call BO -762-1000, or wee to PBS Frontlet Semites lx., 1000 Harbor BIA, 6th floor, Weehawken NI 07086, Atm RMArE6A Servits Cal or wete as soon thyme can, if you trek wet statement a receipt 6 morg or if you need more roormaten about a herder on the statement or receipt. The Firm orCard ester (as apple/Me)met her troMyOu no later than 60 days alter the Fun sent you the list claternent on which the erns or Problem aroemed. - Posed. yotr name ad xcant ranter OF any) - Cesabe the error or the nester you at inure about, and explain as clearly as you can why you believe a is en ten or why rya need man information - Providethe doles anent of the suspected era. The Finn or Card Issuer vii Memo* you. complaint and vial correct my error promptly. For alleged *non Moire-is UBS argil ca-d framed:ore. if we take more than 10 tus Fess days to iota tbs, we will credk your /won for the amount you think a in error, so that you mg hove the use of the money clueing he tine n takes us to complete our iwestiption. Please mike all checks payable to the Fern or the lihnoal instedtion notated on the front of led Penmen* In addition to nosier account feet accounts may be abject to matronarce lees, chines for We permit lac securities purchases and charges for unpaid arnorts n cash accounts Accounts that at transferred to other instnAcns may be subject to a tender lee. UB6 Sweep Options 1,85 offers options la sweeping cash balances balances to bat deposits at UBS Ba-k US& and CBS AG Stamford branch (Bat Sweep Progeny), Monty market mutual trds Money Funds) rid the InternationalDepose Account (I3A3f or customers with an International Nessus. Mana;ement Account. Through the Bat Sweep Program cash balances we swept to WS Bank LISA op to an established lank ad then to UBS AG Stanford Bunch or a Money Fund. Deposits at LBS Bank USA are AX insured in accordance whh FCC nabs. For more Intimation Peau suit wmvfdic got Deposes a 113S AG StamfordBranch aid shares of Money Fads are not mated by the FCC. Through the OA, arailtle to cath balances are swept to depose atants al UBS AG New Yak Branch and 1185 AG Cayman Branch These deposits are not insured by tie FCC. Calmat held at the LBS AG Cayman Branch are temp:ore* nposed to the sovereign risk of the Cipmen lia-ds, and there is no guarantee or other otegabon of UBS AG to repay t e Dalaxes %Nita' the UE6 Cayman Branch's books. D•POtks a LBS Birk L6A and each UBS AG Bench are non protected by 51K. Monty Fund shires we protected by SIPC. See 'US$ Fancied Services Account Protecteon* below. Upon your reqUelt, balances in to Bane Sweep Programs or DA may be witedrann arid shares of a Money Fad may be liquidated, and the proceeds returned to you or your sto-rdies accost Father a-formation about arolable sweep oprons, ncedirg current Merest rates and yetis, s mailable at wmv.ubs,corrimeepyelds, from your F asocial Advisor or by calling 800762.1000. UBS financial Services account protection The rim a a member of the Sco-rties homier norection Corporation (DK). which proleds monies accouts of its merrbers up to 5500033 (including 5250,0W Ice dims for cash). The 51K asset protection knits apply to al w.corits that you hold is a paned& cepatky. The Finn, together with certain affiliates, has also purchased supplemental protection. The marinum amount paid* to all elgble clients. col/Klee,/ under this protections 1500 Slion as of December 10, 2016. Subject to the poky conditions and Intutions,cath a the firm is further protected for up to $1.9 million n tho aggegele for enrol, accounts held e. a pa-tictiar casecity. A ful copy of tie poky wading is athiltik upon request. The SIPC protection erd the othplerrontal protection both do not *Pit to: • Certain financial assets controlled by (and tclackd in your account value) but held away from WSFine-col SeINCt5 g., certain 0) cash at UBS Bark USA, lig cash at U3S AG U 5.brard-in Pig Murry proixt, including variable enmities, and 0v) shares of infital funds inhere such shares ere registered drealy n the name ol the account holder on the books and records of iv applecable issuer a Prefer agent). • Certain nwernem contract or intestinal interest (e g.. hunted patnerships ad pirate placements) that we rot regetered under the Securities Act of 1933; end • Commodities enacts (e.g, foreign excharge and pre( lax metal contrald include-9 heath contacts ad commodity option contracts. The SIPC protecton and to supplemental protection do not apply to these asset then if they oteemise appear on yarn sutemeats. The SIPC protection and the athiplemental protection do not protect against changes in the mate vale of yxr investments Ineether as a result of market movement, issue" balcruPtcy othenrse) More information is veld* won repast. You may obtain ma. Hammen abode SIK, incbding the SIPC Einoeut by contacting SIPC at 202-371-83C0 or by sesiteg the SIK swbsite at vmw.srpcorg Dividend frothwerteront Program POMO The price reflected is an average price You may obtain the actual price tan you. Financial Advisor. Or.), vhole hares are purchased under 0 RIP; partial shires MI be soli and the cash wil be deposited incur account The &Mired terne5imere puce swelled by te a"' may Offer from the make rite at which to partial shares are sold Caeleitlieu Crib whole units may be hid n yom account. if you re entirod to a partial snit as a result of a &Mord payrwra or ahem's., the Firm MI either sell penal units at market ace a accept an amend determined by a regetered clung agency, and mat you accost. Inverbitent objectives The nvestnent objectives wed risk profile we specific to each account and may soybetweenset wan. Please Saw the Firm promptt in venting of try Upton change in yor financial shuationcr CONFIDENTIAL investment objectives. For etchMacro held, you choose one of the Solbwrg investment objectives: • itIoduce Curren t Income: twat-rent seeking the generaen of :tome any. • Ankthe OPM/FPPreciation: Investments seeking growth of pmcipal rather than the gereraton of income. • Ft:aro Combination of and Capital AppreaSon Inithiments seekeg both the generation of :cane ad "meth of Overall risk profiles • Conseevaave. Seeks to maintain newt prixpet with low ria and %Malady to the warn *wet even if that mean to account does not generate significant income a retire ad may rot keep pace with inflation. • Magnate rolling to accept some irk to ronope ad tolerate sane vcealay to seek hgkrtr Mums. • Agguntiet Willing to accept high risk to prinroal and hit volthlity to seek techreturns over time. • eueseuenti4gOntily Consderation: I selected a portion of the portfolio for that account may include complex sir:mores, linked liquidey andrater tabby. Statement We may consoldate al related account statements with the sane address in the same emeepe. e g. because they haw onnws who also mantas, jot account rebtionshjos well other dents at the same address. If you prefer to teethe indrodual statements mailed in separate *metopes, you may decpro htuseholtlfg by ceiling your Financial Advisor Friendly attain name The Friendly account name is a cuslandable 'ndsnaree' chosen by you to assist you withyour recadkeeprg It he no legal effect an your account You can dirge your Friendly account newt though Onint Senitsi by contacting yosF Panda' Adeisa. Astor overview • brat. of your aceountaporebro. Net of assets end liabiBbc • Assets Includes available cash balances. vales f or restricted security (est ), and GlobalTine Deposits, unreozed marts 10 metet, andoaten assets not held by the Fem. Does non include unpriced securnietasses if the end of the prior and arrest statement periods, a ornate reesoronts, invested stock options aid Perces* stook options • Ciabitoes hcbdes debit Waxes, oAsta-drg maga loans, credit line, shoe' accost balances. • Cash/money balances. Total of uninvested available cash balances, plus depart balances a UB5 Bank USA, UBS AG U.S Branches ad moneymaker mutual taxi sweep balances, at to oboe of he statement pertod. Non.conmodity free cede balances in your non are not negated from other balances and the Fim may use any of these (ands tithe ordinay MAW of its bwites. These funds repayable icon your demaid. This total 6 ncbded in the current penod closing wan SDNY_GM_00027896 EFTA _00138516 EFTA01279125
Important information about your statement (continues) bandana inhumation Fcr &land inloiminon on the Finis lending radices and *downs. refer refer to yrs Chant Relatanup Agreement or Aaost Agreement and the General Isms arid Condition& ISIS Statement of Credit Priones available in Agyeemena andDiscloanes at jars. oaareentreotierfirelones. Yew sea Your atonement itemises securities rodother assets heti in the sant at the end of the statemert period. You may ad for delivery of kW paid manes M very time. You may receive sear-item used as inn collateral after paying any balance du on them. Any securities tandem:duo the Finn d.ri-g the statement period are land al market vale as of the end ol the Mates+ period. • Cart ban. In dastovnning the cost basis of to seaskies included in this statement Sere indicated yin the number 'I,' LES Fnancial Servkes has relied oninformation cbtarned from sources other than US enanual Services, including nformstion fran another fin a that you may haw ;reviled to yds Financial Adoisor. The firm does rot independently ye* cc gannet the Yank, a vanity of are information provided by 'awes other than LE6Fhincial Ser ites. halation though WS Firsancil Services sanely updates tin alternation as it is received. the Mtn does not provide any antra-eta that to inonnaticn Let 'Cost ban' and "Unrealized gay:(oss' is accurate as or to date of this statement. As such, please do not ray on this inamation to make larchase or sale decisions. fa tav PorPoses or otherwise Accounts tramferred to the Fkm may reflect gar/ loss nIcrmaticn only for tie period ol tine they ye heed st the Pint More hktorkal Hornet i:n can be Sled byr your Snarcii Anton • Unrealized gathaffnees When data is fl ank. estmated dreaded gainsrlones an calculated for nantsal 'easy lots the transacts data for indivital Ion may or may nut reflect canmksions, charges nest security reorgankann events. Dividend and otter reinvestment lots ad systematic puchase inn are each combined to ditty ore averaged lot The 'Trade date colomn cements the orgi-al eansactron trade dale. • Callable neuritis Bonds and preferred stock that to ban cats for erg redemption veil be selected inpartially by lot from anwg all scones of tat erwa belle in our name or in nontwe nine for our dents Call base Hermann is Steeledfromthird parties and its accuracy d not guaranteed. Other call features may wog which and asset Wen caliph* Hamm on will be provided upon request • °reran of &Pent Os). COs are FDIC raved is to 5250,000 n principal and accrued interest per deposes ad per deli:440,y intlitaitn, hate-cadence with FDIC nit. • Price/value erns displayed for secant's and other Prodsts may be higher or lower than the Price that you would actualbr receive in he market. Prices ae obtained from vrOs hid party sources *hill we believe to be Marble, but we do not asartene their accuracy. - We general/ use tie clang encode." awn* a the mean of the bid a-dad prices for lined steadies and Opts<C6 a or bad prices ter OTC tersr dies. ▪ LOSS area* traded securities may be Priced ott-9 8 valuann model a the most recent pine we donned and may not reflect al actual market pee a vain. - Caton poutiro may appear whou a peke ad will thew as • an was not asialable• 4 we n unable to obtin a prints a tensity - Deposits a securities denwinated ticurrercies other than U.S. dolls are reflected a the eschange rate as of the statement date. - far certain searkin rang innonconforming cionornivhons, nice rd qua-oily0am sale) may have been adjusted to facilitatePreper valuri:n to cbtan cram quotations, when available, contact yar Financial Advisor. • Private innotmente end riveted products Private hest:nem storities (raking drect partkipatiw program ad real estate imestment trust moonlit') and struckned produce are genewil* highh ilicuid Certain stnnored MSS, bow not been registered with the Securities and Exchange Carnissisn or under", state securities laws. We Donde etlinated vales la private investment warns artchistured products for Hann awl pipes ay Astray boot guaranteed - These vales rmy dB* stbstantiaty from urns, if any, at which a prone int security a Amdahl pretend may be bought or sold and do not necesserifr reptesere the vent you may receive non liquidann. - Third party eninses of vale we y of a cenain date ad ae supplied to UBS Fna-cial Services on a regular bats by an independent sedation f rm. - issuer, central partner or sponsor estimated vaLes, it any, are applied to the Fim byte issuer, general partner or sponsor and ma/ be tabulated based on deferent information fran tinned by abed petits to denve their minuted values. - You can obtain adinnal Hermann regarding to metionlogy used to determine the estimated value ad the date of the Hornet/onthat is the base for the estimate by contactrg your Frenoal Advisor. - Third party eslinaSed vitas may be reflected as Mika priced' in several Muslin, when an edeperclent valuation vim has not suppled a treble to assign a vain when we become awe that a material event has darted that may call a previously wand vale is question, a van a value would be highly specula:we due to the nature of the wounty. - Whet inter an issue, general panne a sponsor stinted value nor a thadptity estimated vale is parded, the vale of to scarily webedifferent from its parchese price. - 'Oinributions to date' may include ream of capital, mane Urban. - 'original unit size • moments to mud offering price per era and mad not reflect war cost bass. - DPP and tnkitecl REIT testes are not listed on a maknal monies echange, and at general* illiquid and even if trey can be sold the price received may te less than tepee share estimated mite provided n the accost statement. • Rearicted entities Restated marlin general* an rot cursentbr Hebb kr public sale. US$ Fina-cUl Services uses the market price of the unrestricted node al the crane issuer in an imputed value f✓cc the restricted stock itor processof this statement only. To the extent that maned senile' are eligbh la sale, the value wend may be abstantelb less than the wand value town • ht. (estimated/ Moan► current yields and rate& An *SOTS of anal exam n based on current nicked ad interest rates, assuming tie searkes will be held for one yea from statement date or anti maturity. This Sinn is onlyr a guidelne, accuracy ad continued ricome are not guaanteed - Estimated annwl Some and tweet meld fa certain Sec of searkies could include a ntun of anoint or captal gains in which eye the en. income (ad curet yield world be overstated. - Estimated mud inane aid onset weld arod the anal imam andyield Thicid be low., a higher than the sainted amounts. - An ennete of a-rualered income Haden area interest) divided by the current market viilinve ape balance as based at the last diva rd or hared payment made by the truer and assures tie searkhsrdeposks will be held for one year torn the statement date or until matisity. Accuracyand continued weld ye not guaranteed • Ana. net held by UBSFillellaill Services. Certan nets an rot held by the Fin and net Shah the Fern's possessi:n or convol. These nuts are data on was statement for informational purposes only. Positions and values presented at ironed by the inure firm UBSF rental Same, is not mac/noble for lie ilameron and does not guarantee as accuracy. These assets an not protected by SIPC or the Finis supplemental SIPC coverage. • Revenue Swing and additional ccenpereetion. - h aidilcn to carimbsins cn sakm a-d 126.1 lees wend ncomectir with to dastriputon of mutual fun to our dents Y1* /XS& our attain ream* revenue Meng payment keno dee Luta. ardor advisors of the main fun that we sell MIS* smarts are based on es different contorentsr the anon of sales by LES of a particular nodal krd family to our <lents; and got the asset valn of a 'curricula. mutual led f ambit threshold at gut fins - We and OUT affiliate also receive network read onnbus processng fees in consi*rannf or transfer agent unites tat we provide so the mutual funds. These feet generaly me paid from inter awes in toe mutual f und and are a Geed dollar anoint based on the renter°, accosts at the broker-dealer toldng motel fu-dsol that f✓u-d f — h addition to carmissigns received in connection with Ow sae et cianutkin of annuity centrists ad CONFIDENTIAL tent invesurem oust units teas dents, we ardor OS Mae. receive reserve shariv corroinudion from many of to hexaneo companies trcbreniting the amuty attracts. nines of the Issuance companies or sporeors of the Veit investmem busts we distribute. — Our if dint afro receive trading corrrnimans rd otercompensatin from mutual funds ad inura-oe canaries whose products we dstrttee. — We recent n irrual I ee fran Leslie.* USA and UPS AG Stamford Branch of tato 12 py accord sweeping to the banks vender to lBS Bari Sweep Program. Activity Information rearing commascre and otter charges insured in correction with to newton of tads, inducing cption transactions has been included on confirmations anioushr furnished to you, and MI be provided to you pranptly on regent. Short selling If you am engaged in short seam a security, sou may incur a charge due to certain torowtg costs kr that paliont 'ease/. Open eiders Regarding open or '9:coltill-tancelled* ceders tat wire not executed by the statement date, open buy and se/ stop ceders re naked by the amount of dads/Ws orritits on an snider.* a enteititt date unless instrand otherwise by you. You are responsble for orders that an executed die to your failure to cancel motIng open orders. Thing To obtan a copy of as cunan Client Privacy Indict please COMM Financial Anse or visit as estate at yaw, ahterwanoiernara. - &BS Fiunoal Services Urn a bank. the RMA, Business Services Account 65A and AMA are brokerage accounts which crown access to ba-king smitesrd Preach trough wangemmts with affthated banks and od-er tad-party banks. an provides access to inurerce and amok, products issued by trainmen thhopyty inagarkecomprim troy*, innate agency atticiaries of lISS Finned Sent/slot - hvestmere inurarke. rd enmity prairlc - Not FDIC intred• le3 bank guarantee May bse vale - WA. Peso's* Management Account, (limns Sands Account BSA, IRMA and nammtromal Resource Inman-rent Account Se reentered service maks of ll3SFrencial Services Inc. ▪ VISA is a registered tadernat owned by Visa hternaional Senn Association ad used isle kern The UBS Vera neck cads ad the WS Vita debt cards are issued by UK Bank USA with permission from Visa U.S.A. Icorporated. AA other eadernaks, registered antennas, service maks and registered senate marks are of tin rename. compans UBS Financial Services Inc. Pee. 701701 SDNY_GM_00027897 EFTA 00138517 EFTA01279126
4tUBS Iles Financial Services Inc Private Wealth Management 299 Park Avenue 25th Floor New York NY 10171.0002 CHF70056271090717Y2Y1 0 Account name: GHIStANE MAXWELL Friendly account nam • I v Mil nnium Account number. Your financial Advisor: SCOTT STACK MANILYLE CASRIEL Phone 212-821.70001800.308-3140 Questions about your statement? Call your Financial Advisor or the RMA ReSOUrCeline at 800-RMA- 1000, account 029328776 Value of your account Resource Management Account February 2017 GHiSLAINE MAXWELL P.O. BOX 308 TEANECK NJ 07666-0308 on January 31 (1) on FebAory 28 CP Your assets 688,12100 696,38600 Visit our website: Your liabilities aoo 0.00 Ii1WW.LbS cornilinancia:sesvices Items for your attention . Help protect yourself from fraud and review bank, credit card, and brokerage statements regularly. Also, get your free credit report annually from www.annuakreditreport.com. Value of your account $688,123.00 $696,385.00 Tracking the value of your account S the Lr,and$ r>ir 7 688 I 69460.4 250 Dec 2015 Dec k16 tan 2017 Feb 2017 Sources of your account growth during 2017 Value of your account at year end 2016 5683,739.00 Your InveStrnent return Change on market value $12,646.00 Value of your account on Feb 28.2017 5696.305.00 SONY GM 00027898 Member SIPC CNP70001005617109NP7003189962 00007 COI? 030573004 Yi 28776%0 Ol 00CD Page 1 of 6 CONFIDENTIAL EFTA_00 1385 18 EFTA01279127
SUBS Resource Management Account February 2011 Your account balance sheet Summary of your assets Value on February 28 (1) Percentage of your xcount A Cash and money balances 0.00 0.00% B Cash alternatives 0.00 0.00% C Equities 0.00 a00% D Fixed income 0.00 0.00% E Non-traditional 696,385.00 10000% F Corrrnodities 0.00 000% G Other 0.00 000% Total assets Value of your account $696,385.00 5696,385.00 100.00% Account name: ',.ELL Friendly account name: Ir 1. Account number: Your current asset allocation Eye on the markets Index Percentage change February 2017 Year to date S&P 500 3.97% 5.94% Russell 3000 3.72% 5.67% MSC I - Europe, Australia & Far East 1.45% 4.39% Barclays Capital U.S. Aggregate Bond Index 0.67% 0.87% Your K Randal Advisor. SCOTT STACK MANLYLE CASRIEL 212.821.7000x800.308.3140 Interest rates on February 28, 2017 3-month Treasury bills: 0.52% One-month LIBOR: 0.79% CNP70003005627110NP7003189962 00637 0217 030575004 Y121377655001MtGiumoneage 2 of 6 CONFIDENTIAL EFTA_00138519 EFTA01279128
(*) UBS Resource Management Account February 2017 Change in the value of your account Account name: GHISLAINE MAXWELL Friendly account name:Indy Millen mum Account number. February 2017 (5) Year to date (I) Opening account value $688,123.00 $683,739.00 Change in market value 8,262 00 12,646.00 Closing account value $696,385.00 $696,385.00 Summary of gains and losses values reported below exclude products for which gars anCHOsses are not Realized gains and losses Unrealized February 2017 (1) Year TO date (4) gains and losses (S) Long term aoo 0.00 53,990 00 Your investment objectives: You have dentified the following investment objectives for this account If you have questions about these objectives, disagree with them, or with to change them, please contact your Financial Advisor or Branch Manager. You can find a ful description of the alternative investment objectives in 'mponanr information about your statement at the end of this document Your return objective: °merit inccme & capital appreciation Your risk profile: Primary - Aggressive Investment eligibilty consderabon None selected Your account instructions • Your account cost base default closing method is FIFO, First In, first Out. Your Pi nandal Advisor: SCOTT STACKMANYLYLE CASILEL 212-821-7000/800-308-3140 SDNY GM 00027900 C HP70502005627111 NP70031$9962 C0037 0217 030579004 Y128776S50 010000 Page 3 of 6 CONFIDENTIAL EFTA_00138520 EFTA01279129
*UBS Your notes c. , 4 .44v.,, , ,,,,,,,...,..o4 , .,,e4c4,sody,zenressoo,pg., G. ,,,,,,,...4 0 of 6 CONFIDENTIAL EFTA_00138521 EFTA01279130
*UBS Resource Management Account February 2017 Your assets Account name: GHISLAINE MAXWELL Friendly account n -I v.Mll nn m Account number. Some pnces, mottle and current values ShOern may teepproximene. AS a *Sue. OM aidassesMay ndl be eccurately reflected. See smponant infonstab0n about your statement a the end of ttws Oxuenent tot more infornason. Non-traditional Private !gray funds, Hedge funds, andOther investments are lend in yOst UEISFinarcial SeMteS Inc. CUBS FS) trolerage account. the potions reported below reflect the recceds of the issuers, and UBS FS does not patentee the accuracy of the I riormation The value shown is not necessarily the value you would receive from the issuer if you sddthe assets. Funds sanely sdd by UBS FS are subject to ongoing due dagence, debauch the level performednay vary A dosed fund may be subject to no ongong ciligence A fund that you pu '<hied elsewhere may never have been subject to UBS FS dlige nee. although UBS PS mai receive a fee from t he fund's manarget, whit hinny ccoslitule a majority of the rnanagernenoi wenn ve lee. Please contact your Financial Achnor with questions. • Est value per unit' is an esemate of value supplied by an independent valuation Iron and reflects adjustments for factors such as tee sconity of the units. Hedge funds Hddng ALPHAKEYS MILLEN FND BROKERAGE NO 01/31/17 Trade date: iturchale ON& Nattier Average One of shafts per shale (S) Client investment (S) 642,395.00 Your /1 sandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-70001800-308-3140 Estimates of value %pi:fledby Kates of Cerlan fleogams (MO ate generally 'net asset value' estmakS) are shown as ' issuer est. value pet unit'. For Pnvae equty f unds, 'Est. value per uM' is a Value updated quarterly, based on the Net AsSet Value NAV") in the fund as of the date specified adusted by addng recital calls and subtracting dsintortions Once the NAV date The NAV is primarily based on estimated pariah° vd ues peovicsed by the underlying fund sponsor Thew two values may vary because of differences in the way they were estimated and because the 'Third party en. value per unit' may have been prepared on MP bass ol financial irionnaton other than year.end Reported estimates may not reflect resale, liquidation or repurchase value, a any, and May rc4 reflect dist ebuti cos of caortal until the next valuation is reported, central), On an annual or serrl.annual basis See Important inlomsasOn atiour yaw statement at the end of the statement. Cost Price per share basis (1) on Feb 28 (I) value on Unrealized Rao imemment Holdng Feb 28 (s) gain or loss (SI return (S) relied 642,39500 I.000 696,385.00 53,990.00 Your total assets Value on Feb 28(5) Percentages COSI your account oasis 01 Estimated Unleatzed annual newt (S) 9ein or loss (S) Noe.tradftionel Hedge feeds 6%385.00 100.00% 642,395.00 53,990.00 Total $696,385.00 100.00% $642,395.00 $53,990.00 SDNY GM 00027902 Cele7C0030056271I 3 NP7003189962 00007 0217 030579004 Y178776S50 Ol COCO Page 5 of 6 CONFIDENTIAL EFTA_00138522 EFTA01279131
*UBS Your notes CNP7C409005627)I 4 Nmooler3962 00.7 .7.0,9,04 yizenessool NtAY_GM_000279t89e 6 of 6 End of statement for account number Y1 28776 SS CONFIDENTIAL EFTA_00 I38523 EFTA01279132
Important information about your statement Fioncial Services Pc. (the forn or UBS Finercia Strobes). is a merrber of all principal acuity, ccmrrothay and whew exchanges. UBS Financial Semler, and LES Bank USA re i-died subsilones of UPS AG and aft ihRes of U35 Seven LLC. The FiMs financial Statements available upon recited. The Faros exeo.nie ',likes are at: UB5 Financed Series loc. 1200 Harbor Boulevard Weehawken, tel 07086 This Statement represents the only official record of yet IBS Financial Seneces account. Other wads, wept official la dxunint& contanng cornicingdata 'hosed not be relied wan R you bete* there is en era or 'minion pipe report it immediately n writing to the Brandi Managr of the office serving your accant Markup al hares sown se Wended to be accurate, statement data *cub not be used fa tie purposes Rey coley on yemend tax kirms, (Se , Form 1099. 5498. 1042$, etc ) when prepamg your tax return. The Fim required by law to man to tie IRS all taeable dal:knot, report/kb rantauble anima and uxdok tame coned en wesaities held n pet wart, net proceeds cn sate breactiere, rd cost basis an certain covered seanies. Cavarogriatkina wide the Finn • MOM* record rim ay oral communcatione in writing to further protect your rites. mdudrg your rites under the Sed_Wies Imenor Protection Act (SPA). • If the finitrcii takution m the by left of to front ol this slims isnot IBS Enna' Strokes, 1.85 Financial Semites carries you =aunt as Waring tacker by arra-come weh the rdcated enteution We in you of this relatimshio When Sr opened this ocean. h the cast your Kra and leases re boated a U85 financial Senates and rot the, titoixtg braer, and you mat make a recce of any error or omission to both firms • As depted in the account aft:emelt& you nut toadyus of am seas or fraud noising docks retleaed on pet statement within 30 days after t was mailed a made eatable. • Pleat. diva *sower complaints or ixpthies to tie Fiat C fent nelatiens Depannent a 101.352.1699 or tolUree at 800-354-9103, 8:CO A.M. to 6 CO P.M. ET Monday through Friday, or in wing to U35 Faunual %nice Ix., Client Relations Doper ant P.O. Box 766 Union Chy, W 07087. • A II newts shall be deemed complete ad aurae if not objected to in writing within 60 days • Fa fly services_ Call 04,6612.0986 or tran outside the US.: Cal 201.352.1495 • h cane of omen or western alecul an electronic kid; Wander Mk bas payment a UBS Vetatbil card transactions, au €03-742-1000. Or wile to UBS Financial $er.ices Ix., 1000 Harbor Bled, 6th floor. Weehawken NI 07086, Ma RIVIAMS6A Wee& Cal a vine as soon as you can, if you tank you staement a receipt is necrg °rip° need more nknnaton teat a transfer on the statement or recipe The Film or Cad beer (as elolcablenffffl her Irornyou no later than 60 days alter the Fern fed you the, net stlitallUnt on with the errs or Problem aramed. - Reed. your name and want nwrieer (if any) - Cesabe ells ennr or tie transfer yea ate inure about, ad explain as chary as you cm why you Wee • is new or why yeu need more Sam ation - Frondethe doter anent d the suspected era. The Finn or Card Issuer we Westgateput complete and vial correct my mar promptly. For alleged errors Polon; UBS Veav debit cad transact:dm if we take more than 10 tus less days to cloths, we well credit yes won for do amount you thinks in error, so that you vi have the use of the money dung the tine n takes us to complete our iwestiption. Please mike all checks payabb to the Fern or tie lilnoal instkition racked on tie bent of the statement In addition to metier account fees accounts may be abject to mateenarce lees. chaps for late ppm* kr securities purchases and charges For unpaid an:orb n cash accents. Accounts that we tansferred to other instnalons may be subject to a Vander lee. OJOS /weep Options 1.65 offers options kr sweeprg cash balances balances to Pat deposits at UBS Bale USA and LBS AG Stamford Bench Ora Sweep Progarnd, moneymane' mutual Lids Money Funds) and the InternationalDeoul Accant (DA) fa cratomrs with an Hematimal Rexene Managemerd Account. Through the Bale Sweep Program& cash balances re swept to LES Balk USA to to an established knit ad then to UBS AG Stanford &inch a a Wray Furd. Nooses at UPS Bank USA we FIX insured in accordance with FCC nabs. For more inf cimatien please awn wmvfdic got Deposes ALBS AG StamfordBranch .rd shares of Money Fads are rot Oared by the FCC. Through tee DA, cash balances we swept to deposit accounts at UBS AG New York Braden at UBS AG Cayman Branch. These deposits are not insured by to FOC. Balances held at tie LES AG Cayman Erma are serrporanly noosed to the minion rite iff the Cayman elands ad there is no gwantee rooter ob5gation of LEtS AG to repay the balances while on the UBS Caplan Branch's boas. Depose a 18$ Bait (6A and each UBS AG Branch are not protected by SIPC. Monty Fund shays we protected by SIPC. See 'S. Financial Services Account Protection' below. Upen your remit, batmen in do Sant Sweep Programs or DA may be vottdrawn arid shares d a Money had may be libectated, end the proceeds returned to yea or you Staldin ac oust. Pettier riormalcn about available sweep optoas, ncleirg current ireerest rates and yelds, s mailable at vemv.ubscardweeppelds, from your Fnanciali1.005a a by calling 800762.1000. UBS roundel Service saant protection The Firm n a irwelor re to Waite Investor Protection Corporation (Sift), which protects wanes customers of its marten too to 5924000 (i-cLdirg 4250,000 for dains for casN. Embnakry broceue asoilable upon repent or at mow wt. org The 9PC asset protean lent apply to all accounts that you Fold in a particular capacity The Fin; torte wale certain affiliates, hei ako purchased suppkorrutal innate lho maeinum /mount payable to at eigtie clients, colechtely Lint this praection is 5500 ',onion e of beceerter 10, 2016. Sikora to the poky anincee ad Imitations, cats at the Firm isfurther protected for up to 51 9 million n the Pflegete For anger accounts held in a paiisibr writ,. A (ut copy of tie poky wading is availiole won request. The SIPC protectin Delhi suatolamerlal protection both do not app& for • Certain financial assets controlled by (and ticiackd n your account value) but held away from 15$ Fina- col Services (e.g., certain() cash at UBS Bark LISA, (ii) cash at LOS AG U S. banchn, Pii) nuance products, including vaiatile enmities, and (n) share a maul funds where such shies reregistered dreaft n the nine of tie account holler on tie bales ard records of do issuer a twofer agent; • Inwstrrem contracts or nestment ••••fell, (tit, limited partnerships and private placements) tat are not registered under the Securities Act 01 1933; and • Commodities contacts (e.g, foreign ealurge and octopus metal carats), including futures contacts and commodity when contracts The SIPC protectbn and the supplemental protean do not apply to these assets send they otherwise appear on your statements. The WC protection ad the ortglemorgalototection do not protect agionatchange it re market veal of per investments (whether result of market movement issuer ba-kruptcycr °therms.) Dividend Renvemment Program (DRIP) The price reflected is an wept rice You my Wan the actual peke from yet Financial Advise% Onlynehole ewes are purchased under GRIP; partial shies wil be sold and the cash we be deposited nyour account. The tended renvestrnere putt applied by to ewer may Oa from the market price at winch tie partial tares we sold Coabieolies City whole units may be held in yes row*. If yea ate entitled to unit as a result of a &lard payrnent or otiervoise. the Firm will either sell phial units at market price or accept an amount determined by a registered clean) agency, ad coedit yar accent Invenment objective The inntmere objectives and risk profile ere speck to each accent and Tie say between you accords Please adve* the firm pronpty in wising of my sir/joint change in pas financial situationa investment cheerio./ For each account held, you choose use o1 the f plowing ii et Writes: • PfaLiceCurtiontlaoeftinsestments teeth; the generation of name oat. CONFIDENTIAL • Adsieve Cereal Appeaciara. Investments seeking growth d pmcpal rather than the generates of inCOITO. • Proace Coma...Mean of McGee and Caper Apprere*n. Investment, Seek i-g both the generation of nccme and growthof vita:al. Overall risk profiles • Consonant,' Seeks to marean Mut pampa& with low rats ad volatility to the accent owrat even if that men tie acorn does root generate significant income a roans and may not keep pace with inftritim. • Moderate Wiling to wept some ride to principal and tolerate we volatility to ter Niter return, . • Aggressive: Willing Po accept hip risk beincipal ad high volatility to seek high return overtime. • rniestment agibiftey Consolmatiom t selected a portion of the portfolio for that account may include complex strateees. finned Pe idly awl Snorer' volatiley. Statement •heuseholdiof We may comokbte at related account statements with the same address in the sane ervielept to 9. because they have owners who also maintain Ohl account relationshOs well odor dents at the sure address. you Feely to moire indistdual statements mailed is serrate emehres, you maydecline howehdding by caliog your Financial Advisor Friendly account name the Friendly account mine *a customizable *nieknane clown by you to nun you with your receedkeneng has no legal effect macaw account You can than? your Friendly account names, through Online Services a by contacting yes Pbvnoal Aiwa. Arzamt overview • Mit af Pot accountfportiolcs Not of assets ad litila • Asses_ Includes avalable cash balance, webs f or restricted secursy (est), and Global Tine D11:030.1, Ufrinn020:1 Tilts 10 market, and email assets not held by the Finn Does not indude unpriced wuritiegaseets at the end of the prior and anent statement periods, or wale Westmont& u vd stock options ad termede stud options • Eirabbes hcbdes debt brines, atstirdrg Mar loan, credit line short accent balances. • Cash/money balances. Total of uninsested avalabb cash balances pbs deposit balances at UBS Bank USA, UBS AG U.S. Branches and wavy matte mama Trod steep balance at the cbee of the statement deed No8cormoclity free ova balance in your rave re net segregabd from *ha balance, and tie Fim may use am of these furls tithe ordina-y course of its busness. These funds repayable won your derna-d. The total is ex Lded in the Canna period dosing value. SDNY_G M_0002 7904 EFTA_00138524 EFTA01279133
Important information about your statement (0011intled) Lending inhumation Fa &tared 'Mammon on the Finis lending practices and *catnap refer to year Chant Relataarap Agreement or boost Agreement rid the General Terms ad Conditions. UBS Statement of Credit radices available in Agreements andDisdatures a jure uaartegthereuraellitelne t. Yew steels Your statement Semites wraith ad other assets heti in the accord at the end of the statemert period. You may ash. for *beery al fah paid seartiet as are time. You may receive securities used as loan collateral alter paying any balance dr on them. Any securities tannin/Lidto the Ran dreg the statement period are lined at market vase as of the end of the slattern,/ period. • Can bar* In *tanning the cost basis of tie sautes included n this statement where indicated vet the natter 'I,' LES Fhancial Servkes has relied oninformation downed from sources other than LES Fa-uncial Sento ". including nformstion frcm another fin, a that you may haw provided to yeti Fina-cial Adrisor. The firm does rot independently verdY Or gagentee the ac rag a viably of are information provided by souses other than I-E6Fhunial Semites. h additim although MN -uncial Sean germalh updates this Hannah:an as his received the him does not provide any assura-ces tat tie anomaly' under 'Cost basis' and "Unrealized girl loss' is accurate as a to date of this statement. As such. please do rot ray on this inamation to make torchasecr tale decisions. fa to praises or otherwise Accounts tranferred to the Finn may reflect gar/loss nIcrmaticn only for the period ol tine they me hard r the Rim More hittorkal Harriet i:a cube aided by ear Rancid Advisor. • Unrealized painorantes When data is heath. estmated smelted gaindlones an calculated kr ratan! retry lots the (inaction data for rdivitial ins may or may not reflect oc nmistions. charges ands security reorganthatan events. Dividend and **retinue:trent lots ad vdtematk puchne bb are each combined to di lay or* swaged lot the 'Trade date' coLmn presents the original transaction trade data. • Callable marital Bonds and preferred stock that to icon cats for exit redemption veil be selected Martially by la pan amerg an startles of tat ewe held how name or in norniwe nam for ar dents Call tease hformati:n is cbtined from third patties and its accuracy isnot gaanteed. Other call teases may east which aub affect wield complete Senna cn will be provided upon request • °reran of &Pent Os). COs are FDIC nstred go to 5250000 n principal and accrued interest per &poster ad per depository institution h accordance with FDIC nabs • Price/value Bees displayed for securities and other Orcdsts may be higher or lower that the Price that you would adualbr receive in the market. Fitts ae obtained from various had party sources which we believe to be whale but we do not asatentee their accuracy. - We gem.* use tie cloteg I:meet/tin war* a the mean of the bid a-dad prices for lined sectrities and °plias or or bad prices la OTC in= dies. - Less act eh traded securities may be priced usr9 a valuation model ate most recent peke we *tined and may not reflect an actual market price a vast - Cenan poptan may appear mhos a price ad will thew as • pike was rot attaleble• 4 we r• unable to chin a stator a tensity. - Deposits a securities denoninated ihcurrercies other ten U.S. done" are reflected at the eichange rate a of the statement date. - fur cerrain mashes hang innonconforming denominatiom price and qua-oily0am vats) may haw been adjusted to facilitatePrager valugisci. To cbtan ouTem quotations, whin araitta, contact yea financial Adviser. • Private irmatrnents and riveted products. Mvate investment acuities fincLdiN erect partkipatkri program ad real estate imestment trust markets) and strucered produce are ger-hely hghh tepid Cedar. strabsed product, how not been registered with the Securities and Exchange Camninkn or under ay state securities laws. We Doti& ettinated vales lee private investment "twain ardgnstured products for Hamm cral arposin crib. Acuracy boot guaranteed - These vanes may differ sLbstantiaty from pats, il ray, at which a oriole int security a structured product may be bought or sold and do not necessrih represent theyase you myreceive won liquidatien. - Third pany eninaes of wake re a of a cenain date ad m supplied to UBS Fna-cial Services on a regular base by an indesendert yaks/anon limn. - issuer, gitrittai pinny o sponsor estimated rakes, a any, are applied to the Fiwi by the issuer, general partner or spencer and may be cakulated based on deferent information tan tanned by 'bed parties to denve their striated values. - You can obtain adiaknal information regarding to methodology used to deteimine the estimate of value ad the date of the a-ionisation that is the bag tar the estimate by contacteg your Fronoal Advoor. - Third party eslinaled eat.' may be reflected at *We priced* in several stuaticro, 'Awn an edeperdent valuation tins has not swpked a unable to assign a vela. when we become aurae that a material event ha Geared that may call a previously reamed war inn question. a Wien a value would be highly speculative due to denature as the 'aunty. - When Deter an issue, general partner a sponsor estimated value nor a thedlurty estimated tele is pecrecled, the war of IF, warily will be differerd Iran ilsparchne price. - 10Stributions to date' may include ream of capital, mane orboeh. - 'original unit size • represents tie natal offering pike per and and may not reflect your cost base. - DPP and Lnkital REIT searnes are not listed on a natimal wanes echange, and re omen* illiquid and even if they can be sold the price received may Ire less than tear share estimated vela provided n the accost statement. • Rankled eftwities Regraded acuities generalh an rot warmth viable kr public sale. OBS Fine-cal Services uses the market price of the unrestricted sad cd the sane issuer in an imputed value fa der restricted stock lor statuesof Misstatement only. To the extent that mended seoskin are eligbb ler sale, the vat. received may be obstantialh less than the trailed value tan • ht. learnetsd) ire. current Wel* and row kittiwake of anal exam is bawd on current &wicked ad interest rates, attuning tie securities will be held for one year from statement date or adi maturity. This esthete is only a gudelne, accuracy ad continued ncome are not guaanteed - Estimated antral income and curet yield for certain has of shanties could include a retain of principal or capital gains in %Nth ewe the en. income Cadence yield would be overstated. - Estimated armed inane rd caner* weld and tie anal inane andyield costa be bah a higher than the attnated amounts. - An estimate of a-rualqed income (dirdend alter interest) divided by the talent market valiatavtiar balance is based al the last divard or :wrest payment made by the Star and assures the senrahrdeposas will be held fa one year tern the statement date or until matisily. Accuracy a-d continual yield re net warned • Assets not held by UBS F MOSS Services. Cattail ova an rot held by the Fim and nee wean the fan's possessi:n or ccnvol. These ants are dewlayed on yam' statement for informational purposes only Positions and values presented a* provided by the hung tim UBS F rancid Sawn is not responsible for tNs incenution and does net guarantee es accuracy. These assess re no protected by SieC or the Fan's supplemental 51K coverage. • Revenue Marino and additional conpernation. - h aidilam to ornmbsion en satin a-d 176.1 fees received incomes-an with to destrbgen of mutual tra to our dents we ad or our affiliate recce* ravens sharing parnerts from distrautas arida advisers of the maul hinds that we sell finer arrant are based on two different cony:rents, (0 the anion of sales by LES of a particular nodal lad family toots dents; and GO the asset ate of a particular mutual lard f ambit threshold ate fern - We ardour al Age ale:treater retworkirga-d onnbus processng fees in consi*ratad or tanner agent services tut we wade so the mutual funds. Thew feet gereraly are paid from inurnor MOS h the mutual fund and are a road dollar arrant based on the number°, as-cants at thebroker-dealer boldng maid fu-ds ol that f✓u-d fatally. — h addition to atonal:no received in connection with the sae at danlution of annuity contracts ad CONFIDENTIAL Law invesurem oust wits loos dents, we radar as affiliate restive reserve stirigconienulim Iron may of the instance companies actirmiting Be annuty attracts. ablates of the insurance empties or sporeors of the tat investmem tuts we detribute. — Our elf dint ako mein) trading amnia:ant awl otercompersatim frommutual funds ad inura-ce canaries whose products we dstrioule. — We receive n areal fee from Les Sank USA and LBS AG Stanford Branch of La to 125 per accost sweeping to the banks ender the LBS Bank Sweep Program. Activity Information rearing commoners and other charges incurred in correction with the wagon of now inducing option transactions has been included on confirmations prenoush furnished to you, ad all be provided to you wallah on realest. Short King If sou are engaged in short selling a secure's,, you may incur a charge due to certain torah-9 costs kr that paliosta saver. Open Olden Regarding Men or 1scodtilLcancellee erders tat were row executedbythe statement date, open buy and sel stop orders ere reduced bathe anount of divdeeds orrititt on an ex.duidera a enuitin date unless instnthed otherwise by you. You are romonsbla kr orders that an hauled case to your failure to cancel ocating open odes. Privacy To obean a copy of as count Client Privacy/4okt please contact soar Financial Adliscr or visit as estate zAwinhterwannita-ventrv. - LE6Froncial Senices lira a bank. the RNA, Buser% Services Account RSA and BMA are brokerage accounts which panda access to barking Servos rid products trough wangements with offload banks and od-er tadparty banks. rid provides access to aureate and amuity proctids issued by Loaf flitted taidparty Parana ampanies *rosin inahne• agency al:safaris of LES Finnan Sena's Inc - lwatment inurarce. ad amity pratact - Not MK ristred• No bank guarantee May bse vale! - IMA, aeon Management Account, Banns Sena; Account BSA, IRMA and Mei-atonal Resource Management Account are registered service maks of LI3SFroncial Services hc. - VISA is a registered tadernak owned by Visa edemas:nal Serra Association ad used Leak 10.114. the UBS Visa credit cards ad the UBS Vea debt card. are issued by LIDS Bank USA with permission from Vita U.S.A. Pcorporated. AA otter Vadernaks, registered trachriara sena. maks and registered seance marks ate of ter respects* compavin UPS Shand& Services Inc. Rev 201702 SDNY_GM_00027905 EFIA_00138525 EFTA01279134
*UBS Iles Fnancial Services nc Private Wealth Management 299 Park Avenue 25th Floor New York 1W 10171.0002 CNP70065699150317 X1 YI 0 Account name: GfraStANE MAXVVEU. Friendly account name: Inch,. Millennium Account number. Your linancial Advisor. SCOTT STACK MANILYLE CASRIEL Ffione: 212-821-70001800-308-3140 Resource Management Account March 2017 GHISLANE MAXWELL P.O. BOX 308 TEANECK NJ 07666-0308 Questions aboutyour statement Value of your account Call your Financial Advisor or the RMA ReSOurCeLine at 800-RMA-1000, on February 28 (5) on March 31(5) account 029728776 Your assets 696,385.00 694,120.00 %isle our website: Your liabilities aoo 0.00 www.ubscom! financiaiservices Items for your attention • Help protect yourself from fraud and review bank, credit card, and brokerage statements regularly. Also, get your free credit report annually from 4wew.annuakreditreport.com. Value of your account 5696,385.00 $694,120.00 Tracking the value of your account S Thou,andS 683 7 696 a 69s.1 25)0 Dec 2015 DK 3016 Feeb7017 Mal 2017 Sources of your account growth during 2017 Value of your account at year end 2016 5683,739.00 Your nveStinent Maim Change in market value Value of your account on Mar 31.2017 $10,381.00 5694.120.00 SDNY GM 00027906 Member SIPC 0.7000S006569915 NP70b0307237 00006 C017 030575004 Y178776$50100000 Page 1 of 6 CONFIDENTIAL EFTA_00 138526 EFTA01279135
SUBS Resource Management Account March 2017 Your account balance sheet Summary of your assets Value on March 31 ($) Percentage of your account A Cash and money balances 0.00 0.00% B Cash alternatives 0.00 0.00% C Equities 0.00 a00% D Fixed income 0.00 0.00% E Non-traditional 694,120.00 10000% F Commodities 0.00 000% G Other 0.00 000% Total assets Value of your account $694,120.00 $694,120.00 100.00% Account name: Friendly account na Account number: Your current asset allocation Eye on the markets Your Knandal Advisor. SCOTT STACK MANLYLE CASRIEL 212.821.700018003083140 Index Percentage change March 2017 Year to date S&P 500 0.12% 6.07% Russell 3000 0.07% 5.74% MSC I - Europe, Australia & Far East 2.87% 7.39% Barclays Capital u.s. Aggregate Bond Index Interest rates on March 31, 2017 3-month Treasury bills: 0.74% One-month LIBOR: 0.98% -0.05% 0.82% CNP700O30065599I 6 NP7003307237 00COS Col 7 0305750CM Y1213776550 0tftyG t,L 0002709e 2 of 6 CONFIDENTIAL EFTA_OOl 38527 EFTA01279136
SUBS Resource Management Account March 2017 Change in the value of your account Account name: GHISLAINE MAXWELL friendly account name:Indy Millennium Account number. March 2017 (5, Year to date (I) Opening account value $696,385.00 $683,739.00 Change m market value -2,265.00 10,381.00 Closing account value $694,120.00 $694,120.00 Summary of gains and losses wipes groaned below exclude products for which guns androsses are not classified Realized gains and losses Unrealized March 2017(4) Year to date (4) gains and losses (5) long term 0.00 0.00 44,120 00 Your investment objectives: You haw• identified the following investment objectives for this account If you have questions about these objectives, disagree with them, or wish to change them, please contact you Financial Advisor or Branch Manager. You can find a full description of the alternative investment objectives in rmportanr information about your statement at the end of this document Your return objective: Current income & capital appreciation Your risk profile: Primary - Aggressive Investment ePgroikty consideration None selected Your account instructions • You account cost bass default closing method is FIFO, First In, First Out. Your el sandal Advisor: SCOTT STACKMANLYLE CASNEL 212-821-7000'800-308-3140 SDNY GM 00027908 CNP7C0C030556991 7 Nn7003307237 00036 0317 030575004 Y128776SSO 100000 Pegs 3 of 6 CONFIDENTIAL EFTA_00138528 EFTA01279137
*UBS Your notes atlX013.035MISNIMIX17137 030:6M7 MM.. n 2877655010.1, Gm . 02,.." a s CONFIDENTIAL EFT,0013E529 EFTA01279138
*UBS Resource Management Account March 2017 Your assets Account name: Friendly account n Account number. Some pnces, income erg current values ShOwn may to approximate. AS a snot. gains aldlOsses ma/ not be accurately reflected. See rmporinor inrosenabon about your statenrenr a the end d ths documeM for more information. Non-traditional Private eqtaty funds, Hedge funds, and Other investments are held in your UBS rytteS Inc. (UBS FS) broleraoe account. The postions reported belOw reflect the recceds of the issuers, and UBS FS does not Of sontee the accuracy of the iriormation The value shown is not necessarily the value you would receive from the issuer if you sd the assets. Funds acutely sold by UBSFS are subject to orgoing due dagence, ilthouln the level perforrnedrriay vary A dosed fund may be subject to noorgong dligence A fund that you purchwed elsewhere may never have been cut:sect to UPS FS </lige nee. although UBS FS may receive a fee from t he funds manager, whit h may constitute a maority of the rnana;ernentincentive fee. Please contact your Financial Achnor with questions. • Est value per unit' is an estmate of value supplied by an independent valuation arm and reflects adjustments for factors such as the tepidly of the units. Hedge funds etching ALPHAKEYS FALLEN FND BROKERAGE NO 0n8' l7 Trade date: Purchase Plod NorrOet Ammar trice 01 shafts pen share (S) Client investment (s) 650,000.00 GHISLAINE MAXWELL Your IIsandal Advisor: SCOTT STACKMANLYLE CASILEL 212-821-7000800-308-3140 Estimates of vat* suppled by issuers Of Certain Drowns (which are gene raly 'net asset vaue' estuhateS) are mown as ' issuer est. value per unit . For Private equty f unds, 'Est. value per unit* iS a value updated quarterly, based on the Net Asset Value NAV') in the fund as of the date spedfeet Austed by acting capital calls and subtracting dsl nbiAions Once the NAV date. The NAV is primarily based on estimated portfolio values pecnickd ty the underlying fund sponsor These two 'blues may vary because of differences In the way they were estimatedandbecause tne • Third party est. value per unit" 'nay have been prepared come bass of financial infonnaton other than yeanend Retorted estimates may not reflect resale. liquidation or repurchase value, t any, and may rot reflect dst ebut cm of caonal until the next valuation is retorted. generally On an annual or serri.annua balls See Important inforrnatron abour your statement en the end of ths statement. Cost Price per some WOO) an Mar 31 (5) value on unrealized0M rmemment Hddrg Mal 31 (S) grin or loss (5) return (S) period 65000000 1.000 694,t20.00 44,120.00 Your total assets Non•tratfitional Hodge roads Total 5694,120.00 Value on Mat 3t (5) 654,120.00 Percentage cd your account 100.00% 100.00% Cost Estimated Oasts 01 annual 'norm CP 650,000.00 $650,000.00 ONeffiZtO Oft or loss (S) 44,120.00 $44,120.00 SDNY GM 00027910 ChiP7COCEOC65699I 9 NP7003307237 00036 0317 030575004 VI 78776550100000 Pegs S of 6 CONFIDENTIAL EFTA_00138530 EFTA01279139
*UBS Your notes CNP700C00C6559920 NP7003307237 00006 0317 0305750N Y128776550 109ffikyGm0002791Mge 6 Jf End of statement for account number Y1 28776 SS CONFIDENTIAL EFTA 00138531 EFTA01279140
Important information about your statement IS Fruncial Services Pc. (the Fern or UBS FAercial Sanibel). is a merrber of all principal washy, canmodsy and optics exchanges. UBS Financial Seniors and CBS Bank USA ore edited subsilones of UPS AG and affiliaes (13S Sevens U.C. The Fun's I ronmal statement is available upon rechest. The Finis tenni& allies as at: UBSFina-col Serwes K. 1200 Harbor Boulevard Weehawken, NJ 07086 This statinwit representsthe only official record of you' LBS Financial Sendes account. Other recads, meat official la. dxunints, contanng conelinngdaa should rat be relied Loan IIyoubeide there is an ewer cr omission please report it Owned** n wrung to the Brandi Manager of the office wvig your accent. Allhaep al Igoee Moan ae Mended to be actuate, statement dna should not be wed for tae proposes Rely sclehi on yerend tax kirms, 6.9 Form 1099.549t 10425. etc ) when frepamg your tax return. The Pim required by law to repcn to tie IRS all livable dividends, dportabb noretadbk anima and taxable interest eared an sickens held n you soca" net proceeds an see tradaclions, ad cost basipon certain covered seosaies. Cavarariloakma wide she Firm • Meese reconfirm ay oral communcatons in wring to further protect your ritas indudrg your rgim viler the Sea_riies Imenor Protection AO (SPAT • If the financial Mitution on the top left of to trod of this stamen isnot LBS Niacin Saykes, UBS Ftencial Simian caries yer account as dewing broker by arra-gerrent with the ideated institution We informed you of this relatinshio Menne, opened this accost h the cast your knit and dimities ae boated at UBS financial Services and rot the imcdaciw brder. ad you mist make angers of ay car or omission to both firm. • As cleated in the account agreements, yin m+.et noddyus of any enors or fraud Molting decks rellecied on your statement within 30 days after d was mailed a made awakes. • Pleasedied °tower cantata-at or Hpiies to tee Firm's C fent Relations Depannent x 201.352.1699 or toll-free at 800-354-9I03, 8:CO A.M. to 6 CO P.M. ET Mondry through Frday, or in wring to WS Fe-uncial Bening Pc,, Client Relations Departnenk P.O. Box 766 Union fey, W 07C$7. • A 0 stidemeres shall be deemed complete and accute if not cbActed to in writing within 60 days • Fa TT' services_ Call 044-612-0,36 or tram etude the U S.: Cal 201.332-1495 • h um of *mos or cpaseins about an electronic finis transfer WO. bit pawned a UBS Vatokeit card transactions, call KO-762-1000, crane to UBS Financial Semite, Ix.. 1000 Harbor Bit, &Pillow, Mebane.% NI 07086, Attn RIAArESA Sakes Cal a writ as soon as you can, if you hi-leper staement a receipt is wrong °rip./ need more nkmaton &cut a trader on the statement or deed The km or Cad beer (as aRolothle)nMt her I rornyou no later than 60 days alter the Pim sent you the list statement on which the ems or Problem aiftaemed - nosed, yow rams at accost ntnber ql any) - Cesabe to error or tie tinder you at inure about, ad titian as dearly as you car why you believe d is anon a why pas need more Hcrmatign - Providethe dolor ament of the suspected era. The Finn or Card issuer wil diestgate pout empla're and will coned my error promptly. For alleged erron rnolring UBSVsaedebil ca-d Oa-nadirs. if we take more than 10 lownessdays to dotes, we erill credit year ward for the amount you Milk ,s in error, so that pou eel have the use of the money dunng he One n takes us to complete our nvestiption. Please mike all checks payable to the Finn or tie frontal institnian iodated on tie front of thS statement In addition to nrgeiar accent Ism accounts may be abject to mantenace hes, shown for late parried tar securities purchases and charges for unpaid anent, n cash accotnts Accents that at tansferred to other instnAins may be subject to a transfer lee. UBS Sweep Options LES offers options kr seeprg cash balances balances to bat deposits at UBS Bak USA and LBS AG Stamford branch (lark Sweep Prcgarns), moneymike mutual tads Money Funds) and the Intonational Depose Aoccent (CA) for a/stomas with an Hemalinal Resent kilana;ement Account. Through the Bak Sweep Program cash balances ae swept to MBank USA sp to an established knit ad then to UBS AG Stanford Bunch a a Wray Ford. Dwain at LSS Bank USA are FCC insured in accordance with FCC nibs. For more information please visit wwwfdic got Deposal a WS AG StamfordBrach ad snares of Money Furls are not intend by the FDIC. Through he DAy cash balances at swept to deposit accounts at UBS AG New York Branch ad UBS AG Cayman Branch. These deposits are not insured byte FCC. Balances held at %MIAS AG Cayman Bunch ate terrporanly emoted to the sovereign rid of to Cayman brands and there is no operant.. or °tier obfgaion of LES AG to repay the balances while on the UBS Cayman Branch's bxks. [awa. a LES Bat L6A and each UBS AG Branch are roe protected by SIPC. Money Fund shays are protected by SIPC. See 'LBS From's/ Services Account Protection' below. Upon you, request, balms n the Bank Sweep Programs or DA mat be withdrawn and shags of a Money had may be liquidated, and the proceeds returned to you or you stales accost Fester hicirmalcn about available sweep options, nchirg cured interest rates and yelds, s available at rtmv.ubs,corrimeeppelds, from your Fnancial Advise' a by calling 830-762.1000. UBS Financial Services adman protection the Fire te a membe of the Sewdogs Mess:. liceection Corporation (SW). which groltkft waxen customer, of its members into $503.000 0-cldeg 5250.000 for dams for cash). bplinatay broth s. available upon regasi or at mew sprees The SEC asset protean, knits apply to all arcuate that you held in a prticular capacity. The Fin; together web certain affiliates, has also purchased eppleerental insurance_ The marmum mount payable to al eligbee dims, tokawaH under this peotetion is 1500 million at of December 10, 2016. Sthita tome pottycorded-6 ad frnhations. cash a the firm is further protected fa up to $1.9 million in the acsegate for all poet accounts held in apint:Liar capacity. A full copy of tie poky *ceding b availtbk upon request. The SIPC protection ird the supplemental protection loth do nor apply to. • Cerkin financial assets controlled by (and Hided Pi your account value) but held awryfrom UBSFirtabol Services (ag.. certain 6) cash at UBS BA* VA, lig cash at (.ES AG US. Branches. OM narance products, including variable annuities. and (iv) shires of mutual funds where such shies ant registered drectly h the name of sin account holler on hr books and records of the Men Cr trMfer Kant); • IrrfaIrearCradaSOr Investment detests (eg. limited partnenhips ad private placements) that are not registered under the Securities Act of 1933; end • Commodities enacts (e.g. foreign exchange and Preciousmetal cam-MA includde futures contacts ad corrmodiw option centrals. The SIPC paotecton and to supplemental proteclon do not apply to these assets Bent hey otherwise appear on your alkOlilla Ws SEC protection at the stpplemental protection do not protect against changes in he make vale of yes irmestrnents (( whether as a result of market movement issuer ba-kruptcy °theme.) Dividend Reittiatbibarit Program (DRIP) The peke reflected is an average dice You rnw obtan the actual price from you Neutral Advisor. Dry lade sores are purchased under DPW; Denial shays wit be cold, rd the ext., wit be &veiled your account The dviderd relearned rice sLoofied by tie 'Ester may dNer f rom the market price at mesh thepartial shares are sold CM, ig'. units te held in you- arrant iron entitled to a panel inn as a result of a &nerd Parent or itemise, the Firm will ether sell papal a menet pd. a accept an mad determined by a registered death; agency, and credit you aCCOSLI Investment objectives the returners °twenties end risk profile be speclic to each account and mg wrybetween yaw aocants Maw advie the Firm pronpf b. in writing of rep Pp-mike,* change in par feta-cis( 'Patton gr investment objectives for each accent hen you choose ore of the Wowing in estment objectilet CONFIDENTIAL • hoed Current IIICOMe: Investments seeking the generation of income any. • Achiew Copal Apprecenon: Inestments seeking growth of principal rather than the premien of income. • Peorkee Condanation of Worse and Capital Appearakan.lnwornents seeleirg both tie generation of ncome and growthof prixpol. Overall risk profiles • Comma's Seeks to maintein nilial pi- pal, with low riPt and volatility to the account etre; even if that nem to scow does not generate I igalabrt income a Mira and mei rot ant, pm with inflation. • Moderate: Waling to accept sane risk to pincipal ad tolerate scene volataity to seek h4',er returns. • Arsine: wiling to accept hip risk to pnnopal ad high volatility to seek 4hreturns over time. • fnverstalent Eigedity Coneareation: f elected a Portion of the portfolio for tut account may include conple strategies, liated liericity and rater volatiley. Statement •heasaholditr We may consoldate all radial account statements with the sane address in the am envelope, e.g. because they hate antes who abo mantan pm account celationPtps well other cbents a the same address. If you prefer to receive inditidual statoomh maibd nn separate envelopes, you mydecline houwholding by LEAN your Ftuncial Ackisor. Friendly atoteavat name The Friendly account nano is a customizable 'ink/wane chosen by you to assist you with your recadkeephia has no legal effect on poet account. You can ohm.? your Friendly accent manes through Onkie Semites a by contacting your Financial Admen Account oveniew • Mee of your arcounteponYoSA Net of assets ad liabilities, • Asses Includes anted* cash balances, vales for restricted security (est ), and Global Tiro Deceits, wreaked marks to make, and certain assets not held by the FM Does nal include unpnced secuntieiassets at the end of me poor and anent statement penods, prom ewes:mem untested stock options and Owircitade mod. cations. • eieldeoes tildes debit balances. artstanitg magi Ion credit line, shot account balances. • Cash/norm balances. Total of uninvested mild* cash balances, atm deposit balances en UK Bank USA, UBS AG U.S Branches at money make matwl herd sweep balances, at do dome of tin statement period Non-commodity free credt balances in yer wawa at not negated from other balances and to Fim may use any of these hand in the °Hinny cows of is business. Thew funds anpayable wan your &mad. This total is nclaied in the anent period closing van SONY_GM_00027912 EFTA_00138532 EFTA01279141
Important information about your statement (COMIntlecl) tending infanta:on Fa dnalecenlormation on the Finis lending ranges and *down refer to was Client Retain-Mg Acreement or Accost Agreement and the General Terms and Conditions. LES Statement of Credit Practices audible in 4g/temente and Disclosure' a Jury urarenVerrearnoardmornc. Yam' awls Your staemem itemkes wourities ad other assets held ei the smart at the end of tie staternert period. You may M. for daway d 1.4 pad saute& al int time. You may receive securities sad as loan collateral alter paying any balance S. an them. Any securities tanstiened to the Pim dreg the statement period are lined at market vale as of the end a the statesmen period. • fart bailie In detemning the cost basis of tie seaskies included in this statement there indicated rah the number' I,' l66 FhancialSenakes has relied oninformation obtained from sources other than 1.8$ Fnanuel Semites, including nformstion fran another lien a that you may has ;corded to yds Financial Adrisor. The Firm does rot independently vedY cc garantee the warms a vadity of any ea ormation provided by wades other than I-E6Fhunial Ser ites. h adcktin although WS Simnel Services randy updates his informal:nes it s received the km does not provide any assura-ces that the hfonnaim under 'Cost base' ard 'Unrealized gerl loss' is accurate as of to date of this statement. As such phase do rot ray on this information to make Wawa cr sale decisions. fa tss Malosses or otherwise Accounts transferred to te Fins may reflect ger/loss nformation only foe the period ol tine they are held x the Pim More historkal nionnat ion can be Wad by year Finarcid Adair. • lJnmalized gains/lasses When data is wattle. estmated temeatasd gainglosses are calculated kr reardal seamy lots The (inaction data for ediritial be may or may not reflect commksbre, charges and a security reorganization events. Dircheld and ater reinvestment lots and systematic pushese tits are each combated to diwlay ore averaged lot The 'Trade date cotton presents the original barnacle° trade data. • Callable securities Bonds and preferred stock that the eon cats for eels redemption wit be selected allegation, by lot from amorg all stashes of that itIPS/ held hour name or in nominee nine fcc as dents Call Ware Haman:en is obtained from third parties and es accuracy is not gavanteed. Other call leases may east which cceM affect Weld cam:rel. Hama cri will be ponied upon request • °reran of &Pent Os). COs are FDIC nstred up to 62 50,000 n principal and accrued interest per &postai' and per depository inst &nth h accordance veSt FDIC new. • Price/value Prices displayed for securities and atm PraLas may be higher or lower than the Drive that you would attualy receive in he market. Wises are obtained from various hid party sources *hill we believe to be tektite, but we do not gars tee their accuracy. - We wenn* use tie closing ante when wad* a the mean of the bid and ask prices for lined swages and option or only bd prices la OTC swages. - Less actiseS traded securities may be Deiced usng a valuation model ate mon recent peke we cbtined and may not reflect an actual market price a vale. - Cenan poseiro may appear inthan a price ad will show as • Fin was not aralrber• if we an unable to obtain a price for a storey - Deposits or securities deraninated iscurrercies other than U.S. doers are reflected a the achinge rate as of the statement date. - fa certain washes inane innonconforming denominations. pdoe and qua-My0am value) may have been adjusted to facilitateproper valuation To cbtan curem quotations, when araftle. contact yar Financial Adyiscr. • Prawn inwevnents end structured prottuas. Mute investment searities (ale Wig dna participation program and real estate imestment 'Li washes) and struckmed product are general. high Mislaid Caton structured ;marts haw net been registered with te Securities and Exdla-w Canmisai or under any state securities laws. We poirekestinated vales la private invearneM wanton rad 'Instate, products for inlamawnel Purposin only Acaracy is rot guaranteed - These values nny differ substantiaty from press, if wiy, at which a private int security a structured product may be bought or sold and do ref neasserifr represent the vase you may ramie won liquidation. - Third piny eninaes of sale re as of a cenain date a-d at supplied to UBS Fna-cial Serve's on a regular bays by an independent caution limn - Issuer, gitrin id paint. or sponsor estimated sales, if aw, are applied to **Fan by he issuer, general partner or sponsor and may be catulated based on deferent informabon ban thawed by thou parties lodenve their entreated sakes. - You can obtain adieknal infamatim regarding the methodology used to determine the estimate of value and the date of he Hamannthat is the bozo for the estimate by contacting your Financial Advisor. - Third party minted vain may be reflected at 'We priced' in several "Wain, wren an edeperdent valuation fim has not swpted a unable to assign a vale. when we become awe that a material event has *caned thst may call a previously reputed value into question. a awn a value would be highly specartire due to the nature a the *aunty. - When Delta an issue, general partner or sponsor estimated value nor a thed-pany estimated vale is acrected, the vela of the warily will be different from its purchase price. - 'Distributions to date' may include rein of capital, recant orboth. - 'original unit size • represents the neat offering price per tra and my not reflect your cost base. - DPP and vatted REIT waits are not listed on a national wastes exchange, and av "mealy illiquid and even if they can be sold the price received may te less than tit eper shore estimated vala prorickid n the accost statement. • Rankled eeturities Restricted acuities gentealS re rot Mien* eatable for public sale. (1135FilWICidi Services uses the market price of the unrestricted stode of te sane issuer as an imputed value fir the restricted stock lor statues of this statement onyx To the extent tat regained seosein are eligble la We, the vat. naiad may be tabstantialb loss than the waited vahe shown • Ea lestinated) Ire, current yields and rates An *stens d e-nal irtailt is based on curet &Asked and intent raw, attuning he washes will be held for one year from statement date or urea maturity. finis estimate is only a gudelne, accuracy at continued worm are not guaanteed - Parroted arnal income ard current yield fa certain types of searkin could include a retain of principal or capital gains n which case the est income (and overt Weld would be overstated. - Estimated areal Mane and outwit weld and the anal imam and yield rrigFd be low.. a higher than the atenated amounts. - An estimated a-rualged income (darden:I aura interest) dieided by the current maket valrataverage balance is based on the last chard or interest payment made by the hoer and assures tie searkesrdeposks will be held for one year born the statement date or until maturity. Accuracy and contewed weld an not guaranteed • Assets not held by UBSFinddald Services. Censer men an not held by the Pim ardna within the fern's possession or ccntol. These assets are displayed on you statement for informational purposes only Positions ad values presented a* provided by the issung fan UBSFruncial Services is not reasonable for this eformaion and does not guarantee its accuracy. These assets are not protected by SPC or the finis supplemental SIPC coverage • Revenue thawing end Salon& ccenpernetion. — h addeen to conmbsions cn sales ant 12b.l fees rewired in connenkin with the distrission of mutual funs to Ott dents are mida our affiliate rect.* revenue shreg parer*, from deo-boon andes advisors al the mutual knob tai we tell If.,. arriares are based on two d fferent corrprentss the Knout of sales by U3S of a piniculr mast fund finely to OW <len% and 60 tin asset ate dt particult manual kid femifs seemsheld at tie fern - We and our affiliate also receive networkingand onnbus processhg fees in consi*rattof or banner were services tat we provide a tie mutual funds. These feet generally n paid from investor assets h tie mutual f und and are a fixed dollar arrant bawd an the renter°, accounts at the brckerdeale- eoldng maid funds of that f✓Land (allay — h addition to carmitsions received in connection with the tab or detnIutkin of annuity contracts aid CONFIDENTIAL taut inveamem oust units to as clients, we rider as affiliate receive COMMIS sharing corronsurion Iron many of to entrance companies underwriting the enmity carats. Manes of the nuance companies or sporeors of the set investmem hats we distribute. — Our affiliates am rue e. trading ccerrnigans and otarcompreation from mutual funds ad insurance canaries whose products we Ostrioule. — We receive an irrualfee franc Leslie.* USA and UPS AG Stanford Branch of wow 525 pa accord sweeping to the banks ender the lEtS Bari Sweep Program. Activity Information rearing commescre and other charges incurred in correction with to newton of fade. inducing option tunas-bons has ben included on confirmations previousty furnished to you, ad wall be provided to you monody on reopen. Short soling If you are engaged in short selling a security, sou may incur a charge due to cenaintaroweg costs for that pa-Osier scurry. Open orders Regarding wen or -goodakcancelled- adon tat were rot executedbythe steam.," date, open buy and see stop ceders re reduced by the amount of deaden& or rights on an insdiuidena a ear gas date unless inch-cad otherwise by you. You are raponsble for orders that re mewled mile to your failure to cancel Prating mar a-ders. Privacy To obtan a copy of as currant Client Privacy Nonce please contest wis Financial Advisor or visit as nada at mow ast ergannirsumart. — LEGFriancial Services isnot a bank. The RNA, Business Services Account 854 and BMA we brokerage accounts which crania access to barking services ad votes trough wangements with afNiated banks and og-er PIM-party banks. and provides access to metres and among pocket issued by Loaf f hailed tin:Spiny hegira companies tercuiti instance agency al:seizes of USSFeuncid SICket Inc - hirearnent. Murree. and amity packing — Not FDIC estred• les bank guarantee. May lose vale — IMA. lean lianagennent Account. Blanes, Semite, Account BSA, IRMA and ntorotromal Roseate Management Account at registered service maks of ll3SFearicial Senices hc. - VISA is a registered tadernalc mimed by Visa htirddli:fld Seam Anatolian and used under kern. lhe UBS Vea oak cads ad !MUDS Vea delsk cards are keyed by LIDS Bank USA with permissionfrom Visa U.S.A. incorporated AA other trademarks, registered tracerrarks, serve. maks and registered service maks are of ter remain. compenes UM Financial Services Inc. Rev WINO SDNY_GM_00027913 EFTA_00 I 38533 EFTA01279142
*UBS lies Felancial Services tic. Private Wealth Management 299 Park Avenue 25th Floor New York NY 10171.0002 CNP70056426230417 XI YI 0 Resource Management Account April 2017 GHISLAINE MAXWELL P.O. BOX 308 TEANECK NJ 07666-0308 Account name: GHISIANE MAXWELL Friendly account name: Indy. Millennium Account number. Your linancial Advisor- SCOTT STACK MAN1LYLE CASRIEL Phone: 212-821-70001800-308-3140 Questions about your gatemen Call your Financial Advisor or the Value of your account RMA ReSourCeline at 800-RMA-1000, account 029728736 on March 31 (5) On April 28 (S) Your assets 694,120.00 701,077.00 Ksit our website: Your liabilities 0.00 0.00 %%yew. tin corn/ Iinanciahences Value of your account $694,120.00 $701,077.00 Items for your attention Out Capital Market Assumpoons and Strategic Asset Allocations were updated at the end of Feb. These changes may impact your portfolio. Please call your Sources of your liCCO Ull t growth advisor with any questions. Tracking the value of your account during 2017 Value of your account S the tr,arld$ 7 6'34 ' 701.1 2 De 2015 Dec 7016 1.18r2017 POI 2017 at year end 2016 5683,739.00 Your nvesanent return Change in market value 517,338.00 Value of your account on Apr 28. 2017 $701.077.00 SDNY GM 00027914 member SIPC 00103054305642673 Nr1000I90184 00005 0417 0305350047'128776550100000 Page 1 of 6 CONFIDENTIAL EFTA_00 I 38534 EFTA01279143
SUBS Resource Management Account April 2017 Your account balance sheet Summary of your assets Value on April 28 (5) Percentage of yOut account A Cash and money balances 0.00 000% B Cash alternatives 0.00 0.00% C Equities 0.00 0.00% D Fixed income 0.00 000% E Non-traditional 701 , 0 7 7. 00 10000% F Commodities 0.00 000% G Other 0.00 000% Total asset Value of your account 1701,077.00 $701,077.00 100.00% Account name: Friendly account n Account number. GHISLAINE MAXWEU. Your current asset allocation Eye on the markets Your II vandal Advisor. SCOTT STACK MAN LYLE CASR1EL 2124214000800-308-3140 asof April 27, 20O Index Percentage change April 2017 Year to date S&P 500 1.22% 7.36% Russell 3000 1.38% 7.20% MSC I - Europe, Australia & Far East 2.72% 10.30% Barclays Capital U S. Aggregate Bond Index Interest rates on April 27, 2017 3-month Treasury bills: 0.79% One-month LIBOR: 0.99% 0.68% 1 51% CNP70003005642624 NP7003193284 COCOS 0017 030575004 VI 28776550 loggpitGitoconegge 2 of 6 CONFIDENTIAL EFTA_00138535 EFTA01279144
UBS Resource Management Account Change in in the value of your account Account name: GHISLAINE MAXWELL Friendly account n 2I n Account number. April 2017 (SI Year to date IS) Opening account value $694,120.00 $683,739.00 Change in market value 6,957.00 17,338.00 Closing account value 3701,077.00 $701,077.00 Summary of gains and losses values reported below exclude prOducit tot which gam ancilosses are not daSsitied. Realized gains and losses Unrealized April 20t7($) Year to date It) gains and loses CS) long term 0.00 0.00 51,077.00 Your investment objectives: You have identified the following investment objectives for this account If you have questions about these objectives, disagree with them, or wish to change them, please contact your Financial Advisor of Branch Manage:. Youcan find a full description of the alternative investment objectives in important information about )our statement at the end of this document Your return objective: Current income &capital appreciation Your risk profile: Primary • Aggressive Investment elig Miity consideration • None selected Your account instructions • Yotr account cost bass default closing method is FIFO, First In, First Out Your financial Advisor: SCOTT STACKMANLYIE CASRIEL 212-821-7600/800-308-3140 SDNY GM 00027916 CelP7004X005642625 NE1000193284 00005 0417 030575004 Y126/765501000C0 Pape 3 of 6 CONFIDENTIAL EFFA_00138536 EFTA01279145
*UBS Your notes c................s.,....r.,......, ,,,, . 02,,,, a a CONFIDENTIAL EFT,0013E537 EFTA01279146
*UBS Resource Management Account April 2017 Your assets Account nanne: GHISLAINE MAXWELL Friendly account name: Indy Millennium Account number. Sane ones, income and current vanes Shown may be Epploxirnene. AS a it sue, gains aldlOsses mai rot te manalely refkaed. Set knportant info:maw° abour your statement a the end of this dacurnem for wore infornasort Non-traditional Private <fluty funds, Hedge funds, and Other inveStMents are held in your UBSFinarcial SeMces Inc. (UBS FS) broierade account. The potions reported below reflect the records of the mums, and UBS FS does not grantee the accuracy of the Worm:mon The value shown is rid necessarily the value you would receive lam live Issuer if you sddthe assets. Funds actively sdd teje binFS ate subject toongoing due dagence, althougS the level perform:min-lay vary A dosed fund may be sutiect to no ongong cadence A fund that you purchased elsewhere may never have been salmi to UPS FS Once me. although UBS FS may receive a fee from t he funds manager, which may constitute a maarity of lie managemenvincentive lee. Please contact your Rnalcia non's°, wth questions. ' Est value per unit' is an estmate of value supahed by an independent valuation Sim and reflects aqustrrents for factors such as the iquidty of lie units. Hedge funds Purchase OM& teurrbes Armor lance Hddng of shares pet share (S) ALPHAKEYS MILLEN FND BROKERAGE MO 0331/17 Trade date: Client investment (S) 650,000.00 Your Nsandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-70001800-308-3140 Estimates of vat* suppled by bitten d (wan pograns ena ch ale generally 'net sad value estarlafrfl are shown as ' issuer est. value per unit'. For Pnvae equty f unds, 'Est. value per unl' is a value updated quarterly, based on the met AsSet value NAV'Vin the fund a of the date specified. °lustedby 'ding recital rails and subtradi rg dmablations Once the NAY date The NAV as primarily based on estimated parthalio vdues rani:fed by the underlying fund sponsor These two vdues may vary breave of differences In the way they were estiwhited and because the • Third party eST value per unit' mai have been coasted on the basis or financial irionnoton other than yea•Md. Recoiled estimates may not reflect resale, liquidation or repurchase value, if any, and may rot felled dst Moulton; of caddy until the next valuation is reported, general), on an annual or Serni.annuat basis See Invariant inl0senatOn Moor your statement en the end of this statement. Cost Pace per Share tra515(1) en Apr 28(1) value on LtrueSized Om) imemment Holdng Apr 28 rot gain or loss (5) return (S) period 650,000.00 1.000 701,077.00 51,077.00 Your total assets Value on Apr 28 (1) Percentage c/ Cost your account bad (S) 'Ornate° Umtata(' annual income (SI gain or loss (S) Noo•tmditional Hedge funds 701,077.00 100.00% 650,000.00 51,077.00 Total $701,077.00 100.00% $650,000.00 $51,077.00 SDNY GM 00027918 C HP70:03305642627 N77003100204 0000S 0417 030579004 Y128776SSO 100000 Pogo S of 6 CONFIDENTIAL EFTA_00138538 EFTA01279147
*UBS Your notes CNP7C0C8:105642628 NP7000193284 00006 0417 0305750N Y128776550 10,6lyky_Gm_000274143ge 6 of 6 End of statement for account number Y1 28776 S5 CONFIDENTIAL EFTA_00138539 EFTA01279148
Important information about your statement IS Fiuncial Services nc. (the Fern or UBS Fnercial Strong, is a meeker of all principal cecvily, ccmrroday and csof era exchanges. UBS Financial Semites and CBS Bank US4. ate i-died subsilenes of UPS AG and aff ihaes of U3S Sevens LLC. The Friths financial statement is available upon regcest. The Fins execute* offices no at: UBS Gina-col Sereces 1200 Harbor Boulevard Weehawken. fil 07086 This statement revesents the only official record of you' LBS Financial Senses account. Other recads, exept office lac dxunent% contanng conllinngdaa should not be relied Len 11 you believe there is an error or omission please report it Owned** n writing to the Brands Manager of the afire wvin your accent. Altithip al 'ivies shown ae Ydended to be auwate, statement dna *cold not be wed for tar pupates Rely sclek on yemend tax kerns, Form 1099.519t 10425. etc ) when prepang your lax return. The Fim required by kw to repal to tie IRS all tasable clitickrolk mportekre nointaubk clarkteek and uxdok interest eared en sectaities held n ref account, net proceeds an see tranaclions, an cost basis on certain covered sake. Caveranketkno wide IM Firm • Meese re confirm ay oral communcatons in writ hg to further protect your rills indudrg your Adis utter the Seo_Mies Imestor Protection Act (SPAT • If thefin/noel initution cn the top let of the hone of this stamen isnot LBS Ennui Sates, U3S Fbancial Sandal cries yew acrant as clearing broker by arra-gement with the nolcated insituton We in you of this relatonshio ashen you opened this accost h the cast your tu-a and seosIties ae located at UBS financial Senates and rot the iwolacbg brokers and you mist make a wpwi of any cave or omission to both firm. • Ascleated in the accent wareements, yw rust rate y us of my errs or fraud holding decks reelected an your statement within 30 days Mee was mailed or made swathes. • Mean died onorrer complain or ixpiies to tee Finn% C fent Retatkns Deparment x 201.352.1699 or toll-free at 800-354-9103, 13:CO A.M. to 6 CO P.M. ET Mondry through Frday, or in wring to UBS Fiunual %nice ex., Client Rations Depertmenk P.O. Box 766 Union City, NI 07C$7. • A 0 stidemerds shall be deemed complete ad acoste if not cbActed to is writing within CO days • Fa TT( services_ Call 844-612-0,36 or from cubicle the US.: Cal 201.332-1 495 • h um of erns or cpastims about an electronic knit transfer WO. MI payment or UBS Veto/obit card transactions, call KO-762-1000. or wile to UBS Frenoal thices It., 1000 Harbor Biwa, 6th floor. Weehawken NI 07086, Attn RIAArESA Smear, Cora vote as soon as you can, if you tile yam statement m receipt is virorg or d tou need more nknnaton tout a transfer on the statement or remise The Film or Cad bsuer (as aeoloable must Ms I rornyau no later than 60 days after the fern sent you the list statement on which the ems or Frrblam a:Pend. - Proud, yom name at accost nmeicer qf any) - Cesote the error or tie Wane nu nature about, ad explain as okay as you can why you believe d is an mu a why ecu need more reformation - Dondethe dole amotnt ot the suspected era. The Finn or Card bsuer wil insigneyour ccmpla'ne and will coned my mar promptly. For alleged errors nnolvin UBS debit cad treacle:re if we take more than 10 bs nets days to dotes, we will credit yew moor' for the amount you Mink is in error, so that you will have the use of the money dunng we tine n take us to complee our a-instigation. Please mare all checks payabb to the Firm or to huts& instatnian notated on tie front of the statement In addition to nester accent Ins, accounts may be abject to mainname hes, chases for late patent her securities purchases and charges for unpaid amounts n cash accotnts Accents that ae tansferred to other interns may be subject to a transfer lee. UBS Sweep Options CBS offers options kr sweerg cash balance balances to bark deposits at UBS Bak USA and LeS AG Stamford branch (Bak Sweep PreganW, money marker mutual fuels Obloney funds) and the Intonational Depose doccont (DA) for cr./stomp: with an Hemalkeel Rescue Management Account. Through the Bair Sweep Program% cash balances ae swept to MBank LISA sp to an established Ifni an then to UBS AG Stanford Winch a a Wray Fed. Decokes a WS Bank USA we FIX insured in accordance with FCC nibs. For more informati:n please visit wwwfdic got Depose a WS AG StamfordBranch an shares of MoneyFords are not hared by the FDIC. Through Ise DA, cash balances re swept to deport accounts at UBS AG New York Branch ad UBS AG Cayman Branch. These deposits are not insured byte FCC. Balances held at to LEIS AG Cayman Dann se temporarily imposed to the sovereign rim iff the Cayman bland% and there is no garantee or °tier obfgation of WS AG to repay the balances while on the UBS Cayman Branch's bxks. Depose a LBS Bair L6A and each UBS AG Branch are rot protected by SIPC. Monty Fund shays are protected by SIPC. See 'S. Financial Services Account Protector,' below. Upon you, request, balances in tee Bank Sweep Programs or DA mat be willisdraeg arid shares cd a Money fixed may be liquidated, an the proceeds returned to you or you teases accent. Freer Hamann about available sweep options, nclon current inwest rates and Olds, 6 mailable at wmv.ubs,corrineepyields, from your Fnancial Advisor a by calling Ii00-762.1000. UBS Financial Services adotatt protadion the Fm. e a member of Be Sena tin hoeing thwectoon Corporation (WI *hi& poled; meanies customers of its members Lot° $500,000 0-cldin 5250.000 for Gains for cash). bplinatay brothse available upon repast or at never seaters the SEC asset protection knits apply to all arson tat you hold in a prticular capacity. The Fin, toughs:synth certain affiliates, he also purchasei 'x01E/rental insane_ The manmum mount peyabie to al elgble dints, tokewtk vele this protection is 1500 Short ea of Denim 10, 2016. Steen tome poky conked and limitations. cads a the firm isfurther protected fa up to $1.9 million in the agaegate For all pout accounts held is a palkular (gaily. ALA copy of tie poky Inning it available upon request, The SIPC protects, ad the supplemental protection both do nor apply to. • Certain humid assets controlled by (and iticteded your account value) but held awayfrom UBS Finns& Services (e.g.. certain 0) cash at UBS Bak USA, (ig cash at LES AG US. Branches. hid narance products, including variable annuities. and (iv) shires of mutual funds when such shires annegettred drectly in the name of the account holder on the bake ad records of the en or transfer agent); • twestment contracts or nvestment interests (eg. limed partnerships and private placements) that are not registered under the Securities Act of 1933; ant • Commodities contacts (e.g. Foreign enflame and Precious metal core-MA includrgfuturts contacts ad commodity option contracts. The SIPC protecton and to supplemental protelon do not apply so these asset men if theyotherwise appear on yogi statement. The SEC protedim at the 14:01emental protection do not protect against change in the make vela of you insestmeMs (whether as a festal of market movement. issuer ba-kruptcy otherwise) Dividend ReiWatbibanit Program (Dan The peke reflected is an average pine You mw obtain the actual price tromps Financial Advises. Corey note ewes ae purchased under DP ia; partial shays wil be wen ,td the rah wit be &poen ht your account The divided reinvestment rice toppled by to Haar may ciff e f rom the market price at enrich the partial shares are sold Caillriartela (knywholeuntsmaybe held n yotr accost, If you aw entitled to a palul unn as a resuh of a denote-4 Partmerl or °Menthe the Firm set ether sell panel snits a menet an a accept an rout detennined by a registered death; agency, and credit you acorn. Investment objectives the menet of:seams end risk profile at specific to each account and may wrybetween was accents Please ache the Firrn prone* in writing of rep Pre kart chmge in par fela-daeshuationcr investment obthcnes. For each account hell you choose one of the Wowing investment cbjecthes. CONFIDENTIAL • hocks. Current IIICOMe: twestnwnts seeks g the generation of income any. • Anew Copal Approcunen: Inwstments working growth of principal rather than the generation of income. • hoduce Condanation of atone and Capital Appetad5On.Intrnentsseekirg both tie generation of mane an growth°, prfroput Overall tisk profiles • Connivent Seeks to maintain ntis atepal, with low ritlt end volatility to the bacon cheral, even that man the accout does not generate I ignil kart income a Mira and mify rot nap pa* with moa • Moderate: Willing to accept same risk to pineal ad tolerate sane volallity to seek higher returns. • Arnie: wiling to accept hip risk to pnnopalant high volatility town high returns over time. • fnuestaant Eigedity Conederation: sante:I • Portion of the portfolio for tut account may include conplth Prange, tinted knotty and rater volatiky. Statement showeditaldier We may consolidate al related account statements with the sane address in the same envelope, eg. because they haw owners who also mainan jet occurs relationtps with other deems a the same address. If you part to receive indiiidual statements mailed n sepane envelopes, you nondecline houkholding by coding your Fi-uncial Advisor. Friendly aletelett Milne llw Friendly account rum is a (winnable 'niknane chosen by you to assist you with your recadkeeping has no legal effect taloa account. You can than? your Friendly account flares. through Once Semites a by contacting you Financial Advice. Account ovaniew • Vida of your amointganYok. Net of assets ad liabilities, • Asset, Includes av nib* cash balances, yarns for restricted securky ant ), and Global Tine Permits, urns/zed marks to meet, and certain assets not held by the Fam. Does rot include untied securitiesfassets at the end of te prior and anent statement penod%or prime ewestmenn uovested stock options and Owircitade mod. options • eiaideas reeks debit balance% artstaniin margn loam credit line, shut account balances. • Cash/moan balances. Total of unimested and* cash balinces, pleas deposit balances en UBS Bank USA, UBS AG U.S Branches and neaney market mutual had sweep balances, ate claw of One statement period Non-commodity free credt balances inner acme aw not negated from other balances and tie Fim may use any of these lads in the Ordinay course of As lewdness. Mew funds aro Agate span your &nerd. This fatal is inc Wed in the wink period closing vale SDNYGM_00027920 EFTA_00 I 38540 EFTA01279149
Important information about your statement (continues) Lending information Fa detsied redometron cn the Finis lending rakes and Mrtones. refer to your Client Rtlata-Mip Agreement or Accost Agreement and the Gervra-al Toms and CondiCons. ISIS Statement of Credit Prictkes avatar. in AgnenesiG andDiscicaterri at lave• easratnarreuratirierine vat. YU, arests Your statement Semites *tureen ad other assets held tithe accant at the end of tie staternem period. You may ark. for &rimy al fulkr paid starlet at ern time You my receive securities used as loan collateral after paying any berate da cn them. Any securities transiened to the Fern dreg the statement period are lined a market vale as of the end of the statemet period. • Cam bawls. In detarnning the cost basis of the seoskies included in this statement inhere indicated soh the number 'I,' LES Fhancial Servkes has relied on information steamed from sources other thant.85 Fhenoal Smears, including information Iran another fin a that you may haw provided to you Financial Adrisor. The firm does rot independently way Cr gayer*. the warm, or rattily of art information provided by maces other thin LES rhunial Semites. h addakin although LEES Finencial Saviors gerwelB updates his alternation as il is received. the Arm does not provide ary assura-ces tat the Howarth Let 'Cost basis' and "Unrealized gal loss' is accurate as of the date of this statement. As such. please do not net on this Warn:don to make Mrchatcr sale decisions, fa tar PrPoses or otherwise Accounts transferred to to kill may reflect gar/loss rdcrmation only foe the period of tine theysehad at to Fink More higorical Marnaion can be aidedbayou Finarcig Adykor. • Unrealized gaits/lasses When data is adildole, estimated la-rearmed gage/Ione, a-e calculated to ndvdral scary lots Ile transaction data for rdivitial Ion may or may not reflect cammknore, charges steer security reorganization events. Dividend and oter reinvestment lots ad systematic ouchese bb are each combined to diwolay ore averaged lot My 'Trade date colan presents the aged tentacle° trade dale. • Callable securities. Bonds and preferred stock that the issuer cats for exit redemption soil be selected inpartially by lot from amorg all startles of tat two held n our name or in nomeree nano foe car dents Call tease hicrmatign is obtained from third parties and is accuracy isnot gwranteed. Other call features may east which acid affect yield compete becnnalcn will be provided upon request • Gattheates of doPeaji COs are FDIC lensed is to 5250,000 n principal and accrued interest per ckpostot ad per depository institution h accordance wih FDIC nit. • Price/value Prces displayed f or securities and atm Prcdsts may be higher or lamer than the Price that yok would actualbr receive in he market. Prices we obtainedfrom various hid pity sources *hit we believe to be relable, but we do not gamete their accuracy. - We grew* use the dosing once when avalabb the meth of the lad at: ask prices for listed sautes and optiors or ory bid prices Icr OTC serrates. - Less actnekr traded securities my be priced °sea a valuation model ate most recent ;We we cbtined and may not reflect an a-bal nuke price vale. - Cenan posairo may appear watt:I a price ad will thew fa • Fin was non avalable• B we re kebab'a to cbtan a price for a searity. - Deposits or securities denrinated eicurrercies other than U.S. doll's are reflected a the eschange rate a of the statement date. - kr certain worititi ta6ng in nomcont orrnng denomivtionb pdce and qua-tily (face ale) may have been adjusted to facilitate Prcpw vatuAidn To cbtan went quotations, who, amiable, contact your Financial Advisor. • Privata irweeVnento end structured products. Private rivesanert seo_rities fie Wig deed participation program ad real estate investment tans smarties) and struckned product are genwelk. high toad Carton striared ;rocket, haw not been registered with the Securities and Exan-w Canrassitn or uncle' spy state securities laws. We provide estimated vales la private invearneM mutes ard sthstured products for nkenvicrul Fumy* only Acct.✓acy is rot guaranteed - These values maydiffer skboantialy torn prCes, aty, at which a prom* int security a structured product may be bought or sold and do rot necessarifr represent the Ma you may rerewe won liquidaticn. - Third party eninses of vale are as of a remain date a-d av supplied to UBS Fna-cial Sakes on a regular base br an independere relation firm. - Issuer, rural palne or sponsor estimated valet it arv, re supplied to the Finn by the issur, general partner or sponsor and my be cakulated based on deferent information tan thawed by hod pieties to denve their striated values. - You can obtain adiaimal hfcrmatim regarding the methodology used to determine the estimate of value ad the date of the HOrrnation that is the base for the estimate by contacteg your Fe-afloat Advisor. - Third party enintied galas may be reflected at 'Noe priced* in several Muslims, when an edeperdent valuation term has not suppled or male to assign a vale. when we become awe that a material event ha warted that may call a previously reported vale into question, a when a value would be highly specubtire due to Me nature ce the *runty. - When renter an issuer, general partrw or sponsor estimated value nor a thedlusty estimated vale is ponied the value of the scarily will be deigned hem its parchne price. - taributions to date may include ream of capital, narne orboeh. - 'Original unit size • represents the mug alleging price per red and may not alkyl yow cost base. - DPP and traded REIT searnes are not listed on a naknal wasitin exchange, and ere generally illiquid and even if they cat be sold the price received may te less than the per share estimated vat* (reread n the accost statement. • Rankled ,.trues Regraded secuitin gentealy we rot mom* ttgble kr public sale. U85 Financial Services uses the market price of the unrestricted stock et the sane issuer in an imputed valuefee the restricted stock for statuesof this statement only. To the extent that retained seositin are eligiale ler sae, the vale remind may be Abstantialk loss than the inflated yak* roan • ht. (estinated) nam e. current yields and rout An *statute of anal exam re bawd as ascent addend and Baena rates, assuring tw tearines will be held for me year from statement date or mil maturity. This Mina* is onlyra gudelne, accuracy ad *named income are not gunnteed - Estimated snail Wane ri d tweet yield for certain hpes of searkies could include a retain of priicipal or captal gait in which case the en. income (a-dcurrere Weld would be overstated. - Estimated arrest Mane rd anent weld and the anal imam and yield mite be laver a higher than the est:nand mounts. - An estimateof a-rualoed income (dive/end anchor interest) divided by the current maker valretaverage Patente is based on the lint dividend or bier/Kt payment madebythe, hoer and asknws tie senelferideposas will be held for one year born the statement date or until male*. Accuracy a-d conterued yield re not warned • Assets not held by UBS F MOSS Services. Certah assets re rot Mkt by the Fim ard nos weal the Fern's possessi:n or cannot These assets we (erupt:tried on you statement for informational purposes only. Positrons id values presented at provided by the Owing fun UBS Francis' Serums is newt resporsble for this Warnsion and does not guarantee its accuracy. These assets are not protected by SIPC or the Frm's supplementaISIPC toxemia. • Revenue Awing end Salon& ccenpeneation. — h additionto ccnimksions cn tabs rd 12b.l fees melted in connection with tie dinrtuti:n of mutual tint to ove dents ere anon our attain. ramie Nueva Mang paymerea kern deo-bum anchor /damn of the matut kncb that we sell 71me imams are based on two d &rent cony:came (0 the roast of sales by LES of a particular mutual End family to out clents; and had tie asset wale d a particular mutual tut famys sharesheld at tie fern - We a-dour affiliate also receive retworkinga-d anrobus processing fees in consickeattrif or b-ansler ages services tat we provide is the mutual funds. Thera fen generally are paid from investor assets h the mutual fund and are a fixed dollar arrant based cri the renter 0/ accounts at the brckerdeale- holdng mewl hinds of that f trd f — h addlten to ccnimitsiais received in correction withthe rate a cfatrbutian of annuity contracts rid CONFIDENTIAL tnt invesurem oust units tow clans, we Ender OS alike. receive COMMIS thateg corromution Iran awry of the hstrance companies knierwriting the annuty extracts. Wastes of the Nuance amperes or sponsors of tie ire investment trusts we distribute. - Our attaiates afro mate trafing cornminiant rd otercomponsation from mutual funds ad inure-co canaries whose products we cgstriotee. - We receive an antral lee fran Issas* USA and LBS AG Stamford Burch of Leg to 125 per arrant sweeping to the bents under the LES Bari Sweep Programs. Activity Information regming ccorimescris and otter charges incurred es correction with tw enculcnof team inducing option transactions has been included en roof innations prenouslyr furnished so you. and MI be provided to you promptly on reams'. Short soling aou are engaged in shad *Ohs a security, you may incur a charge due to certain taroweg costs to that pa-titular securer. Open orders Regarding cam or *ccad.till-cancelee orders that were nOlexecuted by the statemere date, open buy and se/ stop actin ere redxed by mount of diedenck or rights on an irodiuidemb a ex.ritits date unless inn/LA-tea otherwise by you. You are responsble for orders that we weaned die to 'row failure to gala' airing cpen o-ders. Privacy To obtain a ropy of as current Client Privacy Item please contact )Xf Financial Advisor or visit err weteite at tnv - LESFikanoal Senices isnot a bank. The RMA, Busmen Services Account RSA and AMA are brokerage accounts which pack access to baking services rd redacts traa wangements with affeiated banks and oter tiM-prty banks. rid prairies access to reurame and amulty proclicts issued by amnia/dad theriparty Murtha companies trcuth inseam agency stridet. of U3SFearicial Serirket Inc. - MS-rent toura-ct ad amuW products - Not FDIC Mured• Ile bank guarthlese May bee vale - IMA. Rewire Manweenent Account, Blames, *mon Account BSA, IRMA and ntimational Resource Management Account S9 registered anise males of U3SFrencial Services hc. - BISA is a registered tadernat awed by Visa hternatimal *rem Association rd used ender kens* Ter UBS Vna crude cods ad the UBS Vea debt card, are issued by 1185 Bank USA with permission from Visa U.S.A. Ircorporated. AA other Wademaks, registered trademarks, strike maks and registered *nice marks are of ter respective companies U8S Fisandel Services Inc. Rev. 2017C3 SDNY_GM_00027921 EFTA _00138541 EFTA01279150
SUBS f Mandel Services tic. Private Wealth Management 299 Park Avenue 25th Floor New York NY 10171.0002 0,7005595921 0517 VI 0 Resource Management Account May 2017 GHISLAWIE MAXWELL P.O. BOX 308 TEANECK NJ 07666-0308 Account name: GHISLANE MAXWELL. Friendly account name: Indy. Millennium Account number Your Financial Advisor SCOTT STACK MANILYLE CASRIEL Phone 212.821.700QB00.308.3140 Questions about your statement? Call ych.ct Financial Advisor or the Value of your account RPM IteSOurceLine at 800-RMA-1000, account 029328776 on April 28 (1) on May 31 (1) Your assets 701,077.00 703,047.00 Visit our vrebsite: svww.ub&comainantiaisedces Your liabilities 0.00 0.00 Value of your account $701,077.00 $703,047.00 Items for your attention , Help protect yourself from fraud and review bank, credit card, and brokerage statements regularly. Also, get your free credit report annually from www.annualcreditrepott.com. Tracking the value of your account S Thousands 6837 701.1 703.0 • 250.0 Dec 2015 Dec 2016 Apr2017 May 2017 Sources of your account growth duriag 2017 Value of your account at year end 2016 $683,739.00 Your nvestment return Change market value 519,308.00 Value of your account on May31. 2017 0701047.00 SDNY GM 00027922 Member SIPC CNP70009305595921 M7000185087 00306 0517 0305750d YI78776$500000CO Page 1 of 6 CONFIDENTIAL EFTA_00138542 EFTA01279151
SUBS Resource Management Account May Kr 1 Your account balance sheet Summary of your assets Value on May31 ($) Percentage of your account A Cash and rrxmey balances 0.00 000% B Cash alternatives 0.00 0.00% C Equities 0.00 0.00% D Fixed income 0.00 0.00% E Non-traditional 703,047.00 10000% F Commodities 0.00 000% G Other 0.00 000% Total assets Value of your account $703,047.00 S703,047.00 100.00% Account name: Friendly account name:, • Account number: C. FL L Your current asset allocation Eye on the markets Your K Randal Advisor. SCOTT STACK MANLYLE CASRIEL 212-82 I•7000/ 800-308.3140 Index Percentage change May 2017 Year to date 58P 500 1.41% &66% Russell 3000 1.02% 7.96% MSC I - Europe, Australia & Far East 3.81% 1440% Barclays Capital U.S. Aggregate Bond Index Interest rates on May 31, 2017 3-month Treasury bills: 0.97% One-month LIBOR: 1.06% 0.77% 2.38% CNP70003005595922 NP7003105082 00CC6 0517 030575004 Y128776550 C0aNyGht0002791,Se 2 of 6 CONFIDENTIAL EFTA 00138543 EFTA01279152
SUBS Resource Management Account May 2017 Change in the value of your account Account name: GHISLAINE MAXWELL Friendly account name:Indy Millennium Account number. May 20I 7 (S) Year to date IS) Opening account value 3701,077.00 3683,739.00 Change in market value 1,970.00 19,308.00 Closing account value 3703,047.00 3703,047.00 Summary of gains and losses values reported below exclude products tor which ga ns andtosses are not classified. Realized gains and losses Unrealized May 2017 ($1 Year to date (5) gains and losses (5) long term aoo 0.00 53,047 00 Your investment objectives: You have dentified the following investment objectives for this account If you have questions about these objectives, disagree with them, or with to change them, please contact you Friancial Advisor or Branch Manager. You can find a ful description of the alternative investment objectives in /mponanr information about your statement at the end of this document Your return objective: Current income & capital appreciation Your risk profile: Primary • Aggressive Investment efigibiFty conscleration None selected Your account instructions • You account cost bass default closing method is FIFO, First in, first Out. Your nominal Advisor: SCOTT STACKMANLYLE CASNEL 212-821-70001800-308-3140 SDNY GM 00027924 CPW7C00)305595923 NP70031$5082 000:6 c6I 7 030579004 Y179776550000000 Page 3 of 6 CONFIDENTIAL EF1'A_00138544 EFTA01279153
*UBS Your notes c. ,.....,...”......6. ,,..”...,,s,......, G. 0002X,!!. 6 of 6 CONFIDENTIAL EFT,00138545 EFTA01279154
*UBS Resource Management Account May 2017 Your assets Account noose: Friendly account n Account number. Some prices, incoMe and current values shorn may be approximate. AS a *Sulk gains aidlOsses may rot be &weakly reflected. Set Aporzarkt infosenabon about your statement a the end of ths cbcurneM fOt more infornanon. Non-traditional Nude 'fluty funds, Hedge tunas, and Met investments are held in your UBS Finarcial Servi(eS Inc. (UBS FS) brolerage account. the pennons reported below reflect the recceds of the issuets, and UBS FS does not patentee the act utacy of the I riormaton The value shown is not necessarily the value you would receive ram the issuer it you sddthe assets. Funds actively sdd by UBS FS ate subject to ongoing due dipence, rithoup% the level performed rnay vary A dosed fund may be subject tonoongoing dligence A fund that you purchased elsewhere may never have been subject toUBS FS dlige nee. although UBS FS may receive a fee tan Ire funds manager, which may constitute a mootity of the rnanagernenaincentive lee. Please contact your Financial Achnot with questions. ' Est value per unit' is an esemate of value supplied by an independent valuation Irm and reflects alustrrents for factors such as the Squatty of the units. Hedge funds Hcldng ALPHAKEYS MILLEN FND BROKERAGE NO ON30' 17 Trade date: PurchaSe piKd 14'M:ter Avelage vice of shares pet shale (S) Client investment (SI 650,000.00 GHISLA1NE MAXWELL Your tinandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-70001800-308-3140 Estimates of value suppled by issuers Ce (Wan orogiam (which are generally 'net asset value' esterateS) are shown as' issuer est. value pet unit'. For PIIVae equty f unds, 'Est. value per unit • is a value updated (tumefy, based on the Net AsSet value Nay') in the fund as of the date spedfed ad,usled by acting coital calls and ate racti rg dstnbiAions once the NAY date the NAY is primarily based on estimated portfolio vim, banded by the underlying fund sponsor These two vdues may vary because of differences in the way they were estimatedandbecause the • Third party est. value per unit' may have been Negated co the basis of firencia irionnflon othet than year.end Reported estimates may not reflect resale liquidation or repurchase value, a any, and may not felled dst Moulton; of capital until the next valuation is rec.:Feted. genially on an annual orsemiannual bola See knporzant inkyrnannin atrour yam statement at the odor tern statement Cost Poet per share basis (S) on May 31 (1) value on unrealized0M imemment Holdng May 31 (5) grin or loss (5) return (S) relied 650,000.00 1.000 703,047.00 53,047.00 Your total assets Value on May 31 (1) PerCentapt 01 Cost your account tea (0 Estimated Unreaszed annual infant (S) gain or loss (S) No a4ra ditionol Hedge foods 703,047.00 100.00% 650,000.00 53,047.00 Total $703,047.00 100.00% $650,000.00 $53,047.00 SONY GM 00027926 CelP700C0305595925 W7003105082 COM 0517 030579004 Y178776S50 000000 ►agar 5 of 6 CONFIDENTIAL EFTA_00138546 EFTA01279155
*UBS Your notes CNP703O3005595926 NP70001e6082 00006 054 7 030575004 I 20776550 00MY_G M_ 0002 70Nge 6 f b End of statement for account number Y1 28776 SS CONFIDENTIAL EFTA_00I38547 EFTA01279156
Important information about your statement IS Fiuncial Services nc. (the Fern or UBS Fnercial Strong, is a meeker of all principal cecvily, ccmrroday and csof era exchanges. UBS Financial Semites and CBS Bank US4. ate i-died subsilenes of UPS AG and aff ihaes of U3S Sevens LLC. The Friths financial statement is available upon regcest. The Fins execute* offices no at: UBS Gina-col Sereces 1200 Harbor Boulevard Weehawken. fil 07086 This statement revesents the only official record of you' LBS Financial Senses account. Other recads, exept office lac dxunent% contanng conllinngdaa should not be relied Len 11 you believe there is an error or omission please report it Owned** n writing to the Brands Manager of the afire wvin your accent. Altithip al 'ivies shown ae Ydended to be auwate, statement dna *cold not be wed for tar pupates Rely sclek on yemend tax kerns, Form 1099.519t 10425. etc ) when prepang your lax return. The Fim required by kw to repal to tie IRS all tasable clitickrolk mportekre nointaubk clarkteek and uxdok interest eared en sectaities held n ref account, net proceeds an see tranaclions, an cost basis on certain covered sake. Caveranketkno wide IM Firm • Meese re confirm ay oral communcatons in writ hg to further protect your rills indudrg your Adis utter the Seo_Mies Imestor Protection Act (SPAT • If thefin/noel initution cn the top let of the hone of this stamen isnot LBS Ennui Sates, U3S Fbancial Sandal cries yew acrant as clearing broker by arra-gement with the nolcated insituton We in you of this relatonshio ashen you opened this accost h the cast your tu-a and seosIties ae located at UBS financial Senates and rot the iwolacbg brokers and you mist make a wpwi of any cave or omission to both firm. • Ascleated in the accent wareements, yw rust rate y us of my errs or fraud holding decks reelected an your statement within 30 days Mee was mailed or made swathes. • Mean died onorrer complain or ixpiies to tee Finn% C fent Retatkns Deparment x 201.352.1699 or toll-free at 800-354-9103, 13:CO A.M. to 6 CO P.M. ET Mondry through Frday, or in wring to UBS Fiunual %nice ex., Client Rations Depertmenk P.O. Box 766 Union City, NI 07C$7. • A 0 stidemerds shall be deemed complete ad acoste if not cbActed to is writing within CO days • Fa TT( services_ Call 844-612-0,36 or from cubicle the US.: Cal 201.332-1 495 • h um of erns or cpastims about an electronic knit transfer WO. MI payment or UBS Veto/obit card transactions, call KO-762-1000. or wile to UBS Frenoal thices It., 1000 Harbor Biwa, 6th floor. Weehawken NI 07086, Attn RIAArESA Smear, Cora vote as soon as you can, if you tile yam statement m receipt is virorg or d tou need more nknnaton tout a transfer on the statement or remise The Film or Cad bsuer (as aeoloable must Ms I rornyau no later than 60 days after the fern sent you the list statement on which the ems or Frrblam a:Pend. - Proud, yom name at accost nmeicer qf any) - Cesote the error or tie Wane nu nature about, ad explain as okay as you can why you believe d is an mu a why ecu need more reformation - Dondethe dole amotnt ot the suspected era. The Finn or Card bsuer wil insigneyour ccmpla'ne and will coned my mar promptly. For alleged errors nnolvin UBS debit cad treacle:re if we take more than 10 bs nets days to dotes, we will credit yew moor' for the amount you Mink is in error, so that you will have the use of the money dunng to tine n take us to complee our a-instigation. Please mare all checks payabb to the Firm or to huts& instatnian notated on tie front of the statement In addition to nester accent Ins, accounts may be abject to mainname hes, chases for late patent her securities purchases and charges for unpaid amounts n cash accotnts Accents that ae tansferred to other interns may be subject to a transfer lee. UBS Sweep Options CBS offers options kr sweerg cash balance balances to bark deposits at UBS Bak USA and LeS AG Stamford branch (Bak Sweep PreganW, money marker mutual fuels Obloney funds) and the Intonational Depose doccont (DA) for cr./stomp: with an Hemalkeel Rescue Management Account. Through the Bair Sweep Program% cash balances ae swept to MBank LISA sp to an established Ifni an then to UBS AG Stanford Winch a a Wray Fed. Decokes a WS Bank USA we FIX insured in accordance with FCC nibs. For more informati:n please visit wwwfdic got Depose a WS AG StamfordBranch an shares of MoneyFords are not hared by the FDIC. Through Ise DA, cash balances re swept to deport accounts at UBS AG New York Branch ad UBS AG Cayman Branch. These deposits are not insured byte FCC. Balances held at to LEIS AG Cayman Dann se temporarily imposed to the sovereign rim iff the Cayman bland% and there is no garantee or °tier obfgation of WS AG to repay the balances while on the UBS Cayman Branch's bxks. Depose a LBS Bair L6A and each UBS AG Branch are rot protected by SIPC. Monty Fund shays are protected by SIPC. See 'S. Financial Services Account Protector,' below. Upon you, request, balances in tee Bank Sweep Programs or DA mat be willisdraeg arid shares cd a Money fixed may be liquidated, an the proceeds returned to you or you teases accent. brew Hamann about available sweep options, nclon current inwest rates and Olds, 6 mailable at wmv.ubs,corrineepyields, from your Fnancial Advisor a by calling Ii00-762.1000. UBS Financial Services adotatt protadion the Fm. e a member of Be Sena tin hoeing thwectoon Corporation (WI *hi& poled; meanies customers of its members Lot° $500,000 0-cldin 5250.000 for Gains for cash). bplinatay brothse available upon repast or at never seaters the SEC asset protection knits apply to all arson tat you hold in a prticular capacity. The Fin, toughs:synth certain affiliates, he also purchasei 'x01E/rental insane_ The manmum mount peyabie to al elgble dints, tokewtk vele this protection is 1500 Short ea of Denim 10, 2016. Steen tome poky conked and limitations. cads a the firm isfurther protected fa up to $1.9 million in the agaegate For all pout accounts held is a palkular (gaily. ALA copy of tie poky Inning it available upon request, The SIPC protects, ad the supplemental protection both do nor apply to. • Certain humid assets controlled by (and iticteded your account value) but held awayfrom UBS Finns& Services (e.g.. certain 0) cash at UBS Bak USA, (ig cash at LES AG US. Branches. hid narance products, including variable annuities. and (iv) shires of mutual funds when such shires annegettred drectly in the name of the account holder on the bake ad records of the en or transfer agent); • twestment contracts or nvestment interests (eg. limed partnerships and private placements) that are not registered under the Securities Act of 1933; ant • Commodities contacts (e.g. Foreign enflame and Precious metal core-MA includrgfuturts contacts ad commodity option contracts. The SIPC protecton and to supplemental protelon do not apply so these asset men if theyotherwise appear on yogi statement. The SEC protedim at the 14:01emental protection do not protect against change in the make vela of you insestmeMs (whether as a festal of market movement. issuer ba-kruptcy otherwise) Dividend ReiWatbibanit Program (Dan The peke reflected is an average pine You mw obtain the actual price tromps Financial Advises. Corey note ewes ae purchased under DP ia; partial shays wil be wen ,td the rah wit be &poen ht your account The divided reinvestment rice toppled by to Haar may ciff e f rom the market price at enrich the partial shares are sold Caillriartela (knywholeuntsmaybe held n yotr accost, If you aw entitled to a palul unn as a resuh of a denote-4 Partmerl or °Menthe the Firm set ether sell panel snits a menet an a accept an rout detennined by a registered death; agency, and credit you acorn. Investment objectives the menet of:seams end risk profile at specific to each account and may wrybetween was accents Please ache the Firrn prone* in writing of rep Pre kart chmge in par fela-daeshuationcr investment obthcnes. For each account hell you choose one of the Wowing in estment cbjecthes. CONFIDENTIAL • hocks. Current IIICOMe: twestnwnts seeks g the generation of income any. • Anew Copal Approcunen: Inwstments working growth of principal rather than the generation of income. • hoduce Condanation of atone and Capital Appetad5On.Intrnentsseekirg both tie generation of mane an growth°, prfroput Overall tisk profiles • Connivent Seeks to maintain ntis atepal, with low ritlt end volatility to the bacon cheral, even that man the accout does not generate I ignil kart income a Mira and mify rot nap pa* with moa • Moderate: Willing to accept sane risk to pineal ad tolerate sane volallity to seek higher returns. • Arnie: wiling to accept hip risk to pnnopalant high volatility town high returns over time. • fnuestaant Eigedity Conederation: sante:I • Portion of the portfolio for tut account may include conplth Prange, tinted knotty and rater volatiky. Statement showeditaldier We may consolidate al related account statements with the sane address in the same envelope, eg. because they haw owners who also mainan jet occurs relationtps with other deems a the same address. If you part to receive indiiidual statements mailed n sepane envelopes, you nondecline houkholding by coding your Fi-uncial Advisor. Friendly aletelett Milne llw Friendly account rum is a (winnable 'niknane chosen by you to assist you with your recadkeeping has no legal effect taloa account. You can than? your Friendly account flares. through Once Semites a by contacting you Financial Advice. Account ovaniew • Vida of your amointganYok. Net of assets ad liabilities, • Asset, Includes av nib* cash balances, yarns for restricted securky ant ), and Global Tine Permits, urns/zed marks to meet, and certain assets not held by the Fam. Does rot include untied securitiesfassets at the end of te prior and anent statement penod%or prime ewestmenn uovested stock options and Owircitade mod. options • eiaideas reeks debit balance% artstaniin margn loam credit line, shut account balances. • Cash/moan balances. Total of unimested and* cash balinces, pleas deposit balances en UBS Bank USA, UBS AG U.S Branches and neaney market mutual had sweep balances, ate claw of One statement period Non-commodity free credt balances inner acme aw not negated from other balances and tie Fim may use any of these krids it the ordnay course of As lewdness. Mew funds aro Agate span your &nerd. This fatal is inc Wed in the wink period closing vale SDNY_GM_00027928 EFTA_00138548 EFTA01279157
Important information about your statement (eonlnied) Lending information Fa detailed pnloinvloon cn the Finis lending Fraction and Schen& refer to your Client Rielatana Acreement or Araks Agreement aid the (venal Toms and Conditions. UBE Statement of Credit Pricnes available in Ageessa andDiscloarres at lava, oda.- anitatenurankelno vat. Y040 duels Your statement itemises wcwities ad other assets heti in the scow/ at the end of tie staternert period. You may ark. for delivery ol fay pad moans a dry time You mai receive waritiec used as ban collateral alter prying any balaxe die on them. Any securities transactedto the Rim dri-g the statement period are lined at market vale as of the end of the seam et period. • Cos ban. In aterrnning the cost basis of the mantes inducted n this statement where indicated web the number 'I,' LBS Fhancial Servkes has relied oninformation obtained from sources other than UBS RI-uncut Services, including in/motion 'rem another fins a that you may haw provided to rm. Financial Adrisor. The firm does rot independently veal Or gaminee the mangy or vane of are irdonnation provided by seas other than LES rhunial Ser ites. h added% Shoup'. LEES Financial Semites gerwaly updates this information as it is recent the Arm does not provide any amines that the Hannon seder 'Cost ban' and "Unrealized gerl loss' is accurate as of the date of this statement. As such please do rot rey on this i-darmtion to make Ismaiscr sale decisions, fa tax PlPoses or otherwise Accounts tra-derred to the Fort may reflect gar/ loss rdcrmation only for the period cd tine they are heed at to Fern More hittorical Hamais can be aided by yotr Finarcid Advisor. • lJnoralind gain/ban When data is agitate. *sunned ...talked gaindlowes we calculated kr rravdial mosey lots 11w trisects data for edivila Ion may or may not reflect canminkina, charges rider security reorganization events. Dividend and oter reinvestment lots ad systematk puthase bts are each combmed to dimlay ore averaged lot The 'Trade date casein presents the orghal transaction trade dale. • Callable securities Bonds and preferred stock that the boar cats for sly redemption aril be selected it ally by lot from amorg all sesties of tat twin held now name or in none.* nano forcer dents Call tease hfcirmation is obtainedfromthird patties and its accuracy e not gsanteed. Other call teases may east which and erect yield complete Soma cn will be provided upon request • Canikafwa of derail fee). COs are FDIC meted up to 5250,000 n principal and accrued interest per deposta and per depository institution, haccontance with FDIC nibs. • Price/value Prices displayed for securities and other Voids may be higher or lower than thePrice that you would actualb receive in he market. Prices are obtained from verbs livid wry sources ehkh we believe to be retitle, but we do not gannet their accuracy. - We genera? use the closing oncewenn wank a tie men of the lid red ask prices for lined snags ad ophore or ory bid prices la OTC secalies. - Less stunk, traded securities may be priced using valuatb, model a IN most recent price we cbtined and may not reflect al nut make price a vas - Cenan posairo may appear Shout a price ad will as ae • Fier was rot aralabh• if we we unable to cbtan a price for a searity. - Deposits or securities denominated iv currercies otter tan U.S. dolls are reflected at the shins rate as of the statement date. - Fcr anain marina ta6ng isnonconformng denornivtions, price and qua-oily0am vale) may have been adjusted to facilitate Prep. valugisn. To cbtan osTem quotations, when amine, contact por Financial Addict. • Rivals innannent end .tsuend products. Private Sinners sea_rities f hcldeg erect participation program ad real estate investment Ins ensiles) and struckmed product are nay hohy dicuid Crier strmand Woad, haw not been registered with tie Seceeities and Exchange Commission or under/re state securities laws. We provideestinated vales la private invearneM words ard astern products for enema creel Passes any Acctracy root guaranteed - These values maydiffer sLbstantiaty from pekes, if toy, at which a preen int security a structured product may be bought or sold and do not necesseriyrepresera the vs/bayou mar receive won liquidation. - Third piny eninaes of sale are of a cenain dateda- supplied to UBS Fma-cial Barnes on a matter bases by an independent sanction hem. - Issuer, entailpalm( or spanuar estimated rakes, il are, are tippled to the Finn by the issuer, general partner or sponsor and mie be cakuksted based on deferent information hats thawed by hot pries tole ve their tanned values. - You can obtain acklaisal iicrmation regarding the metal:Wage used to asinine the enimate of value ad the date of the Horror:inthat is the base for the estimate by contacteg your Franoal Advisor. - Third party 'slin vales mey, be reflected at 'Nat pled in several Muslin, weep an edeperdent valuation fm has not smoked a triable to assign a vats when we become sae that a material event Nei:coated that may call a previously reported vale do a nen a venue would be highly specunire due to the nature of the wcunty. - When read an iflutf, general partner or sponsor estimated value nor a thadstity estimated vats is read, the vela of dm wanly will be alert Iran ilia:chase price. - Onibutions to date' my include resit of capital, mane ration). - 'Original unit size • verients the natal of frin9 price per Lend and may not reflect yo cost base. - DPI and Lnkrtecl REIT searnes are not listed on a national wasius recharge, and se generally illiquid and even if thee can be sold the price received may Ire less than the per share estimated vale provided n the accost statement. • Rankled entities Regraded sedritin grisly we rot tUrreFilk, Han kr public sale. US$ Financial Services uses the market price of the unrestricted node of the sane issuer as an Mined value( a the restricted stock for au/peenof Misstatement only To the extent that retained titoseet are eligiah ler Life, the value wend may be cabstantiala less than the crated value town • he. lestineted) Some, 0111.111 yields and rata. An *OSA< O1 avid name is bawd on cement Sicked ail interest rate& attuning the market will be held for one yew from sinemenc date or an maturity. This Sinaie is only a gudelne, accuracy ad continued income are not guaranteed - Engrain roil Some and cured yield for certain types of stashes could include a retain of shekel or capital gains in which ewe the en. income (a-donee Weld would be overstated. - Estimated mug ecane ad outwit weld and the amid Sane wed yield neje be lower a higher than the stinatred amounts. - An estimated a-ruaked income (dividend area interest) dined by the ciarent make virataverage balance is based on the last dividend or mercer payment made by the Boer and asosnes Ise senaleadeposas will be held for one year *Om tie statement date or until matisily. Accuracy aid contmued weld are not warned • Assets not held by UBS Financial Services. Certain nets are rot held by the Finer andnoe She, the fern's possession or control. These assets are &Tamed on liar statement for informational purposes only. Positions and values presented are provided by tee iskrig firm UM Fa-uncial St/VCs not reasonable for this ilarnsion and does nee guarantee es accuracy. These assets are not protected by SIPC or the Enna supplementaISIPC canny. • Revenue Swing end national ccenpansetion. — h aoldrakn to rommkskns as sake and 12b.l fees received in conneabn with the dinriution of mutual tint to our derits we an& Our affiliate receive revenue awn; pervert tan deo-buss ands advisors ol the mutual knob that we sell Thew anion are based on fro d &rent cony:rents, the move of sales by LBS of a partkular rnasasl held finely to our ClentS; and 60 We asset wale of a particular Mittel led fan4es sharesheld at tie tern - We slow affiliate alsoreceive retworking and annbw processhg fees in considirationfor b-ansler ages services tat we provide so the mutual funds. Thera feet generally are paid from investor assets h the mutual f und and are a feed dollar arrant based cri the rad:era somas at the brokerdeale- toldng maxi hits of that f trd family. — h nal:onto cornmasions received in correction with the wale et detaution of annuity contracts anal CONFIDENTIAL Lew invesurem oust units tow drab, we odor ail alike. receive COWLS slang corrptnusien from may of to hstrance companies trainwiting the enmity contacts. aHthates of the insane, companies or sponsors of tie trill investmem b-usts we doribute. ▪ Our if ;lige& an staine trading comniubm end otercompensation from mutual funds aid inwa-co ampules whose products we Sable. - We receive as acme' I ee from Leslie.* USA and LBS AG Stanford Branch of up to 525 per =an sweeping to the banks under the LBS Bare Sweep Program. Activity Information resides commence and oar charges incurred in correction with the emagon of tads, inducing option transactions has been included on coat irmations prenowy furnished so you, ad MI be provided to you promptly on request. Short selling ocu am engaged in chat sang a security, sou may incur a charge die to certaintarsi-9 costs to that pa-toils 'ease,. Ow. onion Regarding rpm or *gcaltilLcancellee orders that were rot executed by the stamen date, open buy and tel stop cons ere rediced by the mount of deaden& or opts on an mediadera a unties date unless insteuin Semis* by you. You Sr. responsble for orders that we wedged die to 'row failure to once' eating open o-ders. Ftivary To obtain a cope of as current Client Privacy Weis please connect ocia Financial Ansa or visit cis "incite al anon ohs enen/nnirmnlrv. - LE6 F racist Seniors isnot a bank. BURMA, Bushels Services Account 65A and OM are brokerage accounts which ;fordo access to bwking services ad Pudica tirae wangements with affiated banks and od-er It-prty banks. aid provides access to maws and amuity Frodsca issued by muff/Wed thiparty nuranacomprin throat, imams agency snider's of U3SFeurical Service[ Inc. - hvenment koura-ke, ad amity products - Not FDIC routed • No bank guarailes May bse vale - WA. Reseda Management Account, Banns Services Account BSA, IRMA and nterutional Resource Management Account are registered service males of LI3SFearidal Services hc. - VISA is a registered faders* oared by Visa Merriman Service Chadian ad used under kers UBS Vea credit cards ad the UBS Vea den card, are issued by 11K Rank USA with permission from Visa U.S.A. Incorporated AA other eadernaks, registered [manures, sake maks and registered *nice marks are of thew respective swain 1785 Fnanciat Services Inc Rev 20170) SDNY_GM_00027929 EFTA_00 I 38549 EFTA01279158
(SUBS 1435 Felancial Services Inc- Private Wealth Management 299 Park Avenue 25th Floor New York NY 10171.0002 CN770065645950617 X1245 Y1 0 Account name: GHSLANE MAXWELL Friendly account name: Indy. Millennium Account number. Your financial Advisor: SCOTT STACK MANILYLE CAST EL Phone: 212-821-70001800-308-3140 Resource Management Account June 2017 GHISLANE MAXWELL P.O. BOX 308 TEANECK NJ 07666-0308 Questions shout your statement? Value of your account Call your Financial Advisor or the RMA ReSourCeUne at 800-RMA-1000, on May 31 (S) on June 30 (S) account 029028776 Your assets 703,047.00 705,443.00 14sItour Your liabilities 0.00 0.00 vnew.ubscomainancialsewices Items for your attention • For Information about our fees, charges and compensation, please see ubs.ccmigukletofees and ubs.com/accowitdisclosures Value of your account 5703,047.00 $705,443.00 Tracking the value of your account Sources of your account growth during 2017 VSue of your account The v=ans at year end 2016 5683,739.00 Your investment return 5,32 7 703 D 705.4 Chave in market value $21,704.00 0 Value of your account on Jun 30.2017 5705.48.00 2.)0 Dec 2015 Dec 2016 May 2017 Jun 2017 SDNY GM 00027930 PA•mbor SIPC CNP70009306584595NPI000306428 00005 C617 030575004 VI28776550110110 Page 1 of 6 CONFIDENTIAL EFTA_00I 38550 EFTA01279159
SUBS Resource Management Account June 2017 Your account balance sheet Summary of your assets Value on lune 30 ($) Percentage of your account A Cash and money balances 0.00 0.00% B Cash alternatives 0.00 0.00% C Equities 0.00 a 00% D Fixed income 0.00 000% E Non-traditional 705,443.00 10000% F Commodities 0.00 000% G Other 0.00 000% Total assets Value of your account $705,443.00 $705,443.00 100.00% Account name: GHISLAINE MAXWEU. Friendly account na • m Account number: Your current asset allocation Eye on the markets Your Holmdel Advisor. SCOTT STACK MAN LYLE CASRIEL 212.821.7000800.308.3140 Index Percentage change lune 2017 Year to date S&P 500 0.62% 9.34% Russell 3000 0.90% 8.93% MSC I - Europe, Australia & Far East -0.15% 14.23% Barclays Capital U.S. Aggregate Bond Index Interest rates on June 30, 2017 3-month Treasury bills: 1.00% One-month LIBOR: 1.22% -0.10% 2.27% CNP700C6006594596 NP7000305428 00035 0617 0305750N VI 287765501 irmyGht00027954ge 2 of 6 CONFIDENTIAL EFTA 00038551 EFTA01279160
SUBS Resource Management Account lune 2017 Change in the value of your account Account name: GHISLAINE MAXVVELL n count n - Account number tuneMUM Year to date (I) Opening account value $703,047.00 $683,739.00 Change in rr:ar let value Closing account value 2,396_00 21,704 00 $705,443.00 $705,443.00 Summary of gains and losses values reported below exclude products lot which gas anOtOSSeS are not Ossified Realized gains and losses Unrealized lune 2017 ($) Year to date (1) gains and losses (1) Long term aoo 0OO 55,443 0O Your investment objectives: You have identified the following investment objectives for this account If you have questions about these objectives, disagree with them, or wish to change them, please contact your Financial Advisor or Branch Manager. You can find a ful description of the alternabve investment objectives in important intonation about your statement al the end of this document Your return objective: Current mccme & capital appreciation Your risk profile: Primary • Aggressive Investment eligibility consideration • None selected Your account instructions • Your account cost bass default closing method is FIFO, First In, First Out. Your Pinandal Advisor: SCOTT STACKMANLYLE CASILEL 212-821-7000'800-308-3140 SDNY GM 00027932 CriP7COCO3C6584597 NV7003305428 0003S C6l 7030575001 Y128776SSO 110110 Page 3 of 6 CONFIDENTIAL EFTA_00 B8552 EFTA01279161
*UBS Yournotes CONFIDENTIAL EFTA,BE553 EFTA01279162
*UBS Resource Management Account Jul Your assets Account name: GHISLAINE MAXWELL Friendly account name:Indy Milennrum Account number: Y1 28776 55 Sane ones, income and current values ShOwn may ter EpprOximble. AS a intik gains atIOsses ma/ not be accutalely reflected. See important information about your statement a the end of this documeM far more infornmon. Non-traditional Private eputy funds, Hedge tuna, and Other investments ale held in your LIEISFinarcial seMces MC CUBS FS) holerage account. TM positions reported below reflect the recceds of the noun, aoclUBS FS cbes nee guarantee the accuracy of the iriormation The value shown is riot necessarily the value you would receive from the Issuer if you scIdthe assets. Funds acirtely sdd ty UBS FS ate subject to ongoing due digence, dthosnyn the level performedrnay vary A dosed fund may be suhrect to noongoing dligence A fund that you purchased elsewhere may never have been suteed to UB5 FS dllgence, although VErS FS may receive a let tram I he funds manage I, Whit h may constitute a masonry of the rnanagemenliocenti* fee. Please contact your Financial nob's°r with questions 'Est value per wit' is an estmate of value supplied by an independent valuation Inn and reflects adjustrrents for factors such as the iquidty of the units. Hedge funds wiring ALPHAKEYS MILLEN FND MCC EflAGE ,NO 931117 Trade date: 650,000.00 PurchaSe MKS Number Avetar once of shafts Pet Shale (S) Client investment CO Your Finandei Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-70001800-308-3140 Estimates of value %POO by issuers 04 Certain program (which pre gene Icily 'net asset value' esti:MR*0 are shown as' issuer est. value pet unit'. For Pnyde equty f unds, • Est. value per unit' is a value updated quavery, based on the Net AsSet value C NAV') in the fund to of the dale sped fled °lustedby ading cucital calls and subtracting dslnbutions once the NAV date The NAV is primarily based on estimated portfolio values wangled by the underlying fund sponsor Thew Iwo values rnay vary because of differences In the way they were estimated and because the • 'third ferry en. value Pet Una' may have been °waled (Ante bass ad financial irionnaton other than yearend Reported estimates may not reflect resale, liquidation or repurchase value, a any, and may rot reflect dst 'buttons of capital until the next valuation is *Meted. cerbetaly on an annual or serrirannual baSiS See Important •Mormatron atour your statement at the end of ths statement. Cost Pace per share basis (l) on tun 30(1) value on unrealized 0m) imemment Holdng it.in 30 0) On or toss (1) 'twin (1) relied 650,000.00 1.000 705,443.00 55,443 00 Your total assets vale on tun 30 (t) Percentage of Cost your dreamt oasts (1) Estimated unfearzea annual infccre gain or Iasi (S) NonAratitional Hedge funds 703,443.00 100.00% 650,000.00 55,443.00 Total 3705,443.00 100.00% 3650,000.00 355,443.00 SONY GM 00027934 C HP70002006584599 NP70033C6428 COCOS c6i 7 030579004 VI28776550110M Page 5 of 6 CONFIDENTIAL EFTA_00 I 38554 EFTA01279163
4tUBS Your notes CNP7COCE.005594600NP7000305428 00005 OM 7 030575004 VI X3776550 I I thAyGlo00027eRie 6 of 6 End of statement for account number Y1 28776 SO CONFIDENTIAL EFTA_00138555 EFTA01279164
Important information about your statement U3S Fr racial Services Pc. (the km or UBS Fnorth! Sontag is a merrber of all principal seccrhy, comrroday and options exchanges. UBS Financial Semites and 1.85 Bank USA re i-diect subsidones of UPS AG and affiliates of UBS Smitten U.C. The Etas I hanoal statement • available upon rented. The Feat execute alias are a. UBS Financial Servres lx. 1200 Harbor Boulevard Weehawken, NJ 07086 This statement represents the only official record of you' UN Financial Semites account. Other recant, exept official lac dwunents contanng cornicing daa should rot be relied wan II you bathe there is an ow a omisan please report t immediately n writing to the Brandi Manage of the office serving )our account. Allhoup a tiger.' show re intended to be accurate, statement testa mould not be used for tar purposes Rely solely on yeaand tax kerns, (ie Form 1099. 5498. 10425. etc ) when 'repeat your lax return. The Fim required by law to repal to he IRS all tadble deadens, mportabb rentable thrickna and wale interest end en acuities held n you account net proceeds on see tratacInns, rd cod basisoncertain covered secedes. Gaveradcanna with dna Firm • tease record rem ay oral correnunsatems in writing tofurther protect your ritds, includng your rgints utter tee Seosits Imestor Protection Act (SPA) • If the financial atitution cn the top left of led ben of this stamen snot UM Enna Serykes, Froncial Senicm carries yew accaint as daring tether by arra-gement with the edcated insiduton We informed you of this relaanshin when you opened this axon. h that cast your toads and sealties re boated a LOS financial Semites and rot the ritcdeciabrder, and you nut mad a repri of dry era or omission to both firma • As dented in the account areements, yw rust roily us of any errors or fraud nothing decks reflected al put statement within 30 days after d was mailed or made amiable. • Pleat* died *sonar complaint or names to the Fists C fent Relations Deparment a 201.352.1699 or toll-free at 8C0-354-9103, 8:CO A.M. to 6 GO P.M. ET Monday through Frday, or in wing to UM Fiunual Semites Ix,. Client Rations Department P.O. Box 766 Union Ciy, W 07007. • A 0 daements shall be deemed complete and waste if not cbbctenl to in suiting veithin 60 days • Fa fly services_ Call 044412.0986 or nom outside the US.: Cal 201.3521495 • h cased eats or coasters about in nonionic kids transfer WO. bR panned or UM Wand:nit card transadrons, call B20-762-1000, or wile to UPS Fiancee antes ix., IMO Harbor Blvd, 6Ih tor. Weeharden NI 07086, Atn RIANMA Senna Cal a smite as soon as you can, if you fat yes statement a receipt is wag or 4 you need more itomiation axut a transfer on the statement or PPP. The Firm or Cad Issuer (as oalicable)ntrat her Iromyou no later then 60 days alter the Fm seed you the list et ateellent on which the ems or Prober a:Pend. - Madeyou' name rd accost number (d any) - Cesabe to error or the tanner you re inure about, rd elan as clearly as you ore why you believe d is an en or why you need more riformasicn - Panne the dolor arrant of to suspected Pro'. The Finn a Card Issuer wa niestgate yew cancian and MI coned ay 'nor promptly. For alleged errors Molina UBS Vat {WO ca-dtransarlaa if we take more than 10 bas rims days to albs, we will credit you want for the amount you that is in error, so that you wi hew the used+. money dunng he tine n takes us to ccmplete our iwestigption. Please make all checks payable to the Firm or the Irina& insteution ndcated on the front of thk statement In addition to regular accord fees, accounts may be abject to materna-or hes, cages for late payment a- securities purchases and charges Ice unpaid amounts n cash 'carts Accounts that are transferred to other instaacns may be subject to a transfer lee. UBS Sweep Options 1,65 oars options la sweeping cash balances to ba-k depose ran al non-affiliated bats at Aliened barild matey market mutual f unds (Money Fattiest the Hemming Deposit Amara (CA) fa cuttanon with an Internet:oral Ronne Management Arcane Depose account al UB5 Bat USA and nth-aft dieted banks panicipatng n the UM FOIC4nstred Deposit Program re FDIC.imured in accordance with fOIC lures. For more edoenatbn, please ant yaw . fdic.gov Deposit accounts at UBS AG StamfordBranch and chats of MoneyFunds are rot hand by the FCC Through the DA, cash balances we swept to deposit accounts at UBS AG New Yon Brardn a-d UBS AG Caner, Branch. These deposits are not inured byte FDIC. Balances held at the UM AG Cayman Branch are temp:ran& biased tote sovereign its of the Cayman blendk ad there is nooses-dee or abet obligation of LIBS AG io repay the balances while on the UBS Cayman Branch's books. Bank deposit, are not protected by 9PC. Money Fund shires are protested by 51K. See'125 Financial Selma, Accord boudiont below. Wel your request, balixes n the bank depositsnix be **dawn and shares of a Way Fast may be liccimMect and he proceeds reamed to you a you. stakes accotrd. Father ilarnalca about available sweep options, ixlestrg current ireerest wet and yields, is available at wawa, conreweepnekts, from your Friencial Advisor a by calling KO-762-1000 UBS Financial Sennas axon protection The Finn a a ranter of tee Searnies hvestoe Protection Cotcration (SIK). WW1 protects auntie, =tamers of is members up to 1500,000 (including 1250.0X/for aim for Gag Ebbnatory brochre addible upon ippest or at mew. spc.org The SIC asset protection limit apply to all roosts that you roan a particular capxth. the Fart together wet certain affiliates, ha also Purchased sankmentatinstrace the mar mum amount par kb to at Mob& client, cohesive& wider this protection is 1500 million as or December 10, 2016. Sbject to the par/condition at limitations, cash at the Firm is further protected for up to $1.9 million n the aggregale for all your accounts held n a pariothe capacity. A fiA copy of he poky warden is audible won request. The SIPC protection and the supplemental protection both do not apply to • Certain financial wets controlled by (and i-claled ii your account value) best MM awayfrom UBSFinanciel Services (e se. certain (i) deposits at affiliated and ran affiliated bats nsurrce products, ex14n9 variable amities, and (ii) shares of mutual funds %Ma such shares are registered den& in the name of tie account hoiden:rethe books and records of the issuer or trawler agent); • investment contracts or nvestrnerd Meats (e.g., limited partnership and plate placements) ha arc not registered under the Securities Act ol 1933; and • Corrmoditin contacts . foreign erchage and precious metal contractsX inclucirg figures contracts and commodity option contract. The SIK protection and the supplemental protedon do not apply to these asset own of they otheetw, appear on ma daements. Ti. SIC protection and the sadokrantal protection do not protect against changes n the makel vain of yes investments retether as a result of mallet monernant issuer barknaptcy or otherwise) Dividend Reinteament Program (DPW) The price reflected k an average price. You may obtan the actual price fran xis Palencia Advisor. Only ehrob shares are purchasedunder DPW; partial than will be sold ad the cash INN be deposited 'nyour account The 6videni reenactment price swished by tee ister may della from the make price at which to partial mart re sold Cash-itlieu Only whole urn ray be held nyou' account. If ycv are entitled to a pared did as Jenne of a addend termini or oil-wrings the Firm MI ether sell partial wins as mint or accept an tenant determined by a registered cleing agency, at credit yar accord. Inveteftment objectives the rmslmert objectives and risk profile are spec tic to each account and may ay between you account Please actite the Firm prOrrtreg in %ening of re Knit-ant dirge in your Inancial sibabon or inveitmeM cbnctives. for each accord heti, you choose one of the (claming investment objectives: • Ruda Currientincoor Investments warn the generation of none only. • thane Capital Appreciabom hienments seeking growth of principal caber tan the generation of income. CONFIDENTIAL • Produce Combination of Income and Capita% Appreciaten Investments Mang both to generation of income rd growth of plant Overall risk profiles • Costing:sm.Seeks to manain niter pi-dial meth low rd aid Manley to the word carat even if that man ea accord does not generate signif juin income a farm and may rot hap pace with inflation. • Medeal. Wiling to accept sane rigs to pincgal and tolerate come volalety to seek hitter returns. • Aggressive: Wiling to accept hit nth to anon,' and high volatility to seek high returns over time. • tnvestmentEbaidike ankles JtiOtl: I selected a POrtiOn of the portIolo for that account may include ant strategies. tented licuicky and geaW volatilty. Statement liciwoholdthe We may consolidate t related account statements nth the sane address in the same envelope, eg. because they have corners who ako mantain join accomt rationshise wen other dents a the same edam. If you prefer to receive indiiidual stamen mailed es separate emelopes, you may decline householding by cilia your Feunual Admor. Friendly aceown name The Friendly account on is a watermark. 'adman? chosen by you to assist you with your recordkeepecd has no legal effect an yOUr account You can chancy your Friendly accost-it names, through Online Services by contacting yrs:Frontlet khan. Mated overview • Vabe of your mvounteronfoho. Net of assets and babied*, • that Includes anal*" cash balances. vibes for restricted security ad ), and Global Tia Deposits, wreaked mans to make, and certain wets not held by the Fem. Does rot include waited secuntieslassets in the end of the plot and cuteret statement sands, a private imetenerrb invested 'took options ad wercable cock options • LiateliOns trades abet balances, outstanding mean loans, trade lint short accord balances. • Cash/nroney balances. Foul of arrayed warn calls balaxes, pis deposit balances at Mailed and non-all gated bads, ad money man mutual Ltd sweep balances, at the cbse of the statement period Non.cornmodity tree creek balances incur accord are • ot segegmed from other balances and tie Frm may use any of these finds is the Pansy course of is bushes. Thew funds are pat* Loon your dema-d. This total is axe-deice in tee curet period closing vain. Lending information For &Pied hIcrmation on the firm's lerrArg patina ad basun., refire° yar Clem Relationship Agreement a Arend Agreement and the General Terms and Conditions US Statement of Credit lattices available n Agreements andetiarlosups Steme/dyi ev.ruirerniussr,rhsw., SDNY_GM_00027936 EFTA_00138556 EFTA01279165
Important information about your statement (00nilled) Year refs Your staterent kerns, securities weather Mel held tribe exant al the end of the steers pried. You may ask fordovery of fully paid searaes at anytime. You may receive securities used as loan collateral after paying sty babmce de an them. Any securities tranderred to to Fins &erg the statement period are listed at market valve as of the end of the sternal period. • Cat basic let detrmining the cost basis of to securities induded h this statement where indicated wih the number 'I,• UBS Faunae Services has relied cn information obtained from sources other levant-SS Financial Semites. including idarriation from another Inn a that you may hawprovidedto you Fina-cial Advisor. The Firm does not indeenilently very a gaunt** the acaracy a raiday of ay information provided by coaxes other than U3SFrenrial Senices. In Ace." although IBSFinancial Strikes generaly updates his nkrmaten as n is received, the him does not row& ay assurances that the hfamatien wader "Cost baser rd "Unrealyed garl bye is accurate as of to date of this statement. As such, please do not rely on this tramation to make puchase or sale decisions, la tee puppies or °theme Accounts turd wed to tie Fie may reflect gallon inforrnalisn only for the period of tine they are heed at re Finn Morehistorical iScartattn canbe acitedbyyas Maxie Advisor. • Unrealised gensfleatee When data a *marble, estanated veered gainalosses are calculated kr exlivitial secure lots. The transaction data for rdvizlial bet may or may not reflect or:mess:ea. charges andor security reorganization events. Dividend and other reinvestment lots and yatematic purinese kris are eachcombined to display are averaged lot The 'Trate date' toter presents the crgiral transaction trade dale. • Callable seeuritione Bonds and petered Pod that the issuer oats for erY redemption wit be selected impanalY by lot from an-crg elle:tries of that ewe held hour name or in nominee name for as dents. Call leak& nktmatcn is obtained from third parties and nc accuracy is not guranteed. Other call feature may eve which could affect held complete rdormaten elite provided upon request • Certificates oedema (s,). CO, are FDIC rowed w> to 1293,000 n principal and armed interest per depositor rd per depository inaitcobry itaccordance rah FDIC lutes. • Pritehalue. Pekes dielyed for sewers and other rockets my be highs or laser the, the price that you would actually receive in the market. Pies we &mined from whoa hid piny sources *hilt we Peeve to be reliable bat we do not guarantee thee accuracy. - We general& use tie closing take when hala* et the mean of the bid and ate rim kr heed seines ad options or °nit Wanes ter OTC le aes. — Less activey traded WV maybe paced usng a valuate, model or the most recent price we obtained and may not reeled an &Pal market price a vats — Certain positions may appear wilecul a price rd ell show as • take was not availaba • if we are usable to ratan a pace for a security. - Deposits a securities derorninated it enemies weir than U.S dollars are reflected at the whinge rate as of the statement date. — kr certain searnes racing in non-teeming denomiretionA pnce and aurae (face eke) may have been adjusted to lacilitate bops ewer' To Merin current quotations, when mailable, contact vat Financial Advisor. • Private investments and structured products. Private newer+ series (raying died pancipat ion program rd realestate ontestment trust secures) and Trucked pedals are gewraly highly ikpiel. Clan stnxtLred proclacts have not been registered with the Securities and Exchange Commission Cr under any state sectaries laws. We porde *stinted vales For private invultrant secures and sea-lure products for Harman:de arrows only Achrary boa guaranteed. - These vales may dater Abate" torn prces, it any, at which a phrase iwesentol security o' structured product may be bate or sold and do rot necessriy represent the value you myreceive wren licuidatcn. — Third party etimatesol vats re as el a certain date we re supplied to UBS Financial Services on a regal bar by art independent elation firm. - We, genetal partner or sponse estimated were ay, are .;plied tote Frm by the issuer, general partner or sponsor and may be cab-rated based on diferent iriormaton Iran that rased by &ideate to ciriw their estimated values — You can obtain addliersal dorms's:es regardig to mete:blow wed to determine the estimate of value ad the date of the idonnaton that is the basis for the Simile by cant/erg your Financial Advisor — Third pry estimated vales may be reflected as 'Not paced in several Austin: when an ixleperdent valuation Inn has not suppled ct wele to astir a vale, when we been* avant that a material event has caved that may call a resioully reported vaLe Fro guestion, or oaten a value would be highly speculate due to he nature of the secunty. - When neither an issuer, 'real panne or sponsor <Pirated value nor a thirdparry estimated sake is provided the eke of the secure wilt* different born its palate rite. — 'Distributions to date may include fern of capital mama or both. - 'Original unit size represents tie natal offering pie per ind and may not reflect your cost basic — DIP aid unliPed PER settees are not listed ma national secultes exchange and are greedy &gad me hen a they can be sold the price rearedme be less ten the per share estimated value provided in the scowl statement. • Restricted securities. Restricted SeCtrities generaly ae rot currently egbk kr public sale. UBS Fine-cal Services Wel to malt price rile unrestricted sloth of the sane issuer as an meted value fa the restricted slack for petposes of magement any. To the intent tet reeked seo.tites are 'lobe la sale, the vela Matted my be earstantialy Ins than the incised value Mom, • Est. (stinted) income, current yields and rates. An estimate of awl tame m based on curet dniderd rd interest rates, assuming to market will be held for one year from statement date or wita maturity. This elfin*e army a gukleine; accuracy and continued axone are not guaranteed. — Estimated atrial tame ad went yeld la certain types of wares could mclude • ram of principal or caret gate in which cage the est income (ad current yell would be overstated. — Estimated anal ircane aid current yield and the actual room rid pied nose be lower a higher than the *nested num. — An *Pirate of arruaked income (dividend ander interest) &kW by the current market vabefaverage balance Is based an the last diva:lend or retest peter made by the issuer and acmes twarositierdepases sill be held for cr. year born the daternlot date or until mahrity. Accuracy ard continued yield are not warned • AMU not heed by UN Pinandel Services. Cenan assets se rot held by the Fie and not wohh the Firrns possrisisn or enrol. These assets are delayed on yos statement for informational purposes ony Positions and values presented ire provided by the issuing fern UBS Frontal Services a not respotorble for are infammion and des not gua'antiO its accuracy. Male ewes are rot protected by 51K or tie Fim's supplemental SIPC coverage. • Revenue shale and additional oempansetke - h other, to cornmksims cn sales rd 12b. I toes reared in connectim with re deb.:ion of mutual bin* our <bents we actor our affiliate receive evens sharing pewits tan disttutcrs ands advisors of the metal Kr& that we sell. These smarm aft baud on twat different components: (0 to rare of sales by 1.85of a particular "meal &dirtily to ourclents; and GO tie asset rake of a particular mutual turd lanys shares hrid a the — We ardour affiliate also mains networkhard embus processing fees in consideration for trawler opera senesces de ow rovde to mutual funds These fees generally se paid from investor assets n as mutual I and and are a fried ober arrant baud as the number al accents at the brolier.dealer hoking mit& finds of that ferdfa-nily - h addnon to commissims received in correction with the safe or darbubonol annuity contracts zed unit insestmet trust talk to our chords, we ardor our effete receive revenue sharing compensation he many of fie Sawa companies underwriting the annuityantra-ix affiliates of the marance companiesor sponsors of the tea investment trans we detdbuter. CONFIDENTIAL — Our diaries aba recede trecrt; convrissons std other comperostiari lean mutual funds and ewer& companin whose products we &three. — We recede an ritual f ee from LDS Bank USA ad U3S AG Stanford Bunchof ipso QS pa accord sweeping to the banks lade the ties Bar* Sweep Program Activity Information regarding commasens and other charges incurred in arnection wish he executors of rades, inducing option transactions has been moluded an confierrione preouty finishedto you. rd will be provided to you promptly °timpani. Shen selling If you are engaged in sheet selling a weir s,. you may incur a charge due to attain borrowing costs for that Particular seam. Open orders Regarding open or goodilkanceelee orders tat were rot neededbythe sweeten date, open buy and sel stop ceders are redact(' by the anount of dividends orrigds as as ex-dividends a engsts date unless etude chemise bar you. You are tesponsble for orders drat are executed dr to your (slur, to cancel raring open orders Privacy To obtan a copy of as current Client Ftracy Mee please contact rats Financial Adder or via as website at led0=Liallititragrl221kb - U3S Financial Senices arat a bank. The RMA, Bushes Services Account BSA and SMA are brokerage accounts which porde access to baiting serves and prodati through avangerrents with affiliated banks and other sheep], banks and provides access to hswaxe and amuty redacts issued by tnaffilialed Iii -party issuancecoterie tirougs insurance agtayaltairkrial of ties Financial Saves Inc — eremite inure-re and arnuity recite — Not FDIC iraured• No bank guars-ler May lose vela - IMA. Rescue Management Account, Busress Se-teesAccount BSA, IRMA and retnational Resource Management Accost re registered service maks of LESFirencial Semites lx. — VISA is a registered vademak owned by Vita htemaknal Sent Asxrciation and used utter kense. The UBS Vita creek cads and the UBS Visa debt cards re issued by UBS Bank USA with permktion from Visa US.A. <corporate Ali ahet radernaks, registered trademarks, unite maks ad registered service marks are of their respect.* QCOganilleS UN Financial Services Inc Rev. 201705 SDNY_G M_0002 7937 EFTA_00138557 EFTA01279166























