*UBS Resource Management Account July 2018 Your assets Account name: GHISLAINE MAXVVEll. Friendly account name:Indy Milennium Account number. Some Prices, income and current values shown may be approximate. AS a kit*. gains did losses may not be accurately refkoed. Set anportant intomnatton about your statement a the end of thus document for more infornaaort Non-traditional Private eqUty funds, Hedge tuna, and Other investments are held in your UEISFinarcial Services inc. (UBS FS) broleraqe account. The poutlons reported below reflect the records of the issuers, and OBS FS does not gar/inlet the LK( tasty of the I riormation The vtlue shown is rot necessarily the value you would receive from the issuer if you sd d the assets. Funds acutely sdd by UBSFS are subject to ongoing due digence, dthcsigh the level performed may vary A closed fund may be subject tonoongoing digence A fund that you purcnied elsewhere may never have been suteect to UBS FS dllgence, although UBS FS may receive a let tram the funds manager, which may CCOSiitUle a maollty of the rnanagement ncentl* lee. %ease contact your Financial Adasor with questions. ' Est value per unit' is an estimate of value supplied by an independent valuation arm and reflects altustrrents for factors such as the tqudty of the units. Hedge funds PurchaSe pricer hurcber moor pace Hcldng of sharts per share (S) ALPHAKEYS MILLEN END BROKERAGE 410 930118 Trade date: Client investment (S) 650,000.00 Your Pi needs' Advisor: SCOTT STACK MANLYLE CASRIEL Estimates of vdue suppled by issuers of Certain CeograTs (which are geneldly 'net omit neut.' estimates) are shown as' issuer est. value pet unit'. For Povae equty f unds, 'Est. value per u1 t' is a value updated quarterly, based on the Net ASSet value C Nan in the fund a or the date spedfeel [dusted by ading capital calls and subtracting dstnbsitions since the NAV date The NAV is primarily based on estimated portfolio vd net peonded by the underlying fund sponsor Thew two values may vary because of differences in the way they were estimated and because the ' Thad party en. value per unit' may have been prepared on the Oasts oninancia itionnaton other than yea•end Reported estimates may not reflect resale. liquidation or repurchase value, a any, and may not reflect dst 'butt cos of caoital until the next valuation is reported, generally On an annual Or Serrtannual bans See Important information atoor your statement at the end of tits sidemen). Cost Price per share basis (1) on lU 31 (f) value on unrealized (tae imestrnent Hddng Jul 31 (S) gain or loss (t) return (S) period 650,000 00 1.000 770,427.00 20,427.00 Your total asset value on PA 31 (0 Percentage d Cost your &count Oasts CP Estimated Unwashed annual inccaw (S) gain or loss CS) Nowtracitionel Hedge Puede 770,427.00 Total 6770,427.00 100.00% 650,000.00 120,427.00 100.00% 6650,000.00 6120,427.00 SDNY GM 00027686 CNP7C00300571919g NV7003103378 COCOS 0718030575004- ►age 5 of 6 CONFIDENTIAL EFTA_00 138306 EFTA01278915
*UBS Your notes 6666000.066,6,00 66,0666.,6 00006 6,6,6 6666,606 IL, .0n.6,66 6 0l 6 CONFIDENTIAL EFT,00138307 EFTA01278916
Important information about your statement 1.85 inmost Sewn Inc. (the Fermis I.SS finrcial Serving. is a mentor of all pri-cipal recurby, commodity and omens excharges. lies inancialSonicis and 1.65 Ban USA re ndrect sits:dries of 1.85 AG and affihxeso11.855xutisttC. The F knisfi-unclat statement n available upon request. The FErn's exiaailive offices aro at: IRS Fr/areal Services ric. 1200 Hatbox Boulevard **Menke* NI 07086 The Sealemthe rep Bents the only official record of you LES Frunceal Semmes 'onto& Other records inept official tat dosurient centering contliang data should not be retied won II you beim* thee is an error or omission plea* report n arnedaSely n mint to the Brands Manager of the office serving you account. Although el Igef es shown se ntended to be accost., statement daa should not be used for tar purposes Het sok* on yothend Is forms. be . Fonn 1099. 5193. 10425. etc )nrhenprepamg your lax return. The fan is requred by taw to report to tie RS Ala/able dwidend& resold* novesuble dividends and unable *wet caned on setuities held it you atcocrit, net proceeds On sale transactions, rd con bast on cartaineerrd shureies. Genvomintions with the Pima • Please reconfirm any oat cornruntatiom in weep et:anther acted yournitts. incite:fru your etas ender the Securities **sloe Protection Ad (WA) • If thefinancial natation on the top lett of the frcra of this statement is not (8$ Fnancin Sevres, MS financial Semen aria you anca.nt as clearing broker by arrangement wit the *Rated imitation we Wowed you cd the netabonstg when/Mu opened this accuse. h thos vast yen- lords and semsam rt located a uB5 f nancul Senates and rot the nth:dein broker, and you cruet make a report of ay error a: mitten to both firms • Asdescrbed Ode account agreements, you newt notifyusof any taco or fraud irmthing checks reflected on rase statement within 30 days after t was mailedor made milabto. • Please diva customer complains or inuiles to the Pam's< firm detsions Depannent at 201.3521699 or tod-free at 800.354-9103.8:00 A.M. log AO P.M. ET Monday through Frclay, or in wing to LOS Fnancial Seven ix. Client Relations Detriment P.O. Box 766 UnionCary, NI 07087. • All Premien shall be deemed corvette rod acorn it not objected to in welting within 60 days. • For TT( serves. Call 84A-6120986 of from outside the US.: Cal 201.357.1.35 • h case of *non or past erns about an electronic fiords transfer (EFTL bit payment a VBS. Vinodebit cad Pansastiores call 030762-1000, or write to UBS rename' Services le., 1000 Nita Blvd, 6Ih floor, Weehonton. la 07086, ate. RMARMA Servo.. Cale mite as soon as you can, Eyou thin you statement a recite is *nog ;sty/xi need more nfoemattn about a twofer on the statement or receipt Meter/ *ICard biter (as *Plocable) must her I ron you ran law tai 60 drys Seer the Frm sent you the fat st moment on which the woe or problem appeared - Rthele *Kr rent and accost number Of any) — Dna& the error or the wander you me unsure tote, mud captain as <kart as you can whyyou believe a is an moor a maw you need mote igormaton. — Ronde the dolor arnant of the suspected error. The Finn or Card bsuer vii investigate you complaint and wit correct any new pram*. For alleged anon emoting UK Voaodebt cad transaction& of we take more than 10 bus hess days to do this, we will credo your Rocunda the amount you Ihnk sin tool, so that you vat have the use of the money doing the the it takes us to complete os imestegation. Please make all checks payable to the Fema the Inlin0/10Steuticn notated on the Wan of this statement In addition to regular account lees acme* may be Abject to minions* fee. charges for bole payment kr wattle purchases and charges for unpaid smarts n cashace:ants Accounts that are Pandered to other instauton my be subject to a vender fee. UBS Sweep Options U6S often optic* foe emeprag cash balances to ban deposit account at non-edited banks and Added banks and money make tralual lunds (Money Funds). Deposit want at UK Bark USA and renominated banks partkipaing n die UBS FPCthstred Deposit Program are FDIC onsured n accsniaxewth FDK rules For more information, please vise bonny f &gay. Depose accounts N 1.85 AG Striae Branch and shoes of Moneyfends are rod inured by the ENC. Ban deposits am not protected by SSC. Money Fiord shires are protected by SIK. See "UBSF unreel knees Accoune Protector' below. UPon your newest, balances in the bare deposits may be willodeavon, andshags of a Morey Fed maybe liquidated and the proceeds retuned to you or you fatuities afoort. Funny Somali:a about avertible sweep optems. eldrc Thrum iderest rates and yields, is nettleal wayeybscomsweeprods. from your Financial Advisor Cr by calling 800767.1000. UBS Rnancial Swims fecootiot protection The Finn is &member of the Seanties Mesta Protection Corporation (MPG), rtich protects stung.; custornees of Es merbers to to 4503,000 (nckding $250,00014 dains for cash). tplanatay brochure amaabb upon reoun a al resew sue cap The SIPC asset protection lints apply to ad mounts that you hold in a pinwales' cap* y. The Finn, together with detail affiliates, has also puttered supplemental tonna. The matirern amass payable to all eligble <bents. collectively under this protedion is $500 melon as of December 10, 2016. Sobered to the policy condtkee and Imealces. cash at taw Pim is further protected la up to 51 .9 mikes in the aggregatefor ad your accounts head n a particular capacity. A tut copy of the poky wording is nettle won request. Nether the SIPC oneclion nor the avpaemental protection X0/ to: • Cermet fauna& assets controlled by end ncladed n your utast vela) but tell away Iron UBS Financial Services. For nuntlecertain 0) insurance products. ecluding variable a-nuites. and (it shoes of mutual funds registered in the name of the accuse holder on the books of the rue, or tanster agent • kwesemmt contracts ce nvesemen Pewit (e.g, limited partnerships andprivete placements) hat are not registered under the Seances Act of 1933; • Cameditits cenracts (e.g. foreign ...dump and nevusmetal toner/rig, including futures *roach and oorrnecodity onion (Meads; and • Deposit accents (except certificates of deposit) at (8$ Ban USA, UM AG U.S. bra-ches and bras re the FDIC inured Deposit Program. The SIPC potation mid the settlement' Oneidas do not apply to these assets inn of they otherwise appear Oil sot: sliAmisits. The WC protection rd the Reptmental protection do not protect against changes n the market value of yxr invest ents (*tether as a relit of menet movement issuer bra/empty a otherwise) Dividend Roinvortnwe Program (DRIP) The once reflected is an average act You may obtan the Reuel price from you Financial Advisor. Cent *Ade thanes re purchased union DRIP, panel sham wiltbe sold and the cash wit be deposited in yOur &Merit The dividend nemesis** ate applied by the 'Mar may diner horn the meet price as Weds the pat.* shire are sold Cadvindieu Pty WhOk WAS may be held in you account. If you are entailed to a panul an as a result of a divileed pat/Wont a othewee, the him yell ether sell panel ion at mane peke or accept an imam determined by a rag/tend clewing agency, ad credit yrs arcane Investment objectives the nvesunen othectivn and risk profile st 'pectic to each acne* and may vay between you accout Please advt. the Inn morn* in writing of ay Ordicant change in par financial Mutton a irwestrem objectives. For each account 11.4 you dome one al the Rooming imestment CbjeCtiver • Piedra Gwent:atonic Investments Weis) the genwatith of income only. • Achirm Capita tAapnciaeore kwesonents peeking growth of princtral rather than the generation of MOM& • foodia. Combnason of Wool* end Caplet Appreciation: krouterreMs seeking both the "twat*, of *oar Ind growth of principal. Overall risk galas • Conseavalke: Seeks to mint oritial anneal. with low risk and war My to the accent overall, even it that men the account does not generate seonifeant CONFIDENTIAL acme or menu and may rot keep pace with inflation. • Moderato. Warp to accept tae ride 10 pinatal rd tolerate scene *latelytoseek higher returns. • Ai 12 SS .4 t! Wiling to accept high risk to precool aid hap volatility to seek Int resins over time. • Invetnett Eignerey Consdenten: d selected. a portion of the por golio fa that account may include complex stages. lined liquidity and greater mortality. Statement Thousoholdier We mayconsolidate r related account statement with the sane address in the sane envelope. e 9. because they hare ohnens ito also maintain ten account relationshts web other clients at the sane address. If you peter to mere inclimdual statements mailed n sciwate ermel0044. you maydonne hotneholdre by yar Financial Advisor Friendly *coact name the Friendly *cane rune is a argoinctable -rickrurne chosen by you to assist you withyar recordleePrg has ro legal effect on your account is no Mendedto relied any strategy. prodxt recarmrdation. reveMment obectne or rid prdk ar6OPeetel Writ 'Our *cant and es not a plan* or guarantee the wealth a any Inandalressills can or will be achieved. All irmestrnents emote the risk of bss, indudrig the risk of loss of the fedi* kwestment. You can <hinge your friendly scan names through Online Services a by centring you Fruncial Anna. Appoint oviineiow • Vabe of put eccoontraorttofo. Net of assets and IiabdsieF • Assets *Wm available cash balances, values for restricted O'Mara fret I and Global Tina Deposits, tweaked mans lo market ands/yeah nets held by the Fem. Don riot *aide unpnced secuntelasiels at She end on the prior and orient statement penods, or private Pent/MIK uwested stock optem and mernatae nod options • tiabaTites *lades del* balances, onsundre margin loan credit lee, short scantbatanses. • Casblreoney &names Total ce oilmen(' available cab balances, plus devout balances al affiliated and sweep butted brit, and malty market mutual lead sweep balencek at the cbse of the statement period Nonocorrmodity free ore* bala-tes into, accost an not segregated from ocher balances and the Fim may use pry of then bads she oeclenay course of its barest. These ends repayable scan your demand. This weal is *laded in the ovnnt ponied <losing value. Londreg information For *Wed Hammen con the Fares inning practices and cksobsures. refer to par Client Relatiomhio Agreement or kora* Agreement and the General Tents and Condi**. U8S Statement of Credit Practices available n Agreements and Dighton* at yvayjr one ennerournerterlovoner SDNY_GM_0002768.9 EFTA_00138308 EFTA01278917
Important infantleaMil about your statement (continued) Your assets Your eaterrent nentes recuieters and other assets held n the account at the end of the Slatemere Wed You may ask for dekvery of fufty Paid securges al any tire. You may receive securities used as loan camerae alter paying any Wince die on them. Any securities tranaerred to the Fern doing the stmommt period are teed at market value or of tho end of the stannwa period • Cost basis. In datennnirg the cost bans of the sestet aride l n this statement where indicated with the number "I,' LISS Snarciat Services An relied on information obtained from sourer. Mho than LES Financial Services. raluding Seamans Iran anther rim that mu may have grovkled to your Fnarceal Advisor. the Firm does nol almendently reedy a guarantee the aauraCy or vaklity of ani 4 collation Provided by maces other than 1.3S Financial Sock.. addlion, ethougn 1.85 Fnexial SeneCeS ginaralV updates this rdamatirin as e is received, the km *es not porde ary assurances the the ancrinatee under -Cost bare and "Ureealced ace as a the date of this statement. As suCh. please do not sly co this Mon-Intim to make purchaseor sale (*isms, la tat purposes or otherwise. Accounts transferred to the Fan may reflect getout inlertuan only fa the period d tire they an heat at the Fern More K6torical akeltatiOn can be added by your Fnanced Advisor. • Mreroalited gent/losses. Vitien data s callable, eemated arealized genflosses are <Mutated for adviint teary lots lhe transaction data for nckvdual loss may or may nit refreflect arrmissions. char g es g secrity reap-salon gents. Dialed and Mem renveumee lots and t ystenak arches lots are each combined to display one averaged lot Me 'Trade date' eolmn prevents the anginal trainacoon trade dale. • Callable securities Bonds and selected stock that the issuer cats la <a go rederrpnan nil be selected itparbally by lot Iran emery; at searges of that issue held it our name a n norm of ram for at clients Call 'leas Sarmatian is obtained Irons third parties rdas money is not guaraMied. Other call leaves may mist which (add elect grid complete 'Mammon rate be provided upon request • Certificates of deposit (CDs). CDs are FDIC inured to to 52292000 in principal and accrued Serest W depositor aryl per depository inputting game-dance rah 10K rules. • Price/maks YrkeS &Oared for secisaies and other scams may be highe or lower than the price that you would actually reeve in the mat*. Prices se obtained from various third party sources which we bekne to be stable, but we do not guarantee thee accuracy - We generallyuse the cbsing price vine available or he mean of the bid and as prices la heed securities and options a only bid sees for OTC secrets - Less actively evaded marines maybe breed meg a valuation model or the most recent price we obtained and may not ref let an Weal market price or vane. - Certain pieties my appear walnut a price ard will ewer ea 'peke was not available • t we re triable to &Ian a prise for a Wu,* - IDepOSIS a SeCurdceS dernomnated ncrarercies Other than U.S dollies are related at the exhaage rate as of the statement date. - Fa crlan securities raring ni non-conforming denominations, price and pirely (lace was) may have been adjusted so facilitate stow valueicn. To dam current quotations. when avaaabn, contact your Fnarcel Ades • Private inset:mots and structured products. Private investrown securities (ircludng dreg participate:0 progam and real estate ors-stuns( trust securities) and structured sodxts are generaly hgney akpd Celan mussed products haw not been righted with the Securities and Exchange Commission or under any Pate securities laws. We sonde es:rested vats tor pewee ~Irani securities and strum acid products for ritarnalk.nal Wpoin only Accuracy is not guaranteed - These vakos may diffeo itbstantiaPy from pies, if any, al which a private meaner unary a structured product may be toxfre or sold and do not necessary rarewe the vats you nay reCerve coon licuidation. - third party 41101MPS of vat* re as of a certain dee and re appbed to WEIS Innis Services on a regular bass by an irdependert station line. - Issue general pray or sponsor rambled vanes. any, re tie:plied to the Fen by the soar, general panne or sponsor and may be cakulated based on drierent Sarmatian from that used by teed parties to &nye their estimated sakes. - You can obtain addilithe Hammen repealing the method: used to determine the estimate of value and the date of the ificematen the is the bash for the estimate try contactig mut ;Steal Advise - thin prey estenated oaten may be reflected as 'Noe priced' in several atuaticeit when an indeperectex valuation Inn has not stapled a is unable to assign a vats, Oen we became aware that a material event has awed the may call a orevioutli reported value alo questicn, a when a value would be Sohn speculative are to the nature of the scanty - When neither an issue, general partner or spores estimated value nor a thrd-party estimated ',six a provided, the yak* of the cavity will be different noon its cuxhase price - • Crierbut ens to dale' may nduch ream of ncome or bah. - • Original unit We' represents the maul ollering pnce per emit and mw not reflect you cost bass - Oft and unlisted REF sectrea an not heed on a nationalsecurities exchange. and re generally Maud and even it they can be sold. the vice received may be less than the per share estimated value provided n the scant eateries • Resided muskies. Restricted securities generate ate not cureritly eligble Ice public sale. UM f natal Seam uses the market price of the isenInCled stock of the same Murat m an imputed sew for the restricted Oak ea purposes of the Statement oft To the extent that restricted largos are eche to see, the yaks reeked may be o.bstantalb less than the inrieed value shag • en. (estimated) Mame. current yields and rata An at mate of annul inane is based ore current dhiciond and Mess rases, atsunirg the securities will be held for one yea' from statement date a tail maturity. This estimate 6 any a gudeine; accuracy and continued income are not guaranteed. — Estimated true scorns and current yield la certain types 01 saunas could me de a ream of a-Copalor capital gains in which case the est income (and anent geld) would be overstated. — Estimated argue income ad curet geld and the actual Mane ad yoki mete be lower or than the singed snots. — An earnate of a-nuakted ixorne (dividend sea merest) divided by the cement market messes-age balances based an the last dividend a neap payment made by the inter and rases the secosineedmoses will be hell for or., year from the statement date or until moneray. Accuracy and continued yield an not guaranteed • Assets not held by MS 'Maned Services. Certain meets an not held by the Fine and rot within the Fm's possession or control. Thane assets are dtplayed as your statement for nt orrratdral purposes only. Pontoons and vakm presented an provded by the twig Ism UK Crustal Sweet is not nisponsbki for the Seamans and does not guarantee es exctracy these asses are not acceded by SIPC or the Frites suPPiememal UPC coverage. • Revenue sharing and additional compensation. - g median to ccenmirinns on tales and 12b.1 kw received in connecten with the diatom:en of mutual Arida IOW <lents we ardor ow affiliate receive revenue sharing payments from darbecrs actor admen of the moue limn that vs sell These Jaunts re based on two deferent corrocsnity the rouse of sales by t.85 of a pascal, mutual Ind family to our dents, and 00 ex asset vane of a particular mutual funl land/3 shies held at the tern - We and our affiliate also receive networking and Ornribt6 peaessrm fees incense: Reston for trawler agent testes that we sown to tie ague funds These lees generally are pad from investor assets n the mutual lured and sea Foxed dolls anicere bawd on the rioted amass at the brarerdealer holdng mutual funds of that band tacitly. - h addition to cavernssions received in conntchon with the sake a darbuton of isles contracts rd unit nyntment enact inn to or fiats. we ardor err afliiate receive ',Wean. Sharing forrpensaton trait me/ o1 the Swam. companies ordealrig the amity contracts, affiliates of the nsurance cassia or sponsors d the unit twestrnent bush vs detonate h Mcleanto Ofenris6SqnS refereed from the prchase and sale of Neorshires lure* we actor cur at I ilas receive an ane-bined revenue shaing payment fromNo.15race cratrbacet as well as CONFIDENTIAL fading foe techniemy do its -nee, uanng aid education. - Our affiliates also sago tradins carrriseons and other compensation from nual funds and flexes' carparies whose products we dmutute. - We noerw al ow-wallet Iran LASS BrA USA and val AG Stanford Branch of teo to S25 per account sweeping to the banks u -oka IFv ILES Bark Sweep Procyank Activity Infonnaton sgerdng (CenmeSken and cast charges incurred ri mesa ion wall the execution of trades. ixtodng option transactions has been studied on calf entions previously luinahed to you. aid wdl be provided to mu promptly on sauce Short sling if you are engaged n short selling a Settary, you may incur a charge due to certain barowrg costs fa that particular Searly. °petards', Regarding open or -grixklincancellie ceders that wee not executed by the statement date, open buy and sat stop ceders se reamed by the snots of divands or rignti on an ex-dividends co- argent deo unless ineructed otherwise by you. You are respansble fa orders that re executed due to your laftre to cancel eustorg open ceders. Privacy To obtain a copy of at anent Client Privacy Wis. please contact you Fe-axial Athesor or vett our website at wow robs cosaliverookey. - LES Financial Services is not a bank. The RPM, Busness Services Account BSA and IMA are bra amp scares which provide access to barkina services and products tttocf,aranrents with affiliated bares rid other ihrd-party banks, and sondes access to Marne and annuity pratecto issued by unaffiliated thin/party intrarce agnomen though karst* agency stbsidumes col (IBS chancel kirk*, kx. — Segment nuance, and annuity products — Not FDIC sued • No bank guarantee May lose vale - CMA. Remus Management Account. Busness Services Account BSA, IRMA and international Resource Management Account re registered service marks of 1.85 faecal Services tx. — v*4 tsar/gist/ad trademark owned by Visa International Service Assoc ai ion and used under ken.. The UBS Visa credo crds and the LOBS Vita debit cards ye issued by LISSBank USA with Permisson Iran Visa U SA Incorporated. An other vadtmeks. regretted oedemas, service maks and registered wince marks are of their respective camas. 1185 Filartfial Services Inc Rev. 201807 SDNY_GM_00027689 EFTA_00138309 EFTA01278918
c;It UBS FMancial Services tic Private Wealth Management 299 Park Avenue 26th Floor New York NY 10171.0002 Resource Management Account August 2018 CW7005679851 0818X1 Y1 0 GHISLAINE MAXWELL 139A CHARLES ST. APT 0233 Account name: GHISLANE MAXWELL BOSTON MA 02114-3252 Friendly account name: In& Millennium Account number. Your financial Advisor. SCOTT STACK MAW LYLE CASR1EL Phone: 212-821-70001800-308-3140 Questions about your statement? Call your Financial Advisor or the Value of your account RMA ReSourCeLine at 800-RMA-1000, account 029028776 on July 31 ($) on August 31 (S) Your 855els 770,427.00 767,919.00 Visitour website: www.ubscomainancialservices Your liabilities 0.00 0.00 Value of your account 5770/127.00 $767,919.00 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 vnivw.annuakreditreport.com. Tracking the value of your account Thc Lr,arICS during 2018 Value of your account at year end 2017 $726A13.00 Your investment return 7 7264 770 4 767.9 • Change in market value $41,506.00 Value of your account on Aug 31.2018 $767,919.00 2SDC DK 7015 Dt 2016 ON kr 7 Jul1018 Aug7018 SDNY GM 00027690 Member SIPC CNP70008005679861 NP70C0193757 C0005 Cele 030575004 Y178776550100000 Page 1 of 6 CONFIDENTIAL EFTA_00138310 EFTA01278919
SUBS Resource Management Account August 201 8 Your account balance sheet Summary of your assets Value on August 31 ($) Percentage of your account A Cash and rrxmey 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 767,919.00 10000% F Corrrnodities 0.00 000% G Other 0.00 000% Total assets Value of your account 3767,919.00 $767,919.00 100.00% Account name: GH1SLAINE MAXWEU. Friendly account n • n Account number Your current asset allocation Eye on the markets Index Percentage change August 2018 Year to date S&P 500 3.26% 9.94% Russell 3000 3.51% 10.39% MSC I - Europe, Australia & Far East -1.92% -1.87% Barclays Capital U.S. Aggregate Bond Index 0.64% -0.95% Your K Randal Advisor. SCOTT STACK MANLYLE CASRIEL Interest rates on August 31, 2018 3-month Treasury bills: 2.03% One-month LIBOR: 2.11% CNP70003005679852 NP7003188757 00005 0818 030575004 .,•Gtmcion,sgiige 2 of 6 CONFIDENTIAL EFTA_00B83 I EFTA01278920
SUBS Resource Management Account Change in the value of your account Account name: GHISLAINE MAXWELL Friendly account n • il n Account number. August 20'8 (V Year to date IS) Opening account value 3770,427.00 $726,413.00 Change in market value -2,508.00 41,506.W Closing account value 3767,919.00 3767,919.00 Summary of gains and losses VS ues reposed below exclude products tor which gins 8.1010sSeS are not Omitted. Realized gains and losses Unrealized August 2018 (3) Year to date (S) gains and losses (4) Long term aoo 0.00 117,919.00 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 Manager. 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 interne & WOW I appreciation Your risk profile: Primary • Aggressive Investment dig ibikty consclerabon - None selected Your account instructions • You. account cost base default closing method is FIFO, First In, First Out. 0070009305679863 NP7000103757 COCOS COI B 030575001 CONFIDENTIAL Your II nandal Advisor: SCOTT STACK MAN/LYLE CASRIEL SONY GM 00027692 Page 3 of 6 EFTA_00138312 EFTA01278921
*UBS Your notes 05•50055555555565555055155555550555515555554WMID., ,45 . 02,..a a 5 CONFIDENTIAL EFT/5,B5313 EFTA01278922
*UBS Resource Management Account August 2018 Your assets Account name: GHISLAINE MAXWELL Friendly account n • a n m Account number. Some paces, inconle and current vaues ShOrtn may be EpprOxfirKrie. ASS Mull. gam and losses may oat be Excurately refkaed. Set mtportant Antotenafron about your statement a the end of this document fOr more Informaon. Non-traditional Private egtaty funds, Hedge fundS, and Other investments are held in your U8SFIrtarcial SeinteS Inc. CUBS FS) brokerage account. the positions reported below reflect the records of the issuers, and 1185 FS does not qv:motet the accuracy of the irionnaton the value shown Is nor necessarily the value you would receive ficm I be Issuer if you sd d the assets. Funds actively sddby isBSFSa* subject to ongoing due dagence, deb.:cep the level performed may vary A closed fund may be subject to no ongcing dligence A fund that you purchied eisemere may never hare been suteect to UBS dllge nee. although 1)135 PS may receive a fee tram l he fund's rrianaget which may ccentitule a maorfty of the rnanagernenviocenti* lee. Please contact your Financial Adnsor with questions 'Est value per unit' is an estimate of value supplied by an independent valuation Ion and reflects adjustments for factors such as the lquidty of the units. Hedge funds w.ldng ALPHAKEYS MILLEN END BROKERAGE PIO 7131118 Trade date: PurchaSe PIK& hurrter Mimi% pace of shares pet share (1) Client investment CO 650,000.00 Your linandal Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000'800-308-3140 Estilnetes of value StePOred by Issuers or Certain Programs (which are gene raly 'net asset vaue' estimates) are shown as 'Issuer est. value per unit". For Pnvae equty f unds, 'Est. value per unt' is a value updated quarterly, based on the Net Asset value NAV') in the fund a or the date specified alusted by adcIng ccital calls and sutlractrg Oil nbiAlcons 'nee the NAV date The NAV is primarily based on estimated portfolio values provided toy the undertying fund sponsor Thew two vaues may vary berate of differences in the way they were estimated and because the ' Third party ea. value Eel oler may have been prepared on the basis or financier irionnaton °the, than year.end Reported estimates may not reflect resat liquidation or repurchase value, if any, and may not reflect dst ebuti cies of cgs al until the next valuation is reported, gereraly on an annuls or seri-annual bans See *portant i nlosmatron atour your statement at the end of tits statmerd. Cost Price per share basis (S) at Aug 31 CS) value on unrealized OM imestment HdOng Aug 31 (I) gale or loss (I) return CP period 650,00000 1.000 767,919.00 117919.00 Your total assets Value on Aug 31 (I) Percentages Cost your account bas4 Estimated Unreaszed annual inccene gain or loss (S) Nee4facktionel Hedge feeds 767,919.00 100.00% 650,000.00 117,919.00 Total $767,919.00 100.00% $650,000.00 $117,919.00 SONY GM 00027694 CtiP7C0C6005679865NP7OCOl$9757 COCOS Cala 03057500IMOOCICO Pap S of 6 CONFIDENTIAL EFTA_00138314 EFTA01278923
taUBS Your notes ErA of sutemmt for account number CONFIDENTIAL EFT,00138315 EFTA01278924
Important information about your statement LBS F mescal Semmes kx. (the fern of LOS Francis Seeker.). is a mentor ol all principal meshy, co-nrrodity and options meharges. UBS financial Sorrier: and 7185 Bark USA am ndrect stbsoaries of LEIS AG and affiliates of LOS Secrets U.C. The Fisn's harem) itattIntnt it available upon request. the Fim's decree off ice, are LOS humal Salvoes Im 1200 Harbor Boulevard Wethaviken, W 07006 This Statement rePresentsthe on& official record of you LOS Fruncul Services accost Other records, except offKul tau dxunents, contanng calking data should not be relied upon II you berSeve there is an tiros a °mum please report it immedately n mitre; to the Branch Manager d the office wang us' account. Although at fagots shown are mended to be accurate, statement data should not be used for ten pupates Re& solely on year .end toxic:erns, e Form 1099. 5499. 1042$. etc hufffn0soFshff'dYtur tat return the km is routed by taw to repon tote RS all taxable dradends, reportable ncestaubk dvdends and taut& Merest caned cr. ruffian held n you accotnt net proceeds an sae transact:art and cost basis on <erten cowered sects ties ConwoniatIons with the Firm • Please reconfirm any oral cormencatans in me rag to further protect your rips, isludwg your rives seder the SKuntint Investor Protecton AC (SPA) • It the Sinn ill rititufron on the top lett of the Iran of No statement is not LOS Fnaxiat Services. 1_131 SernCes carries you account as clearing broker by artargenvern wth the imforated instmaith We nonmed yu d ths relationshis when opened this accoure h the cash you Mds and secishes re located at UBS I euncul Services and not the itook.crg broker, and you nut mite a repeal of art mu a animal to both fins • Asdeka:ad n the attotal a7eements, you must notifyusof any errors or fraud involug checks reflected ca you gatemen within 30 dyer alto a was mailed or male waldoio. • Pleasediva customer <cowling of it-curies to the tam's Clem Retalicns Detriment a 201.352.1699 or toll-free at 800.35491098;00 A M. to 6 CO P.M. ET Monday trough frday. or in ontig to IBS FinalX.IStniCei ix., Client Relations Department P.O. Box 766 taMonCry. W 07037 • All tremens s all be deemed corrolere and urine rl not objected to 6 setting withal 60 drys • Fa TTY services. Call 844612.0986 0, from cubde the US.: Call 201.352.1495 • hearse of anon or gent ims about an electronic knob framer am. bill payment or LOS saisa• debit cad transactions. call $00-762-1000, or write to UBS Frontal Semmes Inc.. 1000 Harbor BIM, 6th floor, Weehawken. W 07096, Ann RMAIISA Services Cala smite as soon as you on, if you that you' statement or recect is wrong offal need more Monnalcon atoll a transfer on the statement or recege the hrm or Crd bug (es atwkabk) must her Iran Si no later than 60 days after the Fern tern you the fent statement on Mich the CaCC or problem append. - Provideyes name and accost scriber thy) — Desabe the error or the transfer you re unsure about. and explain at clearly as you can why rov believe * is an error a shy punted more nikernaeinn. — Providethe doter amount of the suspected ors The Firm a Cord Issues wil iwestgate you. complant and wd correct art error prompt& For alleged errors nvoNn9 OBS Ihsa•debn card transaction. of we take more Nei 10 busixis days to cb this, we will credit you accost for the amount you tlink is in error, so that you wit hove the use of the money dreg No tine takes us to ccerpkie as nvestgat Please make all checks payabff to the Fein or the (Anal nstoscn noksted on the front et Nis yummy In addition to regthr account lees. accounts my be abject to mantonate Ines, charges for late payment for securities purchases and charges to ugad muds n cash accounts Accorts that are tenses-red to other reditiliCni may be subject to a trawler fee. UBS Sweep Options 1185 offers options ict sweepng cash balances to bate depose axcests at non-al aired bates and affiliated banks and money mind crawl lads (Money funds). Deposit accorat at LOS Bag USA and ft:deflated balks panicau tog n the OBS FDIC-Inured Deposit Program am WIC soured n accordance wits FOK rules For mail nlanwlan, please visit wow tdK.9"/. Deposa accounts al LOS AG Stanford Brand. and Mires of Mosey Funds nee not mated by the FOC. Bank deposits re not protected by SIPC Money Fund shares art protected by SIK. See' LOS f natal Senses Accost Proinfron- behest (pore rectoest, balarces in the bark deposits May be witatawn, andshags of a Mum Fund may be Ictudoted. and the proceeds retuned to you or your mums accord hater iMurnafron about available romp options, rockidng current interest rates and Welts. s addable at wiroubs sorrisocomyekh. loom yOS Frwricul Advice cc by clang 900 762•1000 UBS Financial Services account protection the Finn 6 a member of the Marries Investor Protection Corporation (StPC), whch protects steadies customers X Is merrbees to to 1500,000 frickdirg 1250,0:0 for clarinet.. cash) f 'pantry brochure availabbe upon request cr at wow siAC ord The SIPC asset protection lines apply to all accords that you hold 6 a war <ahacty. The Finn, together with eaten affiliates. hs. alto peschased supplemental dune,. The inevi-n.rn arium payable to all elryble clients, collectively and( ths protection is $500 motion as of December 10, 2016 Whore to the policy comfeicris and limadons, cad. at itseFim is foster protected for up to 11 9 maion in the allgrecate f or all yotr acccurrs held n a pal Kula. capacity, A lull copy of toe poky wcedng 6 available won request. Neither the 51K Geo:edam rice the supplemental protection epp&to: • Carom I naiCial assets controlled by (and (-Mudd n your account vau)t:tit held awry from LOS Financial Services For eurole certain (i) insurards procams, kluding variable annuities. and (it tires of rutual finds registered n the name of the rout holder on the book, of the issuer or transfer agent), • Invintmmt corneas of netiancii oltleitS kg, lined nartnerdiPt and private placements) teal re not registered under the Securities Act of 1933; • Corrrnoditss enacts (e.g„ foreign exchange and phis cus metal contracts), mann; loses contracts arid commodity op ion contracts, and • Deposit mewls (except certificates of dromit) at UBS Brie USA, (IBS AGO S. branches and bales 6 the FDIC Insured Deposit Program. The SIP( protection and the sodOwneotal protection do not apply to thew anus everra they otherwise ripper on 'Ca statements The SIPC protections and the suppfrenertaluotection do not protect agentt changes n the market valet of you. investments (Meth*" as a resat of market movement issuer banktUdIfy Cr otherwise) Dividend Reinvesfrnent Program (3R1P) The price reflected is an average price. You may °Man the actual price IMO, you firtaXill Advisor. Or. whole ThOtti re purchased under DRIP. pahol shares will be sold and the cash wit be deposited in yOur account The candied renvestrremt price applied by to cower may Offer from the made grKt at Much the pater shams re sold Cadtimlieu On& Woole um, maybe held n you accotnt if you re entitled IC...panel Lon as a result oleo:Swami payment of ceherwm, the Firm ell other sell pa tan rifts al mad et peke a accept an mown determined by a regmered (turd agency, andcredit tar accost Investment objectives the nvestmere obseetnes and ink profile are speeds to each accost and may vary between you aucums. Please adwse the Fen promptly n Acting of art sordrunt change in your fnancied situation or divestment cbseclefes For each accord held, you choose one of the loaciwing investment (bitch*. • Prods* Current/mono Investments wee irg the genfrun of scone only • seamy CaMarAppreciafrom twestments main growth of principal rater than the generation of OCOine. • Add,* Corn lynalion of income and Capital Appreciation: kwourroms seeking both the generation of Mum and growth of principal Overall risk profiled • Conservable, Seeks to auntie. 'nasal prixpal, with ION eel aid west Aly to the account overall even that means the account does not generate significant CONFIDENTIAL an or runs and may not keep pace with Minion • moderate Wiling to accept sane rids to raincoat and tolerate some voiallify to seek higher returns. • fic wenn.: Wiling to accept high risk to princor and hig. volatility to seek hch returns Over UM • invemiera fight& Conaration: t seketed. a Portion of the. pot Hobo for that room may include complex sureties tanked liquidity and greater totality Statement shouseholdisr We may consolidate at related account statement with the sane address in the sere erwebte, e o because they have owners who ako mantan pot account relationshm wits other <kerts a the sane ackkess. you prefer to mesa irdiedual statements feuded n 5411X11Om.elopes. you may decline howetioting by calling yor Financoal Advisor Friendly meow* name the Friendly account nth* is a cugernestbk -ndrurne' chosen by you to assist you with your recordleepmg has no legal effect en you account is not Mended to reflect any strategy, prodst, reuremercletion. rnestment objective or tea polite associated wit your recounts. rid is not a proms* a guarantee that weak or any financial results, can or will be achieved. All imestments Smoke the risk of lass anoldrg the risk of loss of the ern ix investrnent. You can change your Frendly roam names through OnIne Services or by contoctrg you F ruminl Adam.. Account overview • Value of your e«ountloordoko. Net of assets rid liabdaei • duets Includes available cash balances calm for restricted se<urity (est ), and Global Time Deposits, urreaked make to market, and <mai+ assets not held by the. Fier. Does nonmark speed WCUrniestaffttS at theeA of the priOr awl Cunnt statement pouts, or prate ewesernerms, rotted stock option. and overeitatee nod options • tiabilliaes MOAK debt balances, outsundlny roargi. lox's, erect* Inc, short accent balances • CashMoneyhafriton Total of uninvested aurae* cash balances, plus deposit balances 31 affiliated ad • fballed s, and money makes manual kid sweep alances at the close of the statement period Noneornmodrty free unit balances in you account am not segregated from ocher balances and the Fran may use any ol them hods tithe ordinary (*not es busn'a Them funds the getable icon your dema-d. this total is notaded in the otrramt period closing value Lending information For deterred nIumation an rho form's Iffidig practices and &closures. refer to yon Client Relationship Agreement or Auer( Agreement and the General Terms and Con:Mons Ull6c. Statement ol Creel* Practices availabk nitre:send and Disclosures al Wave ,hr , 000/secoelotthvintio,y SDNY_GM_00027696 EFTA_00138316 EFTA01278925
Important inforntation about your statement (00tIbilued) Your assets Your afterment tenons recutibet and other assets held n the account at the ern of the Slaterneat period. You may ask for delvers of Ida Paid securities al any Pro. You ma/ receive securities 'odd as ban coteere alter paying any berce do on them. Airy securities tranderred to the cern ding the statement poriad are Icted at mane value as of the ern of the fl ows period • Con basis ri determining the cost basis of the seamen included in this italenlant wtere indicated with the number - US-S Partial Services has relied on informatien obtained from sources Mho than UBS Financial Semites. ridding I-donation Iran another lien or that you may have sceovkied to your F narcol Adviser. Finn does not indesenitmly way a guarantee the epoxy or vaklity of any damson provided by sources other than U3Shriancial Sea;c4. addlicei ethougn S*PeCeS general updates the rdonnatia as it is wowed the item des not pow* airy ant/antes that the ellomaticei wider "Cost base and starrealcod gat loss' is accurate as of the date of this statement. As NON please do not rely ca this nlorrnatica to make purchase or sale decisions, fix la purposes ce otherwise. Accounts twittered to the Fin may reflect °idiots inforrutian only Co ON period ol tiro they re heed at the Fan More K6t0hCal akelltabCa can be added by your Marxist Advisor. • Unwanted gainnosset Neon data n awilzba, eatutedurrealized garnflosses are calculated for ncividtal society lots the transaction data for individual lots may or may nee reflect ctcrmissions. dirges ander secuity reorganization ewnts. Deaden and other renveument lots and systematic pith's. lots re each combined to display one enraged lot 71• • Trade date eolmnpfesonts the oc tr he anwonon trade dale. • Callable securities Bonds and peened the issuer cats la tab, redemption veil be selected martially by lot hem among as seastes of that issue held in our run* Cf a nominee mime Ice or clients Call feature Somalia is cbtanted Irons third pates rid as rosary is not gaarantmid. Other call leaves may eon which can. Meat yield. complete info/mama will be provided upon request • Certificates of deposit (CDs). CDs re FDIC enured up to 5299,000 noincipal and accrued egoist per deposer and pee depository ins:neon netted/nee wet, 10K rules. • Pricekalue Pr(eS 4601)14 fOr SeCuntits and other podia may be higher or beer than the price that you would actually receive n the market Ate NO obtained from various tad piny sources Poch we be/en to be reiable, but we do not gwrantee thee accuracy — We generallyuse the cbsirig price neon anilable or the mean of the bid and ask deices kr listed spines and opens or any bid totes to OTC Notts — Less active/ bated lealiteS maybe arced wen a valuation modal ce the most recent price we attained and my rot ref Oct an actual market price or vale. - Certain positions may apex withicut a price rd sill OCH 3 . price was not available • il we re unable to obtain a price for a wculy - DepoSils a securities denominated in tuiretties Other than U.S dotes are ref dieted at the exhale" rate as of the statement date. - Foe certain Nettie rasing n nonconfameg denominations, price and quantified wad) may hive been adjusted so facilitate proper valuxicn. To cbtan current quotations liken /Yodel*, contact your Fnarcol Adapt • Private invest:mots end structured products. Private emestriont securities (roLdirg deed parteipalia program and real estate investment trust securities) and structured podxts are genet aly hat ,y akpid Celan seructind podads have not been Nattered with the Securities and Excha-ge Darasion of under any gate securities laws. We pot& estmated oaken lot puree nvestrnent securities and maxiwed pockets for nicenettene papaws only Accuracy is not guaranteed - These oaken may dine. substantialy eon paces, if any, al which a private investertim stony ce structured product may be be or sold and do rW necessarily renews the VA* you in,/ receive t4DOn - mid party ectinateS Of vale re as of a certain date and are stepped Co UE6 financial Services on a regular base by an irdepmdert vitiation limn - Issue generalpaint. or sponsor estimated yeas it ary, re applied to the Pim by the sear general panne or sponsor and may be cakulated based on dff trent information from the used by then parties to canoe their estenated values. - You can attain additional itamation regarding the mothablocar used to determine the estimate of value and the date of the Women, the is the basis for the estimate try contacting your financial Advisor. - Thid party ostenated vein may be reflected as • Noe priced' in several etuationt viten an independent valuation In,, has not healed or 6 unable to assign a vat*, Mien we become aware that a material event has Pored the may call a Feevioutli reported value into amain. or when a value would be highly speculate. due to the nature ol the parity - When neither an issue, general partner a spoor estimated value nor a thedgarty estimated vale poode4 the yaks of the Nosily will be different from its purchase pave. - • Distrist ins to dale' may ado* real of cased. room or both. - • Orognal unit sae represents ex newt oaring price pa at and mw not reflect 'outcast base. - 09P and wasted REF manna are not toed on a national securities exchange. and ate generally &god and non it lhey can be sofa the vice reefed may be less than tie per that estimated value provided n the accost nattiness • Restricted sensitise Restricted securities prorate re not °sherry *liable for public sale. U6S Fnancial Naps uses the mean price of the ovessided stock of the sane nester a an imputed vats for the restricted MP tot dodos.; of this statement owy. TO tat *Awl that restricted saunas are *babe la see, the value reamedmay be a.bstantialY less th.th the netted vale shoms • en. (en:noted) neon. . current yields and rata. An minute of nue ream is based on anent dhicitnel and Sorest rams assuring the spokes will be held for own from statement date or until maturity. This estimate is any a guideline; accuracy and continued intone are mot gueranteed — Estauted areal iriCcen and current yield for certain types 01 securities could nettle a relkal d pancoal or capital gains in which ease the est income (andcement yield) would be overstated. — Estimated anal storm and current meld and the actual inane and yield mote be louver or hider than the estimated waxer,. — An festinate of arnualeed income (dividend anda interest) divided by the current make verriaverage balance st. based on the last de lend or "lean payment made by the issuer and enrol the secisieScamoses will be hell foe one yea Cron the statement date or until madras Accuracy and continued MU at not guaranteed • Assets net heed by DOS PiWrrial Services. Certain assets are not hell by the F im and not nicht, the Fines possession or centrol These assets are deglirted on your statement for nforrrotorol purposes only. Positions and vales presented are provided by the nein; fern UPS ironed Saxes is not ntsponsbki for this damnation and does not guarantee is securely these asses we rot weeded by SIPC or the fern's suPPlememal SIPC coverage. • Revenue sharing and adifitional cempensinien. - m additin to commissions cn sale and c ab. I fees reeved n connection with the digression of mutual fends to our dents we ardor our altiiale re( ewe revels sheen ammonia from derbecrs and or admen of the mutual fad that we ell These mounts re based on two d f f trent orrocants: the ran of sales by 1.85 of a particular rnotual find 'amity to our dents; and at he asset vat* of a precuts' mutual hid I awys shares held at the fan - We and ow affiliate also receive reworden and OrnillX6 plOCESSing fees in consickeamon to transfer agent semen that we povele to the mutual funds Thew lees generally re pad from owed assets n the endue cud and are a feed doll, ancant based on the nodded accounts at the brderdealee holdng mutual Ions of that fund family - h wSdncet to ctarnissiaris received in connection with the sale or &tauten of tenuity contracts and unit nvestment Inet saes to cur dents, we ardor at Ariale receive revenue sharing corrpensaten from miry of the insurance companies undone/mg the amity CCOVeCti, affiliates of the nuance Ctrepariet a portion of the ail investment ousts we cintrbute - h addenn to CCenen6TgaS received Iron, the pschase aid sale of NetShares tun* we anchor as al1il We receive n asset-bawd revenue shaing paymore from Meagan.: &abates as well Sc CONFIDENTIAL I undeg for iechnolocy develagment, twang and - Ott affirclos atso None trading ccarisstas and other compensation from mutual funds an nmearce companies whose products wit denstele. - We woe perconsation from UM Bs* USA, LOS AG Stantotel Branch anclandflilisted bats thecur our cash twerp roodarris Ibis compensation may be a incerhy pie accost fee or may be a percentage of enrage defy deposit beeps Activity Informaton reaming commissens and ocher changes routed in connection with the executionof trades, tido:leg open transactions has been exuded on cmfrmerom proviousy furnished to you. and wit be provided to you premptly an repast. Short piing It you set engaged in that selling a security you may Irmo a charge duo to detain borrowing costs for that pin 'rule seosey. Open cadets Regredng open or grodliteanceled ones that went not encited by the looms date, open buy and set stop orders re reduced by the amour of dividends orrigaon an ex.dmidonds or marches date unless extruded otherwise by you. You ate respasble for orders that Kt executed do to your Inure to cancel misting open orders. Privacy To obtain a copy of on, curvet Chant Macey Notice, please paten you. Fronde Adam of vet as website creuw fiat nentogwinevisy — 1.85 Financial Services is riot a bad. The RNA Burnes ServicesAccount BSA and IRMA re brokerage accounts which provide access to baidng services and pockets troop anangenwritt with affiliated banks and other et/partybanks, and pada access to iidearte and annuity products issued try unattained hid party nuance <an:units through instance agency sandpits d IBS Financial Samos no. ▪ hvestmere, insurance, and enmity frodits — Not FDIC awed • No bad quainter May toe vaLe — WA. Resource Management ACCOUr4. Business Services Account BSA IRMA and international Resource Management Account me revolved service marks of L65 Financial Semites asc. — ViSA is a registered tads neck owned by Vasa International Service Association and used under kern. The LOS Visa creole cards ard the LOS Visa debt cads are nsied by LOS Bak USA with permission (men Visa U 5,4 exasperated All other vadenurks, registered trademarks, sereke mans and registered sake marks ye of their respects* corroaries LOS I Utmost Services Inc Rev. 701807 SDNY_G M_0002 7697 EFTA _00138317 EFTA01278926
cat UBS 1785 Felancial Stink's tic, Private Wealth Management 299 Park Avenue 26th Floor New York NY 10171.0002 CNP70055589930918X14 Y1 0 Resource Management Account September 2018 GHiSutoNE MAXWELL 139A CHARLES ST. APT 0233 Account name: GHISLANE MAXWELL BOSTON MA 02114-3252 Friendly account name: Indy. Millennium Account number. Your linancial Advisor- SCOTT STACK MAN1LYLE CASRIEL Phone 212-821-70001800-308-3140 Questions about your statement? Call your Financial Advisor or the Value of your account RMA ReSOurCeline at 800-RMA-1000, account 029028776 on Avtarst 31 (4) on September 28(4) Your assets 767,919.00 778,916.00 tiskour website: lwew. cabs corn? linancilservices Your liabilities 0.00 0.00 Value of your account S767,919.00 $778,916.00 Items for your attention . Help protect yourself from fraud and review bank, credit card, and brokerage statements regularly. Also, get your free credit report annually from Sources of your account growth www.annuakreditrepoet.com. Tracking the value of your account S Thc uc...anc$ during 2018 Value of your account at year end 2017 S726A13.00 Your investment return 687 7 726 4 767.9 • 778.9 • Change in market value $52,503.00 Value of your account on Sep 28 2018 S778.916.00 2i)0 Dec 2015 Dec 7016 Dec 2017 /tug 0113 5e0 2018 SDNY GM 00027698 Member SIPC CNP70009366558993 NV700330797360005 0918 030575004 M8776550100160 ►age 1 of 6 CONFIDENTIAL EFTA_00138318 EFTA01278927
*UBS Resource Management Account September 2018 Your account balance sheet Summary of your assets Value on September 28 (8) Percentage of volt 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 778,916.00 10000% F Commodities 0.00 000% G Other 0.00 000% Total assets Value of your account $778,916.00 5778,916.00 100.00% Account name: GHISLAINE MAW, ELL Friendly account name. Account number: Your current asset allocation Eye on the markets Index Percentage change September 2018 Year to date S&P 500 0.57% 10.56% Russell 3000 0.17% 10.57% MSC I - Europe, Australia & Far East 0.91% -0.98% Barclays Capital U.S. Aggregate Bond Index -0.64% -1.60% Your K Randal Advisor 7' STACK MAN LYLE CASR1EL Interest rates on September 28, 2018 3-month Treasury bills: 2.12% One-month LIBOR: 2.26% CNP70003006558934 NP7003307973 00805 0918 1:80579361 .11 y_Ght 0002Tdifie 2 of 6 CONFIDENTIAL EFTA_00138319 EFTA01278928
UBS Resource Management Account September 2018 Change in the value of your account Account name: GHISLAINE MAXWELL friendly account name:Indy Millennium Account number. September 2018 (3) Year to date (I) Opening account value $767,919.00 $726,413.00 Change in market value 10,997.00 52,503.00 Closing account value $778,916.00 $778,916.00 Summary of gains and losses Values Ironed below exclude products rot which gars andlosses are not Classified Realized gains and losses Unrealized September 2018(9) Year to date (I) gains and losses (%) Long term aoo omo 128,91600 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 Frtancial Advisor or Branch Manage/. You can find a ful description of the alternative investment objectives in (mportant mtomation about your statement at the end of this document Your return objective: Current inccme & capital appreciation Your risk profile: primary - Aggressive Investment eligibility consideration - None sewed Your account instructions • You account cost bass default closing method is FIFO, First in, First Out. Your II nandal Advisor: SCOTT STACKMANLYLE CASRiEL 212-821-7000800-308-3140 SDNY GM 00027700 Criv700O9006558995NP7003307973 00O35 09180305 001[O ►aps 3 of 6 CONFIDENTIAL EFTA_00138320 EFTA01278929
*UBS Yournotes .,IfiNv_._mon.s. a a 6 CONFIDENTIAL EFTA,BE32I EFTA01278930
*UBS Resource Management Account September 2018 Your assets Account name: GHISLA1NE MAXWELL Friendly account name:Indy Milennium Account number. Some prices, income and current values shorn may teepproximene. AS a int*. gam aidlOsses ma/ ml be accurately refkcled. Ste Aporunt infofinefron atour your statement a the end of tins dxurneM for more infornason. Non-traditional PliValt eguty funds, Hedge funds, and 01110 investments are held in your 085 Finarcial Services MC. (UBS fS)broter3je account. the pootions reported below reflect the records of the issuers, and UBS Fitt., not guarantee the act tnacy of the iriormation The vaue shown Is nd necessarily the value you would receive from the Issuer if yousdd the assets. Funds actively scld ty UBSFSare subject to ongoing due degree, athough the level performedrelay vary A dosed fund may be subject to nooreocing degree A fund that you purchmed elsewhere may never have been suttect to UBS FS dlige nee. although U85 FS may receive a fee from the funds manager, which may constitute a maority of the rrtanaaernentrincentive lee. Please contact your Financial Achnor wth questions. • EA vaue per unit' is an esemate of value supplied by an independent valuation I rrn and reflects adjustments for factors such as the equidty of the units. Hedge funds teddng ALPHAKEY5 MILLEN Fh0 BROKERAGE PIO 8'31118 Trade date: Purchase price Number Areiage lance Of shares per share (S) Client investment (S) 650,000.00 Your Haandal Advisor SCOTT STACK Mani VIE rAcRIEL Estimates of vaue suppled by issuers Of Certain Program (which are generally 'net asset vaue' estirnateS) are shown as' issuer est. value per unit'. For fl oat equty funds, 'Est. value per uM' is a vaue updated quarterly, based on the Net AsSet Value NAV') in the fund ea or the date specified aAuskd by ading capital calls and subtracting OAoblations ante the NAV date The NAV is primarily based on estimated pardon° yams provided IN the underlying fund spcosor These two values rnay vary because of differences In the way they were estimated and because the 'Third party est. value per unit' ma/ have been prepared co toe Oasts cttnancia itionnaton Other than year•end Reported estimates ma, not reflect resat liquidation or repurchase 418, if any, and may not reflect dst 'buttons of caoital untl the next valuation is teParted. generaly On an annual Or Serri.annual basis See len porzant Woman about your statememat the end of this statement. Cost Price per share basis (1) on Sep 28(1) value on unrealizedOM trwestment Holdrg Sep 28 0) grin or loss (S) return (S) period 650,000.00 1.000 778,916.00 128,916.00 Your total asset Noa•tradrtionel Hedge feeds Total $778,916.00 value on Sep 28 (1) 778,916.00 Percentage or your account 100.00% Cost estimate° oases (I) annual income (Si 650.000.00 Unteenied oath or loss (S) 128.916.00 100.00% $650,000.00 $128,916.00 CW70003305558997 NP7003307973 00005 0918 03057500/ CONFIDENTIAL SDNY GM 00027702 100100 Pap S of 6 EFTA_00138322 EFTA01278931
*UBS Yournotes --==,:-.. - -------.' CONFIDENTIAL EFTA,BE323 EFTA01278932
Important information about your statement L85 Financial Services W. (the Firma UBS Fnencia Servise0, is a member of all principal meshy, ocemodity and Wan exchanges. 1)85 Financial Sakes and 1.85 Bank USA are indeed sthsoaries of (,85 AG and affiliates of 1135Seceskies U.C. The Finisfisaxia Statement is available upon request. The Firm's exasileve office; re at: LEIS Entail Services tc. 1200 Harbor Boulevard Wellman, NJ 07086 This statement iliaeSaltS the on/er off icial record of you LISS Feta& Services account. Other north. thraPt official tar dzunents. antanng coratarg data shoal not be relied upon II you bane there is an ma or omission please nport n anworoSely n writrig to the Brandi Manager of the office cevrg you amount. Although al lgrin shown re mended to be accurate, statement datashould not be used for tau imposes Ray sole/eon yoznend la( forms. (i.e Form 1099. 5198, 10425. etc ) when prepamg your ear return. The Fan required by law to report to he RS as trable addends, reportable nontaxable &akin& and taxtte interne eared on patties held n you account, net proceeds on sate transaction,. and cat basis on &tin comred seasilies. Coomamicatiens with the Firm • Pleasereconfirm any oral cornrunostions in raking to further protect yourrighis. incks5r9 your rites order the Seosities &ester Protection An MA) • If the tinatal institution an the top lett of the front of this StatOrneill is not tES Fnaxial Sevres, UM Financial Simi& an& you roan as clearing broker by amen none waro the inckated ni stitution we timed you od this retaborchb W lwh you opened this accuse. h this vast your lords and secures re looted a ISS f oriental Sauces and rot the Malang broker, and you fruit make a Mal of any error or omission to both firms • As &sorbed n the account aterents, you act readyusof any tin& or fraud irmthirg checks related on your statement within 30 days after a was mailedor made milabb • Pleasedna customer ratlines or imaies to the Piny's< hem Relations Depannent a 201.352-1699 or loaf ree at 800.354-9103, 8:00 A.M. to 6 AO PAC ET Monday through Frclay. or in writing to UPS Fiuncial Wean et, Client Relations Department, P.O. Bo 766 Union City, NI 07087. • All aaemerts shall be deemed convolve and acorn it not objected to in wearing within 60 days. • For TTY sauces. Call 844412.0986 Ca from thick the t/ S.: Cal 201.352.1.35 • hose of orlon a omits about an electronic fads transfer (EFTL bi payment or UBS Vostok& cad transactions, call 830.762-1000, or was to UBS Franc al Services Ix., 1000 Harbor Mod, 6Ih floor, Wee-haat eal 07086, Min RMAISA Storm C al a write as soon as you can, if you trek your statement a recOr 6 meg a a you need more eacematt about a twofer on the statement or reap'. The Firm or Card boar (as Cloacable) mast hex Iran you en law than 60 days Ater the Frm sent you the fist statement on which the wee or Mated, *Coved. - Prose:Jewett Inane ad accost number (f any) — Dna& the NON or tie transfer you are unsure aka, and ....plain as <Park, as you can whop& believe a is neon a new you need mare dormant — florae the dol. arrant of the suspected era. The Finn or Card bsuer tai investigate yes amain and WA comet lop *nor tarok. For alleged mon innoking Visa•debit cad tranactonno 4 we take mote than 10 business days to do this, we will credit your tan la the amorality the* as in enot so thal you wa have the use of the money doing tie tint tan us to complete as investigation, Please make all checks payable to the Femor the feirKJl inSleuticn notated on the halt of this statement In addition to regular account lees. accounts may be abject to mantenarce tem charges fable payment for securities purchases and charges for urpaid arrcurcs n cash accounts. Accounts that are trarclored to other instaacen may be subject to a vender fee. UBS Sweep Options mg$ offers options for %wiping cash balances to bat depose accounts at non-affiliated banks and affiliated banks and money make" nasal lunch (Nam Funds). Deposit accusals at (AS Sark USA and non-affiliatd barks partkipaing in the 1185 FINC-Insred Deposit Program are FDIC rnsured n accadaxenwh FDK rules For more inkmotion, please visa owsv . Wan,. DecOse accounts al 1135 AG Ranked Branch and shin of MoneyFunds an rot ironed by the FDC. 8a* deposits are not protected by WC. Money Fund shares are protected by SIPC. See "U8SF naval Stites Account Protedon' below. Mtnyour request, balances in the bark deposits may be withdrawn. and shares of a Money Fund may be liquethte4 and the proceeds retuned to you a your &ton account Further nikanation about avertible sweep options, riadrg current interest rates and yields, 6 available al werryaths,cornisweeprads, Irom your Franco' AdM0e or by calling 800.762.1000 lies Fnalml Services moo* protection The Finn Can:weber of the Seardies bwestor Protection Corporation atrC), which protects securities customers of as thereben op to 4504000 (nckding 1250,000 for <tains for cash) Eiplanatory brochure &Meta ist recuea a al motto orp The SIPC asset protection lints apply to all mounts that you hold in a pinata capnicey. The Fkon, together with eaten affiliates. has also arches& supplemental insurance. The main& amour* payable to all eligble <bents. collectively woke thisprotection is I-SOOmelon as of Number 10, 2016. Subeed to the policycan:16a and Ernie's.b ash at the Finn 6 halm protected for up to 71 .9 macro in the aggregatefor all your tans hid in a parlcular capacity. A la copy of the poky iwrdrip es available coon request. Nether the SIPC PrVeclion nee the stattemerdal protection epply to: • Cent truncul assets controlled by (arid nclackiel n your anoint vela) but heist awayIran UBS Financial Services For Pante certain 0) insurance products. including variable amites. and Gd shres of mital funds registered n the rune of the accord holder on the books of the two or transfer agent), • hrestment contacts or rniesimene Mem& leg, lanad pannershin and whole Placernera0 Cm are not registered under the Sautes act of 1933; • Cares odden contracts (e.g., foreign exchange and prectus metal convats), recludong lUtureS contacts and orrniedity pt ion (WOW: and • Deposit amines (except certificates of &posh) at MS Bala USA, 1185 AG U.S. branches and barks r the FDIC Insured Deposit Program. The SIPC protection and the implemental pot/clando not apply to these assets mend they otherwise appear on yOts Statements. The StC protection and the astkenental protection do not protect against changes n the market Yak* of yar inwsbnents teethes as a eestt of motet movement, issuer bakeuptcy othavdat) Dividend Reinvertnwt Program (DRIP) The price reflected is an average price `Mu may obtan the actual price Wm yore Fenno ial Advisor. Orly whole shanty we purchased under DR", panial twos win& sold and the cash wit be deposited in yOur KCOutit The dividend renvesboont ace supplied by to 'mar may offer I tom the market peKt at Atwell Ine pat,* shares are sold Only whole urns MeVbeheld in trod accoult. data are enteled to a partial unit as a result deny:deed payrnenl a otherwise, the km MI Mar sell partial uses at mar* et price a accept en aware determined a moaned clearing agency, ad credit war accomi 'nutriment objectives The &tonere objectives and risk prod& are 'triadic to each account and may vary between you aucum Please advise the Firm pronely in wrung d any Prdcant change in you financial situation a weal/lent objectives For each matt heti, you choose one of the Ioloving investment objectives: • Procto Current Meant *ointments WHIR) the gersaim of exam only. • Ache.* Capital Ahapnriadora k-westrnants peeking growth of crimPal rater than the generation of non • Potato Contination orimorm and Caper Appreciation: IrmarreMs seeking both the gerwation of income led (rowel of ontxioat Overall risk galas • Conservathe: Seeks to mason initial pa-not:el, with low risk and war My to the accord overall, even that men the account does not generate significant CONFIDENTIAL inCelne a mums and may rot keep pace with inflation. • Moderato. Wiling to accept soros rick 10 pincPal and tolerate sane volaility to seek In:ter returns. • fax:cease,: Wiling to accept hit rid to tncpal and het uolathey to seek Mt MOMS over time. • inuntwerit 6sgaiety Consdention: I selected. a portion of the portfolio fa that accoure may include complex strategies tinted liquidity and gnaw wolatilty. Staternent Thouseholdthe We may consoldate ark nand account statement with the same address in the urnh envelope. e 9. because they haw ants hiip aka maintain joint account retationgrops with other dors a tee sane address. it you prefer to mere irdiakol statements mailed n Waite melaues. you may decline Isoishokli-9 by rata yOur Financial Advisor Friendly /acme* name The Friendly account name is a custernosale •narurne chosen by you to assist you withyas nicordteeprg has ro legal effect on your account is non Mender/10 ices ary strategy. prodact recommendation. intik...At objective a nth profile anociated wet. your accounts. rd is not a take or m.wamee that vnellh or any financial rosollt. can a Will be achieved. All "moments imam the risk of lass, including the risk of loss of the entire irmstment. You can <hinge your Friendly account names through Online Services a by contacting your Fluncial Minor ACOOtalt OvIirvinf • Vette of put actoontlaortiofo. Net of assets and listidaies • Assets Includes available cash balances, value for restricted security telt), and Global Tim Deposits, unreakaid marts to wont', aidcertain assets not held by the Fim. Does not made unpnced securitelasiels at the end of the tot arid current staWnent penods, or private iWestriler11s unwonted stook optiom and exercisable nook options • tiaras &Wes de& Waxes, &teeming margin loan. credit krie, shoat arrant batmen. • Casblrecney Pawn YOts d unimested available oath balances, plus devout balances al affiliated ad norkeif doted banks, and money market mutual tied swam babooes at the cbse of tie statement period Noncorrmedity free ore* balances inyvxr account are not served from other balances and the Fern may use /mot these funds tithe °Sauey came of us burns. Those fords repayable upon your demand. This total is &Wed in the oar& period <losing vela. Lancing information For &arid nformetion on the Fans Mixing predicts ad &Omen, refer to sxr Clem Relationship Agreement or Arran ATeement and the General Teems and Cacao& UN. Statement at Credit Practices available n Agreements end Dabbles as twee (An eofinforeoonaliolponl SIDIVYG M_0002 7704 EFTA_00138324 EFTA01278933
Important inforntation about your statement (OMNICued) Your assets Your afterment tenons recutibet and other assets held n the account at the ern of the Slaterneat period. You may ask for delvers of Ida Paid securities al any Pro. You ma/ receive securities 'odd as ban coteere alter paying any berce do on them. Airy securities tranderred to the Fin ding the statement poriad are Icted at mane value as of the ern of the fl ows period • Con basis ri determining the cost basis of the seamen included in this italenlant wtere indicated with the number - IBS Partial Services has relied on informatien obtained from sources Mho than UBS Financial Semites. ridding I-donation Iran another lien or that you may have sceovkied to your F narcol Adviser. Finn does not indesenitmly way a guarantee the epoxy or vaklity of any damson provided by sources other than U3Shriancial Services. addlicei ethougn S*PeCeS general updates the rdonnatia as it is wowed. the item desnot pow* ary ant/antes that the ellomaticei wider "Cost base and starrealcod gat loss' is accurate as of the date of this statement. As NON please do not rely ca this nlorrnatica to make purchase or sale decisions, fix la purposes ce otherwise. Accounts twittered to the Fin may reflect °idiots inforrutian only Co ON period ol tiro they re heed at the Fan More K6t0hCal akelltabCa can be added by your Marxist Advisor. • Unwanted gainnosset Neon data n awilzba, eatutedurrealized garnflosses are calculated for ncividtal society lots the transaction data for individual lots may or may nee reflect ctcrmissions. dirges ander secuity reorganization ewnts. Deaden and other renveument lots and systematic pith's. lots re each combined to display one enraged lot 71• • Trade date eolmnpfesonts the oc tr he anwonon trade dale. • Callable securities Bonds and peened the issuer cats la tab, redemption veil be selected martially by lot hem among as seastes of that issue held in our run* Cf a nominee mime Ice or clients Call Nakre Somalia is cbtanted Irons third pates rid as rosary is not gaarantmid. Other call leaves may eon which can. Meat yield. complete info/mama will be provided upon request • Certificates of deposit (CDs). CDs re FDIC enured up to S7'9,000 noincipal and accrued egoist per deposer and pee depository ins:neon netted/nee wet, 10K rules. • Pricekalue Pr(eS 4601)14 fOr SeCuntits and other podia may be higher or beer than the price that you would actually receive n the market Paw NO obtained from various tad piny sources Poch we be/en to be reiable, but we do not gwrantee thee accuracy — We generallyuse the cbsirig price neon anilable or the mean of the bid and ask deices kr listed spines and opens or any bid totes to OTC Notts — Less active/ bled lealiteS maybe arced wen a valuation modal ce the most recent price we attained and my rot ref Oct an actual market price or vale. - Certain positions may apex withicut a price rd sill OICHI 03 . price was not available • il we re unable to obtain a price for a wculy - DepoSils a securities denominated in tuiretties Other than U.S dotes are ref dieted at the exhale" rate as of the statement date. - Foe certain sautes rasing n nonconfameg denominations, price and quantified wad) may hive been adjusted so facilitate proper valuxicn. To cbtan current quotations liken /Yodel*, contact your Fnarcol Adapt • Private invest:mots end structured products. Private emestriont securities (roLdirg deed parteipalia program and real estate investment trust securities) and structured podxts are genet aly hat ,y akpid Celan seructind podads have not been Nattered with the Securities and Excha-ge Darasion of under any gate securities laws. We pot& estmated oaken lot puree nvestrnent securities and structured pockets for nicenettene papaws only Accuracy is not guaranteed - These oaken may dine. substantialy eon paces, if any, al which a private investertim stony ce structured product may be be or sold and do rW necessarily renews the VA* you in,/ receive t4DOn - mid party estinates Of vale re as of a certain date and are stepped Co UE6 financial Services on a regular base by an irdepmdert vitiation limn - Issue generalpaint. or sponsor estimated yeas ary, re applied to the Pim by the sear general panne or sponsor and may be cakulated based on dff trent information from the used by then parties to canoe their estenated values. - You can attain additional itamation regarding the mothablocar used to determine the estimate of value and the date of the Women, the is the basis for the estimate try contacting your financial Advisor. - Thid party ostenated vein may be reflected as • Noe priced' in several etuatent viten an independent valuation In,, has not healed or 6 unable to assign a vat*, Mien we become aware that a material event has Pored the may call a Feevioutli reported value into amain. or when a value would be highly speculate. due to the nature ol the parity - When neither an issue, general partner a spoor estimated value nor a thedgarty estimated vale poode4 the yaks of the Nosily will be different from its purchase price - • Distrist ins to dale' may ado* real of cased. room or both. - • Orognal unit sae represents ex newt oaring price pa at and mw not reflect 'outcast base. - 09P and wasted REF manna am not toed on a national securities exchange. and ate generally &god and non it they can be sofa the vice reefed may be less than tie per that estimated value provided n the accost nattiness • Restricted sensitise Restricted securities proraTY re not °sherry *liable for public sale. U6S Fnancial Naps uses the mean price of the ovessided stock of the sane noaa a an imputed vats for the restricted MP tot dodos.; of this statement owy. TO tat *Awl that restricted saunas are *babe la see, the value reamedmay be a.bstantialY less th.th the netted vale shown • en. (en:noted) neon. . current yields and rata. An minute of argue ream is based on anent dhicitnel and Sorest rams assuring the spokes will be held for own from statement date or until maturity. This estimate is any a guideline; accuracy and continued intone are mot gueranteed — Estauted areal iriCcen and current yield for certain types 01 securities could nettle a relkal d pancoal or capital gains in which ease the est income (andcement yield) would be overstated. — Estimated anal storm rd current meld and the actual inane and yield mote be louver or hider than the estimated waxer,. — An festinate of arnualeed income (dividend anda interest) divided by the current make verriaverage balance st. based on the last de lend or "lean payment made by the issuer and enrol the secisieScamoses will be hell foe one yea Cron the statement date or until madras Accuracy and continued MU at not guaranteed • Assets net heed by DOS PiWrrial Services. Certain assets are not hell by the F im and not nicht, the Fines possession or centrol These assets are deglirted on your statement for nforrrotorol purposes only. Positions and vales presented are provided by the nein; fern UPS ironed Saxes is not ntsponsbki for this damnation and does not guarantee is securely these asses we not weeded by SIPC or the fern's suPPlememal SIPC coverage. • Revenue sharing and adifitional compensation. - m additin to commissions cn sale and c ab. I fees reeved n connection with the digression of mutual fends to our dents we ardor our altiiale re( ewe revels sheen panmerth from derbecrs and or admen of the mutual fad that we ell These mounts re based on two d f f trent orrocants: the ran of sales by 1.85 of a particular rnotual find 'amity to our dents; and at he asset vat* of a precuts' mutual hid I awys shares held at the fan - We and ow affiliate also receive reworden and amts plOCESSing fees in consickeamon to trawler agent semen that we povele to the mutual funds Thew lees generally re pad from owed assets n the endue cud and are a feed doll, ancant based on the nodded accounts at the brderdealee holdng mutual Ions of that fund family - h wSdncet to ctarnissiaris received in connection with the sale or &tauten of tenuity contracts and unit nvestment Inet saes to cur dents, we ardor at Ariale receive revenue sharing corrpensaten from miry of the insurance companies undone/mg the amity CCOVeCti, affiliates of the nuance Ctrepariet a portion of the ail investment ousts we dstrbute - h addenn to CCenen6TgaS received Iron, the pschase aid sale of NetShares tun* we anchor as • receive n asset-bte.ed revenue shaing paymore from Meagan.: &abates as well Sc CONFIDENTIAL I undeg for iechnolocy develagment, twang an - Ouf affirclos atso None trading ccarisstas and other compensation Nanmutual funds an nmearce companies whose products wit denstele. — We woe perconsation from UM Bs* USA, LOS AG Stantotel Branch anclandflilisted bats thecur our cat twerp roodarris Ibis compensation may be a incerhy pie accost fee or may be a percentage of enrage defy deposit beeps Activity Informaton reaming commissens and ocher changes routed in connection with the executionof trades, tido:leg open transactions has been extuded on cmfsmerom proviousy furnished to you. and wit be provided to you premptly an repast. Short piing It you set engaged in that selling a security you may Irmo a charge duo to detain borrowing costs for that pin 'rule seosey. Open cadets Regredng open or grodliteanceled ones that went not encited by the looms date, open buy and set stop orders re reduced by the amour of dividends orrigaon an ex.dmidonds or marches date unless extruded otherwise by you. You ate respasble for orders that Kt executed do to your Inure to cancel misting open orders. Privacy To °bean a copy of on, curvet Chant Macey Notice, please paten you. Fronde Adam of vet as website creuw fiat nentogwinevisy — 1.85 Financial Services is riot a bad. The RUA, Burnes ServicesAccount BSA and IRMA re brokerage accounts which provide access to baidng services and pockets troop anangenwritt with affiliated banks and other et/partybanks, and pada tows to iidearte and annuity products issued try unattained hid party nuance <an:units through instance agency sandpits d IBS Financial Samos no. ▪ hvestmere, insurance, and annuity frodits — Not FDIC awed • No bad quainter May toe vaLe — WA. Resource Management ACCOUr4. Business Services Account BSA IRMA and international Resource Management Account me revolved serene marks of MS Financial Semites ex. — ViSA is a registered tads neck owned by Vasa International Strike Association and used under kern. The LOS Visa creole cards and the LOS Visa debt cads are nsied by LOS Bak USA with permission (men Visa U 5,4 exasperated All other vadenurks, registered trademarks, sereke mans and registered sake marks ye of their respects* corroaries LOS I Utmost Services Inc Rev. 701807 SDNY_G M_0002 7705 EFTA_00135325 EFTA01278934
(SUBS 1)65 FMancial Senices nc Private Wealth Management 299 Park Avenue 26th Floor New York NY 10171.0002 CNP70057899671018 V1 0 Resource Management Account October 2018 GHISLAINE MAXWELL 139A CHARLES ST. APT 4233 Account name: GHISLANE MAXWELL BOSTON MA 02114-3252 Friendly account name: Indy. Millennium Account number. Your financial Advisor- SCOTT STACKMANILYLE CASPJEL Phone 212-821.70001800.308-3140 Questions about your statement? Call your Financial Advisor or the Value of your account RMA ReSOurCeLine at 800-RMA-1000, account 029328776 on September 28 IS) on October 31 (5) Your assets 778,916.00 786,991.00 VIsItour webslte: www.ubscomffinancialsewices Your liabilities 0.00 0.00 Value of your account 5778,916.00 $786,991.00 Items for your attention , Help protect yeomen from fraud and review bank, credit card, and brokerage statements regularly. Also, get your free credit report annually from Sources of your account growth swew.annuakreditrepottcom. Tracking the value of your account during 2018 Value of your account 5 Mt utand$ 6$ 7 7264 S 7781 787,0 • 2500 Dee 2015 Dec 2016 Dec kl 7 so 20 18 W 2018 at year end 2017 S726,413.00 YOur inveStrnent return Change in market value $64578.00 Value of your account on Oct 31.2018 S786,991.00 Member SIPC CNP700050057139967NP7003109388 00005 1018 030575004 CONFIDENTIAL SDNY GM 00027706 Page of EFTA 00138326 EFTA01278935
4tUBS Resource Management Account October 2018 Your account balance sheet Summary of your assets Value on October 31 (9) Account name: GHI$LAINE MA, _ Friendly account na Account number: • Percentage of your account A Cash and money balances B Cash alternatives C Equities a CO 000% 0.00 000% 0.00 000% E Non-traditional 786,991.00 100 00% F Commodities 0.00 000% G Other 0.00 000% Total assets $786,991.00 100.00% Value of your account $786,991.00 Your current asset allocation Eye on the markets Index Percentage change October 2018 Year to date S&P 500 -6.84% 301% Russell 3000 -7.36% 2.43% MSC - Europe, Australia & Far East -7.95% -8.86% Barclays Capital U.S. Aggregate Bond Index -0.79% -2.38% Your R nancial Advisor. SCCrT STACK Meryl YI F CASRIFI Interest rates on October 31, 2018 3-month Treasury bills: 2.33% One-month LIBOR: 2.31% O470oCe00$769968NPAX01$9388 00005 1018 030579004 CONFIDENTIAL GM 000277t49. 2 of 6 EFTA_00138327 EFTA01278936
SUBS Resource Management Account October 2018 Change in the value of your account Account name: GHISLAINE MAXVVEU. fine ndly account name:Indy Milen mum Account number. October 2018 (3 I Year to date It) Opening account value 3778,916.00 3726,413.00 Change m market value 8,075.00 60,578.00 Closing account value 3786,991.00 S786,991.00 Summary of gains and losses vSues reported below exclude products for which gars am:Mosses are Not Oassified Realized gains and losses Unrealized October 20180) Year to date (1) gains and losses (S) Long term 0.00 0.00 136,991 00 Your investment objectives: You have identified the following investmentobjectives 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 rmporranr information about your statement at the end of this document Your return objective: Current income & capital appreciation Your risk profile: Primary • Aggressive Investment eligibiFty consideration None selected Your account instructions • You account cost bass default closing method is FIFO, First In, First Out. Your Miranda Advisor. SCOTT STACKMA:4MR CASRIEL SONY GM 00027708 Ormr0020057Erg969NP7003188388 COCOS 1018 030579004 Pogo 3 of 6 CONFIDENTIAL EFTA_00138328 EFTA01278937
*UBS Yournotes <.........,............... ,e_c,ntacontw • a CONFIDENTIAL EFT,00BE329 EFTA01278938
(SUBS Resource Management Account October 2018 Your assets Account name: CHI5LAINE MAXWELL Friendly account n ' Account number. Some ones, incase and current values shown may be approximate. Asa res UR. gains &dresses fray 1)D1 be Ercurately reflected. See smporhurtimonretron aboulyour statement a the end of revs document f0r more infornaon. Non-traditional PnvEle eguty funds, Heekje funds, and Other investments are held in y0ur U85 FlnalXia ServIteS mc. (UBS FS) broleraae account. f he pootIons reported below reflect the records of the issuers, and U8S FSdoes not garentee the accuracy of the iriorm.aton The value shown is not necessarily the value you ward receive from the Issuer if you width, assets. Funds adnrely sold by UBS FS et subject toongoing due digence, dthaugh the level perfumedrelay vary A dosed fund may be subject to no onvcing dligence Mundthat you puicheaed elsewhere may never have been subject to UB5 r5 dlh;e nee. although U85 r5 mat receive a fee from the funds manager,whit h May COnSlitule a MM.:miry of the illana;effientliniCentl* fee. Flea% contact your Financial Achnor with questions 'Est value per unit' is an estimate of value supohed by an independent valuation trrn and reflects a:austrrents for factors such as the lquidty of the units. Hedge funds HdOng ALPHAKEYS MILLEN FND BROKERAGE 9301l 8 Trade date: Por(baSe OK& Nabei Avela9t pace of styes pet shale (S) Client investment (1) Your Financial Advisor: SCC TT STACK MANLY LE CASki EL Estimates of aue Started by Bates of Certain Programs (which ere generally 'net asset am.' estinareS) are shown as' issuer est. value per unit'. For Pnvae equty Funds, 'Est. value per unt• is a value updated quarterly, based on the Net Asset value (' NAY') in the fund a of the date specified a:Lusled by ading ccital calls and sublreding dstnbutIons once the NAY dale The NAV is primarily based on estimated portfolio vdues paneled by the underfying fund sponsor These two valnos may racy because of differences In the way they were estimated and because the • Third party est. value per unit' May have been prepared on the basis cfhnantia inronnmon «het I ban yeae•end Pepe-led estimates may not reflect resale. liquidation or repurchase value, e any, and may ea reflect dst 'barons of caaal until the next valuation is feinted, <;enerdly on an annua or serrtannua basis See kny,Pdant inkifinnban afoot your statement the odor this statement. Cost Price per share bads(%) on Ott 31 (1) value on unrealized (ten) investment Hording Oct 31 (1) gain or loss(!) return (S) period 650,000.00 650,000.00 1.000 786,991.00 1;6,991.00 Your total assets Value on Oct 31 (5) Percentage of Cost your account bass(!) Estimated annual incdre (S) Unredized gain or loss (S) Non.trainional Hedge feeds 786,991.00 100.00% 650,000.00 136.991.00 Total $786,991.00 100.00% $650,000.00 $136,991.00 SDNY GM 00027710 CNP70.308005789971 NP7003183388 00005 1018 030579004 300000 Page S of 6 CONFIDENTIAL EFTA_00138330 EFTA01278939
*UBS Yournotes - 17,=:.=,.. .---- - CONFIDENTIAL EFTA,BE33I EFTA01278940
Important information about your statement • ISS F newel Services Inc (the Firma UBS Fent/ Stryker.3 is a mentor of all principal minty, commodity and oaten exchanges. UBS inancial Services and 1.85 Bank LISA ay ndrect sttsidaries a U3S AG and affiliates of UM Sautes U.C. The Fits keret Statement it available upon request. The Firs txtrnAive offices are at: 103S Fetancial Styes re 1200 Harbor Boulevard Wetanken, NI 07066 The Statement represents the only official record of per LBS France' Spokes account. Otter records. nett caboul lac doonnts. contanng waliang data shoal rot be relied upon d you be% eve thee* is an wee a omincn pleat mon m irenedately in wring to the Brandt Manage/ of the office wring you amount. Allthough algae. shown me intended to be accurate, statement datashould not be wed for ten purposes Rea softy on prend tar toms. (i.• Four 1099. 5196. 10425. etc ) when prepamg your tat return. The Pon is muted by law to report to he RS Wearable dnidends, reportable neretarable dividends and taxable Wrest caned on mutes held in pis amount, net proceeds • Gale transactions, ad con basis on mean <owed smureies. CanvemeatIons with the Fenn • Pleaserennin" any oral cannteatiom in teng to loiter potoct your rights. enduing your rifras under theSeas/6es Inane Protection An (WA) • If thetenni:A instartion on the top lets of the front ol this statement is not tES Financial Services. LOS Financial Stem caries wen arca.rn as clearing broker by antarnent wen the irked inerution We itortratdyCv of this retabontho when you opened this accord. le this use, puked, and saint ere located a LBS financial Seems and rot the into:Inn; broker, and you must make a Mal of any error a anion to both ferns • As *sorbed n the account agreements, you must naryusof any eines or fraud irmang checks refitted <a pa statement within 30 daytaf let a was mailed a mule avalable. • Pleasediva customer complaints a inns to the Fent< bent Relations Department x 201.3521699 or totiree al 800.3549103, 8:00 A.M. to 6 AO P.M ET Mondry through Friday, or in vinterg to UBS Financial Services Ix., Client Relations Deptment, P.O. Box 766 tenonCry, w 07067. • All neenwes dell be deemed coreplue and acorn it not objected to in wring within 60 days. • far TTY metes. Call *444120986 or from ante the US.: Cal 201.352.1.15 • blase of enon a banns goal anelectronic bras transfer (EFTL lei parent a LBS Vet debit cad transactions. call WO-762-100a or write to UM Financial Services n., 1000 Harbor SM, 6th floor, WM-met NJ 07046, Mtn RMUSGA Service. Cal a 'mite as soon as you can/drool 'hit your statement a recit4 is wrong a d you need more ntorrnatnn tout a tint on the statement or react The time/Card tut (as Claciable) must her fromyouno law than 60 days after Oaf orm sent you the fat at Meg neat on which the emit or Problem append. - WOO:leyou- rent and accost number tot any) - Dew& the tor or the vaster you me unsure abet*, and Obtain as <kerb as you can whyyou barn/kis an twee a ity you need man information - Provia the dotr amount of the suspected arra. The FM1 a Card bsuer wi investigate pis emplane and ell correct newer promptly. For alleged tors anteing UBS Visaed/bit cad tra-nacitre of we take mae than 10 buskins days to do this, we will credit you axon la the amount you think win enoi, so that you wit have the use a the m inty durng the tar* it takes us to CO-Mktg Cos inintiation. Please make all checks payable to the Fern Of the financial inSteution notated on the fen a this statent In addition to etas account len. -mounts 'nay be subject to enintenance fen charges for We payment for shames purchases and charges kr unpaid amounts in cashace:ins. Accounts that are transited to other instant may be subject to a vender fee. UBS Sweep Options tk1$ °Wen options toe %wrong <ash balances to bat depose axons at non-affiliated banks and affiliated banks and money market nasal Inds (Mona fads). Depose axone at UBS Bak I-6A and non-affiliated banks pentane-to in the UBS FPC-thered Deposit Program are FDIC-ensured n accordance wan FIX rules for more info:maim, please visa own. f dc.scry. Depose taunts al IFS AG Stanked Branch and shoes of MoneyPunch are roe hart by the FDIC. Bank deposits ao not prOletted by SDC. Money Fund shores are protected by SITC. See •LIBS rata Serous Account Notetten' below. Inn your request, balances in the bare depositsmar be withdrawn. ad shares of a Mat held maybe lemehtect and the proceeds retuned to you ape securities account Fuller remnant about available sweep options, noldrg currier interest rates ad yields, is wattle at yeeptubseorrysweepr ods, hem yin Financial Mew of by calling 8007621000. UBS Fenancial Service aO:O1.87l protection The Finn is anteater of the Searches trestor Protection Corporation DIPC), tech protects securities cunt:own of es members so to 15(1,000 including $250,0001a den foe cash). Etlanatory brochure rabble upon ent a ale/mysix or,. the SIPC asset protection limes apply to all accounts that you hold ei a parasite smeary. The Fitt together with mien affiliates. has the Purnesed supplemental innate. The manrrurn nett payable to all eligable clients. collectively under this protection is I-SOOmoron as of December 10, 2016. Subyea to the potty cadein and Errata ash at the rim is Wave protected toe up to 1 I.9M6Cei in the garnet for all your accounts head in a particular upecity. A ILA copy of the poky wording is available con request. Nether The SIPC onreclion nor the suaremental protection /pay to: • Certain enamel assets controlled by (and nand n your account vat be Int away horn IFS Financial Services. For tarot. certain Is) insurance protasis. including variable annuities. and 00 shoes of mAul funds registered in the mane of the account holder on the books of the is or transfer nen), • rwestment corrals a nvesimint newish. lit.g linthed pannenhts and Private PlacernemOtRa we not registered under the Searities Act of 1933; • Ccemoditits contracts foreign exchange and mots/net/I centrals), mokOng futons ormaas and earniodity option contracts; and • Deposit accounts (except certificates cif deposit) at MK Bark USA, UBS AG US. bra-thes and talcs n the FDIC Insured Deposit Program. The SIPC protection and the soppirmotal protection do not apply to there assets awn if they otherwise appear in Ws., statement. The S%C protection ad the supplemental protection der not protect against changes n the market vats of you- investments (whether as a mot of market movement, issuer batorupgy otherene) Dividend Reinvennwit Program (DRIP) Thiene reflected is an average net You may obtan the actual price from year Financial Advisor. Ora Wok Owes re purchased under DPP, ptial than willbe sold ad the cash wit be deposited in yOur ICC0unt The chard rowed/rent nee applied by the 'Mar may offer loom the makes price at iinKh the pat.* share, are sold Only whole units may la held In you account. If you are enleled to a parlol unit as/result 01 a &Oland payment a otheowne. the Fiim wdl Whet sell pan& uns at mane price a accept an anon determined by • menet clewing gamey, a-adcredit you axone InverUnent objectives The ewer/nem obactien and risk profile are 'pudic to each account and may say between you accounts Please acme the Finn prom* in wring of any sandicant change in ycer financial abate° or investment obis:olives. For each account hNf, you choose one ol the (Wang imesment objectives: • Mode* Current Peon. Int Monts WHIR) the gerwraten of none pry. • *chine Capital Appreciatforr ketestrneMsseekeN growth of reincOal rather than the generation of MOT*. • Pada* Conbeuton of income and Cartel Appeer ration: Imiestments Setkinglinth the generation a niftier* and growth of principal. Oren. risk profiles • Consemone. Seeks to maintain onkel prectel, low M. ad van thy to the account overall, even if that means tine anoint does not generate signifier< CONFIDENTIAL income or Men and my not keep pace with inflation • Modena Wring to accept tone rid to united ad tolerate sane vanity to seek hther returns • knressibt: Wiling to accept high risk to pincpal ad hicp volnlity to seek het ream ore not • Imestner2 Eltioarly Consideration: II Salted. a portion of the whale fa that account may inctide complex stragen, tinted liquidly and peter that/ Stetiament Thousehattivr We myconsolidate ore ratted account statement with the sane address in the um envetpe, e o because they haw onners who also maintain Pen account rationing,' wart other clients at the sane address. you reefer to mere individual statements molt n separate etwal0Pas. you may dean* Inutabokleg by tang you Financial Advisor Friendly amount name The Friendly account nevi it a arnanaable *ncerurne chosen by you to mist you *type necordleepng ha no legal effect on your account is not Mended to reflect any strategy, prodxt reconswedattn, inn/to...rot objective a Sc profile associated wen your accents. and is not atomise a guarantee that vitas oe any financial resullc can a will be achieved. All inenenents /maw the risk of lost including the risk of loss of the title ineitnellt. You can Thange your Puna/ swum names through Online Services a by contectig you' F runcial Aden. Arran overview • vase of your amountemerflofo. Net of assets and Rabat_ • nsfers Includes avalable cash balances, vases for remitted security test ). and Global Tit Deposits, unreallad marts to morel, and Mean asses not held by Ilse Fim. Does not nth* unpnced securennlasias at the end of the poor and anent statement pewit or private inWstnienti. snvested stock options and ewarcaable Pock options • (iaba.TAWS relates dart banes, analog riwgin lore credit In, short account banes. • Cash/money balames. Total of tninested avalable cash balances, plus devout balances at alt bated and mat dated ball, anion:et market mutual kind sweep balance& at the close of to statement period Non-commodity free molt balances into, ton ae net secyegned from ocher balances and the Fim may use my of these Ina tithe oideuey course ol banns. These funds repayable goon your demand. This total is nolided in the ovrent polka <lotto who tenting inlomation For cleated Monition on the I ere's lensing practices ma intuit. ram to you Clem Relaitailli> Agnomen a Anon Arawnent and the General Tres and Conditions. LOS Statement of Credit Practices awe** n Agreements and/Pee/ow/es at raw nun en•niateneinerbvinuorpl, SDNY_GM_00027712 EFTA_00138332 EFTA01278941
I m p o r t a n t inform atimi about your statement (Continued) Your assets Your taterrent Menses retailers and other assets held n the account a the end of the Statement period You may ask for delivery of futy, Paid securities al and tire. You may redo* twenties used as loan coMeedi alter paylo any bataxe dr on them. Any wcuitties bundemed to the Firm &trig the idadmmt period are Fred ai market value as of the end of the strewn period • Con basin n detennning the cost basis of the searem included ei this statement %%tete indicated with the nunter -I,' LEK fiunialSenntes hat relied on information obtained from sources other than UK Financial Services. rkluding rdarnaiim Iran another Inn or that you may have provided to your Figaro& Acaaisca. The Firm does nal nolmeniently way a guarantee the rosacy a val.:14<in lof collation provided by sources other than U3S Financial Serene adduct, although LBSFnixel Seeds gerneraly updates the etionatim as 0 is received, the fern *es not vow* airy assurances Otst the eformaines vole "Cost base and the arced ni si is accrete as of she date of this statement. As sutth, please do not rely an this nit:motion to make aschase or sale decisions. Ice tar pa-poses or otherwise. Accounts transferred to the Fins may reflect garner interne ins only hi to period of tire they re held at the Fan More haocal retematon can be wiled by you Forint Advisor. • Unwanted gain/losses. When data 6 sante, eernated unerized ganflosses are calculated for notviial storey lots the transaction data for hchtisal lots may or may nee reflect commissions. charges anchor secuity reap-oaten mints. Diebold and other renvestment lots and systonatk eschew lots are each combined to display ore averaged lot Bo 'Trade date' colmn peewees the tight transaceon trade dale. • Condole securities Bonds and preferredstock that the issuer cats la eery redenoton veil b st e selected opartully by lot lean among al washes of chat :Sue held n our Mine a is nonewe ram fa os clients Call lean Somme:a is obtained from third Parties and es rotary is not guaranteed. Other call leaves may end which could MM weld complete infoemaion will be provided upon request • Price/value Petal. displayed for securities and other products new be higher or beer than the peke that you would actually, recew, in the marke. feces drained from wren tied poly sources winch we benne to be elabee. LA we do not stamen thee accuracy — we generally use the cbsing price win or he mean off the bid and ask prices la tested stones and options a only bid pikes ta OTC snakes — Less actively traded securities maybe poked using a vabaten model or the most recent peke we obtained and may non reflect an actual market price a rake. - Certain positions may Icy*. cantos a price and wit thew as Ince was not available 0 we a-e triable to obtain a price for a stony. — Deposes a swishes denconated n [sermon other than US. Oaliss re reflected at the exchange rate as of the statement date. - For certan noshes racing Ilnon-conformng denomnatons, price rd corny dace value) may have been adjusted to facilitate proper neural To obtain anent quotations. when availabi, contact your Fs-wool Adieu. • Private invostmente and structured products. Private nwstrriene sect:airs (PK lain; deed NetkiPal in aotram and real estate imminent trust securities) and strut teed products ale generally highly /gaud. Certain struck/x-4 pecans hew not been registered with the Snakes and &charge Commssith, or under any state securities laws. We pow& estimated values for vivre ruestrnert stones and structured products for normal coal pitons only Money n not guaranteed - Then values may differ abstaniiety Iran prices, it any at which a private' ste in d security a structured product may be bou-kl or sold and do rot necessity represent the vain you may recto. Loon liquidation. - Third piety *senates of value are at a ocean date ad are suppled to UBS Financial Sentes on a recs.* base by an independent valuation fir m, - tater, general pannte Cr sponsor *ginned values, 'T re. re oared to the Fon by the issuer, general pother or wawa and may be cakulated based on deferent information from that used by that pauses to dense their estrnated veins. - You can obtain addecral elarnson regarding the methodology used to determine the niceste of value and the dale of the normal:xi that: the basis la the estimate by corneal-xi your Financial Advisor. - And party tenured vales may be reflected as • Not piked- in several StuatienS: Mtn an noloperdent valuation Iron has err suppled a is u nable to assere a value, when we become aware that a material event had occared ter may calla prenomy reported value no question, ce when a value would be holey speculate* due to the nose cd the warty - Wnen neither an issuer, general partner oe sponsor estinaled value me a thed-pity estimated value is prithOed, the value of the scanty will bedifferent from its purchase pace. - • Dierbut ions to date' may include roam of capital name or both. - • ongn31 tat size represents the nitel offering peke per int and may not reflect soca cal base. - Of P Ind Wand RErt SeCtrtim are not listed on a national sources exchange, and re generally &gird ani even 0 they can be sold the price maned may be less ton the per share estimated value provided in the wean statement, • Resriaed securities Rnetioted securities goner* are not arrerey thigble for public sale. UBS Financial Services uses the motet pence of tee urredixted stock of the sure issuer as an ineuted ale for the restricted stock foe purposes of the stoteanot only. To te extent that restricted securities are ebgble for sale, the value trend may be abstain* less than the awed value shown. • Est. festinated) incomw current yields and rates. An est maw of arrival mane n bated on ono, chidex$ and Menem rain, attuning the warnos will be held for one yea- from statement date or until maturity. This esti-nate is calf a guider*, accuracy and continued Nicene are not guaranteed — fretted ennui name end current yield for certain types of swathes could riCiado a rerun of prnepala caper gains n which case the est income (rd current yield) would be overstated. — Este-toted mute exam and current yield and the actual imam a-4 )ton n-4 be haw oe hiper than the ntenged anions — An estinate of antalized income (dividerd aidcr int./ee)dialed by the current market vaktidaverar balance a based on the last divdend or moan payment made by the issuer and wsunes the secisheideposes will be hell foe one year from the statement date °curt,' maturity. Accuracy and cottoned yeld re not guaranteed. • Ana . not held by LSS Financial Services, Certain assets re not held by the Fins and not within the possession or control. These assets are deployed on your statement for reformational purposes only. Positions and values presented re provded by the issued; fern UBS Financial Seines 6 not responsethe for the ilk:enrol and does not gunnel- es retry. These assets are riot reeled by SVC or the Firm's supplemental51PC coverage. • Fbneenuo sharing and adifitianol compensation. - h addition to commissions on lain and I glo 1 tees received n connection with the &Teuton of mutual funds to at dents we anctor Oct attire recess rewires ahatg payments from dettbuon aria advisors of the rraaual funds that so soli Thew a-noins re based on two different components, (4 the mate of sales by U3S daps -Ocular- mutual find fanny to our dents; and 60 the asset eats, of a Nodular Mutual had lanais shoes Add at the fine - We and our affiliate also receive networking and annbus processing fees in considerate:en for wander agent services that we provide to the nuual funds These Ices generally in pad from investor assets the mutual fund and are a feed dolly amant based at the risrbir of amounts at the brceerdealer holding mutual funds of that find faintly — en actlecn to Carnill6Sian received in cotyledon with the sake or datibuton of annuity contracts at int reentrant Innt tripes to ws dicta% we new az af I date receive sewn* sharing corrpensaton from Mr/ of the nwrance companies underwriting the annuity OritertS, affiliates of the instance con-panes or sponsors of the Val enestmeot vents we distribite — In adder, to commissions received from the pschase and sale of Nertfuleares kids, we and or Ot al litre receive an asset-based revenue sharing payment from aketthaves 6subuirk as well as fuming for technology development, training and education. — Our athletes also receive trading correnissons and other oinwreal on from mutual funds and marmot carpaniec wawa wombat we cliffrbst0 CONFIDENTIAL — We inn,. <Cnceatildel Irons PBS Brit. USA, CBS AG Suerdoid Branch and nataff awed barks throuths our cash sweep proga's. this compensation may be a mere by per rocise fee or may be a percentage of atorage day deposit brines Activity Information regating commissions and other chrges irsturred in CaveCttan Wel the newtonof trades, incLoSingopticn transactions has been included on confirmations previously furnished to you and wll be provided to you proenotly on mount. Short Sting II you se engaged en shot selleg a wady, you new incur a charge der to anon torroveng costs fa that pan Ode- security. Open orders Regaidng open ce -goodahcanceled- aders that were not nosed by the stamen date, open buy and eel stop orders re reduced by the amount of divided. argots on an exidndolerds or writhe date unless ndructect otherwise by you You re responsbb for order, that re fa:Muted due to yeas faun to cancel "Ming OW orders. Privacy To casan a copy of as current Client Friary Nage, please anent you- Financial Mesa or vet w websde al wv.v.wrht enearviyaratw&-t. ▪ UBS Fharxial Serkes is noe a bark. The RMA, Busmen Services Account BSA and IRMA are brokerage accounts Moth provide access to barking senates and Products arcuct alal191MMIS wth altered banks and other ti-d.party bags and provides access to mime and array Produces issued by u-aft dined thiel.party assurancecompanies through instrance agency sclusidares of (IBS Financial Seven lx. — hwItmere, insane. and annuity predaCts. — Not FDIC inured • No bare guararen• May lose rata — tMA Peseta Management Account. Business Seances Account BSA, IRMA and international Resource Management Account are rendered service marks of LBS Financial Sennett ax. — S a a registered iradireurk owned by via eneektnional Service Association and used undo loense. The LEIS Via credi cads aril the IBS Visa debut cads are *sued by UK Bank LISA with permission from vise U S. A Incorporated All other tadernarkt registered trademarks. servee marks and registered senice marks are of thee respectsee corripanes UPS Financial Services Inc Rev. 701810 SDNY_GM_00027713 EFTA_00138333 EFTA01278942
UBS UBS FMancial Senices tic. Private Wealth Management 299 Park Avenue 26th Floor New York NY 10171.0002 CN770057070851118 1r1 0 Account name: GHISLANE MAXWELL Friendly account name: Indy. MillenmiUm Account number: Your financial Advisor: SCOTT STACK MANILYLE CASRIEL Phone' 212.821.700D/800.30&3140 Questions about your statement? Call your Financia Advisor or the RMA ResOurCeline at 800-RMA-1000, account 029026776 1.4sit our website: sweve.ubscomainanciaservices Items for your attention , Help protect yourself from fraud and review bank, credit card, and brokerage statements regularly. Also, get your free credit report am-ashy from WWW.annuakreditreport.com. Value of your account Resource Management Account November 2018 GHISLAINE MAXWELL 139A CHARLES Si APT 0233 BOSTON MA 02114-3252 on October 31 (S) on November 30 (S) Your assets 786,991.00 778,512.00 Your liabilities 0.00 0.00 Value of your account 5786,991.00 Tracking the value of your account S Thousands $778,512.00 683.7 726.4 787.0 778.5 250.0 Dec 2015 Dec 2016 Dec kl 7 0(1 2018 Nov 2018 Soarers of your account growth duriag 2018 Value of your account at year end 2017 S726A13.00 Your mestmmt return Change m market vaue $52,099.00 Value of your account on Nov 30, 20113 5778.512.00 SDNY GM 00027714 PA•mbor SIPC CHP100010057070aSNP70C0187918 00005 1118 030575001 CONFIDENTIAL 000000 ►age 1 of 6 EFTA_00 138334 EFTA01278943
*UBS Resource Management Account November 2018 Your account balance sheet Summary of your assets Value on November 30 a) 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 778,512.00 10000% F Commodities 0.00 000% Account name: Friendly account name. Account number: Total assets Value of your account $778,512.00 $778,512.00 100.00% ru. Your Nnancial Advisor: srnn store t &ANY, YI F recntei Your current asset allocation Eye on the markets Index Percentage change November 2018 Year to date S&P 500 2.04% 5.11% Russell 3000 2.00% 4.48% MSC I - Europe, Australia & Far East -0.11% -8.96% Barclays Capital U.S. Aggregate Bond Index 0.60% -1.79% Interest rates on November 30, 2018 3-month Treasury bills: 2.30% One-month LIBOR: 2.35% CNP700030057070B6NP7003 187518 008051118 030575004 CONFIDENTIAL walk Y_Gia_0002T Refie 2 of 6 EFTA_00138335 EFTA01278944
*UBS Resource Management Account November 2018 Change in the value of your account Account name: GHISLA1NE MAXWELL friendly account narne:Indv Millennium Account number. November Z018 ($1 Year to date (0 Opening account value $786,991.00 S726,413.00 Change in market value Closing account value 8,479.00 52,099.00 $778,512.00 5778,512.00 Summary of gains and losses Vaues reported below exclude products for which lylns andlosses ate not Ossified. Realized gains and losses Unrealized November 2018 (9) year to date IS/ gains and losses (1) Wog term 0.00 0.00 128,512 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 or Branch Manager. You can find a ful description of the alternative investment objectives in important information about your statement at 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 • Vote account cost base default closing method is FIFO, First in, First Out. CW70303005707007 Isle7000197518 00005 1118 030575004 CONFIDENTIAL Your tlnandd Advisor: SC TT STAtv a t...vivo c rAcoin SONY GM 00027716 Page 3 of 6 EFTA_00 138336 EFTA01278945
*UBS Your notes 01,03110057070881,11.01•751501713511. OM.. YI287765506.. Gm .00*.• • m. CONFIDENTIAL EFT,00BE337 EFTA01278946
*UBS Resource Management Account November 2018 Your assets Account name: GHISLAINE MAXWELL Friendly account name: Indv.Milennrum Account number. Some vices, income and curter)! vaues Shown may Ix apprOrdrnble. AS a int*. gains WS1055es May not be accurately reflected. Set Aporeent infoneabon about your sterement a the end of ths dxurnem for more infonnas on. Non-traditional PiiVet eouty funds, Hedge fun% MOOther Invesments are MO In your U85 Financial Services bc. (U8S FS) brokerage account. the positions reported below reflect the wads of the Issuer. and U8S FS does not yuatantee the moiety of the Information The value shown Is not necessarily the vane you would *cave frcm the Issuer if you scl the assets. Funds achy.* sdd ty UBS FS are subject to ongoing due cligmce, although the levet perfumedmay vary A doted fund may be suNect to no onoceno ciNgenct Attend that you purchased Sweetie* may never have been subject to UBS FS diligence. allhOugh U8SF$ may receive fee from the funds manager, wNch may ccnslitule aMOO of the rnanagernenthrentlw fee. Please contact your Anaxia Advisor wth questions. 'Est eau, per mit' is an estrnae of value supplied by an Independent valuation arm and reflects adjustments for talon such as the lquicity of the units. Hedge funds HdOng ALPHAKEY5 MILLEN FND BROKERAGE NO 10,31/18 Trade date: Purchase PIK& Hurter Average price of shares pet share (S) Client investment dl 650.000.00 Your Financial Advisor: SCOTT STACK MAN, LYLE CASNEL Estimates of Niue Suppled by issuers of tartan program (ntacn ate geneidly 'net asset value esteem S) are shown as 'Issuer est. yaw per unit'. For Private equty funds, • St. value per unt • is a value updated quarterly, based on the Net Asset value e NAV') in the fund as of the date sped Red adjusted by Wing capital calls and subtracting dslabullons Once the NAV date. The NAV is primarily based on estimated portfolio vines provided by the underhing fund sponsor. Mese two values may vary became of differences In the way they were estimated arid because the • Third perry est • value per may ham been prepared on the bases of financial Infonrialon other than yeatend. Reported estimates may not reflect ratan, liquidationor repurchase tate, 1 any, and rim not reflect &tat:Mons of caditS until the next valuation is reported genet.* on an annual or semi-annualbasis See kep0rtant intomation abOet your statement at the end of ths statement. Cost Price per Nitre baSIS(S) on Nov 30(S) value on unrealized (tad investment Holdng joy 30 es) gain orloSS (S) return (S) period 350,000.00 1.000 778,512.00 1213,512.00 Your total assets Value on Nov 30 (1) Peicentage d Cost your account tests 01 EStillate0 Unft$IIK1 annual inCort (St gin or loss (S) Nowt/talon& Hedge funds 778,512.00 100.00% 650000.00 128,512.00 Total $778,512.00 100.00% 8650,000.00 $128,512.00 SDNY GM 00027718 CW000)305707039 NP7003187518 OCCOS 111803057a00000 Page 5 of 6 CONFIDENTIAL EFTA_00138338 EFTA01278947
*UBS Yournotes CONFIDENTIAL EFTA01278948
Important information about your statement Ii26 Fru/scut Services K. (the firma UBS Financial Stroke°, is a mentor of all principal %ashy, ocamoOty and oparnashangts. UBS Financial Services and UBS Bank USA are ndrect sttskaaries of U3S AG and affiliates of LOS Sectaries LLC. The Fitris I inarksal statement is available upon request. The Firm& axone offices an at: 18$ Frtancial Services 1200 rater Boulevard Walarken, NI 07086 TNS statement represents the only off dal record of gar (.BS Fruncial Services accovt. Other records. swept offaral las dxunents. contanng ccedhang data should not be relied won t you bedew thee is an era a cation please report il innedakely in visiting to the Brandn Manager of the office won(' yces account. Although al Iores shown re intended to be accurate, statement data should not be used for tai puppies key stray on yer end tax forms, 0.• Form 1099. 5198. I C475. etc when prePamg yOur tax return. The Fan 6 reared by Lew to report to to RS relatable doidoxfs, reportable nen tauble derderds and taxable irNemt earned on wearies held is you amount, net proceeds co safe trreactions, rd con brit on certain cowered worries. Gonwemications with the Firm • Pleaseretrain" any owl cartrunkatiom in swung tofurther protect your rights. inducing your raid water the Seosities Investor Protection Act (WA) • If thefinancial institution an the top left of the front of this deemed is not I.RS Financial Services, (BS Financial Services caries gar erase as clearing broker by avengers* will the ikkated insiOution we Worried yds ce this refalsonthb when au opened this accuse. h this rasa your kinds and souffles am dated at LIG financial Services and rot the ntrodrio broker. ant you crust make a rpm of ay error or omission to both fans • As descrbed re the account entreat you mat wayusof any eras or fraud irmohirg checks reflected on raur statement within 30 dap after a was milady made available. • Pleasedace customer compliers or irories to the Finn's< ant Relations Department a 201.352.1699 0, tell-bee al 800.354-9103, 8:00 A.M. lo 6 AO P.M. ET Monday through f relay, or in :snag to UBS Snivel Sewn ta, Client Relations Doormen, P.O. Bo: 766 UnonC ay, w 07087. • All oatmeal dull be deemed corvine and acorn d not objected to in neat; within 60 days. • For TT( services. Call 844612.0986 of from adult the LS S., Cal 201.352.1195 • haw of orlon or pasha about an *karate knob transfer (EFT/ lei parront a UPS Vet debit cad eansactions, call 030.762-1000. or wile to UBS F n' aval Strikes W., 1000 Carta Shed, 6th floor, Wet-harem. ta 07086, Attn. IMMEGA Services Cala write as soon as you can, if you tha aos statement a recece is awn; or f you need more nformatcn *cut a !Fenster on the statement or recap. The Fim or Card burr Las adolsable) most her Iran you en law: than 60 dos tier the f ern two you the fin statilflUnt on which the error or Problem aPP•red. - Female you name aid accost number Of any) — Desabe the end or the transfer you are ordure about, and molar, as shady as you can whyyou believe a is anern:fanny you need mete Wormalart — Proude the dal:fervent of the suspected error. The Finn or Card bsuer win investigate you caviare and WA correct ley elelf pro:veg. For alleged ears Smoking UBS Vraodebd cad bunt add& f we take mire than 10 business days to do this, we wigged* your :gauntlet the amour you think is in swot so that you sea have the use of the money dreg tie tine it takes us to complete or Meditation. Please make all checks payable to the Erma to Manna nSleuticn notated on the front of this staierrent In addition to regular account lees. accounts rnw be Abject to reakenarce fen charges for late payment Sr securities purchases and charges for woad amounts in cash accounts. Accounts that are tanslered to other easter rens may be subject to a transfer fee. UBS Sweep Options (BS offers prams for sweeping cash balaxes to bat depose accounts at non-/Hired banks and Sedated banks and money make! MASI lunch (Money finds). Deposit mares at LOS Sark USA and nonaffiliated barks partkipaing it the UBS FDIC-rstrod Deposit Program are FDK.nsured n scan:la-6e was FDIC rUes For more inkanation, please 'ASA wenvfdpgair. Depose accounts at IRS AG Seward Brach ant shares of Money Funds are roe rand by the FDC. Bark deposits are not protected by SJPC. Money Ford shays arts:erected by SIK. See'1BSf naval Snows Account Protectsan' below. UVarsur request, balances in the bar* deposits may be withdrawn. and shares of a Money Ford maybe latiklated and the proceeds retuned to you or your securities assort Further inkanatirs about available sweep options, ickdrg (urea interest rates ant yields. 6 available at wwwibscornseeepred, trom year F runcial Admix cat by wring 803.762.1000 UBS Financial Services axon protection The Finn remember of the Seardies Mesta Protection Corporation (StPC), which protects securities CUMMINS of as marbles w to $500,000 Riddling 8250,030 for cams for cash). Esplanatay brochure ratable upon «vet or al mow Moo orp The SIPC asset protection lanes appg to all accounts [hit you hold in a panivir captor the Finn, together with cyan affiliate& has also purchased suppkmental instance The nuaran amour payable to all eligisle <fonts. collectivelyr under this protection is SSOO million as of December 10, 2016. Subject to the policy cadade and arraalan. (ash at the Fins it hither protected tor up 1011.9 mifices in the aggregate for air your accounts held it a particular capacity. A lot copy of the poky wading is available uPOn request. Nether the SIPC protection nor the swpaemental protection "My to: • Certain tnancul assets controlled by (and ncticksd n your anoint vats) but breklaway Iran LeS Financial Services. For Prick certain 0) insurance products. a-Chatting variable anvites. and 00 shres of mutual funds registered in the rune of the account holder on the books of the Sat or transfer aged), • kwoomme contracts or Mermen, Molests (e.g, lirnited partnertings and private placements) hat are riot registered under the Securities Act of 1933; • Carrnoditits contracts (e.g. foreign nclunge and mowsmetal contracts), rakeing ItelitS «roach and commodity option controcti; and • Deposit accents (except certificates of deposit) at ties Bads USA, UM AG U.S. bra-khes and bats n the FDIC Pored Deposit Program. The SIPC protection and the upplemtnial Potation do not apply to those assets even if they otherwise appear on ytla statements. The WC protection ad the otplernental protection do riot prole« against changes in the market oak* of You invariants 64-ether as a owe of market movement. issuer barruptcy a other:ale) Dividend Reinverbowit Program (DRIP) Reprice reflected is an average pnce. Voumapobtan the actual price kern war Financial Advisor. Only Vole styes we purchased under Ott gunial sheen wall» sold and the cash wet be deposited in yOuf KCOvflt The *Mend remained peke %prod byte e issuer may Offer from the maker Priced' VfitCh pito* shad we sold Cadvislieu Onisr whole units maybeheld In you account. If you are (MOW tear:until unit as a result of a divilierli payment a otwnwse, the Firm wdl either lei pert& trot at mar et price or wont an snare determined by a regained clean; agency, and credit your avant Investment objectives the nvestmere objection and risk profile are spade to each account and may wrybetween got scout Please ado* the Finn porter n writing of ry soya Kant change in you financial station or inveilireht CbytCtreel For each want hat you choose ow al the Icooning investment &skewer • Peoces• Current Income Investments WHIN the generation of income caly. • Ache.* Capra tApporiarom a-treatmentsWang growth of prixpal r#ner than the generation of • 00$,X•Comboason of corm erforCapeal Appreciation. Investments seeking both the generation of Ware andgrowth of principal. Overall risk porta • Conservative Seeks to apnea:, ineal priatoal, with low ink ad vanKeyto to account overall, non if that risers the avant don not generate son:Scar CONFIDENTIAL Kane or ran and may not keep pre with inflation. • Moderate Willing to accept KeOf rids to prinroal and tolerate sate Watery to seek higher returns. • oressibt! Wiling to accept high tit to pNncor rd hoh volateity to seek NO tnuMS Over time. • fthelteler2 Niperry Consideration: N selected. a portion of the ponfolio fa that account may inclak complex serapes, lirked liquidity and grater atria/. Statement 'howdah: kW We ntryconsoldat• al Mated account statement with the sane address in the sarne envelope. e o because they haw onners who aka mantas Peit account re/atlantic was other cares a the same address. If you prefer to mere irdialsal statements mailed n Write *taloa& you may de line Inuteholdng by cairns) you Financial Advisor Friendly account name The Friendly account name is a cunemnble 'ndirurne chosen by you to assist you whhyor rose:draping b has ro legal effect on your account is not mended to reflect ary strategy, prodxt reccarrandatir. Meaner-A objective a reek profile associated roil par scoo nls. and is not a pecombe or guarantee that wrath any linancial resullt can or will be achieved. All irnestrnents Mira the risk of kiss, including the risk of loss of the title inestment. You can <lunge your henry aeon names trough Online Services or by contain; you Financial Ashlar. Axon overview • Yabe of your NCOU04:041010. Net of assets and litiliiet • Area Includes avert* cash balances, oaken for 'Insisted security ). and Global Tiro Deposits, unrinand marts to rural. and cash assets me held by the Fim. Does not ricks* unpnced securiteslarets at the end ot the Voir and current statement penods, or private investments, wanted stock ophom and misers-cable stock options • (iatabos Irclades debit Waxes, Panning magi, ion credit eye, accarrt balances. • Cash/money Praxes. Total of one-nested available cash balances, plus devout balances at affiliated and dwarf doted banes, and maw, market mutual fund sweep at the cbse of the Cann period NoricorrmorkO free Mot balances in yds accord as use sect' from other balances and the Fim may use roof these funds el the admit course of its business. These fads re payable spy your demand. The total is ridded in the current period doing vahe Lending information For cktred nlarnabon on the Omit lerafro practices ad cincbsures, rein to you Cher Retricnshp Agreement a Account boyeernem and the General Tema and Conditions. Statement of Credit Practices available n Agreement and0kebsures SDNY_G M_0002 7720 EFTA 00138340 EFTA01278949
I II 'portant information about your statement (continued) Your assets Your statement Minces *nukes and other assets held n the account a the end of the statement mod You may ask for dekvery of fulloi paid securnies al any tire. You may recew manes used as loan collateral alter paying any balance do on them. Airy mums bunderred to the Fen dreg the scater mt period are Wed a market value as of the end of the Memo period • Cost base. In detennoing the cost bays of he sectown included in this itaternent, whet, indicated wit: the numbei -I,' LEK Finakial Services Ms relied on information <Mined from sources Ow than U8S Financial Stenos. rkluding Hamann, born another lien or that mu may have swovided to your Finical Agra. The FM does on indmenienly teeny guarantee the acosacy or vaedity d any -re mutton Waded by swan other than U3S Financial Serkes addlicet "though 1.85 Fnincial Semis generalk updates the rkenutim as it is received, the fern does not um* ary 'nuances that the hoc "Cost base and stkeealcod ged Ms' is accurate as od she date of hat statement. As such please do not rely en this nlanntion to make ;mime or sale decisions. Ice tan purposes otherwise. Accounts if:mimed to the Fin may reflect gallon in kin only For the period Cl tik they at held at the Fan More historical nicematica can be added by your Marxist Advisor. • Ureitalked ganadossiss. Man data is Nabob, Manned umalized gorklosses are calculeed for nofivilul smarty lots The transaction data for nckvidal lots may or may net reflect con-missions. charges ado secuity reorgraalort moots. Diedexl and other renvestment lots and systematic puchne lots se each combined to display an avenged lot 11-• 'Trade date colmn mimes the anginal transaction trade dale. • Callable securities Bonds and deferred stock that the issuer cats la *ark rederrpton wil be selected martially by lot Iran among all sautes of that :Sue held in our mow or in nornem rum Ice our clients Call leak- Mormakn is obtained from third pries and es away is not guarantied_ Other call leaves may exist which could elect weld. complete Mammon will be provided upon request • Price/value Preen displayed for securities and other reelects man be higher or lower than the price that you would actually reme in the market fists obtained from vanous thrd partysources which we bedew to be dab* tut we do not guarantee them accuracy - we generalk use the cbsng price when available or he mean ol the bid and ask pr ices la nested sea adoptions or coif bid pikes ta OTC washes - Less actively traded securhis maybe pnced wisp vabation model a the most recent peke we obtained and may non reflect an actual market price a oak*. ▪ Certain mak.% may mew w "has a pace end will *ow as • price was not available' B we are mable to Mean a price for a serve;. - Deposes a samties dencomated n curer:din other than U S. dollars re reflected at the exchange rate as of the stramere date. - For certain moles racing n nOn-C011terring denomnatons, price and gunny (face value may have been adjusted to facilitate proper valumal To obtain nevem quotations. when available, contact ycce Fr-wool Acinsa. • Private investments and structured products. hivato nnestmerst secunItts (m Lain; drect PankiPal inn oroiram and real estate imestenent trust mulles) and strut teed precious ale generally highly /MM. Certan snuck/ad daixis haw not been registered with the Semites and &charge Commun." or under any state securities laws. We prokeesonated values for viva' mestrnern senates and structured products for Mame coal porous only Musty d not guaranteed - Thew values may differ nbstarie bay Iran peees, it any, at which a private mob m rt security a structured maxi may be baskt or sold and do not rakescrthe represent the value you may rectae gar liquidator. - Thin pony ethyl**, of value re' at •actin date ad .e supplied to UBS Financial Savises on a regal* base by an idepereko vat/Sion limn - ear, generalpartner Cr sponsor estimated values, if ere: we APPlied to the Fon by the Muer, general prone or sponsor and may be obviated based an deferent infarnaten Iran that used by shed panes to derive thee estimated values. - You can ocean additional Herrn-mon regarding the methodology used to determine the estenate of value ad the date of the Mormaticei that n the basis la the estimateby contacting your Financial Advsor. - Wird patty Metaled values my be reflected as • Not laced' in several Stuatiena when al independent valuation fern has not suppled a is unable to assigo a value, when we became awe* that a material event has tamed tha may calla peekonk reported value it question, or when a value would be hghly specubwe due to the name al the security - Wnen neither an issuer, general parer ce sponsor estenaled value For a thed-pany estimated vale pecnded, the value of the securty will bedifferent from its machine pro, - •DM rasedCM to date' may nixie mum of capital raceme or both. - •Orgeol IPA sce• represents the Mu& offering peke per isin and may not reflect mu cost base - Of P and Wined RErt entree% are not Ink on a national securnies exchange. and ate generally itmed ani eaten a they can be sold. Ow price received may be less than the per share estimated value provided n the mourn gateman. • Restricted securities Restricted securities goner* are not monk ehgble for pubk sale. 165 Financial Services uses the market peke of tie urresIncted stock el the WOW WOK as an :muted vale for the restricted uock for purposes of the; stotement cayt To the extent that restricted sawn ies are MON for sale, he value teetered may be sobstantially less tor the awed value shown. • Est. (estimated) acorn*, current yields and rates. An mom of arida rtcdre it bated on often, dnidend and inteont rain, assuring the mines will be held for one yea from statement date or Mil matority. T es entente is key a gudelne, accuracy and tortnued tome are not guaranteed. - Estensted amul mow and current yield for twin, types of mikes <c old inCiado a rerun of prelf Oat or captal gain in which case the est income (rd current yielo) would be overstated. - Est/need arnual exam and anent yeld and the sail scone and yield melts be lover a h4otr than the ntrneed marts - An estimate of a-nualded income klividerd aidsr interest) divided by the current market veld average balance a based on the last drvdend or merest payment made by the issuer and mines the seoskieedeposts will bo held foe one yea torn the statement date aunts maturity. Accuracy and teemed kid are not guaranteed. • Meets net held by WS Financial Services Caton assets ate nol held by the Fin and not within the Fim's possession or control. These assets re deployed on me statement Ice of ormational puppies only. Positions and values presented re poked by the Meg fern UPS Finance! Services is not responsiole for the eicanainc and Mt not guarantee as acasacy. These assets we rot protected by SVC or the f yen's supplemental51PC coverage. • Revenue snaring and adckional compensMion. - h addition to co-minim an sales and 12b.1 Wes notated in caned ices with the distrtulim of mutual finds to as dents we ado err affiliate receive reverse Mateo payrnmes from dotrtmo ands advisoes of the mutual funds that so still Thew annum, are based or, two different commeenty (4 the murk of sales by 113$ of a particular mutual fond fanny to our dents; and 64 the asset vale of a ponicular mutual fund lanai's thwes held at the Inn - We and our affiliate also receive network eg and ornnbus processing fees in cornideralco fa transfer agent services that we provide to the nuual funds These fees generally Me pad from investor sses n the mutual fund and are a fled doll. amply based at the rumba of accounts at the bane-dealer holding moral funds o1 that find fanny — h kthur to COMill6SkrIS received in connection with the ea or &Mouton of annuity <mom and mil investment Innt unto to our dials, we ado as af I AM receive revaue during compensation from may of the murance companies underwrt the annuity erteaCti, affiliates Of the nuance crerpmes or sponsors of the unit ensistment Kegs we charbute — In addium to commissions received from the pschase and sale of NedShares tords, we and or cur al I ilute receive an asset-based revenue sharing Payment from NentSenves 6st:bums as well as finding for technology development, training and education. — Our Alleles also receive Padre (amino% and other cornMenal ken from mutual funds and entrance carparine Wtefe peon eve derb.40 CONFIDENTIAL — We fame <ColpeMblpas kern UBS lierio USA, L65 AG Suerdoid Branch index:it-MN:wed bards Mout, our cash sweep lorMaM The compensation may be a mcoehk per account fee or may be a percentage of name dak deposit Maces Activity nionnaten repaying commissions and other chokes intursid n ccer*ctson was the executionof trades, including option toreactons has been kidded on can emotions previously I umished so you. and wll be Provided to you promptly on request. Short wiling II you are engaged en short selleg a undly, you ivy Mut a charge die to certain taming costs fa the pan Ma-security. Open orders Regionng open co 'gmsdiscancelee ceders that were not micuted by the yeoman date, open buy and old stop orders re waxed by the amount of divdenck. Or rightS on an ex-dividerds o enectits date unless Masted otherwise by you. You ate respornbb for coders that are executed die tO roa Wore to cancel "in? *Pen ceders. Privacy To Man a copy of as current Client Penney Notice, please canal yds Financial Advisor or viol as wencher at ykon nt,:cmurvivievadet. - 185 Financial Services is not a bark. The OM, Rumen Services Account BSA and IRMA me brokerage mourns Mich provide access to bartung senses and products Ihretacji an.ingenwrts with affiliated banks and other heel-party banks, and provides access to 1w-tame and arm* Products issued by u-affiliaked herd-party noorancemmpanes through insane agency Absidents of 185 Financial Seances Inc — enellniert„ ressance, and annuity modals — Not FDIC insured • lie bar* guarantee: May late raw — tMA Femme Management ACCOute, Business Sento Account ESA, IRMA and international Resesce Manage rent Account are registered service marks of LIOS Financial Minces inc. — is a registered vaclitrurk owned by Visa Menaional Science Association and used under kerne The LEIS Vna credi cads ad the IRS Visa debt cads are road by UPS Bank LISA with permission from Vet U S. A Incorporated All other andernarkt registered trademark, stoke marls and registered sehice milks are of their asp:Mk corn/dames IRS Financial Services Inc. Rev. 701810 SDNY_GM_00027721 EFTA_00138341 EFTA01278950
(*MS yes Fnancial Services tic Private Wealth Management 299 Park Avenue 26th Floor New York NY 10171.0002 CNP70080898371218X12 VI 0 Resource Management Account December 2018 GHISLA1NE MAXWELL 139A CHARLES ST. APT 0233 Account name: GHISLANE MAXWELL BOSTON MA 02114-3252 Friendly account name: Indy. Millennium Account number. Your linancial Advisor- SCOTT STACK MAIWI.YLE CASDEL Phone: 212-821-70001800-308-3140 Questions about your statement? Call your Financial Advisor or the Value of your account RMA ReSOurceline at 800-RMA- MOO, account 029028776 on November 30 (5) on December 31(S) Your assets 778,512.00 756,359.00 %Isle our website: swew.ubscornainancialservices Your liabilities 0.00 0.00 Value of your account S778,512.00 5756,359.00 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 WWw.annuakreditreport.com. Tracking the value of your account during 2018 Vzdue of your account S 7hcLr...311d5 6$177 726 4 776 756.4 2500 Dec 2015 Dec kl 6 Dec 7J1 7 Nov 2018 Dec 2018 at year end 2017 S726A13.00 Your nvestrnmt return Change in market vaue S29,946.00 Value of your account on Dec 31.2018 5756399.00 SDNY GM 00027722 Member SIPC CSIP20010008038837W000306521 00005 1218 030S 110000 Page 1 of 6 CONFIDENTIAL EFTA_00 138342 EFTA01278951
UBS Resource Management Account December 2018 Your account balance sheet Summary of your assets Value on December 31 (11 Percentage of your XCOunt A Cash and money balances 0.00 0.00% B Cash alternatives 0.00 0.00% C Equities 0.00 0.00% D Fixed income 0.00 0.00% E Non-traditional 756,359.00 100 00% F Commodities 0.00 000% G Other 0.00 000% Total assets Value of your account 3756,359.00 5756,359.00 100.00% Account name: GHI$LAINE MAW. ELL Friendly account na Account number: • Your current asset allocation E Eye on the markets Index Percentage change December 2018 Year to date SW 500 -9.03% -438% Russell 3000 -9.31% -5.24% MSC - Europe, Australia & Far East -4.83% - 13.36% Barclays Capital U.S. Aggregate Bond Index 1.84% 0.01% Your R nancial Advisor nyr STACK MANS VI F CASRIFI Interest rates on December 31, 2018 3-month Treasury bills: 2.42% One-month LIBOR: 2.50% OW70010008088838 NP7003X652I 000:6 1218 030575°) 1Y GM 000277 2 of 6 CONFIDENTIAL EFTA_00138343 EFTA01278952
SUBS Resource Management Account December 2018 Change in the value of your account Account name: GHISLAINE MAXWELL friendly account ROT!: Indy Wien mum Account number. December 2018 (V Year to date (1) Opening account value 3778,512.00 3726,413.00 Change in market value -22,153.00 29,946.00 Closing account value 5756,359.00 $756,359.00 Summary of gains and losses %/Sun te0OntO COM mita otoducts for which gNr6 enolosses are not 0assinel Realized gains and losses Unrealized December 2018($) Year to date (S) gains and losses Long term 0.00 0.00 106,359.00 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 Fmancial Advisor or Branch Manager. Youcan find a full description of the alternative investment objectives in imporrant information about your statement at the end of this document. Your return objective: Current income &capital appreciation Your risk profile: Primary - Aggressive Investment eligbifty consideration • None selected Your account instructions . Your account cost basis default closing method is FifO, First in, First Out Your Si nandal advisor: SCOTT STACK MANLYLE CASREL SDNY GM 00027724 CNP7001t008038839NPT000305521 COM 121$ 030575004 CONFIDENTIAL 10000 ►aye 3 of 6 EFTA_00138344 EFTA01278953
*UBS Your notes 6StreGuaconest" , s CONFIDENTIAL EFT,00BE343 EFTA01278954
*UBS Resource Management Account December 2018 Your assets Account name: GHISLAINE MA (WELL friendly account name:Indy Millennium Account number Son* pnces, income and current values ShOem may be Epprovirnme. AS a intl. gains ad lOssts May ren be Eccurately refkcled. Set msporunt intomnanon about your statement a the end of this docurneM fat more infornason. Non-traditional Private equity funds, Hedge funds, andOther investments are held in you DEIS Finarcial iln(tS Inc. CUBS FS) brokerage account. the poutions reported below reflect the recce& of the issuers, alidUBS FS does not galenite 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 actively sdd ty UBS FS ate subject to ongoing due diligence, rithosigh the level performed may vary A closed fund may be subject to no ongong digence A fund that you purchmed elsewhere may never nave been suteect to085PS Once nce. although UBS FS may receive a let from t he funds manager, which may constitute a maority of the roanagernentincentive fee. Please contact your Anancia Advisor wth questions. ' EA value per unit' is an estimate of value supplied by an independent valuation f cm and reflects a:ljustrrents for factors such as the Iquidty of the units. Hedge funds HdcIng ALPHAKEY5 KAREN FND BROKERAGE PIO 11/30118 Trade date: 650,000.00 Purchale PhW %Mae: Avelar puce Client of shares pet snore Cs) snvestrnent (S) Sc Your Nnandal Advisor: nrr <T Al" Ir A kit vo C rnCO,CI Estimates of vaue stocriell by issuers 04 Cohan programs (which ere generally 'net asset \Our estenakS) are shown as' muer est. value per unit'. For Private equity funds, 'Est. value per unt' is a value updaed quarterly, bated on the Net ASSet value Nrsv” in the fund es of the date sped fled aluskd by addng coital calls and soberating dmobi/lions since the NAV date The NAV is primarily based on estimated portfolio yams remitted by the underlying fund sponsor These two values may vary because of differences in the way they were estimated and because the ' Third Party en. value per unit' fro/ have been Predated or, the basis cer financia irionnaton other than yeanend Reported estimates may not reflect resale. liquidation or repurchase value, if any, and may rot reflect cist ebutions of cAdital until the next valuation is reParted. generaly On an annual or serre.annual basis See Important infonsaman at/our your statement at the end of this statement. Cost PMe per share basis (S) on Dec 31 (S) value on unreSized dm) imemment Holdrag Dec 31 (S) winos loss 0) return (S) Celled 650,000 00 1.000 756,359.00 106,359.00 Your total assets Value on Dec 31 PerCentage d Cost your tt count oases (S) ESIllaft0 Unreared annual Income CS) on or loss CO Non4ratfitional Hedge kids 756,359.00 100.00% 650,000.00 106,359.00 Total $756,359.00 100.00% $650,000.00 $106,359.00 SDNY GM 00027726 CelPdoot0003038841 MI003306521 COCOS 1218 03057900. 110000 Page 5 of 6 CONFIDENTIAL EFTA_00 138346 EFTA01278955
*UBS Yournotes CONFIDENTIAL EFT,00BE347 EFTA01278956
Important information about your statement 1.85 inmost Services tic (the Firma. UBS Finrcial Serried, is a member of all «rein' fitourhy, commodity and option exchanges. UBS Mandel Union and CBS Bank USA am ndrect subsidaries of IRS AG and affiliates of 185Securries LLC. The Finis linnet statement is Ovaillt310 upon request. The Firmr bean* offices are at IRS Frurrial Services er. 1200 Marta Boulevard Wet ane.% NI 07086 The Statement «Peones the ony off icial record of you 1.85 Fruncial Services account. Other records. tape official laud:anent,. contanng cortharg data should not be relied upon II youbeim* thee is an ma or CMOPOn plea,. report n irrnedately in wring to the Brandn Manager of the office serving you mount. Although algae. shown se mended to be actuate, statement delashould not be used for tar pump* Rey society on yor.md to hams, lie Penn 1099. 5498, 10425. e< ) when pregame your to return. The Fie adored by how to report to he RS are &W ends, reportable nentexable dividends and unable interest caned on mutts held it pis account, net proceeds on sale transactions, rd cost basis on Wen coated shorties. Cannications with the Firm • Please retrain" any oral coweruneatiem in mein to further peatat your rights. incite:fro your riles order the Sectaries Innate Protection Act (SPA)- a If the Coaxal instiotion on the top left of the front of this statement is not LES Ennui Services, 1185 Financial Swan arras your moan as during broker by armorer* wile the notated Mit non We donned you of this ref aboritho Menyou opened this accost. h this raw you kends and sect-revs are located al LOBS f maul Sawn and rot the Stollen) broker, ad you crust make a report of ant anon or anion to both firm • As *sorbed 6 the account agreements, you mist notifyusof any man or fraud iimohirg checks reflected on your statement Mho 30 days tae d was mailed or made zwilabh. • Pleamedint customer cornplires oe inkjet to the Pim% Client Relations Dworman a 201.352.1699 or toll-free at 800.354-9103, 8:00 A.M. to 600 Pig ET Monday through Roby, or in rooting to Le, rtc., Client Relations Doormen, P.O. Box 766 Union Cry, w 07087. • AR Pao-enacts shall be deemed complete and accosse it not objected ton writirg within 60 days. • For TTY services. Call 844612.0986 of from whin the U S., Cal 201.352.1495 • h ease of *non or quest eras about anelectronic fords transfer (EFT/. tat payment or UPS Vet debit cad tansaction% call 930.762-1000. or wile to UBS FilarialServices ex., 1000 Harbor Blvd, 61h lion Wettuoten. ea 07086, Mtn FcMtai6A Sera* Cal a write as tan as tow can, if nu mile sour statement or rece# is ming a if you need niece eannalon tad a Minster on the statement or recent. T e Sim a Card Issuer Las linkable) most her Iran you to later that 60 days after the Fern sent you the fist statement on which the error or Problem OPP•ted. ▪ Prottleyou- norm and accost number Of any) — Desabe the eta or the venter you me unsure about. axe explain as chatty as you can May* believe d is theme a may you need mete Worm** — Prot.:lethedo's anoint of the suspected era. The Fit or Card bsuer vli investigate nu angler* and sea coma try error prenip*. For alleged mon rooting UK Via•debit cad transacham f we take mete than 10 bus iness days to do this, we will credit year occurn la the snots-two thnk oi in error, so that you wa have the use of the *mg thing the tine it tan us to arriplete ow inseagation. Please make all decks payable to the Elmer the nonce' OSItutices Malted on the front el this statement In addition to ranter account lees aomums mg be subject to mintename ten charges for bite payment kr securities purchases and charges for unpaid emotes n cash accounts Accounts that are tendered to other institutions my be subject to a monster fee. UBS Sweep Options Le often options for sweeprg cash balances to bat depose accarrts at nonaffiliated banks and affiliated banks ad money rnatet metal ILMS (Money Furds). Deposit Karts at 18$ Bark USA and non-affiliated banks partkipang it the UBS Frachsured Deposit Program are FDIC onsured n acconiaxewth FIX rules for more Somali*, please visa menvIdc.goo. Depose noun al 185 AG Stanlad Brandt and stirs of MoneyFinds are not inured by the FO C. Bank deposits are riot protected by WC. Money Feed toes are reelected by SIK. See 'CBS runceal Senices Ana* Prawn' below. Lionyour rawest, balances in the bare deposits my be witidtawn, andshares of a Morey Farce maybe katlaed and the proceeds retuned to you or your seasibas secant. Further inkernauxt about available sweep options, radrg currea rarest rates ad yields, s hatable at wwweincornsweepyelds, from you F mantel Advisor sr by eating 900762.1000 UBS Financial Services Wan protection the Finn is a member of the Securities tatter Protection Corporation (WC), rtach protects securities OateditlfS of Es members up to MORD) including 9250,000 Ice dains fa cash) forlanatcry brochure ratable upon rework a al share sot org The SIPC asset protection Imes appr to all accounts that you hold in a pinata cancey The Fan together with cat* affiliate% hat to Indus* sunkmeMal insurance. The rowieurn amour* payable to all NON awns collectively unckr this protection is 1600 mien as of December 10, 2016. Stabled to the pokey candekte end tratalonw ash at the Sim h father protected Ice up to 11.9 ashen in the aggregate for *your novas held n aparticular capacity. A lot copy of he poky wording n available won request. Nether the SIPC oraeclion nor the swplemental OfOltairid/Xdy to: • Certain tonne assets controlled by WA nankol n your =mat ninths Mkt away Iran UBS Financial Sakes For eingleortain 0) insurance otookots, including variable acuities, and OD shoes of mutual funds registered in the rwne of the accent holder on the boas of the Muer or transfer agent'; • twestment cortrots a nyesiment teerets (e.g, land pannershiss and private placements) to are not registered under the Securities Act of 1933; • Corm oditin contacts (e.g, foreign exchange aid peccus metal antrattsL oncludag Iuues COntracIS and fofnmodity arnica contacts; and • Deposit accosts (except certificates of deposit) at 1.8$ Bak USA, UBS AG US. branches and bras 6 the FDIC Insured Deposit Program. The SIPC protection and the supplomental protean do not apply to there asset own if they otherwise appear on Ka statements The sr< yaMion and the orpokenental protection Mr not protect >gone changes in the market vett of your investments (nether as a mut of motet movement, issuer Contumacy or other-Min Dividend Roinvortnwe Program (DRIP) The axe reflected is an average nee You marobtan the actual ace Iran you Fe-axial Advisor. CMC Mole thing are purchased under DPP, penal Mtn win* sold and the cash wit be deposited'n yOur &Mani The chard renvestrent Pace svorilod bdvtie Afutr may dlle Itom the maker FIX< al Much shade, re sold Cadvinlieu On/co %Mph urns may be held on your accord. If you are edged to annul unit as a result of a sided payment a *theism'. the km MI Mho sell pan& uses at mad et pit* a accept an ernarn determined by a regained dearin agency, and credit war arcane Invariant* objectives The investment oblation and risk prod ole are spate to each account and may raybetween you accepts. Please advise the Finn pronpoy n wring of ay serf Kent change in poet financial sib** a swearrent cbactoves. For each want belt P-1 Moose one ol the mowing insentient objectives. • nods* Current (morn Investments *tire the gown* of income ago. • Arnie.* Capital Appreciate.= Capstans Peeking grovel, of prince* father than the generation of Mr& • hods* Combination of home and Capital Apple ;Sion. Investment seeking both the generation of name ard growth of principal Orem. risk sable; • Conserv/an Seeks to remnants/al prixpal, with low net and van lily to the account owed, ewe if that means the account don not generate sentoant CONFIDENTIAL inane a mans and may not keep pate with inn**. • Moderate Wang to accept wrote di* to pintoal ad tolerate sane volatility to seek heeler returns • AIX:re-44r Wiling to accept high rim to pnncpal hgh volablity to seek no wars OW Oat • IIIWIteler2 fist/ 4y Consclentean: II selected. a portion of the poi Hole for that account may inekode combs strategies, linked liquidly and greater Stetament ehousehoklair We mayconsolidate r related account statement with the sane address in the same envelepe. e 9. because they hare goners who abo maintain join account refationtips sett other charts a the same address. If you prefer to mere irdimlual statements mailed n alma* amino you may decline lainholiro by canto your Minn' Advisor Friendly account memo The Friendly account name if a oracencable *nclaurne chosen by you to assist you whhyos recordleepro It has no legal effect on your account is nos Mended to retied are Matey predict, recommendatan. int./tn./It objective a raft profile associated wen your acetate% at es not a jambe or guarantee that wealth or any litantialresulli, can et will be achieved. All immanent awoke the risk of loss, including the risk of loss of the entie inestment You can thange your Friendly atone names through Online Services a by contacteg you. Financial Athens. ACOOldld OVOnillVf • Vatic of pour accomMorttofo. Net of assets and lie • *spa Includes avatable cash balances, sakes for manned secular fest and Global Tim Deposits, natant mats to market. andanal, assets MR held by the Fim. Does not token unpnced secureinf assets at the end of the not and agent galem ent periods, or private invefinldnli. untested stook options Ind arrentae nook options • ciaboYities Irclades debit Waxes, «stoning margin loon. credit ere, scout balances. • Cash/money hearses. Total of oil-nested available cols balances, plus depose balances al Aldred and nanifilated bons, indexing market mutual fad sweep balance% at the thee of tie statement period Normorrmoday free malt balances in yea octant are not secyegsed from other balances and the Fie may use ary ol these funds lithe wonky coon ol as brans. These fads are payable Lcon your demand. hes total is Marled in the cane pored <long veto Lending information For detaled rdCnnaliOn on the Inn's lending placates rd adman, rev to you Clore Retainshp Agreement cr Account Agreement and the General Tens and Conditions Ufb Statement of Credit Radices antra n agreement and Oise/awes al yfra, . SDNY_G M_0002 7728 EFTA_00138348 EFTA01278957
Important information about your statement (Continued) Your assets Your stale ert temers acuities ard other ones held in the account at the end of the flattener. period You may ask for delivery of Wry Paid 'counties al any line. You ma/ receive acuities used ås loan camera after pang any brace de <n them. Any acuities trinderad to he Fen ding the statemme peed are lined at market value as of the end of the strewn period • Con basis. In deternwirg the cost basis of the setae included in this statement where indicated will rho number I Fin/nisei Serves las relied on infornwices <blainied Iron. seen other lhan Financial Scarce..eluding nfarnation I rorn another lima that mu ma have monied to yam Farrel Amer. The Fen does nor independently ways guarantee the asp racy a vaklet' cl aner damson provided by sources other than WS Financial Services h addlicin, although 1.85 Frown Serious generalry wales this idemorian as tareceived, the fens does not eon* an? assurances Oat the idemeier tear "Cost bans- and "Urvealced gee-Doss* is moire as ot ise of this statement. As suth. Meese do ert rely ea this narration to make puthase a sale decisions. fa te mixes or otherwise. Accounts transferred to Minim may reflect gallon inkmw in only fix Ow period d th* they re head at the Fan More historical ~maker can be added by you* Fnarxite Advisor. • Urania:ad gabarkessite wren data ri amblabk estrratedu-reaked glniltan Jr. credited for isdvitua toasty The transaction data for -roar-dual loss may or may na reflect carmissions. charges minx acuity reagacean ~eft. Dedend and other renvegmem lots and astern:ilk prschase lots se each combined to display ore award lot The 'Track date' <Anon creams the ØZ 1 trade date. • Callable securities Bonds and preferred stock that the issuer cats lor tarry reekrrptan Pail be selected mortally by lot Iran among aurae of that Moe held n eur name or nominee rume for os clients Call ake omalen i is obtained I rorn third pates and sh money is uarantied Other call leans may exist which card MI ect wad complete -name...bon all be provided upon request • Price/value Prices displayed for securkin and "or motarts may be higher or bier than the price than you would actually aunt in the market Pries se obtained from wee tad party sources yeah we frame to be nab* tut we do na guarantee lesi accuracy - We generalry use the (bang price mean available or herren of the bid and ask mites la listed sevens and omiona only bid pekes la OTC sew Res - lees actively traded ~bin maybe priced vein, a valuation model or the mon recent peke we obtained and may not reflect an actual market price a rake - Cenain positions may maw what a price end will how at 'eke was not availabb' t we are :able to cbtan a price for a septa. - Deposes a seines &nonrated n want other than LI S. dotes se reflected at the exchange rate as of the Warner< date. - For (ertar) SeCUllieS wading ri norscon envy denonwatonk pace ard curtly (We .aloe) nay have been adjusted to facilitate proper velure° To obtain want quotations when avaiabb. tented yam Franca Ada«. • Private investment, and structured products. Nirate mesteren wart*, (nekte) drett PartiCiPali:n ;foram and real estate imminent trust securities) and Strutteed want ate generally hghry acad. Chan stwoored pradxIS haw not bee registered with the Waite and &charge Catamaran or seder any state amain laws. We own. estimated values for private investment securities and structured products for normal knee pupaemy Accuracy n nog guaranteed - Thew values may differ Lawrie bey Iran etes any. at which a private' .nsth., d security or structured model may be bouit or sold aid do not wawa represent the yak* you nay recce awn birdmen. - hid party *sumac of vale se as a '<stain date aH are suppled to UBS Financial Services on a regular bass by an independert valuation limt - Boat generalperm or sponsor estimated vales, 4 itch re supplied to the Fim by the mum general pane- or mama end may be calcined based on deferent infant-on from tat used by had names to derive the ear: used values. - You can churn adateul nfamatCh regarding the methodology used lo determine the nitrate of value end the date of the itawation that is the basis la the enimale by cortadina your Fiwxal Advber. - Then party esimated values may be reflected as 'Not piked' in Several Ltuatiten: Mien an hdeparxlent valuation fem has nat supplied er unable to wren a value. when we become awn that a material event has metered that may Frewousiy rented value do qUestiOn, a Wien value would be briny speculate* due to the nature al the warty - Were neither an mum, general partner cr sponsor estimated value ow a tined-pry estimated vale is pronded the value d the aunty wit bedecreed from is pudase prey - • Wombat mu to date' may coke* ream of capital ',cane or both. - • Orator unt size' represents the nee' dieting mkt per i-nri and May iset reflect >Cur COO base. - OPP and unlisted REIT seven art net lead on national wureen ~go. and re grorally jean ad hen t they can be sob', tee price reeved may be less ten the per hare estimated clue provided re the scum' statement. • seiurd geositint Retread securities general? re not covertly thgble la public sale. UBS Finance) Stances uses the maket pee of he urresexted stock of the same aver as an imputed vale lot the earned stock for purposes of the staneonnt only. To he extent that restricted seas-din are eighte for salt he value reeved may be mbstantially less tun the rowed value shown. • Est. (estimated) Acorn«. anent yields and rates. An ("linte of mete reeve us bred cn once dhidera and Meow rates, awning the unites will be held for one yet from statement date or Unta !tinselly Rid estimate is agora guideline, accuracy ard continued /acme are not guaranteed. - bunted annual now and anent yield for uerar types of steatites could include a return of preen:la op-Wigan n which caw the esi income (andcurrent yiela would be overstated. - Estimated emu.' income and curet yield and the actual none irclyiekl might be lower a hither than the *laniard awes - An estimate of actuated income Winked ~cc interest) aided by the current market canaverage balance a based an the last dividend a new payment madeby the issuer and anew he searkessdatosts will bo hell for one year born the statement dale aunts' maturity. Accuracy and contend yield re not guaranteed • Awes not hold by Mirka/WM Service. Cater assets ere not held by the Fim and net within the Fins possesam or torero'. These assets are disphyed on you statement IS informational serous only. Positrons and values presented re provided by he issung fern UBS Financial Sews is not rep:none for the inkernahon and does noe garalee is accuracy New assets at rot Detected by SlIC or the Firm's supplemental9PC coverage. • Revenue sherkig and adcrotionol cornwsnion. - h additiv to ccerninew on lain ad 121a1 tees eeved in connection with the &Wuhan of mutual tuna to at dents we motor od affiliate Femme reverse Wring payments Iron: &Paulus soda Mews of the moor funds that we vall These amounts se based on two affront correponents: (3 he "We of sales ty U3S of a Reticule- mutual find family to our denU; and ER he asset value of a prude mutual fund lamas shires held at the Inn - We ad our affiliate also receive nand in; and omnbus protean; fees in consideration for Bander agent services that we provide to she endear funds The., Wegener& re pad from insestor stets n the mutual ford and are a feed dolly antitert based on the nether of accounts at the broker-dealer holing matual funds of that fund family - en eldten to CannI6SialS received in OarrieChen with the sak a &Bhutan of annuity areacet and unit nvestrnent hust ones to or dices, we ada or aft slate reeve reamer haring compensators Iran may of the n9JranCt companies uncewnting the acuity Contracts, affiliates of the ine.rance enpares or sponsors of the knit •INSt~t fruits we CM-Vint.. — h adduce', to commissions received born the puthase and sale of NenShares Weds, we and or cv al date receive an asset-based revenue sharing Fklyment from likaShires anyhow.. as will as funding for technology development, training and educe' en. alloales also receive trading (011171i1/01$ ad Other ~real ion from mutual funds and intent turpanieo whoa moans we derbre CONFIDENTIAL - We went nynrxen teen Iran LeS Berk USA. WS AG Stamlord Branch endears:affiliated barks thou-inour cash sweep Frogrant This compensation may be per were fee a may be a percentage of cent dzry deposit telexes Activity Wormaten regaing commissions and other chivies incurred n layeat:n with the ea:colonof trass, includingoption transactions has been naiad on cmfimsrions previously funned to you, and will be Maned to you promptly on repast. Short soling If >cyst engaged in hat selling a awry, you may incur a char doe 10 (*nab txtroving cost, fa that pan kola- sae/. Orin orders Regesd•ig open or 'gwititerneetke ceders that were not sewn by the stuemon date, open buy and sel stop orders se reduced by the anane of &Mends Genghis on an exidekkreds or Perkin date unless nsinxied otherwise by you. You are response)* for orders that ere executed &le to yes taltre to aneel rating apen ceders. Privacy To titan a copy of as wow Chat Pricey ',Mice, please contact you Francis' kaiser or vie as what ewe saresceriveree< - UBS Financial Woke is rot a bark. The RMA, BUMPS, Services Account ESA and IRMA me brokerage accounts which provide access to barking serves and products IØ arangernents nth affliated banks and other hid-my bags and provides awe to issvanend amity Products issued by snaftnated thid.party nuance companies hrough insure: agency Woidares ot IRS FirilItidl Strict" IX. Tetterm, nsaance, and annuity pred-ids. - Not FDIC awed • No bark guarantee May lose ale - SMA Fescue Management Accent, Busness Sernes Account BSA, IRMA and enteenational Resoute Manageren Account are registered service marks of F•111X.JI Services H. - VISA is a registered vademark owned by UM Ye:maenad Wee Association and used under icense 11* 165 Visa «Si csds and the LeS Visa debt cards are wad Ø UBS Bark LISA with permission horn vise LI S. A Worpamed M oden zadernarks, reg stered trademarks, Wyke marks and registered senice marks ye of their respective merpanres ISS I:sanded Senior Nc Rev. 701810 SDNY_GM_00027729 EFTA 00)38339 EFTA01278958
UBS U8S Fnancial Services Inc Private Wealth Management 299 Park Avenue 26th Floor New York NY 10171.0002 CN?70057930870t19 el 0 Resource Management Account January 2019 GHISLAINE MAXWELL 139A CHARLES ST. APT 0233 Account name: GHISLANE MAXWELL BOSTON MA 02114-3252 Friendly account name: Indy. Millennium Account number: Your Financial Advisor: SCOTT STACK MANILYLE CASRIEL Phone' 212.821.700QB00.30&3140 Questions about your statement? Call yoa knanaail Advisor or the Value of your account RMA ReSOurCeline at 800-RMA- 1000, account 029328776 on December 31 (11 on January 31 (S) Your assets 756,359.00 761,416.00 1fislt our website: www.ubstornainancialservices Your liabilities 0.00 0.00 Value of your account $756,359.00 $761A16.00 Items for your attention Help protect ycastel' her, liaul and review bank, credit card, and brokerage statements regularly. Also, get your free credit report amtally from Sources of your account growth WWW. an nuak redit repat. corn . Tracking the value of your account 1 Thousands during 2019 Value of your account at year end 2018 $756.393.03 Your nvestrnent return 683.7 726.4 756.4 • 761.4 • Change market value $5057.00 250.0 Dec 2015 Dec 2016 Dec kl 7 Dec kits ran 2019 Value of your account Golan 31.2019 8761A16.00 SDNY GM 00027730 Member SIPC CNI1000S005750C07NP7003197332 00005 Crl 19 030575004 CONFIDENTIAL °veer° Peg* 1 of 6 EFTA_00138350 EFTA01278959
*UBS Resource Management Account January 2019 Your account balance sheet Summary of your assets Value on January 31 (I.) Percentage of your account A Cash and money balances 0.00 000% B Cash alternatives 0.00 000% C Equities 0.00 000% D Fixed income a co 000% E Non-traditional 761,416.00 100 00% F Commodities 0.00 000% G Other 0.00 000% Total assets Value of your account $761,416.00 $761,416.00 100.00% Account name: GHI$LAINE Friendly account name: Indv.Milennium Account number: Your current asset allocation Eye on the markets Index Percentage change January 2019 Year to date S&P 500 a 01 ox, 8.01% Russell 3000 8.58% 838% MSC I - Europe, Australia & Far East 6.59% 6.59% Barclays Capital U.S. Aggregate Bond Index 1.06% 1.06% Your K vandal Advisor 7' STACK MANY LYLE CASFUEL Interest rates on January 31, 2019 3-month Treasury bills: 2.36% One-month LIBOR: 2.51% CHF 70003005793080 NP7000197332 COCOS 0119 030579004 CONFIDENTIAL '11-GIII-00027713119. 2 of 6 EFTA_0013835 I EFTA01278960
Resource Management Account *MIS ' Change in the value of your account Account name: GH15LAINE MAXWELL Friendly account n - Account number. January 2019(1) Year to date (3) Opening account value 3756,359.00 $756,359.00 Change in market value 5,057.00 5,057.00 Closing account value $761,416.00 $761,416.00 Summary of gains and losses values reported below exclude Products for winch gar andlosses age not classified. Realized gains and losses Unrealized January 2019 (5) Year to date 11) gains and losses (3) Long term 0.00 0.00 111,416W 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 Financial Advisor or Branch Manager. You can find a ful description of the alternative investment objectives in lmponanr information about your statement at the end of this document. Your reborn objective: Current income & capital appreciation Your risk profile: Primary Aggressive Investment dig ibikty consideration None selected Your account instructions • You account cost bass default closing method is FIFO, First In, First Out. Your Handal Advisor: SCOTT STACK MANLYLE CASRIEL SDNY GM 00027732 Ceir70:O3305793039NP70C0197332 00005 01190305 00C0 7500 nC 5 CONFIDENTIAL EFTA_00138352 EFTA01278961
$UBS Your notes ..'x....,,o...,',...,....".....”o' aztve_c,m_oaoznttn • a CONFIDENTIAL EFT,00BE353 EFTA01278962
*UBS Resource Management Account January 2019 Your assets Account name: GH1SLAINE MAXWELL friendly account name: Account number. Some pnces, inccole and current v a utS stiOfin may Ix approximate. AS a int*. gains and tosses May not be eranalely reflected. See rmporunt intosmefron about your statement a the end of this docurnem fOr more information. Non-traditional rhyme equty funds, Hedge funds, andOther investments are held in yOur U85Finarcial ServiceS Inc. CUBS FS) broterme account. the postIons reported below reflect the tecceds of the issuers, and u8S FS does roe patentee the accuracy of the I riormation the vaue shown is not necessarily the value you would receive hem the Issuer if you sd the assets. Funds actively sdd ty UBS f Sate subject to ongoing due da pence, athough the level performedrelay vary A dosed fund may be subject to no ongong drigence A fund that you purchased elsewhere may never have been suteecl to085PS Once nee, although UBS FS may receive a fee from thefunds manager,which may COOSIltUle a maculty of the rnanagernenai wenn ve fee. Neat contact your financia Advisor with questions • Ed vaue per unit' is an estimate of value supplied by an independent valuation inn and reflects adiustrrents for factors such as the lquidty of the units. Hedge funds itching ALPHAKEYS MILLEN FNO 8RCCERAGE NO 12/3 ff2018 Trade date: NOv 24, 15 650,000.00 PutchMe PK& t0.1013el Avela9t price Client or shafts pet share (S) investment Your Meander! Advisor: SCOTT STACKMANLYLE CASRIEL Esiirnalles of value suppled by issuers d [Man prograws (which eve generally 'net taste vaue' estimates) are shown as' issuer est. vaue per unit'. For PnVae equty funds, 'Est. value per unit • is a vaue updated quarter, based on the Net AsSet value C now') in the fund a or the date sped fect &tunedby arldng cadtal calls and subtracting OAobi/Non, 'nee the NAY date The NAV is primarily based on estimated portfolio vases prodded by the underlying fund sponsor Thew two ea ues may vary became of differences in the way they were estimated and because the • Third party en. rave per unit' mag have been prepared come bass Cl financial irionnaton other than yeanend Retried estimates may not reflect resat liquidation or repurch&e walla, it any, and may rot reflect dst ebuti cos of caaital until the next valuation is rePated, generally on an annual or SentannUa basis See Important info/maw atIour your statement at the end or this statement. Cost Price per share basis(%) on Ian 31 (1) value on unrealized (tail investrnent Holdng ten 31 (5) pain or loss (5) return (41 period 650,000.00 1.000 761,416.00 111,416.00 LT Your total assets vaue on tan 31 rercentede cr Cost your account bass (41 Estimated Unrearzed annual inccrre gain or loss (4) Nontraditional Hedge funds 761416.00 100.00% 650,000.00 111,416.00 Total $761,416.00 100.00% $650,000.00 $111,416.00 C HP7000E/305750091 NP7003‘97322 COCOS 0119 030579:)04= 000000 Pap S of 6 SONY GM 00027734 CONFIDENTIAL EFTA_00 I38354 EFTA01278963
*UBS Your notes ---===ielm CONFIDENTIAL EFTA,I3E353 EFTA01278964
Important information about your statement LOS Fnncial Semmes M. (the km Cr UBS FelanCiat Sorviara k a mentor of all principal away, ourrodity and opThenvircharges. UBS Financial hence and OBS Bank USA are ndred stbsoaries of 1,85 AG and affiliates of LOS Sectsthes LLC. The Fim's filarsial 'Inerrant is available upon request The Firm's narwe offices are LOS Fennel Saxes H. 1200 harbor Boulevard Wethanken, NJ 07096 Thk Paternal recreants the only official record of you 1.3S Fruncul kraces accost Other recadS, essaPe off col sac dxunents, contanng calking data should not be relied upon II you baSeve thew is an error or amnion pima report it immediately n writ rig to the Ranch Leaner off the office smug nu account. Aelocur at I.garee shown are mended to be accurate, statement data should not be used for Is. pupates Rely soieh on yea .end tax lams, e Form 1099. 5496 10425. etc ) whendredem^9 tax tat return. The Fan is recpred by law to repot to the XS erasable dracaenas reportable nontauble didends and taxable merest caned on wrath held you scant net proceeds a tale transactions. and con basis on cenan cowered seciseks Comersmications with the Firm • Please reconfirm ay oral coreruncatans in me ng to further protect your rips, ixtudeg your nits order the SKuntir.t Luna Protection An (SPA) • If the liars ill esteution cei the top lett of the front of this statement is not LBS Finns Senates, 1.85 Fi-araul Serkes carries you' account as dianng Laker by artangeurs weh the imitated inntulan We Worried yen d this relationshO <Awn you <paned this accost. h the case you knps and seances are located at UBS I natal Services and rot the infockarg broker. and you nut nub • a repel of arty error or anissaf lo both firm • Asdeka:ad tithe account aromas, you must notifyusof ay errors or baud invohng checks reflected as you statement within 30 days alto t was make a nub whirl.. • Pleasediva customer complaints of indines to the Fines C lent ReLaticns Depart ent a 201.352.1699 or toll-free at 800.3549103. BOO A M. to 6 :CO P.M. ET Monday through Frisby, or in writi6 to LBS FirtaX4ISeniCet H., dent Relations Department P.O. Box 766 Unon COY. NI 0 70e7 • All *menthes shall be deemed ca rols. and accuse I not objected to n hating voila 60 days • For TTY senates. Call 844412.0986 or from <utak Ow US.: Call 21.352. 1495 • hcase of errors or pal am about en electronic funds transfer (Mt bit parrs a U26 Yea debt cad transactions. call $00-762-1000, or write to UBS F Ciancial Semmes H., IOW Marta Blvd, 6019004 Weehanen. Ns 07096, Ann RIAMISA Saxon Cal a smite as son as you on, if you thin your statement a rah% if wrorb or if la; need more information abaft a transfer on the shaman, a recept The firm or Cod Inure Las amicable) must her Iranyou no later than 60 days after theism sent you the That statement on which the env, or ['tibial+ appeared. - Prow:Seyou- name ad scan number any) - Doubt the error or de transfer you an unsure about. and ...Pain as clearly as you ca why sou believe * is an um a why you need more ricirrnahat - Provide the doter amount a the suspected war The Firm a Cad Issuer vac iwestigate you' cancfant and oral correct erry error promptly Foe alleged errors rule"; 1/BS Msa•dtbd card tramactakR we take mere tha 10 bus tress days to do this, we will credit you accoutre the amount you Rink is in error, so that you wit have the use a the money daring he tent it takes so to carpthe w inethpat kn. Please Mace all checks payabb to the Fan or the humid nsteAcn nalcsted on the front of this 'daemon' In addition to ragas account fees. accounts my be pAdect to mantenance lam charge, few late payment for securities purchases and charges for unpaid assorts n cash accants Accounts that are translated to other restaithms may be subject to a venter fee. UBS Swoop Options UBS otters options for PrvaPn9 cash balances to ban depose scosits at nOn-aliltiteCI bans and affiliated banks and money noted astral finds (Money kali). Douse accords at UBS Tura USA and run•atliliited banks panicpa1iil n the VEIS FPCbsured Dmosit Program an FOIC•nsured si sardine< wt FOK rules For more rifCmlatiOn. please rise WNW Depose accounts at UBS AG Starnlad Brands and shims of Money Funds we not rested by the FDC. Bank deposits are rot protected by SPC Money Fund shares are protected by SIPC Ste - OAS Portal Sawa Accoull Punta' below. tlicayour serest, balances 6 the bark deposits May be with:lawn. and shays of a Money Fund may be lizmidated. and the proceeds retuned to you a you' secants acute Fisher incansion about available sweep options, socksing current a-barest rates and Yields. IS available at Amman rorrissemyekt, loom yOUt Financial AdvisCe a by (*ling 900 762• 1000 UBS Financial Senka account protection The Firm 6 a member of the beanies Investor Protection Corporation (NM), whch protects securities customers of es members to to 1500,060 (nadir.] 5250000 for darns for cab) Emaannory brochure available isxn requen a at www siDe org The SIPC asset protection lines spay to all accounts oat you hold in a particular cap key. The Finn together with certan affiliates. has the Puchased supplemental The inmerun anus* payable to all e16ble clients, collectively under 0)5protection is $500 million as of December 10, 2016 Sashed to*. policy comfikcis ad &mations, cash at the Sim is further protected for up to 11 9 maim in the Ailgrecate f or all your accounts held n a pal mar «peaty. A lug copy of the poky wording 6 available UlffOri request. Neither tat 51K proleclannce the suaSeernental protector) apply • Certain truncel loses controlled by (and csluckd your account vabe) bat hell awry from LBS Financial Services For example certainOainsurance pedals, irludirg variable annuities. and OA stores of mutual finds registered in the name of the scant holder on the boob of the issuer or transfer gent), • threstmmt contras or nvennwii interests leg, limited aartnifethiat and private placements) that are not registered under the Sepsis:es Act of 1933; • Corrrnoclities contracts (.g„ foreign matrix and preccus metal contracts). attain; futures contracts and sensibility option contracts, and • Deposit scores (except certificates of deposit) at LBS Brk USA. UBS AG U S. arches and bans 6 the FDIC hsured Deposit Program. The SIP( protection and the supplemental potation do not apply to thew fusels ewes if they otherwise appear an yas Statements The SPC prohichan and the supplemertal protection do not protect against changes n the market vats of yoir inn-shunts (*Meths as a waft of market movement Issuer bankruptcy a otherwise) Dividend Reinvestment Program (DRIP) She aba reflected is an average price. You may obtain the shall pat Ircm you financial Advisor. Only whole than are purtheicKI under DRIP, partial shares will be sold and the cash wit be deposited in your account The deskied renvestrunt price svdPlied bd.*** 'saw may differ from the market (rice at Math paella styes tie sold Cosibitelieu Only whole urns maybe Nth:In)oex account. you are entitled to a panel raid as a result 01 a rood payment • otherwise, the Sum wll ether sell petal acts at man et prise a accept Sr amass determined by a registered c1exrs agency. and credit yam scant Investment objectives lore minim's( tenants and nsll, profile arc specific to each account and may vary bmwa you scout Please advise the Fin prompts in writing of airy Present charge in joie financial situation or byeament obranes. For each &cant hekt you choose one of the backeng inseam** cbjechses • Prodia Current Wan Investments seeking the prewar of Hone ono. • Attune Capita/Appreciation; Imestments seeking growth of prespal ratter than the generation a mom.. • Podia Corn (*Won of income sad Capp( Appredetisw Investments staing both the generation of HOT* and wraith of principal Overall risk gorilla • Consenlaw. Seeks to Marten neel pampa', with kw risk rd van sly to the sham overall, it that means tat scout days not generale significant CONFIDENTIAL an Cr land and may not keep pace with ii1stcn • Moderate WAIN to accept sane risk to pincPal and tolerate sane wearily to seek briar rattans • )(foresaw: Wiling to accept hit rii* to pnncoal ad hagh vOlablity to seek high returns over tine. • wheitaien Efosefirry Consideration: e sekeect a portion of the portfolio lot that account may include complex strategies, linked liquidly and rater waatilly Statement shouseiholdnie We mei consolidate at mimed account statement with the sane address in the in erwetem. to because they have owners who ako mantan bat scant relations/ma wth other chres r the same sicken. If you prefer to mere rdirdal statements mailed n separate emulous, you may decline Ismacali-6 by (Missy you Financial Adria Friendly moult name tae Friendly accent rune it a CuSICennale 'rskrurne chosen by you to assist you withyour wadi...pop II has ro legal effect al you' account is not Mended to reflect arw strategy, prodst recommendation. mestment objective cr risk profile associated wet, your scants. and es not a proms< a guarantee that wealth or any linancial results, can or will be achieved. All imestments involve the risk of bus, inctdrg the risk of loss of the enure investment. You can change your Friendly accost names thro6hOrine Services a by contain; you Crustal Adasa. Account overview • Value of your e«ountleortIolo. Net of assets and Astacus_ • Assets Includes available cash balances. mars fa itstritted security (en ), and Global Tim Deposits, urembed nests to market, and cash *sets not held by the Finn Does rot include awed SeCUMiesla$14.1S at me end of the prior and current statement pans, a pante investments, ;fatted stock options and creirciiabee stock options • LiablAties nudes debit balances, caste-46o margin lams. credit Ine, shot rant balances. • Cashfritontyhalanced Total of uninvested avant* cash balances, plus deposit balances 31 all 'hated an non affdated Del s, ad money makes mutual li d sweep balances, at the close of he statement period Normorrmodrty free crake balances in you across an not segregated trot oche balances and theism may use any a these Ira in the ordinary course ol es banks These fads aro palter upon your domed. This total is included in the canal period closing <she Landing information For <Snared etramation m he tern s lending erect ces ad its Munn, refer to you Clem Ramionshp Agreement cr Across. Agreement and the General Terms arid Conditions LBS Staleunt of Credit Practices avaiktk napes/eras and Oixbsures A pow nAx cwwwc(cuwef new SDNY_GM_00027736 EFTA 00138356 EFTA01278965
Ilnportant information about your statement (Continued) Your asses Your statement itemizes recutites rd other assets held n the account at the end of the Statement reread You may ask for delver of ft* Paid securities al am tire. You may reel,* unities used as loan coMosui alter paying any balance de on them. Any securities tranderred to the Fm, ding the statemmt period are Teed at market value as of the end of the starlet period • Con basis. ri detemnirg the cost basis of thw securces included ei this itaternent, wbtie indicated wit. the number 'I,' LeS Fanciest Services Ms relied on information chained from sources other than t ernr al Streets. skluding Hamar On nom meek. In or that you may have voided to your Finarkal kleiser. the Firm does AM indepenietly way cr guarantee the aCOSaCy or valday N any OM emotion vended by sources other than U3S Financial Drees es addle% although L6S inertial Seneca gerseralk updates this nIcematim as it is received, the fen does rot von* any entrances dna the information crcler "Coat base and "Ureealcod gad loss' it activate as it the date of this statement. As suthc please do not rely en this nlanution to make pathos. or sale decisions, for tap:poses or othenvise. Acccums transferred to the F Cm may reflect gallon inferno kin only Ice the period or tire theywe held at the Fin More bigot:cal (kernels', can be added by you* Fnarxise Advisor. • Womanised gent/losses. Mien data 6 availabk, tempted unrealized gansflosses are calculated for nchaiial toasty lots the enaction data for *vii lots may or may rice ref act arrmissions, charges antkr acuity reorgweal on events. Deeded and other reoveoment lots and systematic pith's. lots are each combined to display tee averaged lot 71-e 'Trade date «damn pawns the orient transaction trade dale. • Callable stock that the avercats for eery rederrpton wit be selected niparbally by lot Iran among al scarlet of that :Sue hind n rum. or in none*. rem Ice at clients Call lease oformalkn is obtained front third pales and es accuracy is not guaranteed. Other call leaves may exist which cold! ect weld. carbine information rill be provided upon request • Price/value hien displayed for securities and other products may be higher or hear than the price that you would actually reeve in the market Prkes ap obtained from vacua gird party sources With we Wert to be elabte, tat we do not garner the accuracy - We generally use the thane price when available or tie mean of the bid and ask prices for listed reviles and options a onk bid pekes Ice OTC wctikes - Less actively traded secwhis maybe priced tong a valuation model or the most recent price we obtained and may not reflect an actual market price a rake. ▪ Cenail positions may taper sio Woo a price and wit show as 'once was not available B we an triable to cbtan a price for a wanly. - Deposes ce seaities denomnated n arrences other than U S. dollars re reflected at the exchange rate as of the sitemere date. - For cenan seances igen; n nonacnIcemng denomrsatons, price and wetly (face vein may have been adjusted to facilitate proper vein , To obtain anent guotatkos. when available. contact yos Fruncol Mks«. • Private investments and structured products. hivate nwstrnent ward*, (IN r) dire Dentinalion program and real estate inestment trust securities) and strut mad pretexts are generally highly &swot Certan souctered votes haw not been registered erith the Socaities and Exchange Cerriasen or undo. any state securities laws. We proideevirnated values for page reestrnent stakes and structured pockets for Menai crud purposes colt Autrey d riot guaranteed - These vases may differ abstant key Iron Fetes, it ay. at which a private' aim rt security a structured product may be boarkt or sold and do not retests* represent the wee you may rearm yaw liewidatkrt - Third pry *striates of value re as gai a <actin date aH are supOed to UPS Foxe sal Services on a regular bass by an ideperkkre valueion lima - Rae, generals/1w or sponsor («mated yaws, lob we satilied to the Finn by the 6Sulf, general owner or sponsor and may be eakulated based on deferent infamaten Iran that used by that panes to derive their minuted vales. - You can cttan additional nlemutean regarding the methodology used to determine the estimate of value ad the dale of the eicrinatiCel that is the basis la the estimate by contacting your Financial Adv60r. - Turd patty esunated vain may be reflected as 'Not priced' in several leuatienS: Mien an independent valuation fern has not suppled or unable to asap a value. when we become aware that a material event has °tarred that my calla prewocnk reported value am question, a Wan a value would be highly speculate* due to the neve ea the county - Wnen neither an issuer, general partner ce sponsor estimated value nor a thrd-pmy estimated val.* is pcnded, the wax of the warty wit bedeferent from its pedurie - 'Distributers to date' may irickwk When of capital extent or both. - • Original IPA size• represents the ritual offering price pis snit and may riot reflect jots cost base - DPP Ind unfilled RErt entities are not listed on a national securcin exchange. and we generally acted ad even if they can be sold, the price reefed may be less ton the per share estimated value provided n the account statement. • Resirided securities Restricted securities general" are not arrerey encible for pubk sale. LIBS Financial Services uses the market price of tie urreancted stock of the Sarre twat as an inflated value lee the restricted stock for purposes of the StOfteltat only. To the extent that restricted seam ies are eligNe for sale, tie value received may be obstantially less tun the awed value shown. • Est. (estimated) interne, current yields and rates. An to male of cruel r‘diee n bared on (c.o.,' dNidend and intOoKI rate, attuning the sec rites will be held for one yea- from statement date or until mataity. TF6 estimate is calf a guider*, accuracy and continued income are not guaranteed - Cotnuted wrath name red current yield for certain types of Starke <c old rifled. a return of princPal or cap-tatsans is which ease the est income (rd current yielo) would be overstated. - Estimated atrial cicala and curet yeld and the actual inane and yieMnighe be hive or hater than the *limited amounts - An estimate of annualized income (dividerd aockr interest) divded by the current market valsiaveragr balance a based an the last divdend or merest payment made by the issuer and esumes the securtiegdeposes will be hell for one yea from the statement date °tuna maturity. Accuracy and continued yeld ere not guaranteed. • Meets net held by WS Financial Services. Certain assets ar e not held by the Fin and no within the Files possession or control. These assets are deployed on yak statement IC. nt ow:national purposes only. Positions and valets presented re provided by the slung ('em 1185 Financial Dimes is not rep:rah for the infernaton and does not guarantee IS accuracy these assets at rol tweeted by SK or the Fir's supplemental DK coverage. • Revenue sharing and Maim/A compensation. - h addition to commission on sales and 12b.1 fees reeved in connection with the desolation of mutual funds to or <lents we ardor or anewe recede reverse thee° payments from detrbuices and ix advises of the mutual kids that so sell Thew amounts we based on two different moots-ems, FR the arrest of sales by 1.13$ of a particular rrutual had family to our cams; and 60 tie asset vats of a particular Mutual fund forays therm teased* fin - We and or, affiliate also receive networking and ornnbus processing fees in consideration for transfer agent services that we provide to the ratual funds These lees generally re pad from inwstor stets o the mutual fund and are a lied dony amour based en the noise of ;occults at the broker-dealer holding mutual funds of that fund laxly — en Atka, to CCenril6SkinS received in connection with the sate a datibuton of annuity contracts and unit investment least ins to our diets, we ardor as aff oat, receive reveease during corrpensaton from many of the opera t< companies unckrwolins the annuity contracts, affiliates of the nuance commies or sprees of the VM nostmet trusts we derange - In addition to confessions received from the pichase arid sale of NedShares finds, we actor cur an lute receive an asset-based revenue shaming payment from NestShares distrbuxn. A well as nicks; for technology development, training and education. — Our athletes also receive trading «omissions and other compensation from mutual funds and entrance «meanie; Mime prookin we chtuttne CONFIDENTIAL — We recent <Cenper6tiliell kern WS 8eA USA, LDS AG Surrloid Branch and noreaft deed banks thearin our cash weep Fro;raTh compensation may be per Amon fee or may be a percentage of odorant dak deposit blares Activity information repaying commissions and other chages incurred n curection with the extouton of trades, nailing Gotten tranactons has been inclded on confirmations previously fuemuited to you ed wit be Provided to )our proudly on roams Short Sling ml yet ere engaged n short tang a amity, you moy incur a charge Me to than borrowing costs foe that pan lady security. Open orders Regaidng open co • roblitcancelee odes that were not aerated by the summon date, open buy and tel stop orders we mowed by the anon of Modem's Or nyhtS on an exidividerds a eaatits date unless nstructect otieevose by you. You we respcnank for orders that at executed due to yoi failure to cancel "in.; OW ceders. Privacy To Aeon a copy of as current Client Fealty Notice, please collect you. Fnancial Achio or viol as weave at >wen gin ensurvivierr,frt. - 1.8$ Financial Drakes is rot a bark. The RMA, Dawes Services Account BSA and IRMA we brokerage accounts *bah provide access to barking SeViCes and redacts thinticji alarigernirritS wth affliased banks and other *teenybanks, and provides access to issuance and amity Products issued by unaffiliated thind.party nuance companies through instance agency %Redoes of LDS Financial Seem Inc — entstmere, inswance, and annuity pred-icts. — Not FDC insured • No bane guarani... May late vale — tMA lasarce Management Account. Busyness Series Account BSA, IRMA and nternalionil Resource Management Account are registered service marks of LSI Financial Services Inc. — VKA is a registered vactirrurk owned by visa tnermitional Service Associnicn and used undo license. LEIS Vna credi cods ard the WS Visa debt cods are smed by LOS Bann USA with pirmissen from visa U S. A Incorporated All other vadernarko registered trademarks, strike marks and registered senice nudes are of their respective corrpanies LIES Financial Services Inc Rev. 701810 SDNY_GM_00027737 EFTA_00138357 EFTA01278966
SUBS U85 Ina/Kai Services inc. Private Wealth Management 299 Park Avenue 26th Floor New York NY 10171.0002 CN770056032590219 XI Y1 0 Account name: GHISLANE maxvvEu. Friendly account name: Indy. Millennium Account numbe. Your Financial Advisor: SCOTT STACK MANILYLE CASRIEL Phone' 212.821.7003/800.30&3140 Questions about your statement? Call your Finan,:hse. Advisor or the RMA Resourceline at 800-RMA-1000, account 029328776 Visit our websIte: www.ubscomilinancialservices Items for your attention • Help protect yc.mel! Itori: frau] and review bank, credit card, and brokerage statements regularly. Also, get your free credit report anntally from ?new. annuakreditreporecom. Value of your account Resource Management Account February 2019 GHISLA1NE MAXWELL 139A CHARLES ST. APT 0233 BOSTON MA 02114-3252 on January 31 (S) on Febe.lary 28(1) Your assets 761,416.00 770,445.00 Your liabilities 0.00 0.00 Value of your account $761,416.00 Tracking the value of your account S Thousands $770,445.00 683.7 72&4 756.4 761.4 • • 770.4 • 250.0 Dec 2015 Dec 2016 Dec 2017 Dec 2018 Jan 2019 Feb 2019 Sources of your account growth during 3019 Value of your account at year end 2018 Your nvestment retina Dividend and interest income Change in market yaw Value of your account on Fab 28.2019 $756399.00 S38.168.00 -S24,082.00 $270A45.00 SONY GM 00027738 Member SIPC CNI10003005608259NP7000186856 00005 0219 03057500i OCOOD Pegs 1 of 6 CONFIDENTIAL EFTA_00138358 EFTA01278967
SUBS Resource Management Account Your account balance sheet Summary of your assets Value on February 28 a) Percentage of your account A Cash and money balances 0.03 0.00% B Cash alternatives ace 0.00% C Equities 0.00 0.00% D Fixed income 0.00 0.00% E Non-traditional 770,445.00 100 00% F Commodities 0.00 000% G Other 0.00 000% Total assets Value of your account $770,445.00 5770,445.00 100.00% Account name: GHI$LAINE MrVAN ELL Friendly account namerIndv.Milennium Account number: Your current asset allocation E Eye on the markets Index Percentage Change February 2019 Year to date 58P 500 3.21% 11.48% Russell 3000 3.52% 12.40% MSC I - Europe, Australia & Far East 2.56% 9.32% Barclays Capital U.S. Aggregate Bond Index -0.06% 1.00% Your Financial Advisor SCOTT STAr. " 411YIF CASRIFI Interest rates on February 28, 2019 3-month Treasury bills: 2.40% One-month LIBOR: 2.49% Cte70003005608260NP70C0105856 00035 0219 030575al0Mliy_Gm_000277PARe 2 of 6 CONFIDENTIAL EFTA_00138359 EFTA01278968
*UBS Resource Management Account Change in the value of your account February 2019 (11 Year to date (I) Opening account value 3761,416.00 $756,359.00 Dividend aid interest income 38,168.00 38,168.00 Change in market value -29,139.00 -24,082.00 Closing account value $770,445.00 $770,445.00 Account name: GNISLAINE MAXWELL frit nd ly a ccou nt nate*: Account number. Dividend and interest income earned For purposes of tNs statement, tacabity of interest and dlidend income hs been determined from a US tar repating perspedixe. Opted upon the residence of the account honer, account qve, or product twit, some Interest ands cividend payments may not be subject to United States (US) anao Puerto Rico (PR) income taxes. The dent monthly gatement is nol intended to be used and camp! be ref ed upon for tau purposes. Clients should refer to the zothatle tax reporting forms they recebe from Les annualy, sun as the Forms ICSS and the farm 480. foe id( reporting information It is the practice of UBS to file the gar:Pratte tar reporting forms with the US Interni Rewrite Sens(' and PR Treasury Departrrent. and in such forms accurately 0650 fy cindenct and Cr Interest as taF eFertpt or toot* income. Meese consult your Ind...dual tax prepare/ February 2019 (1) Year to date (1) Prior year adjustment 38,168 00 38,168.00 Summary of gains and losses vauts reported telow exclude mauls for which gars andlosses are not dassified. Realized gains and losses Unrealized February 2019 CD year to date l4) gains and losses (S) Long term 0.00 0.00 81,848.00 Cash activity summary Your Finandal Advisor: SCOTT STACKMAIWLYLE CASNEL 212-821-7000800-308-3140 See Account activity the MONA for dela Is Banes in your Sweep Options are indueed in the opening and dosing balances Niue FDIC insurance apples to deposits at UBS Bank USA and an banks participating in the UBS FDIC insured Deposit mann, n does not apply to deposits at UBS AG. stayirow &arch. 51K protection applies to money markal sweep find hddirgs but not bare deposits Seehnportant iokamation about your statement on the tat Mo Pages cf this document for detals February 2019 (1) Year to date (4) Opening balances Additions Dividend aid interest income $0.00 38,168 00 $0.00 38,168.00 Total additions $38,168.00 $38,168.00 Subtractions Funds withdrawn for investments bought -38,16800 -38,168.00 Total subtractions -438,168.00 -436,166.00 Closing balances $0.00 50.00 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 Fnancol Advisor or Branch Manager. You can find a full description of the alternative investment objectives in important mformatan about your statement at the end of this document Your return objective: Current income & capital appreciation Your risk profile: Primary - Aggressive Investment eligibikty consideration None selected Your account instructions • You account cost basis default closing method is FIFO, First In, First Out. SDNY GM 00027740 CriPTC003305608261 NP70031$51356 COCOS 0219 0305790CFF CONFIDENTIAL 00000 Page 3 of 6 EFTA_00138360 EFTA01278969
*UBS Yournotes CONFIDENTIAL EFTA,I3E3fil EFTA01278970
SUBS Resource Management Account February 2019 Your assets Account name: GHISLAINE MAXWELL Friendly account name M Account number. Some ones, income and current values Shown may be approximate. AS a blue. Wins aidlossesmN nol be &weakly reflected. See haportga infosenebon about your steamer', a the end of ths dacumem fOr more infornason. Non-traditional Private equty funds, Hedge funds, andOther investments are held in your UBSFinarcial 5ervltts Inc. (UBS FS) brolerage account. The potions reported below reflect the recordsof the issuets, and USS FS does rot garantee the acc teary of the I Wombhon The value shown is not necessarily the value you would receive hem the Issuer if you sd d the assets. Funds actively sdd by UBSFS ate subject to ongoing due digence, although the level performed may vary A closed fund may be subject to no ongoing dligence A fund that you purchased elsewhere may never have been cut:led to UBS FS (lade nee. although UBS FS Ref receive a fee from I he funes manager, whit hrnay constitute a masonry of the mannemenvi mem ve fee. Please contact your Financial Achnor with questions • Est value per unit' is an estimate of value supplied by an independent valuation inn and reflects adtustrrents for factors such as the Iquidty of the units. Your II nandal Advisor: SCOTT STACK !anti YIP CAtRiti Estimates of vale supplied by Issuers a (ertan crowns (which ate generally 'net asset \taut' eStrriateb are shown as 'Issuer est. rate per unit'. For Privae equty f unds, 'Est. value per unit' is a value updated quavery, based on the Net Asset value C NAV') in the fund m of the date specified a:Lustedby ading capital calls and sad r acti NOMobi/Bons unce the NAV dale The NAV is primarily based on estimated portkilio vdues provided tby the underlying fund sponsor. These two values may vary because of differences In the way they were estimated and because the • Third Reny en. value per OW* may have been prepared cot,* basis of financial irionnaton °the, than yeac.end Recoiled estimates may not reflect resale, liquidation or repurchase vlue, if any, and may rot reflect dst 'but oat of caortal u rot the next valuation is rePOted, VnerSly On an annual or serrtannual basis See Important inkvaetrcin abour your statement en the end of this statement. Hedge funds NuMber wdOng of shares RurchaSe OK& Metal:, price Client tel Shale (S) investment (S) Cost basis (3) Price per share on Feb 28(S) value on Feb 28 (3) unrealized Ron) gain or loss (S) invemment Holdng return (S) period ALPHAKEYS hALLEN FAO BROKERAGE NO 01/3919 Trade date: Nov 24, 15 650,000.00 650,000 00 1.000 731,848 00 81,848.00 LT Initial trade date: unavailable 1.000 38,168.00 ST Initial trade date: unavailable ---This information was unavailable.-- 1.000 38,168.00 Security total 650.00000 650003.00 731,848.00 81,7348.00 ALPHAKEYS MILLENNIUM FO I LLC CLASS 8 NO 01(31/19 Initial trade date: unavailable 1.000 38,597 00 ST Total 1650.000.00 $650,000.00 $770,445.00 $81,848.00 SDNY GM 00027742 C HM009305608263 NP70031$5856 COCOS 0219 030575004 1- Pegs S of 6 CONFIDENTIAL EFTA_00138362 EFTA01278971
UBS Resource Management Account February 2019 Your assets (continued) Your total assets Account name: GHISLAINE MAXWELL Friendly account n • I Account number: value on Feb 28 ( Your Flnandd Advisor: SCOTT STACK MANLYLE CASRIEL Percenta;* at Cost Estimated your &count basis CP annual income (S) Unrealized gam or loss (S) Non-traditional • Hedge Funds 770,445.00 100.00% 650,000.00 81,848.00 Total $770,445.00 100.00% $650,000.00 • missing cost basis information Account activity this month Dividend and interest income Mscellaneous E., I v Aaihrty DesceO110n Arnotrit (S) Feb 7 Pvidend ALPHAKEYS MILLEN FND BROKERAGE NO 12/31/2018AS OF 12/31/18 38,168 00 CUSIP: 90293k9K2/ SYMBOL MFQGDC Total miscellaneous $38,168.00 Total dividend end interest income $38,168.00 Investment transactions For more infonnsion about the once/ value shown for restncted secunties, see Important information about your statement at the end of this docu-nent. Otte Actraty Descepbon Proceeds fran inwsbnent Quantity Vale (S) Price 0) transactions (S) Funds withdrawn fa Accrued investments boucht (5) interest (S) Feb7 Reinvestment ALPHAKEYS MILLEN FND BROKERAGE NO 12/31/2018 ASOF 12/31/18 CUSIP: 90293X9K21 SYMBOL MFQGDC 38,168.000 -38,16800 Feb 7 Exchange ALPHAKEYS MILLEN FND BROKERAGE NO 12/31/2018 AS OF 01/02/19 CUSIP: 90293X9K21 SYMBOL: MFOGDC -38,168.000 Feb 7 Exchange ALPHAKEYS MILLENNIUM FD I LLC CLASS 8 NO AS OF OHO? 19 CUSIP: 02076)19M61 SYMBOL KAFSBME 38,168.000 Total 438.168.00 $81,848.00 CNP7COCE0056003264NP700018585600005 0219 CO 7 OWne_Gm_000277ttge 6 of 6 End of statement for account num CONFIDENTIAL EFTA_00138363 EFTA01278972
Important information about your statement LISS Fru/soul Senkes ix. (the tam a UBS FirtanCiat Serviuk k a mentor of all pri-cipal cushy, commodity and opens exchanges. UBS Financial Services and UBS Bank USA se ridrea stbsidaries of LEES AG and affiliates of LBS Secuthes LLC. The Fiths figrocul itattalat it available upon request The Firs execute off ices are x LBS huthal Sinus InC 1200 Harbor Boukvad Wethanken, NJ 07086 The Statement represents the onk official record of you LBS F *uncut knees account Other records PUPS offxul tat documents, contanng calking data should not be relied upon B jou bedew Owe 6 an war or omission please report it unocknly n smith; to the Brandi Manager d the office wiring you account. Although at 1 gun shown are minded to be mom*, statement data should not be used for Is. porposes bay colob on yea .end tax Tams. o Form 1099 5498, ":475.etc )when pr King VOW tae return. The Fen c Poured by law to repot to the RS all taxable dr...Pods, reportable nonitaubk Pidends and taxable assets caned on notes held you octant net proceeds on sale transactions. and cost basis on preen coned secretes Communications with en Finn • Please reiconfirm any oral perniuncatin tofurther protect your rips, noludeg your rights seder the SauntiFt Yugo/ Profficton Act (SPA) • It the Tian it retartion cci she top lett of the Iron of this statement is not LES Fans Snots, LISS Filartiall Stakes writs you account as channg Poker by antrum weh the ixfocated institution We ilonvied yw d that relabonshi, tMttn you cpmed this accuse. h the case you li ds and secisms are located at UPS I inancul Servos and nal the invoker.; broker, and you nut mai• a repel of rumor or omission to both fin.* . Asdeka:ad n the account ointments, you mast notifyusof any errors or fraud invohn checks reflected onyou 'Urn within 30 dan alto it was mailed or mole Noldolo. • Pleasedivot customer conwlirns a it-pales to the Frig C lent Relations Depagment a 20I -352.1699 cr toll-free al SC0.3549101 BOO A M. to 6th P.M. ET Monday though Frday, or in tinting to LBS Firinal Snots ire, dent Relations Deportment P.O. Box 766 Union CRY. Ni 07067 • All emeritus shall be deemed conches. and occur. I not objected to n editing vothri 60 drys • For TTY onyxes. Call 844412.0986 or from outede the US.: Cal 201352.1495 • hen of nuns oe gamins gout an electronic fords transfer (EFT). bat parent or IRS Vet debit cad VonsactiartS. call $00-762-1000, or write to UBS F runcoal Services tic., IOW Harbor BM., 6th HOP Weehawken. to 07086, Ann RIAMISA Scent Cal a write as soon as you on, -4 you ?hit you statement or recti% is wrong Pim need more ntormalon abase a turd.' en the strum. a receipt. The firm or cad but Cos appkabk) must her fran you no later Ilan 60 days after the Fern tun you the fait statement on which the ate or Problem appeared. - Provide you- nrne ad roue number (4 any) — Desabe the woe or the transfer you de unsure about. and hplain as cleat' as you en why you believe * is ar, wa a why you need mu ifformahon. — Provide the dokr amount of the suspected roc The Finn a Cad Issuer wit imiestigote you canprient and will conk, any error prompt& For alleged errors nook/nal/ITS linsia•dtbn cad transaction:, of we take more than 10 bus en days to d> the, we will credit you accost la the amount you Oink is in prat so that you wet hive the use of the money dung the tine it takes us to complete as imoshgat Please Mae all checks payable lo the Fain or the fruncal nsteacn a:Saud on the front et this sidemen In addition to regular account las, accounts my be object to mintonance fort charges for bete parent for securites purchases and charges kr unpaid mugs n cash accents. *wants that are transfored to other insteutorm nay be subject to a tinter fee. UBS Swoop Options 1165 offers coffins Icr sweepng cash balance. to bat depose uouits at nen-a t aided banks and aft skated banks and money their natal holds (Money hat). Deposit account at NOS Bet USA Std no-outfit:sad barks particpaing n the VBS FPCittsued Deposit Program am FDIC insured n accordance vesh FDIC rules For more itemalial, please vise Mae fdiCilai. Depress accounts al UBS AG Stamen &nth aid shores of Man Funds ale rot insued the Bank deposits are not protected by 9PC Monty Find shares are protected by SIFC See' LBS F runoff Strokes Account Noniron' below Lbcrn you repast, balances 6 the bank deposhs May be withdrawn. and shags of a Money Find may be liztuidred and the proceeds retuned to you or you wanes 'put hither i-fferrnation about available soup options, nclodng coffer* ireerett rates and Pelds. IS avillthlt at www Adis corrisrunekk. horn you F runcul Adieu cc by <ding 800 762.1000 UBS Financial Services account protection The Finn is a member of the Secvnes Investor' Protection Caperoton atPC), whch protects securities customers of es morrbees so to 1500.060 (nckdirg 1250140 for clams for oath) bpaannory brochure available upon request a at www a ha c org Tie SIPC asset protection lines apply to all scouts thff you hold in a pagoolv caPrlyi The Finn, together with certain affiliates. her also Puhased supplemental inuanct. The mainern arnant payable to all eligble client collectively onoer theprotection is 1900 million as of December 10, 2016 Subject to the policy covkiecis and limittiont cash at the Fim is futer protested for up to II 9 maion in the &throgate f or all your &occur*s held n a pal Kula. caparty. A lug copy of the poky wadng d available UI:00o request. Neither de 51K volectionnce the Ucternental protection appglo: • Cenan financial assets controlled by (and exuded n you account vau)t... held away tram LBS Financial Services For exanCl• certain (i) nuisance masts, including vaiabie nukes. and 93 tires of mutual funds registered n the mane of the accent holder on the books of the issuer or transfer &gent), • Investmmt cornetts a notation ravens kg. liked partatriliPt and private plaamOints) that at not registered under the Secuitds Act of 1933; • Commodities centracts (ego foreign exchange and paten metal contracts), incleng futures contracts and cornodity option contract,, and • Deposit uproots (except certificates d deposit) at UBS Brie USA. UBS AG U S. branches and bat 6 the FDIC Insured Deposit Program. The SIP( protection and the upplerneoul protection do not apply to there onsets own if they otherwise appear on yw statements The WC protection and the supplemertal protection do not protect along changes • the market vale of your investments (whether as a resat of market movement. issuer bankiuptcy otherwise) Dividend Roinvostmont Program% awe) The price reflected a an average once You may obtan the actual price Iran you Fnincol Advises. Only new* thorn aro punned under DRIP. petal shares will be sold rd the cash wit be deposited in you account The dindend renverent price %finked bd.*** wear may offer Isom the market price at Much to tie sold Coninilisu Only whale ores maybe held in you want. If you are tithed to a nand ism as a result 01 a 6vidorod parent or otherwise the fern wll other sell panul knits at maned price a accept an noun determined by a registered {loin? agency. andcredit yw account Invernent objectives The Investment objectives and nil, profile arc specific to each account and may vary between you accounts. Please advice the Fern ponce b n wing of avy Portent change in yet filarial situation or nveument nuns. For each scam held, cv 0,00te one of the loaning inonnent object... • hodxe Current Promo investments seeking the generation of erne only. • AchipveCapitalAppnaJaorK haainiatt catkin growth of prikwal rater than the generation d ncome. • rocker Corn laniaaon ot income and Capital Appreciation: Investments takingboth the generation of Irian* and groveh of principal Overall risk profits • Conroy/raw. Seeks to reunion oneul precool, with kw risk a-dyadMy to the wan overall, ewer ii that means the account does not connate iinificalt CONFIDENTIAL an or ions and my rot keep pace with inflation • Moderate Wiling to accept sane risk to pinclool arid tolerate vane volatility to seek beta reams • apdressne: Wiling to accept hit, rids to pnncoal rd high volatility to seek high returns over time. • fivesteren Pigoeffey Consideration: I selected a portion of the portfolio lot that account may noble complex tangles. talked liquidly and vexes oototiley Statement shousoholdire We may consolidate se related account statement with the sane address in the same orreekcie e 0 because they ha* oonen who also mantan brit account retitionshu wits other (baRS at the same address. II you prefer to mere irdivdtal statements mailed n separate envelopes, you may decline houtffickin by called you Financial Adesor Friendly accomt name Tie Friendly %Count An it a tutleMeible guarurne' chosen by you to assist you withyour recordloonn3 It has no legal effect on you account is not intended to reflect n strategy, product, reartninlatko. investment objective a roc pork associated weal your mcctrils. and is not a pomp a guarantee that wealth or any financial nob, can a will be achieved. All imeffinents nvokie the risk of lost include"; the risk of loss of the enlie investment. You can change your Friendly accost names thrpoghOnIne Services or by contact Cg your Fru-oral &duo. Account overview • Vette of your a«ountlaorttold Net of assets rid habitues_ • Whets Includes available cash balances. were for rourinM security Colt ), aid Global Time Deposes, ironed merit to market, and <elan assets not bald by dotter, Does non include winced securneslassets at the end ot the prior and curet statement pawls, or pule iwestrnerms, autted stock options and urban stock options • Linke. Wins debt balances, tutor-di-9 rowan loam. credit he, she account balances. • Casnoneybobreet Total or uninvested aurae* cash balances, plus depose balances 3131148W and noniaff dated Dail t rod money makes mutual bid sweep balances, as the close of the stoney period Nonsorrmockty free creckt balances in you account at not segregated from other balances and the in may use any of these Inds in the waylay cask of es bunk. These funds at park* gun your doma-d. TIN total is included in the nun period closing vale Lancing information For detailed nlarnaliOn on the leni s lending piaci CeS sod Pthmunrs. refer to you Chem Retisionshb agamall a Accost Agreement ad the General kerns and Conditions UBS Statement of Credit Practices avaffitle n Ageemeres udDiocbures at ;they go. e. ,,. SDNY_GM_00027744 EFTA 00138364 EFTA01278973
Important inforn Mil about your statement soidinurio Ye.. assets Your Walerrent nonce> *Cunt*, ard other assets held n the account at the end of the Slatement period YOU may ask for dekvery of fulll Paid securities al an tire. You may recent seculties used as loan cotifivai alter paying any Wince «a on them. Any securities franderred to to Sim ding the staummt peed are Ida at crone value as of the end of the sinew« period • Con barb. h <Reims-dreg the cost basis of the secureen induckd in this statement MAO! indicated WM the nunion • taiS Fannin Services An relied informaikei obtained from sources other than UBS Financial Stinker. ncluding Hannifin corn ' nether im er that you may have provided to your karate' Adana. the Fern doesnot inelmeniently way ce guarantee the aauraCy or valday Jay canation vote:baby sown other than 1.65 Fiwecal Secede. h addlin aithougan LBS Financial Seeds generaln talate5 the Hamelin as it is received, the f cm des not yen* any assurances Out the idoematicei abler "Cost basis- and ^Unvoiced gaid kW is amine as of the date of this statement. As such. please do not rely on this information to crake tartest or sale decisions, for tar pa-poses or otherwise. Accounts trind erred to the Fins may reflect ginclow ink:mute" only fix period d tire they are held at Ite Fan More bigot:cal (11CeMatien can be added by yea Mahal Advisor. • Ureroanted gains/losses. wrendata el audabb, esututed «realized garnflosses are calculated for nebtaaal security lots The transaction data for inckvickal lots mayor may nor reflect con-missions, chvges and« secuity reagrnl erects. Dirdend and other reinvestmen loss end systenatk paths« lob an each combined to display use award lot The • Trade date colmn talents the crignal vansacoon wade dale • Callable securities Bonds and preferred stook that the issuer cab la tub redemption wit be selected manfully by lot Iron among as serums of that issue held in out rume cr in nominee maw for loos clients Call Nate rikomalon is obtained from third pales ad ea acaxacy is not gdaranterd. Other call lenses may exist which 'void elect yold. complete intoemaim will be provided upon request • Price/value Prices displayed for securities and °her pea:kids may be higher or lower than the price that you would actually region n the market. Prkes ere <Yawn from men third partysources whet we been to be dab*, to we do not yawl« ther accuracy - We generally use the closing price when available a he mean of the bid and ado prices for fisted securities and options or only bids:ekes fa OTC washes - Lett actively traded searbas maybe priced using a valuation model or the most recent prke we obtained ad may not reflect an actual market price a rake - Celan potherb may awn *thou a price And wit show as'or« was not available ewe are «sable to obtain a «ice for a steely. - Detests or seculies denomnated n currencies other than U S. dollars Me reflected at the exchange rate as of the statement date. - For certain stranin wading n nOn-CCnICerting denommatons, puce ad queerly (Iace wen) may have been adjusted to facilitate proper winner To Mein anent quotations. when availabb, contact yccr F nada! Adied. • Private investments and structured products. ?Mato nwslment SAKL•lin (retying drect partcipativt ;foram and real enate imminent trust securities) and structured pretexts are generally highly ifitadd. Chan structued toxins haw not been registered with the Socaitin and GI:harts COrnmeSian a under any state securities laws. We Senn* estrnated values for (note mestrnmi Nantes red struct seed ;redacts for Mormal mai pupates «di Actuary a not guaranteed - These values may differ %aware bey than peen, it any, at which a vivre On d security Cr structured product may be Ward a sold aid do rot recesses* (eyesore the van you may recent yam licpaidaten. - 'Chid pry ingrown of vain are as demean date ani are suppled to UBS Fennel Services on a regale bast by an edeperiden valuation limn - is9n, general panne Cr sponsor estimated vetoes, 'I lob are 'Welted to the F rm by the nue genteel partner or sponsor and may be calculated based on deferent infarnation from that used by thee panes to drier their este:used values. - You can obtain additional Mcmuton regardlig the methodology used to determine the estimate of value and the dale of the infinnation that is the basis la the estimate by contacting your Financial Ades«. - Wird patty gummed values ma/ be reflected as • Not jotted' in several Ltuatiatl: Mien an inckoardent valuation I cm has not suppled «e unable to /wen a value, when we become awne not a material event R36 occurred that may calla poeviosny reported value in question, or Men a value would be highly speculative due to the nature cie the minty - When neither an auff, general pater ix sponsor estimated value me a thednew estimated vale pocmdied, the yak* of the scanty wit bedeferent from is puthase - • Oistratutions to dale • may nob* return of capital, name or both - Orgrwl tai sae reprised, the Mel offering price per rand and May not reflect phi cost basis - Of P it s unlined KR seven are no Idled co a national «wren exchange. and re greatly anted awl even if they can be sold the price received may be less tun the per share estimated what provided en the account statement • Reariaed securities Remitted securities «neat are not tureen eligble for public sale. 18$ Fnancial Services uses the motet price of the urrestricted stock of the sire ewer as an repined value sit the restricted stock for purposes of rha statement on/y To the extent the restricted tear. irs are olvitilo for sale t* vale received may be stbstantially less thin the awed value shown. • Est. (estimated) income, current yields and rates. An est nwe of nova rcorre is bend ern ruler dkidend and relent rain, attuning the securities will be held for one yea- from statement date or until mataity Thu estimate is can a gudelne, accuracy and continued maw are not guaranteed — Estimated annual name zed curem yield for entail types of securities could include a Min of or-clonal or capital gains n which case the est income (rd current pelt) would be overstated. — Estimated rat al exorne and anent yield and the actual income a-4 yield mop be lone a hetet than the ntenged tuna its — An estimate of annualized income (dividend ads interest) divided by the current market windavear balance a based an the last dividend or merest payment madeby the issuer and assumes the securifief/darrosOs will bo hell fa one year from the statement date or until maturity. Accuracy and contused yield ate not gaaranteed. • Meets not held by UBS Financial Services. Caton WPM ere not Mid by the Fim and not wenn the Fim's possession or control. These assets are displayed o you statement Ice of ormational purposes only. Potions and okays presented re provided by the siting fern 08$ Financial Sewers is not responsible for this incornamc and does not gannet its acasacy. These assets an rot tweet:id by MK or refire's supplemental 51K coverage. • Revenue daring end adifitional compenertion. - h addition to ccerninken on labs and 12b.1 Nos received n cornedion with the distriouton of mutual fakes to as dents we rector Oct affiliate recta.* rearna that° payments Iran datibncrs ardor alvitas of the mutual finds that so will Ikea amounts we based an two different components, (4 the rm.« of sales by 165 of a «Ocula rrittual find family to our dents; and 60 the asset vale of a potent mutual had lanais shires held at the - We rd ow affiliate also receive networking and nimbus processing fees in considerate, or transfer agent services that we provide to the nxdual funds These fees generally re pad from investor swan the inlitol• fund and are a fled dollar amont based in the rorrber of adonis at the btheer-dealer holding rrtitUd feeds ca that had tansy - h «Moon to commasons received in connection with the taw or defibuton of many; ontracs and unit minim.« bust «us to o« client, we ardor as at hate receive tenone sharing conthensaton from many of the noorance companies unckrwritin the annuity entriCtS, affiliates of the Nuisance ccerpses or sprain athe mitt nvestmeet moos we distrimeo. — n addition to commissions received from the puxhase aid sale of Neethhares finds, we anclor cur Ifisle receive an asset-based revenue sharing Payment from NentShers datibtaxet as well as Von; for technology development, training and education. - Our all elates also receive trading cormilsens and othe a:mono-Hon from mutual funds and instsowe carpanies *foie prontint we data* CONFIDENTIAL - We We've <CocerntiliCri Iran OBS Bare USA, 165 AG Sunned Branch and ronoff Mated barks Maur our rash sweep re°70Th This ccmpensation may be per account fee or may be a percentage of enrage defy deposit beeves Activity Information regating commissins and other dirges incurred di COrreCtCrt With the executionof Valet, inctong option transactions has been flooded on cord emotions previously furneshed to you, aril wit be Provided to you «nab on request. Short Sling II you are engaged in short selling a SeWrdy, puma/ incur a charge due to certain borrowing costs the that pan ioale- security. Open orders Regaideg open co • yostikcancele« coders that were not irercuud by the stewed date, open buy and sal stop orders re reduced by the anent of divdonck. or riPtS on an extfividerds a «motifs date unless nsinxted otherwise by you. eau are respcenbb for coders That se executed due tOrcas ladure to cancel "in? *Pen orders. Privacy To «tan a copy of as current tient Privity Notice, please comet you- Financial Aches« or visit as wend. al 'wen sib, en./rvivi e rt.> ( e. - 185 Fnarxial Services is not a bark. The RMA, Busness Services Account BSA and IRMA it brokerage accounts inch provide access to bariong services and Products *roots 11.1119111W41 with affiliated banks and other thicl.party bunk; and provides access to issuance and arrtelY PrOckedi issued by «off fined thud -party nuance «moan's through insane agency wbsidents d LBS Financial Seinen Inc. — meaner; mean« and annuity ptd-Clt — Not FDIC insured • No bare guarantee, May IMO vela — tMA Pesos« Management /want Busyness Services Account BSA, IRMA and nterational Resource Management Aware are registered service marks of 1.8$ Financial Seines . — VISA is a registered sucbtrurk owned by Visa huerkstional Service Association aid used seder license The 1.85 visa crede [ids ad the LeS Visa debt cads are eased by 18$ Bann USA with permission firm vissU S. A Incorporated All other trademark; registered trademarks, service maths rd registered sehice mucks are of their mutton COrriparaeS tSS Fesncisl Services Inc Rev. 701810 SDNY_G M_0002 7745 EFTA 00138365 EFTA01278974
















