*UBS Investment Account Your assets Account name: POT & KETTLE, LLC Friendly account narne:POTKETTLE LLC Account number. Some prtCes, income and current velum sheen may be approxlmere. As a result galas and losses mai not be accurately reflected. See importeor Infoarteiton Ova your statemem a the end of this dscurrent for more intorno°. Cash Cash and money balances Slang U85 BANK USA BUS ACCT Cattails; baLettt an Oa 1 (1) casing13SW! Pete per Same Average on Oct 31 (5) on Oct 31 (1) rate Your Financial Advisor SCOTT STACK MANLY LE CASRIEL Decent? interest 080 paled period 14,480.84 0.00 Account activity this month Oa. Actialy Deictiption Amoint (3) Dividend and interest income Tenable mterest Oct 7 Interest LIEtS BANK USA BUSINESS ACCOUNT AS OF 10(06r 16 Total taxable interest Total dividend and interest income Ole nanny Oct 12 Transfer JOURNAL TO GHISLAINE MAXWELL •14,481.13 Total other fends debited -$14,481.13 0.29 $0.29 $0.29 DeSOVDOn AMISH (1) Other funds debited Date Activity Description Amount IS) Morley balance activities Sap 30 Balance forward $14,480.84 Oct 7 Deposit U85 BANK USA BUSINESS ACCOUNT AS Of 1010916 0.29 Oct 13 Withdrawal LIDS BANK USA BUSINESS ACCOUNT AS OF 10/12/16 -14,481.13 Oct 31 Closing MIS Bank USA Easiness Account $0.00 SDNY GM 00025626 CW0003005596725 NPF000193603 00002 1016 030579243 Y123679550 000000 ►age S of 6 CONFIDENTIAL EF1'A_00136246 EFTA01277479
*UBS Your notes cu,,00ceoos..ano...... ,o,.s.o,,.v,.. ,..apggiy Gµ ....g., 6 of 6 CONFIDENTIAL EFT,00B6247 EFTA01277480
Important information about your statement Fivacial Services no. (the Firm or UBS Finereial Strokes). is a merrber of all principal ucvily, canna:day and esters exchanges. UBS Financial Semler, and LES Bank USA ate i-diect subsilanes of UPS AG and *thaws of 185 Settees LLC. The Fares Wendel statement 8 available upon regtest The Fres townie offices re a. WS Fine-03154mm, Inc. 1200 Harbor Boulevard Weehawken, NI 07086 This statement represents the only official record of you' U3S Fhancial Services account. Other records, exept official Isdooments. contanng conflicting data should not be relied Ira, II you bate there is an tiler a Omil,90n please report it immediately n wring to the Branch Manager of the office wrung your accent. Allhoxfi a litires shown ere Mended to be accurate, statement etas *pub not be wed fa to papaws Rely soak on yea-and tax forms. De , Form 1099. 5498, 10425. etc ) when Drepamg your lax return. The Finn required by law to real to tie IRS all Usable dividends, report/kb nontaxable detiohne and stable Merest erred on sautes held rimy awarrt rid raced, on see tramadiore, anima bait:neaten covered seats CzerelitslIealleitle with the Finn • Pleaferefortinn so oral canine/tons in wiling to further protect your cistitt inducing your rit coder tie Sea. lies Investor Protection Ad (SDA) • 11 the finance institution on the toplett of du hat of this statement isnot CBS F natal Se vat CBS Fi-andal Smites carries yea accaint as clearing Pecker by arra-gerrent wit the rokated insitution We in you of the relatOn5h0 ‘then you opened this accost h the cast your era and stories tre located a UBS financial Streets and rot the rwudcrg broker, ad you nut make enact of as es or emission to both firms. As described in the account agreements, you must IV* IA day errors or triad rwokrig checks reflected on your statement wain 30 CItyl alter t was mailed or made available. All doe mnis shall be droned corrplse and accurate n all other respects if not objected to in veitiu within 60 days • Please dhect cutromer complaints or rates to to Farts C lent Reborn Deposit* at 201.352.1699 a togas a.900354.9103, ft@ A.M. to BCC, P.M FT Monday through Friday, or in wing to 1.85 Financial Services ix., Client Relations Depalment, P.O. Box 766 Union Cay,141 07037. • In case of errors or cantons about an electronic funds transfer (ITO ha ward a UBS Votokbit card transient call F02762-1000, or write to UBS Financial Senices Ix., 1000 harbor Blvd, 6th floor. Weehawken. NI 07086, Mtn RIAMKA Series. Caller Wile as in yeti can, if you tit yea statement a receipt k twerp or if you need more rdomation tout a transfer on the statement or receipt. The Firm or Card lister (as applicable)must her from you no later than CO days after *ohm sent yOu the Irst samosa on which the WC( or problem accred. - Pettit your name ad reara number (4 ark) - Decal:* tie Moat Of the Winder )0U drecr6Urt about, indeplain as clerk as you cal why you believe t is an error a why you need more infanoten. - ProOde the dolor arrant d the suspected error. The Firm or Card Issuer vol hostiote pour compare and eel correct my error promptly. For alleged mots asking UBS Via debit cad broadirk if we take more Rim 10 to rest days to &this, we will credit par accord for the EMOL•It ytuthnk is in error, so tat you mil have the use of 110 money during to tine it lakes us to complete our mestigation. Please mite all checks payek to the Fan or fie Irene* nekton undated on tie front of the statement In addition to regular accort fees, accounts may be abject to mantenarra las cargos for lite parent kr securities purchases and charges kr unpaid arraft5 n cash accounts. Accounts that ere transferred to other instiutens my be subject to a transfer fee UBS Swoop OpAiorns LEG offers options kr nwoong cat balances. balances to bat deposits at UM Bra USA and LEIS AG Starrikrd trench (Ba-k Sweep Pr.:gams), moneymaker mutual tubs Money Funa) aid the InternationalDeposit Award (Mier c warners with in ntorutional Ree:VCO Maneerrerd Account. Though the Bair Sweep Programs, cash balances we swept to LES Bank USA to to an estabashed knit ad then to UPS AG Stanford Branch, or a Money Fund. Deposits at LEG Bank USA are FDIC insured in accede-or wit FCC Formore information please met wwwfdic Deposes at LEG AG Stanford Brant ad shares of Money Ards are not nosed by the FDIC. Through tie DA, (mailable to eat beams are swept to depose &cants al UBS AG New Yak Branch and LBS AG Cayman Ranch Thew deposes arena Soured by ter FCC. Balances held at the UDS AG Cayman Brandi are asperse, imposed to the sovereign ink of the Calms Wards, and tore is no guarantee or other elongation of UBS AG to rhea the Saxes *think al the LEG Cayman's Brach's bores. Deposal at LEG Bak USA and each UPS AG Branch are rot protected by SIK. Money Fund shares are protected by SIPC. See -L66 Financial Services Account Protect-an' below. Uponmut request balron in tie Pare Sweep Program or DA may be withdrawn and shares of a Mcney FundMay be liquidated, and the proceeds returned to you or sour seosdies accat Ftrthee rdormaton about available sweep agora nclairg (wont irderest rates and yields, &imitable at wmvubscornfsweeprekb, from your Fnancial Advisor a by calling KO-762-1000. UBS Financial Semite' amount protection The 5,t-n r. A manta,dF flv(te. ran< 1--enee• Plelecirn Corporation (SIPC), Inter protects It0-rlieS tacnIS 01 its members up to $912000 (indtcling 1.250,003 kr dahns for cast The SIPC asset protection limit apply to an accounts that you hold in a particute chucity. The Fnn, together with certain aff iliates, has also purchased uspkrnental protection. The nuenan amount payabb to et etgible diet, CONIClink wider this protection is ZOO maroon a of December to, 201S. Stbrd to the poky ordilons ad lmi anions. cash the firm is further protected fa up to 81.9 million n the swept* kr all your accounts held n a patiedm usweity. A fJ copy of thepoky wading is salable upon request. The Slit protection ad the suppkmental protection both do not apply to • Crean financial assets controlled by (end rolded n your account value) but hell away from LOSFine-col Services (e.g., certain( cash at UBS Bat USA, 60 cash at L.85 AG U.S.aanrhes, (4 Murarre paint including valible awaits, and 60 tares of maw' funds where such shoes ay registered duvet& a the name of the account hober on the books ad records of to applicable tskto a transfer agent), • Certain nosh-nerd contracts or interment interests (e.g.. limited partnerships and pewee placements) that are rol reddened wider **Securities Act of 1933; and • Commodities contact, (e.g, foreign silage and decoysmetal contracts), includirg futures contracts ad commodity option contract. lh•SIPC protection and the Cup0Writntil protection do not apply so these assets ten if theyotherwise appear on yea statements. The StC protection aid the trillernental protection do not protect against changes n the market vale of jar imestments (whether as result of market morns, issuer badiruptcy or *herni) More idonnation is avaable rot request. vat menu/ obtan more florin:eonabout SIK, micludo9 the SIPC Brockm. by conucting SIPC et 202-371 -83C0 • by irisitisp the SIPC iwarte ae smonsetorg Dividend Reiwestment Program pun The ate reflected a an ate fox trice. You may Oblast the actual price Iowans F racial Advixr Gulf week share aro purchased under DRIP; patial thanes will be soli ad the cash wi be deposited re your account the civickrd reinvestment price applied byte aster may rifler from the market pace al filch tie partial tires se sold Castielieu Cnk whole mats may be heldhendn gas aceut. If pin entitled to a petal wait a s Desalt <4am:bided payment or OhinViit, the Firm will either all panel was * made prima accept an /mord deurmined by a regiaered cleitiu agency, and credit yew accord. Investment objectives The riottimert objection and risk profile sr spec is to each account and may maybetween sat accords Phase advise the Firm pin:01,01in wining of ay sconticant change in you- I nacial sworn or investment objectives For each ward held you choose one of the folbsiu ins-anent ebactis. CONFIDENTIAL • Moen Cement income: hissIments seekng tie generation ol income onk. • Aches floret Appreciation. Investments seeing profit of peewee' rather than the gererafon of roam. • Produce Contbauten of Worse and Capital Aporecratou existents seeking both tie garment of name and grOtAh of taxa:bal. Overall ride profiles • Conserveire. Seeks to manta* nitial arcip* wit low risk and nobtility to the axon owat even if that means the accost does not generate sign loam room or returns ad may rot keep pre with • Moderate. Willing to accept some ria to pircDal and tolerate some totality to seek hater returns, • Aggresses: Wiling to accept het Mc to ponce's' and high ,plat lily to seek high returns owe time. • In. esteem' Et:gadder Contarration: I Hinted, a palm of the portfolio for that account may rot de canplex strategic, rented hoick andante voktiky. Staler Thaashokfrir We may comeliest al related *count statements with to sane address in the sate envelope, e.g. because they have owners who aka maintain jord account rem creips wth other clients a the tame addressif you peer to wont individual stattrninis mailed in separate envelopes, you may decline lxv,eholing by caling sow fine-cal Advisor. Friendly acesstmens The Fiterdk accent name is a custom:ride 'nickname chosen by you to assist you with your recordleePti. Fes no legal elect on your account. You can change yw Friendly XCOult names, through Onlne Services or by contacting your Fitanciel Admix. Account overview • Value of your accoun4onTolo. Net of *sets and liabilities • Antb troludes soli* cash balances, vetoes fa restricted seamy (ea ), and Global Tiro Deposits, amazed marks to ma-ket, andcertain assets not held by der Fern. Does rot include unpriced saclike assets at the end a the prior and carent statement paelOda. or aerate ineesteritt umested stock options and erectable stock options • bibiefs Includes debit Waxes armarding margin bans, credit lire, chat accou-d balances. • Cathhooney balances. Total of unimested treat* cash balances, plus deposit telexes at UBS Bank USA, LEG AG U.S Branches ad moray market mutual fund sweep balms, at the chose of tie staerrent period Non-conwedity free credt balances in you' account are rot sec/eyed from other balances and to Font may sae so of these lords in the ordnay course of As brains, hew funds re pestle won your darned. This total is mended in 11-0 anent period cbsing Vale Lending information For &lanai onlorrnalion on the Firm's larding padres and incl.:eves. refer to you Client Rebtionthip SDNY_GM_00025628 EFTA_0O136248 EFTA01277481
Important information about your statement (r20116Thefif) Agnment or ACCOal Agf et* tertl and the General Tams ad Conditions U3S Statement of Credit Practices ;sealable in Agreement enders/sures a goy ear maltreat lorekrinto oret Your assets Your statement itemizes securities end other assets hell the accent at the end of thw statement period. You may ark for deaverY a fully paid seariies at anytime. You may receive securities Lead as loin collateral after paying any balance cis cri them. Any securities translate-deo the Firm casig the Italement period ale liked at market vas as of the end of the staterno. period. • Cast bald In detemining the cost basis of he securities incbded n this statement, Were indicated wih the number " l, • LES F mince& Services has relied Ori information &lined from sources other than US$ Francial Bennie,, inclkding I-formation frcm another fine et that sum./ NW* grovided to yea finaxial &kis. The f inn does not ideate-okay verty a damn* the aco_racy a validly of my Sarmatian Provided by scum the, LES Senecas. h xiltion although LESChricial Services grerafir iodate, ties Haman:re as it is termed, the Finn does not provide art, assuarces fig the Merman:re seder 'Cost bans° ate *Unrealized gar/loss' is accurate as of the date of this statement. As such please dome rem on this nice-ovation to make pesehne or sale decisions fa taxis...poses a otherwise. Accounts turderred to tie Elm may reflea ger/loss Hamelin only for the period d tine they are held at the firm Morehi:twice] Haman:es crib, aided by Kir Fnaxial Advisor. • Unreetheed gain/Ions Yellen data n avenged trroaare4 guindloms at. actialed ter hdvitial smug lots. The transaction data for idvSLa bit may or may not reflect ccmmissigns, rZ dor security reorgairaten events an cl and ogee reinvestmene lots ad systematk pirchaPP be, are each canbined to dieplar one averaged lot The 'Trade date' colon presents the agral transaction trade date. • Callable securkies Bonds ri d defined stock that the 411-0" calk for eery releriphan will be selected marhallt by lot Iron among all searnes of fin Sue held hi our cursor n nomnee naive fa or <lents, Call tense Santana is cbtaned Mom third parties and in accuracy is not gmantead. Ott, tall feabses may emt which mid OM yield candete irkernaten MO be wonted upon request • Certificates of deposit (ma). CDs are FDIC awed Lino 1233,000 h principal and accrued Serest per deporiecr ate per depository innitufixt. 'accordance win FDIC rules. • Priothalue Prees droplayei f or secuenes and other precasts may be higher or lower than the price that yai would actualy receive in the make. gin are obtained from yarns turd pity sources whiti we beeeie to be relabk, but we do not garastee then actursy - We grew* use the &nig price when nitre or the mean of the bid and ask price, for listed acuities rid optics a co* bet prices for OTC searnies. - Less 3Ctivei traded seculties may be priced usig a valuation model a the moss recent price we downed ad may not reflect in actual makes price a vase - Certain positions may appear anto_n a pice ate will fist as 'irke was not avaable• it we dye usable to obtan a price foe a seamy - Deposib a securities denominated elCUITarat ohs than U.S &elm are reflected at the etching. rate as of the Statement date. - For certain searnes &ding n non-conformrg denornnstrons, price and quantityOde salsa my have been adjusted to facilitate mem value: ft To cbtan (trent gint.iims. when availaba, contact ccarcel Zen:Cr • Private inveaUnenta and attar:oared produas. novae rionlmal war las (nc Ulm drttt parreipatim program and realeaate investment est noshes) and structred proins are periwig, highly Sigrid. Certain seat-tend prodsts have not been registered with the Securities and Exch Commission ix under m slate securdtileTarra We Provide estmated values for private investment searkes a-danstured products for Samara! purposes ivy. Marary is tom gumanteed. - These vitas may differ absurd* tan prices, il any. at which a side noniron,' thy structured product maybe bought or sold and do rot necessalyrepresern the vais you mayreceive span lictidaten. - Throe party estmess of vain are as al a oxtails date and ate applied to UBS Ennui Services on a reglar basis try an independent satiation firm. - baser. general panne- or sponsor estimated glen, ay, ate applied to the Fan by the issuer, general partner oe wawa and may be calculated based on afferent information from tat used by hid pities to derive their eainated values. - You can obtain aednoral iformation regarding the metccblogy used to deem** the estimate a value ad the dale of the Hammenthat is the basis fa the estimate by contactig your Financial Advisor - Third party 'Ranged vales may be reflected as 'Not priced' in several dentin when an Idope-dent valuation lire has net %Slateda wade to midi a vat,.. Serowe become ware that a matenal met has °cored tat may call a enous," repaled vase rap question, or when a value would be highy space-Ss due to denature et the sneaky. - When neither an num general partner or ammo' estimated value nor a thrd-paly estimated value is d oirdect, the was of the seanty MR be dikerent Irene its caches* price. - •Daributiens to date' may indude ream of capital, ncome orboth. - 'Original unk size' represents tie noel offering price per Lnk axial., not reflect gout con bass. - DIP rd unlined REn stasis se rot listed on a national securities exchange, and are gerverdy liquid and event they can be sold, tie ark. received may be less than the per fire estimated vat,. provided n the moral statement, . Resbicted securities. Resisted 'earners gneraly are not clammy ergble to public sale. UBS Financial Service: uses the metal prima the unrestricted stork of the sane issuer' as an imputed value for the restricted nod Yorourposesofihri statement oak To the extent tut resided stories are elgbk to sale, the value received may be sebstarnyaly less than the insured vakie tom • Est. (estimated) income. anent yields and rata M estimate of a'nual income is based en current dnidend ad interest rates, assuring tie ensiles sill be held for cress from statement date or arts maturity This tetanal* isony a gudolne; accuracy and continued income are not gum-steed - Estimated anal kerne and cured yield fa certain types of washes add rick& a ream of pencilledor capital gaga iv which use the est income (ad curse yield would be mentated. - Estimated anal income and arrent yield and the actual ?cane aid yieU misfit be lower°, higher than the estimated terb3unn. - Ancient* of 'trusteed income (divilend andce interest) divided by the current mariet valsiaverage balance is based on the Last dividend or merest payment mode by the aver and names he seareeideposts will be held fa as year tan the statement date of until matuity. Accuracy ate continued well am not guaraseed • Assets not held by UBE Financial Services Cenah meets se rot held by the Fine arena wen the Fern's possum or central. These assets are &played on you statement for informational purposes Only, Positions and values presented re provided by he Ssu'rg fern. UBS Inancial &races not reef:cable for Ow information and does not guarantee es mangy. These assets are not weeded by SOK or to Finis supldementalSIPC coverage. • Revenue sharing and additional compensated,. — In addition to commissions on sales and 1.1b1 lees received n oareetiert with the distribution c4 mutual brads to ow dents we ander our grade receive revenue tor-ONPayments Iran dianbutors at salsas of the mast funds that we sell. Thew arnants are based on two &fermi corrporents (k the amorist of Yin by UBS of a articular mutual fund famiy to our client& and d) the asset value of a particu In mutual fund tanks shares held a the Wm — We and as all Ade ate receive flanking aid melba processing lees in con-Aeration for trawler agent service, that we Provide to the mutual lir& These f ees generally are pad from investor asset:Skill* nutua I lured and &watered dials amount based on the maths of accounts at the broaer.dealer holing mutual lira of that fund family CONFIDENTIAL — h adoltion to cornrnissens received n connection with the sale or ciotributiOn d array contracts and cast investment but inn tows dents, we anda our afflide redeem revirea sharp ampersaion from many of the instance companies Widening the artily contracts, anises ct the huaann carp:Mau or spornors of be ant imestmmt lists wp distrtute. - Our affiliales abo teen., trading commoseons ad other cam pensationThan nutaal kit and Suave companies Slow geoids we &vbs.. - We receive an anal fee from UBS Bat USA set LES AG Stanford Ranch Of laalo 425 per accuse sweeping to debarks under the UBS Bank Sweep Program. Adlvity Inficemationregardngcommksifis and other charges hand in connection with the exeoSen of trades, kludng option transactions has been incbad antMan:re preinusy !writhed to you. ri d will be provided to ?wpm-Fitly cr. repast. Shen saline II you are engagedin that selling a w.unty, you may ins a charge dye to catkin tonowig costs for that partkulaseasky. Open orders 'legating open or • gx6tilkancelled* orders tat were not executed by the slatamtet data open buy and sea slop orders are waxed by the mount et dna:lords art mtsam an ex-divider& o eg-arfrth doe unless ranxted crivenvise by gar You are responsbk for orders that execuied ds to your failure to cancel *rising open orders. Priem To obtain a copy of as current Client PracyNotice. please dental mar F narnal Marisa von our wetrine at ttiatw rnageaatalvartfer kJEG Filmed Savors is not a bark The WA Busness Services Account BSA and IRMA are take-age accounts ankh provide access so banking services rad protests dna* alangantrilt web af I Sated &Ss and other Ihniparty bant,. ri d provides access to nuance and anourol [maids eased by unaHiliatedthid-party risurrice conpanes through a-aura-ice agency subsdianes of UBS Financial Services Inc. lwass-nent, Sura-ce. ad areagens-ducts, Not FDIC issued • No bank gunned. May lose vat* RMA. Resource Management Arms nt, Business Services Account BSA. IRMA and intonational Resource Management Accost re registered service maks of LES fnancii Serices lx Vila Signalise it a regained Service mak 01 Vial Hemel inal LOS visa Signature cede cards and CGS Visa deb* cards re inued by UBS gat USA with Peall590O from Visa U SA hcorporated. UBS Financial Setvicee Inc Rev 201604 SDNY_GM_00025629 EF1'A_00136249 EFTA01277482
;It UBS U85 Financial Services tic. Private Wealth Management 299 Park Avenue 25th Floor New York NY 10171.0002 CNP7005540373 1116X5 Y1 0 Account name POT & KETTLE, LLC Friendly account name: POW ETTLE LLC Account number. Your Nnancial Advisor. SCOTT STACKMASULYLE CASRIEL Phone tdslt our website: www.ubscomitinanciarseonces Value of your account Investment Account November 2016 POT & KETTLE, LLC PO BOX 308 TEANECK NJ07666-0308 on October 31 (I) on November 30 (1) Your assets o oo aoo Your liabilities 0.00 0.00 Value of your account $0.00 $0.00 Tracking the value of your account S Sources of your account growth during 2016 Value of your account at year end 2015 14177 Net deposits and withdrawals -1618 4.8 vow nwstment return Diedend and interest income 41.41 Change in market value 40.00 0 0 0.0 00 Value of year ocean • Dec 2014 Dec 2015 00 2016 Ate 2016 on Nov 30, 2016 60.00 SDNY GM 00025630 Member WPC CNP7001:60056•0373 NM:0186327 C0002 1116 030579743 Y123679550000010 Page 1 of 6 CONFIDENTIAL EFTA_00 136250 EFTA01277483
SUBS Investment Account November 2016 Your account balance sheet Summary of your assets Value on November 30 (4) A Cash and money balances 0.00 B Cash alternatives 0.00 C Equities 0.00 D Fixed income 0.00 E Non-traditional 0.00 F Commodities 0.00 G Other 0.00 Total assorts Value of your account $0.00 S0.00 Account name: POT Q., I FIlE, LLC Friendly amount name: PM', FILE I C Amount number. Eye on the markets Index Percentage change November 2016 year to date S&P 500 3.70% 9.79% Russell 3000 4.48% 10.58% MSC I - Europe, Australia & Far East -1.98% -1.86% Barclays Capital U.S. Aggregate Bond index -2.37% 2.50% Your it sandal Advisor: SCOTT STACK MAN LYLE CASRIEL Interest rates on November 30, 2016 3-month Treasury bills: 0.48% One-month LIBOR: 0.62% CNP700C0001510374 NP7003185327 00002 1116 030579743 Y123679550 00%Whyotko002561jage 2 of 6 CONFIDENTIAL EFTA_0013625 I EFTA01277484
SUBS Investment Account November 2016 Account name: POT & KETTLE, LIC F rie nd ly a ccou nt n T art TT Account number. Change in the value of your account Cash activity summary November 2016 (S! Year to date (S) Opening account value $0.00 $4.77 Deposits, including investments transferred in 0.00 155,500.00 Withdrawals and fees, including investments transferred cut -0.05 -155,50618 Dividend and interest income 0.05 1.41 Closing account value $0.00 $0.00 Dividend and interest income earned For purposes of tits statement, tasabity of interest and oudend income has been determined ticM a US tet, rePortIrc Ceradht. eased upon the residence of the account node,. account type, or product type, torn, interest endow dvid,nd payments may not De subject to United States (US) ands Puerto Rico (PR) Income tines The tient monthy statement is not intended to be used and carrot be retied upon for tar purposes. Clients should refer to the atOliCatie tax reporting forms they receive from UBS annualy, such as the Foam 1099 and the Forms 480, for lax reporting information n is the practice of UBS to file the aCcliCatle lam repOning Joni with the US Werra ReWnue SenriCe and PR TreaSuN DeparaTent. find in such loans accurately Meaty dividend, smart interest as law erergot or tatabie itxone Please (omit your insixdual tax preparer. November 2016 (5) Year to date (5) Taxable interest 0.05 1.41 Total current year $0.05 $1.41 Total dividend & interest $0.05 $1.41 Your Financial Advisor: SCOT1 STACK MAN/LYLE CASNEL See Account activity the month for dela Is &dances in your Sweep Options are rod udedi n the openng and closing balances value. FDIC insurance fl eet only to deposits at U85 Bank USA, not to deposits at LIE AG, Stamford Branch or bank deposits pored thiougt the UBS Intetnahona Depose Account program. stpC protection applies to money market sweep find hcidirras but rot bank deposits Seelmportant in5ormation about your statement on the at two pars cf this document for deists November 2016 (5) Year to date (5) Opening balances 10.00 $4.77 Additions Deposits and other funds credited 0.00 155,500.00 Dividend and interest income 0.05 1.41 Total additions so.os 3155,501.41 Subtractions Checks and bill payments 000 -25.00 Other funds debited -0.05 -155,481.18 Total subtractions -$0.05 -$155,506.18 Net cash flow $0.00 Closing balances -$4.77 10.00 $0.00 UBS Bank USA Business Account APY Interest period Oct 7 - Nov6 Opening UBS Bank USA Business balance Oct 7 114,481.13 Closing UBS Bank USA Business balance Nov 6 $0.00 Number of days in nterest period 31 Average daily ba lance 12,335.67 Interest earned 10.05 Annual percentage yield earned 0 03% SDNY GM 00025632 CelP7C009305640375NP70C01$532700CO2 1116 030579743 Y1236795500013010 ease 3 of 6 CONFIDENTIAL EFT/L(10136252 EFTA01277485
UBS Investment Account November 2016 Your investment objectives: You have identified the following investment objectives for this account If you have questions about these objectives, disagree with them, or wish to change them, please contact your Fmancial Advisor or Branch Manager. Youcan find a full description of the alternative investment objectives in Important information about your statement at the end of this document Account name: Friendly account name- Account number: Your return objective: Current income & capital appreciation Your risk profile: Primary - Moderate Investment efigibiSty consderatron - None selected Your account instructions • `foto account cost basis default closing method is FIFO, Fro In, First Out r Your Ilisendal Advisor: SCOTT STACK MAMLYLE CASRIEL CNM000305540376 NP70C01 /35327 00032 1116030579743 Y123679550 03ifINWGM00025€639e 4 of 6 CONFIDENTIAL EFIA_00136253 EFTA01277486
*Nis Investment Account rrovember 2016 Account activity this month Account name: POT & KETTLE, LLC Friendly account narne• Account number. Your Financial Advisor SCOTT STACKMANYLYLE CASRJEL Otte /shindy Description Amostst (S) Dividend and interest income Taxable interest Nov 7 Interest LEG BANK USABUSINESS ACCOUNT AS OF I1104116 0.05 Total taxable interest Total dividend and interest income $0.05 $0.05 Oast ActiiIy best apt:on Arrow' (5) N0 v 9 Transfer JOURNAL TO GHISLA1NEMAXWEU_ -0.05 Total other funds debited -$0.05 Other funds debited SDNY GM 00025634 CNP7001:03055•03r/NP70C010532700002 1116 030579743 Y12367955000010 Peg* 5 of 6 CONFIDENTIAL EFTA_00 136254 EFTA01277487
*UBS Your notes CNP70.005510370 antO3, 85327 00002 , 11603057974,1236,955000glyhymt m25d/kge 6 of 6 End of statement for account num bei CONFIDENTIAL EFTA_00136255 EFTA01277488
Important information about your statement U3S Fruncial Services inc. (the Firm or UBS Finarcial Strokes). is a kerbs' of all principal leaky, ccmrroday and otters exchanges. UBS Financial Seniors and LEG Bank USA ate i-died subside: Me, of UPS AG and aliases of 1185 Starnes LLC. The Fim's 1 knoal statement C available upon repast The Font's executes alias we a. LES Financial Seraes 1200 Harbor Boulevard Weehawken, NJ 07086 This aatenint represents the only official record of you' 116 Financial Services account. Other records, strait official ter doornails, contanng conflictingdata should rot be relied cps II you base thee is an titer a Omi9POn please report it immediately n ridgy to the Brandi Manager et the office serving your account. Alltategn a fives shown Are Mended to be accurate, statement ditasatrukf not be used fa to purposes Rely star on yerend tax lams. (le , Form 1099. 5498, 10425. etc ) when ;rename your lax return. he Fit,, 5 required by law to remn to the IRS alltaxable disidends, mportabb nontaxable datiokna and motile Merest erred a seciaities held east scant, rune steeds on see brisactions, ad cos* basis on attain covered mortis Caeolitstilainkinivrieh the Fin • Please remain, sip oral ookrunkations in sting tofurther protect your fiats. inducing your rifts titer the Soo. lies Investor Proteotron Act (SRA). • 11 the fina-pol institution on the top left offer had of this agents isnot U3S F naiad Servket LES Frontal &man carries you areckint as clearing broker by an-a-gement wah the relcated inslituten We in you of this relatOn5h0 when you opened this accost hers cast your kits and storks a* boated a LOS financial Services and rot the intoieng broker, and you mat mew amps of any error or omission to both firms As described die account agreements, you must natty us of ary errors or fraud Motrig cheers reflected on your statement wain 30 clays alter it was mailed or made available. Alinements shall be deemed comae* and accurate n all other spat if not objected to in *nay within 60 days • Please dact ouRomer complaints or ea/best° tee Fier, C lent Retook Depatnent at 201.352.1699 a tales r. 903.355-9103, 8:03 A M. to 6A0 P.M FT Monday through Friday, or in swung to LES Financial Service ix., Client Relations Depayment, P.O. Box 766 Union Coy, NJ 07032 • In case of <Iron Or glatItiat about a electronic had, transfer (61), bas parr a UBS Voatthbit card vantactions, call 1102762-1000, or wife to UBS Randal Senates lx., 1000 Kato( 814, Gth floor. Weehawken. NI 07086, Mtn R144186.4 Sakes. Caller cote as soon as yeti can, t you hit yekr statement a receipt k mono or if you need more laureation tout a transfer on the statement or receipt The firm or Card Isar (as applicablamust hear from you no in thin CO days after tie Fern sent yOu the Irst statement on which the eta Or problem appeared. - holde your rume ad kore number (4 any) - Deco& the error Of the Wander you are inure about, endcontain as ckaB as you cal why you believe t is an error a why you need more damns - Pros:dethe doer arrant at ter suspected error. The Firm or Card Issuer eel hastigate put compdaht and vdl correct aw error prompty. For alleged mots implying UBS Via debt cad tratrad era if we take more than 10 bus rens days to do ties, we will credit you' accord for the nest youthnk is in error, so that you vii have the use of the money clang tie tine it lakes us to complete our mestigrtion. Please mire all disks swab to the Fern or the racial insleris rdkated on he front of this statement in addition to regular maul fees, accounts may be abject to mantenerce Ian, throats for nee parent kr securities purchases and charges kr unpaid arrant, n cash amine Accounts that re transferred to other instakirs may be subject to a finder tee. UBS Sweep Options LES offers options kr sweeping cat banes. balances to bat deposits at UM Bark USA and LES AG %pinked Match (Bak Sweep Promarr4 moneymaker mutual Ards (Money Fund° ad the international Depose Accord (DA)la c stance with in Intarotional Rooky Management Account. Though the Bair Sweep Programs, cash balaxes we swept to LES Bank USA to to an established knit ad then to UBS AG Stanford Branch. or a Money Fund. Deposits at UBS Bank USA we FDIC inured in accorda-ce with FCC mule. Format information please Mit wwwfdic Deposes at LES AG Stanford Brach ad shares of Money Firds ate rot bared by the FDIC. Through the DA, (skiable to cats Iodates are swept to depose &cants al UBS AG New Yak Branch and LEG AG Capron Ranch hem deposits arena Muted by tit FCC. Balaxes held at the UBS AG Cayman Branch are tempi:may imposed to the sovereign Ink Of the Caren Merck and there is no guaranis or other obligation of UBS AG to repay ter boraxes while RA the LEG Cayman's Brach's books. Deposes at LES Bala USA and each UBS AG Branch are rOt protected by SIPC. Money Fund shares are protected by SIPC. See 'LES Financial Services Account Proud-an' Icelow. Uponyour request, bahnon in the Bank Sweep Program or DA may be withdrawn and sans of a Menet Ford may be liesidated, end the proceeds returned to you or your settees acccmt. Plater trdormadon about available sweep agent nckdre; (want interest rates and Pads, 5 available at wkrubscorntsweeppekk from your Financial Advisor a by tiling 825762-1000. UN Financial Seeks attain protection The Fool r. a no-rho.dF th• (evi Trio< horror PrOtortrri Corporation (RPC), which protects ItO-rlieS traa-MS 01 its mention up lo $500,000 (enCluling 1250,003 kr darns for casii. The Slit asset protection limits attrak to all accosts the you hold in a particar cavocity. The rem loge.w with certain aff fiats, has also purchased applailentapatediOn. The Maims amount payable to at eIgible dket, CONICIWk aide this prat-ion is ZOO maroon as of December 10, 2015. &bad to the poky exelitons ad limitations, cash a the aims is further protected fa up to 51.9 milbn n the aggregate kr all your accounts held n a parkas paucity. A fJ copy of thepoky snag is salable apron request. The Slit protection ad the supplemental protection both do not may to • Cenlin franca assets controlled by (and Maack n your account value) but held away from UBSFina-eia Services (e.g., certain( cash at UBS Bark LGA, (10 cash at Les AG U.S.aandoes, (4 insuark pitOrts, including variable minket, and 66 tires of initud fonds where such shags we registered ding in the name of the account holier on tie books ad records ot to Imola* Ptef a transfer agent), • Certain nwsb-nent contracts or inwsiment interests (e.g.. United 'kinships ad piste placements) that are rot regitened set tie Securities An of 1933; and • Commodities antases (e.g, foreign okaye and meowsmetal contracts), includirg futures comets ad commodity option contracts. The SIPC praed On and the supplemental proteando not apply so these asses ewes if they otherwise appear on yea statements. The SRC protection aid the 540lanental protection do not protect against changes n the market vale of yea imestments (whether as 4 result of market movernem, issuer bakruptcy a °think.) More irtonnation is sable wan request. You nay cbtan more 44°k:eonabout SRC, @lauding the Slit Brockre by contacting SIPC at 202-371 -83C0 or by ratio the Sat minee at skis/mom Dividend Reinvestment Progress pun The pee reflected is an ate age price. You may °Nan the total price Iran you F racist Adak.. Ona/ week shares are purchased under DRIP; patial shags Ma be soli ad the cash MI be deposited ri your account he clacked reinvestment price applied by the inter may 61 ler liom the make pia at catch the partial shires re sold Cadeirdieu CnB whole umts may be head yea amount. If you we entitled to a petal ail a a nesult er a &Ward payment or Ohinaw, the Firm will ether sell panel was * marbet price a accept an /mord determined by a regikered cleatry agency, and credit you' accord. Invenment objectives The tiatimere objectives and risk profile asps ilk to each account and mai vay between your accoues. Please advs. the Finn prontrey in wreing of ay smnf joint change in you Ina-trial satiation or investment obscures For each ward held, you choose one of the folkway investment cbjectivet CONFIDENTIAL • Werke Cunene income: hvestments seekng tie generation ol income ay. • Aefetit Cepa*, apaereatioe Inurement% seeing crowt of principal rather than the generation of ream. • Produce Conebaubm alas* al Capital Appreciation. kesments seen? both tie gerneern of kerne aid growthof prixpa Overall cite profiles • Conservers Seeks to mantin ninth pacipaa, with low risk and volatility to the axon clunk men if that means the accost does not generate sign Beare 'memo a returns ad may rot Loop pore with elation. • Moderate. Willing to accept some fide to pircPal and tolerate some snaky to seek hyher returns, • Agonies: Wiling to accept high Mx to pones* and high waist lily to seer highreturns Owe tiro. • am ententa (Woke Condonation: f Wint•cl, a potion of the poi-Hole, for that account may exalt canplex strategic, tinted lisicity and rater Starr ThowehoWne We may corsofdase al related account statements with the sane addess in the same &Piety., e.g. because they have owners who &lie maintain pol account read cretins we, other clients at the same addressif you paler to raono indiedual 'stank, mailed iin separate erneOPet you may decli-e h:lnehOldng by eating you.: Financial Advisor. Friendly account name The Rierdk =aunt nano is a cuss:mutable • nickname' doss by you to assist you with your recede...WV it has no legaleffect:ayou* account. You can tong. • handy award names. through Onlne Services or by cat/di-9 your Fiume* Atheist. Account overview • Value of par acroustaarkko. Net of *sets and liebilitis • AMb trickdes amebae cash balances, values fa restrkted sturdy lest ), and Global Tire Deposit, amazed marks to ma-ket, and certain assets not held by the Firn. Does rot include unpriced sensitikassets at the end a the plot and arrent statement penods, or await isements. awned stock options and eumeable stook options • ulbares Induces debit bale-4es. outstanding margin tins, credit lire, shag account balances. • Cat/Mooney balances. Tea of unimested avalable cash balances, plus deposit telexes at UBS Bank USA, LES AG U.S Branches ad money market mutual fund sweep baron at the close of ter statement period liknaceirrodia free dna balances in you *count are rot segegaled from other balances and the 14w may ea any of these lads tithe ordinay courts of is business These funds repayable wan your darned This total is ridded in the arrant period ckeing vaiat Lending Wenn/diem For &teed information on the Firm's lerding practices and dee m's. refer to you Chem Rebtiontip SDNY_GM_00025638 EFTA_00136256 EFTA01277489
Important information about your statement (COMItlited) Agreement or ACCOLII Agf et* It'd and the General Terms ri d Conditions LieS Steamed of Credit Practices imitable in Agreement; and Ong:ants a Bmay ratrmantansurvererletu tot. Yew met Your statement itemizes securities and other ends held tithe account at the end of the mate errs perixt You may ark for &Plea Of tak paid wangles at a-4 time. You may receive securities ised as loan collateral ether paying any balance de an them. ,say securities translated to the Firm darg the statement pent are listed at market vete as of the end of the stational period. • Cast bale. In detemining the cost basis of he securitiesgoaded in this statement were indicated wih the number " l, • LBS F nate' Services has relied nth information dotted from sources other than UM Financial Senices, including information kcal another fine a Out mum* Nate grovided to you finaxial Adam The Firm does not irdeperckntly wetly a iastrentee the acaracy a vaklity of ary Wormation provided by 30S)05 Car than LESPi-uncial Senices ▪ adatich *hough UPS Amaral Services arerala updates et Harnett, as it is received, the him does not provide any emu:axes that the information seder 'Cod base and ^Unrealized garf loss' is accurate as of the date of fhb statement. A, such please dons re, on this ninnation to make peschne or sale decisions for tax purposes a otherwise. Accounts mode/Ted tote Firn may refine gal loss information only for the peat d tine they are held at the fink More historical information cube aided by your Friaxial Advisor. • Unrealised gas/lose then data eminatect canalized guindloath are &added la invite' securest lots. The transaction data for in:Willa lots may or may not reflect ccmmissicns, rZ ardor security reorgatatcn 'writs d and other reinvestment lob ad systematk purchase lots are each combined to dials, cr. averaged lot IN 'Trade date' colann presents the original transaction trade dale. • Callable securities Bonds and pretend stock that the enter cat for eery reckintan wit be selected inpalially by lot fran among all seamen of ha tie held in ournarne or n nominee nine for as clients. Call leave neamation s cbtaned hum third patties and as accuracy is not guano:ed. Other call feta, may hest with could atom mkt cancathe inkernaticn will be crovi*d upon request • Certificates of deposit (CDll. CDs are HNC nsured up to S2 5Q000 in principal and accused ireenni per depot:tor and per depository imitation in accedance wen FDIC rules. • Price/value Prices displayed f or secunues and otier prods may be higher or lower than the price that )0J would actually receive in tie make. Niue are obtained from .arias tied party sources which we beleve to be relable, bat we do not a-era-nee then accuracy. - We germak use the closing price when avaUkce Ow mean of the bid anal ask prices for hued securities ad optecra ce only bid prices for OTC securities. - Less actirey traded secuities may be priced using a valuation model a the moss recent farce we claimed ad may not reflect in actual market price a value - Certain positions may appear wit si a price and will tow as 'peke was not avatlakee• it we are unable to obtain a price fora warty. - Deposal a securities denominated ilCUM71-00 other thin U.S dollars are reflected at the ochry rate a of the statement date. - fa certain searees rate n non-conformrig denornnetions. puce and quantity(tath glue) may have been tamed to facilitate paper a/intim To obtain Meal quotalcm. when available. contact you Finace, Adriscr. • Private inthinment and nructured products. Trivet* meaner wart sat (miring drat participator program and realPalle investment asst sessile.) and structred prodxts are anorak, highly dthrid. Cann stets-tend pastas have not been registered with the Secants and Exch Commission cc under mg date secured:tn. We provide estmated value, for private investment sec:vitas arid sthstured products tor tikentatinal purposes any. !sang is rot guaranteed. - These tams may differ abstawisee ban prices, il any. at which a Paste Setirntril thy subdued product maybe bought or sold and do rot necessarily represent the vat* you may maim spat headgear,. - Third petty estmess of vain ate es oe a amain date and an supplied to UBS finarcif Services on a realer basis by an independere collation firm. - baser. general panne- or sponsor estimated vales if any, are applied to **Fmk by he issuer, general panne or tensor and my be calculated based an deferent information from tut used by aid parties to &eve their estimated values. - You can obtain additional information regarding the metothlagy used to determine the estimate d value ad the dale of the Hamblinthat is the basis fa the esimate by contanig your Financial Advisor - Third party 'singed valets may be reflected as 'Not priced' in several stoat:at when an ideperdent valuation tiro has not %MIA's' a it unable to astir a ram nun we become avare that a matenal 'sent has crossed that may call a prevousa reported vote rep question, er wen a value would be high speculate due to the nature of the security. - When nether an Muer, general partner or sponsor estimated value nor a thrd-paly estimated glue is providect, the wake et the study Mate dilierent Irene its asthma price. - • DM:abutter's to date' my include ratan of capital, ncome orboth. - 'Original unit size' represents tie hkial offering peke per exit at :I mar not reflect you cost bast. - DIP at unfilled REM saints are rot listed a, a national securities exchange, and are germ* liquid and own a they can be sold, the peke received may be bar than the pee there *dimmed vain provided n the twore statement, • Restricted securities. Resta-led searites anemia aw not cumenty etglak to public sale. lies Financial Services uses the market priced the unrestricted stock of the sane issuer as an imputed value for tie restarted stock trourposescsiths statement ody To the extent that resettled seasties are elgbk for sale, the vats rtheaed may be tbstanualy less than the imputed vete *040 • En. (estimated) income. anent yields and rates An estimate of annual income is based cn current dividend ad interest rats, &stung tie searkes will be Mll for one yes from statement date or arse maturity The intimate horsy a gudelne; accuracy ad continued income are not guaranteed - Estimated snag income and cures yield for certain types of leashes could astute a tenni of pritipat or capital gains is which case the est income (a-dcurrere yell would be overstated. - Estimated anal income and anent yield and the actual thane and yield that be lower or higher than the estimated mounts. - Areestimate of arruaked income (dadend ands intend) divided by the current market valsiaverage balance is based an the let dividend or merest payment mode by the issuer and tunes tie securetetdeptes will be held foe a* year from 4-e statement date or until mania Accuracy at continued weld xe not guaranteed • Assets not held bytes Financial Services. Cenah assets ace rot held by the Fim arena wenn the Fern's possession or control. These assets ace choolted on tar statement for informational purposes only. Positions and values presented re provided by the trig fern. UBS Fi encal5erwees not retycrwMt tor NS infomution and does not guarantee es accuracy. These assets are rat protected by SRC or the Fines suPelanental SIT( Own?. • Revenue sharps and additional compueliatices — In addition to commissions on sores and 12b-1 lees received in carecticri with be destributim rrulual ftrds to ow dents we attar our gra*, receive r"Pueshiring payments from distributors ado advisors of thenatal funds that use sell. These arnants are based on two deferent corrponents (a the arrant of Ulf, by UBS of a Palicals mutual fund I amia to our clients: and 01) the asset value of a particular rrutual fund famiab shares held a the Urn — We and as MIAs* ako receive networking end onnba accosting fees n consdration for trader agent SOYCEI that we proine to the rrutut lint These fees generally are pad from investor asses n the metal lured and are a feud dolls amount bead a, the amber of accounts at the broker.dealer Poking mutual funds of that fund fa-nify CONFIDENTIAL — h addeion to commesins received n connection with the sale or &thbution ol amity contract and int investment that ink tooter clients, we audit( our affiliate reuse reserue sharp carpe nation from fumy of the nuance companies andeftWOM the reedy Centrals, aft/Jain ct to Marra carpet or manors of the int arrestmmt tuts we distrizote. - Our affiliales abo receive trading commesions ad other compensator, am natal kends and ratan companies whose products we daubs - We receive an anal he from UBS Bat USA ad CRS AG Stanford Branch 0(0)10 $25 per accord sweeping to the barks under the UBS Bank Sweep Programs. Adivity hkemahon maiming ammksiths and otter chars tarred in conned:in with tie exeoSith of trades, ixtdrg option vansections ha been inctstd cord lanai:re preseousa lathed to you, and sell be provided to you prcrrotly on repast. Short selling you are engaged in short selling a security, you may in:tracheas. dm to catmints:want costs for that partkulirsearay. Open others Regarding open or • gni-till-canceled' ceders tat were not executed by the statement date, open buy and sea sit orders are nand by the man of clinked or rktits cn an ex-dividends a etrithis dale unless Signaled olhenvbe bybar You are responsbk for odes that are executed Oa to ythir lecture to cancel nisi rig opal orders. Perm To obtain a copy of as current Client PrivacyNote. please convect you Freesia' Achiscr or vest our websik at ttaaw 0), enagatatnartirer UM Firmed Services 4 not a ba-k The MIA, Business Services Account 854 and IRMA are tetkerage accounts which provide ace's so bathing services and protests tea* arrangements web af I Sated lurks ad other Ihniparty banks, at provides math, ittrace and a^fluttY Frockids awed by unalfilaed third-peat Murat, ampanes through insurance agency subsdianei of UBS Financial Services Inc. heasment. reurace, ad aredy products Nat FOC finned • No bank guaareeth May tow tea RUA. Resource Management Arm. nt. Business Services Amount BUi. IRMA and attritional Resource Management Accore re registered service marks of IRS firmed Stenskes Inc VISA Signature is a regained service mask 01 Viso Inmatithat WS Via Sonata ante cards and UBS Visa debt cards ace issued by UBS gar* USA with Permission from Visa U SA Incorporated. Ullti Financial Sereiths Ins Pry 201604 SDNY_G M_0002 5637 EF1'A_00136257 EFTA01277490







