UBS Financial Services Inc. Private Wealth Management 299 Park Avenue 25th Floor New York NY 10171.0002¶
CW7005535531 1116 X135 Y1 0¶
Resource Management Account¶
November 2016¶
GHISLAINE MAXWELL P.O. BOX 308 TEANECK NJ 07666-0308¶
Account name: GHISLAINE MAXWELL¶
Friendly account name: Indiy.A45685004¶
Account number¶
Your Financial Advisor. SCOTT STACKMANA.YLE CASRIEL Phore 217 821-7000/800-308-3140¶
Questions about your statement?¶
RMA Resourcetine at 800-RMA•1000, account 029023568.¶
Visit our website•.¶
wew.ubs.corTV1inancialservices¶
Call your Financial Advisor or the Value of your account¶
| Oc tob (5 ) 31 on er | No mb 30 (S ) on ve er | |
|---|---|---|
| Yo ts ur as se | 81 7 ,71 8.7 5 | 55 7. 14 |
| Yo lia bil itie ur s | 0.0 0 | 0.0 0 |
| Va lue f t o yo ur ac co un | $8 17 ,71 8.7 5 | $5 57 .14 |
| So of urc es yo ur ac co un du rin g 2 01 6 | h t wt gro | |
|---|---|---|
| Va lue of nt you r ac cou at d 2 015 yea r en | 579 8.0 07 .41 | |
| Yo inv est nt r etu ur me rn: | ||
| Div ide nd d an inte t in res com e | S1 9 ,59 9.4 7 | |
| Ch e in ang rke lue t va ma | 137 ,55 5.4 2 | |
| 0 ; | Va lue of t yo ur ac co un |
Mends SWC CNP70008005535531 NP7000185219 00002 1116030575004 Y123568550101010 Page 1 of 6¶
*UBS Resource Management Account November 2016¶
Account name: GHISLAINE MAXWELL Friendly account name: Indiv.A456135004 Account number:¶
Your Financial Advisor. SCOTT STACKMANOLE CASRIEL 212-821.70001800.308.3140¶
Your account balance sheet¶
Value of your account 5557.14¶
Summary of your assets¶
| Va lue on No mb 30 (S ) ve er | Pe of nta rce ge nt yo ur acc ou | |||
|---|---|---|---|---|
| A | C h nd y b al as a m on e an ce s | .1 4 5 5 7 | 1 0 0 .0 0 % | Y al l i nt t at ou r c ur re as se oc on |
| B | C h al ti t as er na ve s | 0 .0 0 | 0 .0 0 % | |
| C | E i ti qu es | 0 .0 0 | 0 .0 0 % | |
| D | F i d i xe nc om e | 0 .0 0 | 0 .0 0 % | |
| E | N ad i ti al -tr on on | 0 .0 0 | 0 .0 0 % | |
| F | C d i ti om mo es | 0 .0 0 | 0 .0 0 % | |
| G | O th er | 0 .0 0 | 0 .0 0 % | |
| T ot | al t as se s | 5 5 5 7 .1 4 | 1 0 0 .0 0 % | A |
Eye on the markets¶
| Pe cha nta rce ge n ge | |||
|---|---|---|---|
| Ind ex | No mb 20 16 ve er | Ye da 03 te ar | |
| S & P 5 0 0 | 3 0 % .7 | 9 9 % .7 | |
| R l l 3 0 0 0 us se | 4 .4 8 % | 1 0 .5 8 % | |
| M S C I - E , A al i a & F tr E t uro pe us ar as | -1 .9 8 % | -1 .8 6 % | |
| C .S B l pi al U . A e B d I nd t t arc a ys a g gre ga on ex | -2 .3 7 % | 2 0 % .5 |
Interest rates on November 30, 2016 3-month Treasury bills: 0.48% One-month LIBOR: 0.62%¶
EFTA00022378¶
Resource Management Account November 2016¶
Account name: GHISLAINE MAXVVL Friendly account name Indiv.A45685004 Account number:¶
Change in the value of your account¶
| ( 5 ) No mb 20 16 ve er | Ye to da ar te (S ) | |
|---|---|---|
| O ni nt l pe n g a cc ou va ue | $ 8 1 1 8 7 ,7 .7 5 | $ 9 8 ,0 0 .4 1 7 7 |
| D si , i l ud i g i t tm t e po s nc n nv es en s sf red i tr an er n | 0 .0 0 | 3 5 ,6 6 0 .0 0 |
| W i th d al nd f raw s a ee s , i l ud i g i tm t sf red s t nc n nv es en ran er | ||
| t ou | 4 1 1 ,8 1 4 .8 0 | 4 9 0 ,2 6 4 .1 6 |
| D i vi d d d i t i nt en an er es nc om e | 2 ,2 0 .6 9 5 | 1 9 ,5 9 9 .4 7 |
| C h i k l et an ge n m ar va ue | -7 ,5 9 7 .5 0 | 3 7 ,5 5 4 .4 2 |
| C l i l nt os n g a cc ou va ue | 5 5 5 7 .1 4 | $ 5 5 7 .1 4 |
Dividend and interest income earned¶
Fa purposes of this statement, taxability of interest and cividmd eicome ha been determined frame US tax reporting perspective. Based upon the residence of the accost holder, account bee, ameba type, some interest ancVor dividend payments may not be subject to UMed States (USI at Puerto Rico (PRI income taws. The client monthly statement is not intended to be wed and cannot be relied upon for tax imposes dents should refer to the applicable tax reFonelg forms they receive from WS smolt such a the Forms 1099 and the Forms 480, for tax reporting information. It is the practice of UBS to file the applicable tax reporting forms with the US Internal Revenue Service and PR Treasury Department, and in such forms accurately classify dividends andror merest as tax exempt or taxable income. Please consul your individual tax prepare.¶
| N mb 2 0 1 6 ( ) 5 ove er | ( S ) Y o d r t at ea e | |
|---|---|---|
| T ab l e d i vi d d ax en s | 2 ,2 5 0 .6 9 | 1 9 ,5 9 9 .3 3 |
| T ab l e i nt t ax er es | 0 .0 0 | 0 .1 4 |
| T al ot nt cu rre ye ar | S 2 ,2 5 0 .6 9 | $ 1 9 ,5 9 9 .4 7 |
| T al d i vi d d & i ot nt t en er es | $ 2 ,2 0 .6 9 5 | $ 1 9 ,5 9 9 .4 7 |
Summary of gains and losses¶
values reported below exdude products fa which gains and losses we not classified¶
| Re aliz ed ins ga an | Un lize d rea | ||
|---|---|---|---|
| (S ) No mb 20 16 ve er | Ye to da te (5 ) ar | ins d lo s (5 ) ga an sse | |
| L g t on er m | 0 .0 0 | 9 0 6 -7 .5 | 0 .0 0 |
Cash activity summary¶
See Account activity this month for details silences n yow Sweep Options me excluded ei the opening and closing balances value. FDIC insurance applies only to deposits at 085 Bart USA, not to deposits at UBS AG, Stanford Brandt or bait deposits placed grout the UBS International Deposit Accord program. 51K protection applies to money market sweep fund holdings but not bank deposit. See hip:rant information about your statement on the last two pages of this document for details.¶
| ( ) 5 No mb 20 16 ve er | Ye ar t o d ate (s ) | |
|---|---|---|
| O ni g b al pe n an ce s | $ 8 0 6 .5 2 | 5 9 2 .7 2 |
| A d d i ti on s | ||
| D si nd h f d red i ed t ot t e po s a er un s c | 0 .0 0 | 3 ,6 6 0 .0 0 5 |
| D i vi d d d i i nt st en an ere nc om e | 2 ,2 0 .6 9 5 | 1 9 ,5 9 9 .4 7 |
| s f P d i cti tm t tr roc ee ro m nv es en an sa on s | 0 .0 0 | 5 6 ,1 5 4 .3 8 |
| T al ad d i ti ot on s | S 2 ,2 5 0 .6 9 | 5 1 1 1 ,4 1 3 .8 5 |
| S ub ti tr ac on s | ||
| P rof si al f nt nd es on m an a ge me ee s a rel ed rvi at se ce s | 5 5 7 .1 4 | ,1 8 1 .8 4 -5 |
| O th f d s d eb i ed t er un | -3 ,0 .2 1 5 7 | -7 5 ,7 6 7 .5 9 |
| n f F d i th d i tm t un s w raw or nv es en s b gh t ou | 0 .0 0 | -3 0 ,0 0 0 .0 0 |
| T al b ti ot tr su ac on s | -$ 2 0 0 .0 .5 7 | -$ 1 1 0 ,9 4 9 .4 3 |
| N sh f l et ca ow | 2 4 9 .3 8 -5 | $ 4 6 4 .4 2 |
| C l i g b al os n an ce s | 5 5 5 7 .1 4 | $ 5 5 7 .1 4 |
UBS Resource Management Account November 2016¶
Account name: GHIStAINE MAXWELL Friendly account nam in Ad Account number:¶
Your Financial Advisor: SCO17 STACKMAN&YLE CASRIEL 212.821.7000/800-308-3140¶
UBS Bank USA Deposit Account APY¶
Interest period Oct 7 - Nov 6¶
| O BS nin g U B k US A De sit ba lan O ct 7 pe an po ce | $ 38 .16 | |
|---|---|---|
| Cl in g U BS B k U SA D it b ala e N 6 os an ep os nc ov | $ 90 3.3 6 | |
| Nu mb of da in in te t rio d er ys res pe | 31 | |
| Av da il y b ala era ge nc e | $ 84 8. 16 | |
| Int d st ere ea rne | $ 0.0 0 | |
| An al yi eld nta d nu pe rce ge ea rne | 0.0 0% |
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 full description of the alternative investment objectives in Important information about your statement at the end of this document.¶
Your return objective: Capital appreciation Your risk profile: Primary - Aggressive Investment eligibility consideration None selected¶
Your account instructions¶
• Your account cost basis default closing method is FIFO, First In. Frst Out.¶
Resource Management Account November 2016¶
Account name: GHISLAINE MAXWELL Friendly account na • Account number:¶
Your Finandal Advisor. SCOTT STACKMAWLYLE CASRIEL 212-821.700h800-308.3140¶
Your assets¶
Some prices, income and current vaLeL stxmn may be approximate. Asa result, gains and losses may not be accurately reflected. See importart inlcmudon about )Ouf statement at the end of thrs document for more information.¶
Cash¶
Cash and money balances¶
| Ho ldin g | O in g b ala pen nce No v 1 IS ) on | Clo sin g b ala nce No v 3 015 ) on | hid hon e p er s e No v 3 0 M I on | At ta r rate | Div ide nd/ Me t res iod per | Da ys i n Pe | |
|---|---|---|---|---|---|---|---|
| Ca sh | 0.0 0 | 55 7.1 4 | riod | Ca nt (S ) p m ea | |||
| UB S B AN K U SA DE P A CC T | 80 6.5 2 | DO O | |||||
| To tal | $8 06 .52 | $5 57 .14 | 25 0,0 00 .00 |
Your total assets¶
| Va lue NO V 3 0 (5 ) on | Per ta cen ge ca nt you r ac ce | Cos t bas is C S/ | Est ima ted ual inc e (5 1 ann om | Un lrie d rea loss | ||
|---|---|---|---|---|---|---|
| Ca sh | Ca sh d m ba lan an on ey ce s | 55 7.1 4 | 10 0.0 0% | 55 7.1 4 | (5 ) gam a | |
| To l ta | 55 57 .14 | 10 0.0 0% | $5 57 .14 |
Account activity this month¶
| Dat e | Act ivit | De i scr n | Am |
|---|---|---|---|
| t (S ) oun | |||
| No v 1 | Div ide nd | GE NL MI LLS IN C P AID N | 90 3.3 6 |
| No v 1 5 | Div ide nd | CO LG AT E P AL MO UV E C O P | 58 8.1 2 |
| No v 1 5 | Div ide nd | PR OC TE R & GA MB LE CO PA ID ON | 75 9.2 1 |
| To tal bie ta di vid ds xa en | $2 .25 0.6 9 | ||
| To tal di vid d a nd in ter t in en es co me | $2 ,25 0.6 9 | ||
| Dat e | Ac tmt y | De sor n | Am |
| No v 3 0 | Re fun d | PR OR AT ED AD VIS OR Y F EE | t (5 ) oun 55 7.1 4 |
| To tal ofe ion al fee pr ss nt ma na ge me s | $5 57 .14 | ||
| Dat e | Ac tmt y | De i scr n | Am |
| No v 1 | Tra nsf er | JO UR NA L T O ’ 91 23 57 5 G HIS IAI NE M AX WE LL | t (S ) oun 430 6.5 2 |
| y | ptio O 18 82 AID ON 15 08 11 34 ptio ptio |
continued next page¶
CNP70008005535535 NP7000185219 00002 1116 030575004 Y123568550 101010 Page S of 6¶
Account name: GHISLAINE MAXWELL Friendly account name: Indiv A4568 04 Account number:¶
Account activity this month (C011tillUed)¶
| To tal he r fu nd s d eb ite d ot | -$3 ,05 7.2 1 | |||
|---|---|---|---|---|
| Ot r fu nd s d eb ite d (co nti el ) he nu | No v 2 8 | Tra nsf er | TO Y 1 3 65 06 82 00 | -2 ,25 0.6 9 |
| Da te | Act ivit y | De ino sa n | Arn t oun |
Investment transactions¶
For more information about the prKehalue Thann for restncted schent your staterrent at tlx end of this document. Tee Important Semafoon abcut¶
| Da te | Ac hnt y | De sol ate n | Ckb it ant y | ,SI val ue | Prc e (5 1 | s fr Bo ard om est mtm t :ny tion s (S ) tran sac | Fun ds hdr n fc net aw e rive (S stm ent s b oL ght , | Acc d rue inte (SI t res |
|---|---|---|---|---|---|---|---|---|
| No v 2 8 | Tra nsf er | OC CID EN TA L P ET RO LEU M C RP TO Y 1 3 65 06 82 00 | -96 9.0 00 | .66 ,26 9.9 1 | ||||
| No v 2 8 | nsf Tra er | TO TIC TO AU MA DA TA PR OC ES SN G I NC Y 1 36 50 6 8 20 0 | -72 00 0 | -6 ,95 3.0 4 | ||||
| No v 2 8 | Tra nsf er | AC OC NC TO BL KR K I Y I 3 65 06 82 00 | •72 .00 0 | -26 ,54 2.8 0 | ||||
| No v 2 8 | nsf Tra er | CO LG MO CO TO AT E P AL INE Y 1 3 65 06 82 05 | -1 ,50 8.0 00 | -10 0.1 76 .44 | ||||
| No v 2 8 | nsf Tra er | EO G R ES OU RC ES INC TO `1 1 3 65 06 82 00 | -50 0.0 00 | -46 ,73 5.0 0 | ||||
| No v 2 8 | nsf Tra er | FO C T O RT INE T IN Y I 36 50 6 8 20 3 | -2 ,00 0.0 00 | A8 -60 0.0 0 | ||||
| No v 2 8 | nsf Tra er | GE LLS C T O NL MI IN VI Ø8 36 20 0 | -L8 82 .00 0 | -11 6 ,83 4.5 6 | ||||
| No v2 8 | Tra nsf er | CO TO Y 1 3 AE M 65 06 82 00 | -60 0.0 00 | -22 ,18 2.0 0 | ||||
| No v2 8 | Tra nsf er | JO SO N C OM TO JO SO N & HN V I 3 65 06 82 00 HN | -66 .00 0 | -7 ,46 6.5 8 | ||||
| No v 2 8 | Tra nsf er | MC DO IDS CO TO NA RP Y 1 3 65 06 82 00 | •1 ,01 8.0 00 | -12 4 ,01 2.7 6 | ||||
| No v 2 8 | Tra nsf er | NE XT ER A E RG NC CO O NE Y I M T Y1 36 50 6 8 20 0 | -16 2.0 00 | -18 ,84 0.6 0 | ||||
| No v 2 8 | Tra nsf er | PS ICO C T O PE IN Y I 36 50 6 8 20 0 | -1 ,15 4.0 00 | -11 8 ,61 9.6 6 | ||||
| No v 2 8 | Tra nsf er | OC GA CO TO PR TE R & MB LE Y 1 3 65 06 82 00 | -1 ,13 4.0 00 | -94 ,20 13 8 | ||||
Total¶
Securities transferred out¶
-580931433¶
| Da te | A0 /‘N | De pto scn n | Arn t (S ) oun | |
|---|---|---|---|---|
| y b ala tiv itie Mo nte ac s ne | Oc t 3 1 | Re lan fo ard ce rw | $8 06 32 | |
| No v 2 | De sit po | S B SA PO SIT AC CO UB AN K U DE UN T | 96 .84 | |
| No v 1 6 | De sit po | 13 47 33 | ||
| No v 2 9 | Wi thd al raw | S B UB AN K U SA DE PO SIT AC CO UN T A S O F 1 1/2 8/1 6 | -2 ,25 0.6 9 | |
| No v 3 0 | Gi BS in g U Ba nk ss | US A D it A nt ep os cc ou | 50 .00 |
The U85 Ban. USA Deposit Account n your pnrnary Twee> 01111441¶
CNP70008005535536 NP7000185219 00602 1116 030575004 T123568550 101010 Page 6 of 6 End of statement for account number VI 23568 S5¶