UBS Financial Services Inc. Private Wealth Management 299 Park Avenue 25th Floor New York NY 10171.0002¶
CNO70055355371116X135 VI 0¶
Resource Management Account¶
November 2016¶
GHISLAINE MAXWELL P.O. BOX 308 TEANECK NJ 07666-0308¶
Account name: GHISLAINE MAXWELL¶
Friendly account name: Indiv.V49920008¶
Account number.¶
Your Holmdel Advisor SCOTT STACKMANLYLE CASRIEL Phone: 212.821-7000/800-308-3140¶
Questions about your statement?¶
account 029023572.¶
Call your Financial Advisor or the Value of your account¶
| yet ow s c nc erv s | f Va lue t o yo ur ac co un | S8 36 ,74 1.9 9 | $5 .18 77 |
|---|---|---|---|
| ac co un bs /to Vis it o we : ur .ub orM ina ials ice | Yo lia bil itie ur s | 0.0 0 | 0.0 0 |
| Yo ts ur as se | 83 6 ,74 1.9 9 | 57 7. 18 | |
| RM A R eL ine at 80 0-R MA •10 00 eso urc , t 0 29 02 35 72 | Oc (S ) tob 31 on er | No mb 30 (S ) on ve er |
| Va lue of nt yo ur am ou | |
|---|---|
| Ch e in ang rke lue t va ma | •53 3.8 70 .30 |
| inte t in res com e | 53 26 11 29 |
| wit hd als raw | -51 ,00 8.5 05 .33 |
| du rin g 2 01 6 Va lue of yd Co Xin t s a |
Sources of your account growth¶
Member SVC CNP70008005535537 N87000185219 00003 1116 030575004 ‘11235725SO 101010 Page 1 of 8¶
Account name: GHISLAINE MAMBA. Friendly account name: Indiv.V49920008 Account number:¶
Your Financial Advisor. SCOTT STACKMANtYLE CASRIEL 212-821-7000/800-308-3140¶
Your account balance sheet¶
Summary of your assets¶
Value of your account¶
| Va lue on No mb 30 (5 ) ve er | Pe of nta rce ge nt yo ur acc ou | |||
|---|---|---|---|---|
| A | y b al C h nd m on e an ce s as a | .1 8 5 7 7 | 1 0 0 .0 0 % | Y l l i nt t at ou r c ur re as se a oc on |
| B | C h al i t t as er na ve s | 0 .0 0 | 0 .0 0 % | |
| C | E i i t 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 rad i i al -t t on on | 0 .0 0 | 0 .0 0 % | |
| F | C d i i t om mo es | 0 .0 0 | 0 .0 0 % | |
| G | O h t er | 0 .0 0 | 0 .0 0 % | |
| T ot | al t as se s | .1 8 5 5 7 7 | 1 0 0 .0 0 % | A |
5577.18¶
Eye on the markets¶
| Pe cha nta rce ge nge | ||
|---|---|---|
| Ind ex | No mb 20 16 ve er | Ye da to te ar |
| S & P 5 0 0 | 3 .7 0 % | 9 .7 9 % |
| R l l 3 0 0 0 us se | 4 .4 8 % | 1 0 .5 8 % |
| S C M I - E , A ral i a & F E t t uro pe us ar as | -1 .9 8 % | -1 .8 6 % |
| B l C pi al U .S . A e B d I nd t t arc a ys a g gre ga on ex | -2 .3 % 7 | 2 .5 0 % |
Interest rates on November 30, 2016 3-month Treasury bills: 0.48% One-month LIBOR: 0.62%¶
Account name: GMSLAINE MAXWELL Friendly account na Account number:¶
Change in the value of your account¶
| No (5 ) mb 20 16 ve er | Ye to da te (S ) ar | |
|---|---|---|
| O ni l pe nt n g a cc ou va ue | $ 8 3 6 ,7 4 1 .9 9 | $ 1 ,0 1 0 ,3 4 1 .5 2 |
| D si t , i l ud i g i t nt e po s nc nv es n me s t sf red i ran er n | 0 .0 0 | 7 0 0 .0 0 |
| W i h d t al nd f raw s a ee s , i l ud i g i t sf nt s t red nc n nv es me ran er t ou | -7 9 3 ,1 1 3 .4 6 | -1 ,0 0 9 ,2 0 .3 3 5 |
| D i vi d i d d i nt t en an er es nc om e | 8 2 3 .0 1 | 3 2 ,6 1 1 .2 9 |
| C h i k l et an ge n m ar va ue | -4 3 ,8 7 4 .3 6 | -3 3 ,8 7 0 .3 0 |
| C l i l nt os n g a cc ou va ue | $ 5 7 .1 7 8 | $ 5 7 7 .1 8 |
Dividend and interest income earned¶
For piaposes of this statement. taxability of interest and dinderd income has been detennned from a US tax reporting perspective. Based upon the residence of the account holder. account type, or product type, some interest ancVor dividend payments may not be subject to United Slates (US) andlor Anna Rico (PR) income taxes. The client monthly statement is not intended to be used ad ca of be relied upon for tax purposes. Clients should refer to the applicable tax reporting forms they receive from WS annually, such as the Foam 1099 and the rams 480, for tax reporting information. It 6 the practice of UBS to fie the applicable tax reporting forms with the US Internal Revenue Service and PR Treasury Department, and in such forms accurately dandy dividends endear interest as tax exempt or taxable income. Please conait your individual tax nearer.¶
| No mb 20 16 (1 ) ve er | Ye to da (S ) ar te | |
|---|---|---|
| T e d i vi d ab l d ax en s | 8 2 3 .0 1 | 3 2 ,6 1 0 .7 5 |
| T ab l e i nt t ax er es | 0 .0 0 | 0 .3 0 |
| T al ot nt cu rre ye ar | $ 8 2 3 .0 1 | $ 3 2 ,6 1 1 .0 5 |
| P ri ad j t nt or ye ar us me | 0.0 0 | 0.2 4 |
| T al d ot i vi d d & i nt t en er es | $ 8 2 3 .0 1 | $ 3 2 ,6 1 1 .2 9 |
Summary of gains and losses¶
Values reported below exclude products for which gins and losses are not classified¶
| Re aliz ed ins ga an | Un lize d | ||
|---|---|---|---|
| No mb ( ) 20 16 5 ve er | d lo sse s Ye to da te ar (S ) | rea i d lo sse s ns an | |
| L g t on er m | 0 .0 0 | -1 4 ,8 2 4 .7 7 | ga (S ) 0 .0 0 |
Cash activity summary¶
See Account activity this monthkr details. Balances in your Sweep options are included in the opening and closing balances value. FDIC insurance applies only to deposits at UM Bank USA, not to deposits at UBS AG, Stamford Branch or bat deposits placed Graph the 1/85 International Deposit Account program. 51K protection applies to money market sweep fund holdrgs but not bank deposits_ Seean/torten: infOrMatiOn about your statement On the last two pages of this document for details’¶
| No mb 20 16 (5 ) ve er | Ye to da te ar | |
|---|---|---|
| O ni g b al pe n an ce s | $ 8 3 .2 9 | (5 ) $ 0 .0 0 |
| A d d i ti on s | ||
| D si t nd h f ot d red i ed e t po s a er un s c | 0 .0 0 | 7 0 0 .0 0 |
| D i vi d d d i nt i st en an ere nc om e | 8 2 3 .0 1 | 3 2 ,6 1 1 .2 9 |
| P d s f i t roc nt t ct i ee ro m nv es me ran sa on s | 0 .0 0 | 1 8 3 ,9 6 4 .2 8 |
| T l ad d i ti ota on s | $ 8 2 3 .0 1 | $ 2 1 7 ,2 7 5 .5 7 |
| S ub cti tra 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 7 7 .1 8 | -5 ,6 7 3 .4 1 |
| O h t f er ee s | -3 0 .0 0 | 9 2 -7 .5 4 |
| O h f d t s d eb i ed t er un | -8 7 6 .3 0 | -2 0 9 ,9 5 5 .0 4 |
| F d i h d n f t i t un s w nt raw or nv es me s | ||
| b gh t ou | 0 .0 0 | -2 7 7 .4 0 |
| b T l cti tra ota su on s | -$ 32 9. 12 | -$ 2 1 6 ,6 9 8 .3 9 |
| f N sh l et ca ow | $ 4 9 3 .8 9 | $ 5 7 7 .1 8 |
| C l i al os n an ce s | 8 | |
| g b | $ 5 7 7 .1 8 | $ 5 7 7 .1 |
CNP7000800SS3SS39NP7000185219 0:003 1116 030575004 Y123572550101010 Page 3 of 8¶
Account name: HISLAINE MAXWELL Friendly account name: Indy V499 Account number:¶
Your Financial Advisor: SCOTT STACKMANLYLE CASRIEL 212-821-7000/800-308.3140¶
Withholdings and tax summary¶
| No mb (S ) 20 16 ve er | Ye to da te (S ) ar | ||
|---|---|---|---|
| aid Fo rei ta s p gn xe | -1 23 .45 | -2 ,50 1.2 5 |
UBS Bank USA Deposit Account AFT¶
| d O Int t rio ct 7 - N 6 er es pe ov | |
|---|---|
| O nin g U BS B k U SA D it b ala e O 7 ct pe an ep os nc | $0 .00 |
| Cl in g U BS B k U SA it b ala e N D 6 os an nc ov ep os | $0 .00 |
| of in in rio d Nu mb da te t res pe er ys | 31 |
| Av da il y b ala era ge nc e | $6 75 .13 |
| Int d st ere ea rne | $0 .00 |
| An al yi eld d nta 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: Current income & 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, First Out
Resource Management Account November 2016¶
Account name: GHISLAINE MAXWELL Friendly account name: Indiv.V499200013 Account number:¶
Your Financial Advisor. SCOTT STACKMMAYLE CASRIEL 212-821-7000x800.308.3140¶
Your assets¶
some prices, income and current values shoves may be approarnate. As a result, gains and losses may not be accurate)). reflected. See important information about your statement at the end of the declarant for moo idorrnatica¶
Cash¶
Cash and money balances¶
| Ho ldin g | O in g b ala %e pen No v 1 ( S ) on | clo sin g b ala nce No on v 3 ( S ) 0 | Ric har e p er s e Nov ( ) 30 5 on | Ave ra ge rate | Dm den dan tere st ed pe | Da in ys Pe red | C t ft mo un |
|---|---|---|---|---|---|---|---|
| C ash | 0.0 0 | 57 7.1 8 | ap | ||||
| UB S B AN K U SA DE P A C CT | 83 .29 | 0.0 0 | 25 0.0 00 .00 | ||||
| To tal | S 83 .29 | 35 77 .18 |
Your total assets¶
| wis n N 30 ( ) 5 e o ov | Per ta of cen ge nt r ac cou you | C ost bas (1 ) es | Est ima ted ual inc ( S ) ann om e | unf ced en r lo ( Si ga n o ss | ||
|---|---|---|---|---|---|---|
| C h as | C h a nd y b ala as m on e nce s | 57 7.1 8 | 10 0.0 0% | 57 7.1 8 | ||
| To l ta | $ 57 7.1 8 | 10 0.0 0% | 55 77 .18 |
Account activity this month¶
| Da te | Act ivit y | De i ptio scr n | Am t ( ) 5 oun | |
|---|---|---|---|---|
| Div ide nd d i nte t in an res co me | ||||
| Ta xab le cliv ide nob | No v 4 | Fo rei gn | GIE EN SP ON AD R A S OF / /1 11 03 6 | 82 3.0 1 |
| Div ide nd | C US IR 29 28 6D 105 | |||
| To tal ta | ble di vid xa en | ds | $ 82 3.0 1 | |
| To tal di | vid d a nd in en | ter t in es co me | $ 82 3.0 1 | |
| Da te | Act ivit y | De i ptio scr n | Am ( S ) t oun | |
| Fe es | No v 4 | Fee | EN GIE SP ON R A S OF AD 11 / 03 /1 6 | -30 .00 |
| No v 3 0 | Re fun d | PR OR AT ED AD VIS OR Y F EE | 57 7.1 8 | |
| To tal pr | ofe ion al ss ma | fee nt na ge me s | $ 57 7.1 8 | |
| To tal ot | he r fe es | -$ 30 .00 | ||
| Da te | Act mt y | De ptc su n | AM Cw Il ( ) 5 | |
| Ot he r fu nd s d eb ite d | v I No | Tra nsf er | JO UR NA L T O Y1 23 5 G 57 HIS LA INE MA XW EL L | -83 .29 |
CNP70000005535541 Na ICO0185219 00003 1116 030575004 V123572550 101010 Page 5 of 8¶
continued next page¶
Account name: OHISLAINE MAXWELL Friendly account name: Indiv V€19920008 Account number:¶
Account activity this month (continuel)¶
| Da te | Act ruit y | Dr uri pti ce | Am t | |
|---|---|---|---|---|
| Ot he r fu nd s d eb ite d (co nti til ) nu | No v4 | Fo rei Ta gn x Wi thh eId | EN GIE SP ON AD R A S OF / 11 03 /1 6 | (S ) an -12 3.4 5 |
| No v 2 8 | Tra nsf er | TO Y 1 3 65 08 42 00 | .66 9.5 6 | |
| To tal he ot r fu nd s & bi ed | -$ 87 63 0 |
Investment transactions¶
For nare information about the prkekakke shovm for restncted securities. see important information about year statement at the etx101 TM &weent.¶
| Da te | Act ieit y | Des cri pei on | O nk uar y | val IS ) ne | Pric ( S ) e | %c ts t en rom ’m t om en Va clio ns 1 f ) nsa | Fun ds ~d , fo ra w r iw 00 ) est nts 00 01 0 me | Acc d rue inte t |
|---|---|---|---|---|---|---|---|---|
| No v 2 8 | Tra nsf er | BA E S YS TE MS C PL SP ON AD O R T lel 36 50 8 42 00 | •1 ,00 0.0 00 | -29 ,91 5.0 0 | (f ) res | |||
| C US IP 05 52 3R 107 | ||||||||
| No v 2 8 | Tra nsf er | DE UT S CH E P O ST AG SP ON AD R T O Y1 36 50 8 42 00 | -1 ,00 0.0 00 | -30 ,87 5.0 0 | ||||
| C US IP. 25 15 7V 20 2 | ||||||||
| No v 2 8 | Tra nsf er | EN GIE SP ON AD R T O 1.1 36 50 8 4 20 0 C US IP. 29 28 60 10 5 | -1 ,50 0.0 00 | -18 ,41 2.5 0 | ||||
| No v 2 8 | Tra nsf er | IMP ER IAL BR AN DS PL C SP ON AD R T O Y1 36 50 8 42 00 | -1 ,03 0.0 00 | -45 ,05 2.2 0 | ||||
| C US IP-. 45 26 2P 102 | ||||||||
| No v 2 8 | Tra nsf er | MT N G RO UP LT D S PO N A DR TO Y 1 3 65 08 42 00 C US IP. 62 47 4M 10 8 | •1 ,99 0.0 30 | -16 ,24 8.3 5 | ||||
| No v 2 8 | Tra nsf er | OR KL A A SA A SH S SP ON AD O R T 111 36 50 8 42 00 | 41 15 .00 0 | -36 ,54 1.2 0 | ||||
| C US IP: 68 63 31 10 9 | ||||||||
| No v 2 8 | Tra nsf er | RE CK ITT BE NC KIS ER C S PO N A PL DR TO Y l 36 50 8 4 20 0 | -3 ,54 0.0 00 | -59 ,22 4.2 0 | ||||
| C US IP: 75 62 55 20 4 | ||||||||
| No v 2 8 | Tra nsf er | SIN GA PO RE TE LE C OM LT D N EW 20 06 SP ON AD R TO Y 1 3 65 08 42 00 | -1 ,76 5.0 00 | -46 ,37 5.3 7 | ||||
| C US IP 82 92 9R 30 4 | ||||||||
| No v 2 8 | Tra nsf er | SIE ME NS A G SP ON AD R T O S el 3 65 08 42 00 C US IP 82 61 97 50 1 | -50 0.0 00 | -56 ,06 0.0 0 | ||||
| No v 2 8 | Tra nsf er | AS TFT AZ EC EN A P LC SP ON AD R T O 111 36 50 8 42 00 C US IP. 04 63 53 10 8 | -73 0.0 00 | -19 ,51 2.9 0 | ||||
COMilitead Mat par¶
aW70008005535542 NP7000185219 00003 1116 030575004 Y123572550101010 Page 6 of 8¶
EFTA00022388¶
Account name: GHISLAINE MAXWELL Friendly account nat Account number:¶
Your Finandal Advisor: SCOTT STACKMANAYLE CASRIEL 212-821-7000/800-308-3140¶
Account activity this month (continued)¶
Investment transactions (continued)¶
| Da te | Act rvil y | De ptc un n | Ou ant it y | val (S ) ue | RIC (S t ) | fro Pro ds m cee stm ent me rnin s (5 ) sec oon | Fun ds hO n to wa raw r ier & b gie (S ) me en ou | ko ine (S nt ) we |
|---|---|---|---|---|---|---|---|---|
| No v 2 8 | nsf Tra er | EttI P B ILL ITO N L TD SP ON AD R T O Y1 36 50 8 4 20 0 CU SIP 0 88 60 61 08 | -43 5.0 00 | -16 ,67 7.9 0 | ||||
| v 2 8 No | Tra nsf er | OE SC OM AG OE SP ON O UT HE TE LE K AD R T Y1 8 4 20 0 36 50 CU SIP 25 15 66 10 5 | -4 ,27 0.0 00 | -66 ,01 4.2 0 | ||||
| No v 2 8 | nsf Tra er | O S MIT HK LIN E P LC GL AX AD R T O `11 36 50 8 42 00 CU SIP 3 77 33 W1 05 | -51 5.0 00 | -19 ,71 9.3 5 | ||||
| No v 2 8 | Tra nsf er | NIP PO N T ELE G & TE L C OR P S PO N A DR TO Y I 36 50 8 4 20 0 CU SIP : 6 54 62 41 05 | -2. 21 0.0 00 | -90 ,12 3.8 0 | ||||
| No v2 8 | Tra nsf er | NO IS A G S PO TO VA RT N A DR Y 1 3 65 08 42 00 . 6 69 87 V1 09 CU SIP | -97 5.0 00 | -67 ,35 3.0 0 | ||||
| No v2 8 | Tr t« am | P.T . T EL EK OM UN IKA SI IND ON ES IA SP ON AD R T O VI 36 50 8 4 20 0 CU SIP . 7 15 68 41 06 | -1 ,38 0.0 00 | -39 .12 3.0 0 | ||||
| No v 2 8 | Tra nsf er | RO YA L D UT CH SH ELL PL C C l A SP ON O AD R T Y1 36 50 8 4 20 0 CU SIP 7 80 25 92 06 | -27 .00 0 | -1 ,32 8.4 0 | ||||
| No v2 8 | Tra nsf er | RO L D UT CH SH C A YA ELL PL DS PST G 2 CL RE B OR D S HS SP ON AD R T O VI 36 50 8 4 20 0 7 80 25 91 07 CU SIP | -40 0.0 00 | -20 ,80 0.0 0 | ||||
| No v2 8 | nsf Tra er | ST AT OIL AS A S PO N A DR TO Y 1 3 65 08 42 00 85 77 1P 102 | -1 ,45 0.0 00 | -24 ,11 3.5 0 | ||||
| No v2 8 | Tra nsf er | SE MIC ON CT OR D A DR TA IW AN DU M FG CO LT TO V I 3 65 08 42 00 CU SIP 8 74 03 91 00 | -83 0.0 00 | -24 ,61 7.8 0 | ||||
| No v 2 8 | nsf Tra er | UN ILE VE R W N Y S HS NE W NE TH ER LA ND S S PO N O AD R T YI 36 50 8 4 20 3 CU SIP . 90 47 84 70 9 | -1 ,00 0.0 00 | -39 ,21 0.0 0 | ||||
| No v 2 8 | Tra nsf er | TO Y VO DA FO NE N A DR 1 GR OU P P LC WO 8 4 20 0 36 50 CU SIP . 92 85 7W 30 8 | -1 ,03 9.0 00 | -25 ,48 6.6 7 | ||||
| To tal | ||||||||
| Se riti cu es | fer red tra t ns ou | 47 92 .78 4.3 4 |
CNP70008005535543 NP70001135216 OCCO3 1116 030579004 Y123572550101010 Page 7 of 8¶
Account name: GHISLAIN( MAXWELL Friendly account nartw Account number:¶
Account activity this month (continued>¶
| Da te | Act ivit y | De i ptio scr n | Am t IS | |
|---|---|---|---|---|
| Mo y b ala cti vit ies ne nc e a | O ct 31 | Ba lan fo ard ce rw | ) oun 58 32 9 | |
| No v 2 | Wi thd al raw | UB S B AN K U SA DE PO SIT AC C O UN T A S OF 11 / /1 01 6 | -83 .29 | |
| No v 7 | De sit po | UB S B AN K U SA AC C O DE PO SIT UN T | 66 9.5 6 | |
| No v 2 9 | Wi thd al raw | UB S B AN SA K U DE PO SIT AC C O UN T A S OF 11 /2 8/1 6 | -66 9.5 6 | |
| No v 3 0 | Cl in g U BS Ba nk os | US A D it A nt ep os cc ou | $ 0.0 0 |
The UBS Bank USA Deposit Accosem is yaw primary sweep option¶
CNP70008005535544 W70030185219 00003 1116 030575004 v123572S50 101010 Page 8 of 8 End of statement for account nurnber Y1 23572 S5¶