UBS Financial Services Inc. Private Wealth Management 299 Park Avenue 25th Floor New York NY 10171-0002¶
CW70:6535545 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: Indiv. 167006¶
Account number.¶
Your Financial Advisor: SCOTT STACKMAN&YLE CASRIEL Phone: 212-821-7000/800-308-3140¶
Questions about your statement?¶
RMA Resourceline at 800-RMA-1000. account 029023574.¶
Visit our websitec Your liabilities¶
www.ubs.com/financialservices¶
Call your Financial Advisor or the Value of your account¶
| Oc tob 31 (S ) on er | No mb 30 on (5 ) ve er | |
|---|---|---|
| Yo ts ur as se | 1 ,13 5 ,63 0.5 2 | 77 2.3 9 |
| 0. 00 | 0. 00 | |
| t Va lue yo f ur a c c o un o | $1 ,13 5 ,63 0.5 2 | $7 72 .39 |
| Ac ed inte t in lue ab cru res va ove | $3 .56 6.3 8 | w e e |
Sources of your account growth during 2016¶
| Va lue of t yo ur ac co un No v 3 0.2 01 6 on | 677 2.3 9 |
|---|---|
| Ch e in ang | |
| Ch e in lue of ang va d in ter est acc rue | -55 .17 8.8 8 |
| Div ide nd d an inte t in res com e | $5 9 ,04 5.7 5 |
| Ne t de its d pos an yrit Isd als rav | -S1 .36 68 02 .20 |
| Va lue of nt you r ac cou d 2 at 01 5 yea r en | $1 ,31 1.7 17. 81 |
Member SIPC CNP70001,305535545 W70:01135219 00004 1116 030575004 Y123574550101010 Page 1 of 8¶
UBS Resource Management Account November 2016¶
Account name: GHISLAINE MAXWELL Friendly account na • Account number:¶
Your linandol Advisor: SCOTT STACKMANA.N.E CASRIEL 212.821.700W800-308.3140¶
Your account balance sheet¶
Summary of your assets¶
| V al ue on N mb 3 0 ( 5 ) ove er | P ent of erc a ge nt yo ur acc ou | |||
|---|---|---|---|---|
| A | C h d y b al as an m on e an ce s | 7 7 2 .3 9 | 1 0 0 .0 0 % | Y nt l l i t at ou r c ur re as se a oc on |
| B | C h al t i as t 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 -t t al 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 | S 7 7 2 .3 9 | 1 0 0 .0 0 % | A |
Value of your account 5772.39¶
| E h k t t y e o n e m a r e s | |||
|---|---|---|---|
| P ent ch erc a ge an ge | |||
| I nd ex | N mb 2 0 1 6 ove er | Y o d t at ear e | |
| S & P 5 0 0 | 3 0 % .7 | 9 .7 9 % | |
| R l l 3 0 0 0 us se | 4 .4 8 % | 1 0 .5 8 % | |
| M S C I - E , A ral i a & t F E uro pe us t ar as | -1 .9 8 % | -1 .8 6 % | |
| B l C pi al U .S . A t e B arc t d I nd 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%¶
04P70000005535546 NP7000I 85219 00004 1116 030575004 V123574550101010 cup 2 of 8¶
Resource Management Account November 2016¶
Account name: GHISLAINE MAXWELL Friendly account name In&v flV 1M006 Account number.¶
Your Financial Advisor. SCOTT STACKMAWLYLE CASRIEL 212-821-7000/800-308-3140¶
Change in the value of your account¶
| No mb 20 16 ve er (S ) | Ye to da te ar (S ) | |
|---|---|---|
| O ni nt l pe n g a cc ou va ue | 1 5 ,1 3 5 ,6 3 0 2 .5 | 5 1 ,3 1 1 ,7 1 7 .8 1 |
| D si , i l ud i g i ts tm e ts po nc nv es n en f ed i tra ns err n | 0 .0 0 | 8 ,3 4 0 .0 0 |
| W i th d al nd f raw s a ee s, i l ud i g i f ed tm ts tra nc n nv es en ns err t ou | -1 ,1 4 9 ,9 0 6 .6 9 | -1 ,3 7 4 ,9 4 2 .2 0 |
| Di vi d d d i i nte st en an re nc om e | 4 ,9 9 3 .8 4 | 5 9 ,0 4 5 .7 5 |
| C h i al of ed an ge n v ue ac cru i nte st re | -3 ,5 6 6. 3 8 | -5 ,1 7 8 .8 8 |
| C h i ark l et an ge n m va ue | 13 ,6 75 .1 0 | 1 ,7 8 9 .9 1 |
| C l i l nt os n g a cc ou va ue | $ 7 7 2 .3 9 | $ 7 7 2 .3 9 |
Dividend and interest income earned¶
For purposes of this staterrent taxability of intern and *Mend Exam has been determned from a US tax reportirg perspectne. Based upon the reudence of the account holder, account type, or product type, some interest and dividend payments may not be stt,ject to United States (US1 andAx Puerto Rico (PR) income taxes. The client monthly statement is not ntended to be used and carnal be relied upon for tax purposes. Clients should refer to the applicable tax reporting forms they receive from uBS arnually, such as the Foam 1099 and the Forms 480, for tax reputing information It is the practice of UBS to Me the applicable tax reporting foam with the US IlltiMid Revenue Serice and PR Treasury Department, and in such forms accurately classify dnidends and/or interest as tar exempt or taxable income. Please consult your indmclual tax wearer.¶
| No mb 20 16 (S ) ve er | Ye da (S ) to te ar | |
|---|---|---|
| T ab l e d i vi d d ax en s | 0 .0 0 | 7 ,2 0 2 .2 8 |
| L pi tal i g-t on erm ca ga ns | 1 0 6 .2 7 | 1 0 .2 6 7 |
| T ab l e i nte st ax re | 4 ,5 3 .5 7 1 | 4 2 ,4 9 5 .8 9 |
| T i pt nte t ax -ex em res | 0 .0 0 | 7 ,5 0 0 .0 0 |
| M i l l sce an eo us | 2 9 6. 0 6 | 1 ,68 7. 31 |
| T al ot nt cu rre ye ar | 5 4 ,9 9 3 .8 4 | $ 5 9 ,0 4 5 .7 5 |
| T al d ot i vi d d & i en nt t er es | $ 4 ,9 9 3 .8 4 | $ 5 9 ,0 4 5 5 .7 |
Summary of gains and losses¶
Values reported belowexclude products for vit*h gins and losses are not classified.¶
| Re aliz ed ins ga an | Un fiee d rea | ||
|---|---|---|---|
| No mb 20 16 (5 ) ve er | Ye da to te (S ) ar | ins d lo s (S ) ga an sse | |
| S h te ort rm | 0 .0 0 | 5 8 6. 0 2 | 0 .0 0 |
| L g t on erm | 0 .0 0 | 6 ,0 2 .8 7 0 | 0 .0 0 |
| T ot al | $ a w | $ 6 ,6 1 3 .8 2 | $ 0 .0 0 |
UBS Resource Management Account November 2016¶
Account name: GHISIAINE MAXWELL Friendly account nth •tndivnS2167nnA Account number:¶
Your Financial Advisor. SCOTT STACKMANA.YSE CASRIEL 212-821-7000/800-308.3140¶
Cash activity summary¶
Site Acosunt activity this month for details. Balances in yam Swap Options are included in the operatic and closing balances value. FDIC insurance applies only to deposits at UBS Bank USA., not to deposits at UBS AG. Stamford Branch or bank deposits placed dvough the tiFiS international Depose Account program. AFC protection applies to money market sewed fund lokings but not bank deposits See important information abort your statement on the last two pages of the document kr details.¶
| No mb 20 16 ve er ( ) 5 | Ye to da ( S ) te ar | |
|---|---|---|
| O ni g b al pe n an ce s | $ 1 0 ,6 8 0 0 .7 | $ 5 4 1 .4 8 |
| A d d i i t on s | ||
| D si t nd h f d ot red i ed t e po s a er un s c | 0 .0 0 | 8 ,3 4 0 .0 0 |
| D i vi d d d i i nt t en an er es nc om e | 4 ,9 9 3 .8 4 | 9 5 ,0 4 5 .7 5 |
| P d s f i t roc nt t i ee ro m ct nv es me ran sa on s | 1 5 0 ,0 0 0 .0 0 | 3 2 5 ,3 0 3 6 .7 |
| T al ad ot d i i t on s | 5 1 4 5 ,9 9 3 .8 4 | $ 39 2 ,68 9.5 1 |
| S ub i t t rac on s | ||
| P rof si al f nt nd es on m an a ge me ee s a rel ed at rvi se ce s | 7 2 7 .3 9 | -7 ,5 2 8 .3 8 |
| O h f t d s d eb i ed t er un | -1 6 5 ,6 7 4 .5 4 | -3 8 2 ,3 5 5 .2 8 |
| F d i h t d n f i t nt un s w raw or nv es me s b gh t ou | 0 .0 0 | -2 ,5 7 4 .9 4 |
| T al b ot t i t su rac on s | -$ 1 6 4 ,9 0 2 .1 5 | -$ 3 9 2 ,4 5 8 .6 0 |
| sh f N l et ca ow | -$ 9 ,9 0 8 .3 1 | $ 2 3 0 .9 1 |
| C l i b al os n g an ce s | $ 7 7 2 .3 9 | $ 7 7 2 .3 9 |
UBS Bank USA Deposit Account APY¶
Interest period Oct 7 - Nov 6¶
| O ni B k U S A D g U BS si b al O pe n t an ct 7 e po an ce | $ 0 .0 0 |
|---|---|
| C l i g U S B B k U S A D si b os t al N n an 6 e po an ce ov | $ 1 ,8 3 7 .5 1 |
| N b of d i n i nt st ri od um er a ys ere pe | 3 1 |
| A d ai l y b al ve ra ge an ce | $ 9 8 9 .8 3 |
| I nt st d ere ea rne | $ 0 .0 1 |
| A l nt yi el d d nn ua pe rce a ge ea rne | 0 .0 1 % |
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 - Moderate Investment eligibility consideration - None selected¶
Your account instructions¶
e Your account cost basis default closing method is FIFO, First In, First Out.¶
Resource Management Account November 2016¶
Account name: GHISLAINE MAXWI I . Friendly account na Ind& 1 7 Account number:¶
Your Financial Advisor: SCOTT STACKMANILYLE CASRIEL 212-821-7000/800-308.3140¶
Your assets¶
Some prices. form and current vitas shown may be approximate As a resull gains and losses may not be accurately reflected See ‘mono:information about Jour statement at the end of this document for more information¶
Cash¶
Cash and money balances¶
| Ho ldin g | O in g b ala pen nce No (S v 1 ) on | Clo sin g b ala nce No an v 3 0 (5 ) | Pric har e p er s e No v 3 0 (S ) on | Ave rag e rate | Dm de ndi rte t res iod per | Da ys i n iod | C Si |
|---|---|---|---|---|---|---|---|
| C h as | 4 ,72 6.3 7 | 2.3 77 9 | per | ( t ap am oun | |||
| UB S B AN K U SA DE P A C CT | 5 ,95 4.3 3 | 0.0 0 | 25 0 | ||||
| To tal | 91 06 90 .70 | 97 72 .39 | ,00 10 0 |
Your total assets¶
| Va lue No v 3 (3 ) on 0 | Per of ta cen ge tou nt r ac cou | Co st bas is (S ) | Est ima ted ual * (5 ) ann w on | Unr eal ized r lo 5 n o | ||
|---|---|---|---|---|---|---|
| C h as | Ca sh d m ba lan an on ey ce s | 77 2.3 9 | 10 0.0 0% | 77 2.3 9 | gai ss ( ) | |
| To l ta | 57 72 .39 | 10 0.0 0% | 57 72 .39 |
Account activity this month¶
| Da te | Act ivit y | De i ptio scr n | Am | |
|---|---|---|---|---|
| Div ide nd d i nte t in an res co me | nt (S ) ou | |||
| Lo pit al gai -te ng rm ca ns | No v 1 4 | It C G ain ap | BLA CK ST ON E G RO UP LP /TH E U NIT RE PST G L TD PA RT NE RS HIP IN T | 160 .27 |
| To tal lo pit al ins -te ng rm ca ga | ||||
| Ta xab le i nte t res | v 1 No | Inte t res | C O UN TR YW IDE CA P V 7. 00 0% DU E 1 1/ / 01 36 CA LLA BL E P AID ON 42 00 | 160 .27 1 ,83 7.5 0 |
| C US IP: 22 23 88 20 9 | ||||
| No v 7 | Inte t res | U8 S B AN K U SA DE PO SIT AC C O UN T A S OF 11 / 04 /1 6 | 0.0 1 | |
| No v 1 5 | Inte t res | BA NK OF AM ER INT ER NO TE S 03 .60 0% 11 15 16 DT D1 104 10 FC 05 15 11 NT S B/E | 2 ,70 00 0 | |
| C US IP: 06 05 0W DW 2 | ||||
| To tal ta | ble in ter est xa | $L 53 7.5 1 |
CW70008005535549 HP70001136219 000O4 1116030575004 Y123574350 101010 Page S of 8¶
Account name: GHISLAINE MAXWELL Friendly account nor 7 • Ind 05.21fi7nnfi Account number:¶
Account activity this month (continued)¶
| Da te | Act ivit y | Des cri ptio n | Am t | |||
|---|---|---|---|---|---|---|
| Div ide nd d i (c nte t in tin d ) an res co me on ue | ( S ) oun | |||||
| Mis llan ce eo us | No v 1 4 | Div ide nd | BLA CK ST ON E G RO UP /TH LP E UN IT RE PST G L TD PA RT RS NE HIP W T P ON AID 11 13 | 7.7 9 | ||
| No v 1 4 | Re tur n Of C ita l ap | BLA CK ST ON E G RO UP LP /TH E U Nif RE PST G L TD PA RT NE RS HIP INT PA ID ON 11 13 | 14 .47 | |||
| No v 1 4 | Div ide nd | BLA CK ST ON E G RO UP LP /TH E U NIT RE PST G L TD PA RT NE RS HIP IN T | 27 3.8 0 | |||
| To tal isc m | U9 6.0 6 | |||||
| To tal di | vid d a nd In en | t in ter es co me | 36 99 3.8 4 | |||
| Da te | Act ivit y | De i ptio scr n | Am t S | |||
| Fe es | No v 3 0 | Re fun d | PR OR AT ED AD VIS OR Y F EE | ( ) oun 77 2.3 9 | ||
| To tal ofe pr | 97 72 39 | |||||
| Da te | Act ivit y | De ph scr :n | Am | |||
| Ot he r fu nd s d eb ite d | No v 1 | Tra nsf er | JO UR NA L T O 191 23 57 5 G HIS LA INE M AX WE LL | t ( SI oun | ||
| No v 2 8 | Tra nsf er | TO `1 1 36 50 9 2 20 0 | -10 ,68 0.7 0 -15 4 ,99 3.8 4 | |||
| To tal he ot r fu nd s d eb ite d |
Investment transactions¶
for more information about the price/value shown for restricted wo nies, see important information about your statement st the end of this document.¶
| Da te | Ac tivi t y | De i ptio scr n | Q tit uan y | Val ( S / ue | Pric ( S ) e | Pr eds fro oce m inv est nt me s ( S ) tran tion sac | Fun ds vnt hdr n fo aw r inv bo ugh est nts t me C S / | Aw d ne Me t S res |
|---|---|---|---|---|---|---|---|---|
| No v 1 C all 5 Re de tio mp n | BA NK O F A ME R INT ER N3 TE S 03 .60 0% 11 15 16 DT D1 104 10 FC 05 15 11 NT S 8/E C US IP: 08 05 0W DW 2 | •15 0 ,00 0.0 00 | 15 00 00 .00 | ( ) | ||||
| No v 2 8 | Tra nsf er | BIR DW LE IN DP T TX S CH D PRE F /P BE / 5 DU E 0 21 52 9 D TD 01 150 7 C AL LA BL E PR E- RE FU ND ED 70 `1 1 3 65 09 22 00 09 08 74 1J5 | -90 ,00 0.0 00 | -90 ,77 7.6 0 | ||||
| No v 2 8 | Tra nsf er | BIR DA LE TX *C PT S CH D BE /R / 5 DU E 0 21 52 9 D TD 01 150 7 C AL LA BL O E T YI 36 50 9 2 20 0 C US IP. 09 08 74 LM 8 | -10 ,00 0.0 00 | -10 08 2.5 0 |
continued next page¶
Resource Management Account November 2016¶
Account name: GHISLAINE MAXWELL Friendly account na Account number:¶
Your Financial Advisor: SCOTT STACKMANAYLE CASFUEL 212.821-7000/800.308-3140¶
Account activity this month (continued)¶
Investment transactions (continued)¶
| Da te | Ac tivi t y | De scr eac e | Q tit uan y | val S ( ) ue | Prio ( S ) r | Pro ds f cee rom inv est nt me tran tion s ( S ) sac | ts run wit h*I t fo nw r inv bo ugh est nts t ( S ) me | Acc d rue inte ( St t res |
|---|---|---|---|---|---|---|---|---|
| No v 2 8 | Tra nsf er | MIC HIG AN M UN BD AU TH RV BU R/ 5 DU E 1 00 12 6 D TD 11 CA 02 06 LLA BL E T O Y1 36 50 9 22 00 C US IP: 59 45 57 48 5 | -5 ,00 0.0 00 | -5 ,01 6.8 o | ||||
| No v 2 8 | Tra nsf er | C O UN TR YW IDE CA P V 7. 00 0% DU E 1 1/ / 01 36 CA LLA BL E T O TI 36 50 9 2 20 0 C US IP. 22 23 88 20 9 | 42 00 .00 0 | -10 6 ,94 0.4 0 | ||||
| v 2 No 8 | Tra nsf er | CIT IGR O UP CA PIT AL X II F XD IFL T T ST RU PF D 7.1 21 % DU E 1 0/ /2 30 04 0 T O Y1 36 50 9 2 20 0 C US P. 17 30 80 20 1 | -10 ,00 0.0 00 | -25 9 ,00 00 0 | ||||
| No v 2 8 | Tra nsf er | BA NK OF AM ER C OR P T O Y1 36 50 9 2 20 0 | -94 4.0 00 | -19 ,16 3.2 0 | ||||
| No v 2 8 | Tra nsf er | BLA CK ST ON E G RO UP LP /TH E U NIT RE PST G L TD PA RT NE RS HIP IN T T O Y1 36 50 9 2 20 0 | -1 ,11 3.0 00 | -28 ,72 6.5 3 | ||||
| No v 2 8 | Tra nsf er | GE NE RA L M OT OR S C O T O Y1 36 50 9 2 20 0 | -1 ,02 3.0 00 | -34 ,83 3.1 5 | ||||
| No v 2 8 | Tra nsf er | SP S DR &P 50 0 E TF TR TO Y 1 3 65 09 22 00 | -1 ,25 7.0 00 | -27 7 ,14 13 6 | ||||
| No v 2 8 | Tra nsf er | 1P MO RG AN CH AS E & C O 07 .90 0% 04 29 49 C1 DT D0 42 30 8 F 03 00 8 N TS B/ E T O Y1 36 50 9 22 00 C US IP: 46 62 5H HA l | -15 0 ,00 0.0 30 | -15 3 ,37 5.0 0 |
-S985,058.54¶
Total¶
Securities transferred out¶
Date Activity Oct 31 Went* (onward Nov 1 Deposit Nov 2 Withdrawal Nov 7 Deposit Nov 15 Deposit Nov 16 Deposit Nov 29 Withdrawal Nov 30 Closing UBS Bank USA Deposit Account DesaiptOn Amount (S) 55,95433 Money balance activities UBS BANK USA DEPOSIT ACCOUNT 4,726.37 UBS BANK USA DEPOSIT ACCOUNT AS OF 11/01/16 -8,843.20 UBS BANK USA DEPOSIT ACCOUNT AS OF 11/04/16 0.01 UBS BANK USA DEPOSIT ACCOUNT 456.33 UBS BANK USA DEPOSIT ACCOUNT 152,700.00 UBS BANK USA DEPOSIT ACCOUNT AS OF 11/28/16 -154,993.84¶
The UBS Bank USA Deposit Account is your primary sweep opticӦ
CtiP7000800SS3SSSI W7000185219 00004 1116 030575004 Y123574550101010 Par 7 of 8¶
3150,000.00¶
EFTA00022397¶
UBS Resource Management Account November 2016¶
Account name: GRISLAINE MAXWELL Friendly account name: Indiv 09 167006 Account number.¶
Your Financial Advisor: SCOTT STACKMAN/IYLE CASRIEL 212-821.7000!800.308.3140¶
Realized gains and losses¶
The estimated realized gains and lasses shown below are not (alas purposes Please note that gain or loss recognized on the sale or redemption of certain Structured Product, like Contingent Debt Securities, may be ordinary, and not capital, gain or loss. Please check with your tar advisor To calculate Paths and losses. We liquidate the oldest secunty lot fist This is known as the first-in. first-out a FIFO accounting method. We use this method unless you specified which tax lot to close when you placed your order. This is known as purchases or VSP order See Important information about your statement at the end of this docurnent for more¶
information We may not adjust gains and losses for all capital changes We automatically adjust cost basis for tax-exempt and AMT coupon municipal sec/dies for estrnated amortization of bond pemiurrs and for acaeted 00 for securities issued at a Oscan If you requested that MS adjust cost basis for the bond premium amortization on taxable debt secunties then cost basis reflected for these securities has been af lusted. Estimates in the Unclassified section can not be classified as short term a song term because information is missing, or the product is one in which the gantoss calculation is not provided.¶
Long-te►m capital gains and losses¶
| unt y d ri ptio sec esc n | Me tho d | Qu ant it Pur cha y o r se fac ak. * dat e y e | Sal e dal e | Sal e t (S ) am oun | Cos t bas es ( SI | Wa sh sale t ba sis cos ad | ||
|---|---|---|---|---|---|---|---|---|
| BA NK OF AM ER IN TE RN OT ES 03 .60 0% 11 15 16 DT D1 10 41 0 FC 05 15 11 WS EV E | FIF O | 15 0 ,00 0.0 00 N 01 , 1 ov | 0 No v 1 5. 16 | 15 0 ,00 0 0 0 | 15 0 ,00 0.0 0 | jus (SI trre nt | Los s (1 ) | Ga in (SI |