UBS Financial Services Inc. 299 Park Avenue 25th Floor New York NY 10171.0002¶
CNP70055801410516 Y1 0¶
Resource Management Account¶
May 2016¶
GHISLAINE MAXWELL 116 E 65TH STREET NEW YORK NY 10065-7007¶
Account name: GHISLAINE MAXWELL¶
Friendly account name: Ind:CaShfaaving¶
Account number:¶
Your Financial Advisor: SCOTT STACKMANAY1F CASRIEL Phone 212-821-7000/800-308-3140¶
Questions about your statement?¶
account 029023575.¶
Call you’ Financial Advisor or the Value of your account¶
| RM A R eti at 0-R MA 80 -10 00 eso urc ne , t 0 29 02 35 75 ac co un Vis it o bs ite ur we : ub Vfi nci als ice ww w s c on na erv s | Va lue f t o yo ur ac co un | S1 8 ,95 5 ,08 2.7 7 | 51 6 ,47 5 ,00 2.0 7 |
|---|---|---|---|
| Yo lia bil itie ur s | 0.0 0 | 0.0 0 | |
| Yo ts ur as se | 18 ,95 5 ,08 2.7 7 | 16 ,47 5 ,00 2.0 7 | |
| A pri l 29 (5 ) on | M 31 ( $ ) on ay |
42¶
Member SIPC CRP70008005580141 NE/000191935 00005 0516 030575004 Y123575550 000000 Pegs 1 of 8¶
UBS Resource Management Account May 2016¶
Account name: CHISLAINE MAXWELL Friendly account na .1rittr krc Account number:¶
Your Finandai Advisor: SCOTT STACKMAN/LYLE CASRIEL 212-821-7000/800-308-3140¶
Your account balance sheet¶
Summary of your assets¶
| V al ue on M ( S ) a 3 1 y | of P ent erc a ge nt yo ur acc ou | |||
|---|---|---|---|---|
| A | C y b al h d an ce s as an m on e | 0 .0 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 | 1 2 ,9 5 5 ,4 1 5 .3 1 | 7 8 .6 4 % | |
| C | E i ti qu es | 0 .0 0 | 0 .0 0 % | |
| D | F i d i xe nc om e | 3 ,5 1 9 ,5 8 6 .7 6 | 2 1 .3 6 % | |
| 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 | $ 1 6 ,4 7 5 ,0 0 2 .0 7 | 1 0 0 .0 0 % |
Value of your account¶
516,475,002.07¶
Eye on the markets¶
| P ch ent erc a ge an ge | ||
|---|---|---|
| I nd ex | M y 2 0 1 6 a | Y o d t at ear e |
| S & P 0 0 5 | 1 .8 0 % | 3 .5 7 % |
| R l l 3 0 0 0 us se | 1 .7 9 % | 3 .4 1 % |
| M S C I - E , A al i tr a & F E t uro pe us ar as | -0 .7 8 % | -0 .7 5 % |
| B l C pi al U .S . A e B d I nd t t arc a ys a g gre ga on ex | 0 .0 3 % | 3 .4 % 5 |
Interest rates on May 31, 2016 3-month Treasury bills: 0.34% One-month LIBOR: 0.47%¶
EFTA00022408¶
Resource Management Account May 2016¶
Account name: GillStAINE MAXWEtl. Friendly account name: nt-I ashrliavin Account number.¶
Your Financial Advisor. SCOTT STACKMANAYLE CASRIEL 212 -821-7000/803- 308-3140¶
Change in the value of your account¶
| Ma y 2 01 6 (S ) | Ye to da te ar ($ ) | |
|---|---|---|
| O ni l nt pe n g a cc ou va ue | 5 1 8 ,9 5 5 ,0 8 2 .7 7 | $ 6 ,1 4 4 ,7 3 1 .5 8 |
| D si , i t l ud i g i e po t nt s nc n nv es me s sf t red i ran er n | 6 3 ,9 8 3 .3 0 | 1 4 ,6 0 9 ,5 4 9 .6 7 |
| W i h d al t 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 | -2 ,5 5 1 ,2 2 1 .6 7 | 4 ,3 0 2 ,3 4 1 .6 1 |
| D i vi d d d i nt i t en an er es nc om e | 7 ,1 5 7 .6 8 | 1 9 ,5 5 .0 5 8 |
| C h i k l et an ge n m ar va ue | -0 .0 1 | 3 ,5 0 7 .3 5 |
| C l i l nt os n g a cc ou va ue | 51 6,4 75 ,00 2.0 7 | 5 1 6 ,4 7 5 ,0 0 2 .0 7 |
Dividend and interest income earned¶
For pa/poses of this statement, taxabley of interest and dividend income has been determined from a US tax repartee perspective. Based upon the residence of the account holder, account type. Or product type. some interest and/ce dividend payments may rot be subject to tailed States (US) andlor Puerto Rico (PRI income taxes. The client monthly statement 4 not intended to be used and carat be relied upon for tax purposes. Clients stiorAd refer to the amicable tax reporting fairs they receive from UBS annually, such as the Forms 1099 and the Forms 480, for tax reporting information. it is the practice of UBS to file the applicable tax huixting forms with the US Internal Revenue Service and PR Treasury (pelmet. and in such foam accurate),classify dividends and/,r interest as tax exempt or taxable income. Please consult your individual tax preparer.¶
| ( S ) Ma y 2 01 6 | Ye to da ar te (S ) | |
|---|---|---|
| T ab l e d i vi d d ax en s | 7 ,1 4 2 .1 2 | 1 7 ,3 4 4 .5 6 |
| T ab l e i nt t ax er es | 1 5 6 .5 | 3 6 .7 9 |
| T al ot nt cu rre ye ar | 5 7 ,1 5 7 .6 8 | $ 1 7 ,3 8 1 .3 5 |
| P ri ad j t nt or ye ar us me | 0 .0 0 | 2 ,1 7 3 .7 3 |
| T al d i vi d ot d & i nt t en er es | 5 7 ,1 5 7 .6 8 | $ 1 9 ,5 5 5 .0 8 |
Summary of gains and losses¶
Values reported below exclude products for which gans and losses are not dandled¶
| Re aliz ed ins ga an | d lo sse s | ||
|---|---|---|---|
| ( 5 ) Ma y 2 01 6 | Ye to da (5 te ) ar | Un lize d rea gai d lo ns s (5 an sse | |
| S h ort t er m | 0 .0 0 | 0 .0 0 | ) 1 4 .2 8 |
Cash activity summary¶
See AttCunt activity Otis month fa details Balances in your Sweep Options are inckded in the Waning and dosing balances value insurance applies only to deposits at UBS Bank USA. not to deposits at (185 AG, Stamford Branch or bank deposits placed though the UBS international Deposit Account program SIPC protection applies to money market sweep fund holdngs but not bank deposits. See Irry;ortant informaton atait your statement on the last two pages of this document for *tads¶
| Ma y 2 01 6 (S ) | da Ye to te ar | |
|---|---|---|
| O g b ni al pe an n ce s | $ 0 .0 0 | (S ) $ 2 ,0 1 0 ,2 9 4 .6 2 |
| A d d i ti on s | ||
| D si nd t ot h f d red i ed t e po s a er s c un | 6 3 ,9 8 3 .3 0 | 1 4 ,6 0 9 ,5 4 9 .6 7 |
| D i vi d d d i nt i st en an ere nc om e | 7 ,1 5 7 .6 8 | 1 9 ,5 5 5 .0 8 |
| P d s f i roc ee t nt t i ro m ct nv es me ran sa on s | 2 ,5 5 0 ,2 2 1 .6 7 | 4 ,2 5 4 ,3 5 0 .2 1 |
| T l ad d i ti ota on s | 52 ,62 1,3 62 .65 | 5 1 8 ,8 8 3 ,4 5 4 .9 6 |
| S ub cti tra on s | ||
| C h k nd b i l l t ec s a pa ym en s | -2 ,5 0 0 ,0 0 0 .0 0 | -2 ,5 0 0 ,0 0 0 .0 0 |
| O h t f d s d eb i t ed er un | 1 -5 ,2 2 1 .6 7 | -1 ,8 0 2 ,3 4 1 .6 1 |
| F d i h t d n f i un s w raw t nt or nv es me s b gh t ou | 0 -7 ,1 4 0 .9 8 | -1 6 ,5 9 1 ,4 0 7 .9 7 |
| T l b cti ota tra su on s | -$ 2 ,6 2 1 ,3 6 2 .6 5 | -$ 2 0 ,8 9 3 ,7 4 9 .5 8 |
| N f l et sh ca ow | 5 0 .0 0 | -5 2 ,0 1 0 ,2 9 4 .6 2 |
| C l i ba lan os n g ce s | $ 0 .0 0 | $ 0 .0 0 |
Elt UBS Resource Management Account May 2016 Account name: Friendly account na Account number: GHISLAINE MAXWELL I h¶
Your Financial Advisor SCOTT STACKAAANLYLE CASRIEL 212-821-7000/800-308-3140¶
UBS Bank USA Deposit Account APY Your account instructions¶
Interest period Apr 7 - May 5¶
| D si b al A O ni g U B S B k U S A t 7 e po an ce pr pe n an | $ 0 .1 1 |
|---|---|
| C S l i B k U A D si b al M y 5 t g U BS os n an e po an ce a | $ 1 ,3 9 0 .7 9 |
| N b of d i n i ri od nt t um er a ys er es pe | 2 9 |
| y b al A d ai l an ce ve ra ge | $ 3 4 ,6 2 6 .8 7 |
| d I nt t e er es ar ne | $ 0 .2 8 |
| yi el d d A l nt pe rce a ge ea rne nn ua | 0 .0 1 % |
UBS AG Deposit Account APY¶
| I ri od A - M nt t 7 y 5 er es pe pr a | |
|---|---|
| g U B S A G D si b al A O ni t 7 e po an ce pr pe n | $ 0 .0 0 |
| C S G l i g U B A D si b al M y 5 t os n e po an ce a | $ 0 .0 0 |
| N b of d i n i ri od nt t um er a ys er es pe | 2 9 |
| y b al A d ai l an ce ve ra ge | $ 1 ,9 2 3 ,3 9 2 .6 2 |
| I d nt st ere ea rne | $ 1 .2 8 5 |
| yi el d d A l nt 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 cost basis default closing method is FIFO, First In, First Out.
SUBS Resource Management Account May 2016¶
Account name: GHISLANE MAXWELL Friendly account name- Account number:¶
Your Financial Advisor. SCOTT STACKSAAFAYLE CASRla 212-821-70011880-308-3140¶
Your assets¶
some prices, rowne and current values shown may be approomate. As a result, gains and losses may not be accurately reflected See Important jai:matron about yea statement at the end of this document for more information.¶
Cash alternatives¶
Money market funds¶
share, Money market funds are neither insured nor guaranteed by the federal Deposit insurance Corporation or any other government agency. Although money market funds seek to preserve the value of your investment at SI DO per it is possible to lose money by irwesting n these funds.¶
Tow reinvested n the total of all reinvested dividends It does not Indude any cash &olden& it is not a tax lot for the purposes of determining holding pencils or cost basis The shares you receive each tale you reinvest dividends become a separate tax lot.¶
Cost basis is the total purchase cost of the security. irxiuding reinvested dindends. The cost baps may need to be adlusted for return of capital payments in order to determre the adjusted cost basis for tax reporting purposes¶
Unrealized (taidgain or loss is the difference between the current value and the cost bases and would generaby be your taxable gain or loss if the secuMy was sold on this date The unrealoed (tax) gain or loss may need to be adjusted fa return of capital payments et ceder to determine the realized gain or loss for tax repotting purposes¶
InveStment return s the current value minus the amount you imested It does not include shares that are not reflected on your statement. including shares that have been realized as either a gain a a loss it also does not include cash <indent that were not reenested¶
| Ho ldin g | Nu mb er har of s es | Pur cha pric se er Ave rice rag e p sh (S ) per are | Clie nt inv est nt me | Co st bas is If ) | Pric har e p er s e Ma y 3 1 (SI on | val ue on Ma y 3 1 (S ) | Un kze d rea gai r lo n o | Inv est nt me retu | Ho ldin g |
|---|---|---|---|---|---|---|---|---|---|
| UB S S ELE CT PR IME | ss ( 5 ) | rn ( S ) | iod per | ||||||
| INS TIT UT ION AL FU ND | |||||||||
| 12 ,95 54 15 31 0 | 1.0 00 | 12 ,95 5,4 15 .31 | 12 ,95 5,4 15 .31 | 1.0 00 | 12 .95 31 5.4 15 | ||||
| EA L 5 50 6 C ,52 t yie ld: 0.3 9% urr en |
Fixed income¶
mutual funds¶
Total reinvested is the total of a reinvested dividends. it does not include any cash dividends It 6 not a tax lot for the purposes of determining holding periods or cost basis The shares you receive each time you reinvest dividends become a separate tax lot.¶
Cost basis is the total purchase cost of the security, including reinvested drvelends The cost basis may need to be adlusted for return of capital payments in order to determine the adjusted cost basis for tax reporting purposes.¶
Unrealized (tar)gain or foss 6 the difference between the current value and the cost basis and would generally be your taxable gain or loss 4 the secunty was sold on this date. The unrealized (tax) gain or toss may need to be adjusted for return of capital payments in order to dente nne the realized gain or loss for tax reporting purposes.¶
insestrnent return is the current value minus the amount you eniested. It does not include shares that are not reflected on your statement, including shares that have been realized as either a gain of a loss. It also does not include cash dividends that were not reinvested.¶
| Ho ldin g | We be r of s har es | Pur cha pric e/ se Ave rice rag e p sh 1 ) per are | Clie nt inve stm ent (S ) | Co st bas es I S ) | Pric har e p er s e Ma 11S ) y 3 on | Va lue on Ma (S y 3 1 ) | Un lize d (tax ) rea gai r lo ss ( 5 ) n o | Inv t H esu ren retu S | erd in g iod |
|---|---|---|---|---|---|---|---|---|---|
| rn ( ) | per |
PUTNAM SHORT DURATION¶
INCOME FUND se¶
Continued next page¶
CNP70008005580145 NP7000191995 00005 0516 030575004 Y1235755500000:0 Pap 5 of 8¶
UBS Resource Management Account May 2016¶
Account name: GHISLAINE MAXWELL Friendly account na 7• IM :Ca Account number:¶
Your Financial Advisor. SCOTT STACKMAWLYLE CASRIEL 212.821.7000/800.3083140¶
Your assets . Fixed income . Mutual funds (continued¶
| Ho ldin g | Ma te r of s har es | Pur cha pri se ce Ave prk ra ge e sh (S ) per are | Ch ant (S ime ) strn ent | Cos t s (S bas ) | Pnc har e p er s e (S Ma y 3 1 ) on | Va lue on Ma (S y 3 1 ) | Un Me d (tax ) rea (S ) g b ga n ss | Inv est t h old in rren g (S ) l retu rn pe na |
|---|---|---|---|---|---|---|---|---|
| S SD bo l: P YX ym | ||||||||
| Tra de da Ju l 20 , 1 te: 5 | 34 8 ,60 5.5 78 | 10 .04 0 | 3 ,50 0 ,00 5.2 5 | 3 ,50 00 05 .25 | 10 .04 0 | 3 ,50 0 ,00 0.0 0 | -5. 25 | ST |
| To tal inv ed est re | 1 ,95 0.8 73 | 10 .02 9 | 19 ,56 7 2 3 | 10 .04 0 | 19 ,58 6 7 6 | 19 .53 | ||
| $ 7 C EA !: 23 ,13 yie ld: 0.6 6% t urr en | ||||||||
| Se rit l y t ota cu | 35 0 6.4 51 ,55 | 10 .04 0 | 35 00 ,00 5.2 5 | 3 ,51 9 2.4 8 ,57 | 3 ,51 9 ,58 6.7 6 | 14 .28 | 19 ,58 1.5 1 |
Your total assets¶
| Va lue Ma y 3 1 (5 ) on | Per of ta cen ge nt you r ac cou | Cos t bas is (S ) | Est ima ted ual inc e (S ) ann om | Un Me d rea gai r los s (S ) n o | ||
|---|---|---|---|---|---|---|
| Ca sh alt ati ern ve s | Mo ark et fun ds ne y m | 12 ,95 5 ,41 5.3 1 | 78 .64 % | 12 ,95 %4 15 31 | 50 ,52 6.0 0 | |
| Fix ed in co me | Mu l tua fun ds | 3 ,51 9 ,58 6.7 6 | 21 .36 % | 3 ,51 9 ,57 2.4 8 | 23 ,13 7.0 0 | 14 .28 |
| To l ta | $ 16 ,47 5 ,00 2.0 7 | 10 0.0 0% | 51 6 ,47 4 ,98 7.7 9 | 97 3.6 63 .00 | $ 14 .28 |
Account activity this month¶
| Da te | Act ivit y | De ptio scn n | Am t (5 ) oun | |
|---|---|---|---|---|
| De sit nd he r fu nd ot red ite d po s a s c | Ma y 2 | Tra nsf er | JO UR NA L F RO M Y1 GH ISL AIN E M AX WE LL 23 568 | 83 .75 |
| Ma y 2 | Tra nsf er | JO RO 23 574 GH ISL AIN E UR NA L F M Y1 MA XW EL L | 1 ,30 5.7 6 | |
| Ma y 1 2 | Tra nsf er | JO UR NA L F RO M Y1 23 4G FE LA INE M AX WE LL 57 | 62 ,59 2.7 9 | |
| To tal de | sit nd he ot po s a | 56 3 ,98 3.3 0 | ||
| Da te | Act ivit y | De i ptk scr a | Arr d ote (5 ) | |
| Div ide nd d i t in nte an res co me | ||||
| Ta xab le div ide nd s | Ma y 2 | Div ide nd | PU TN AM SH OR T D UR AT ION IN CO ME FU ND Y AS O f 0 42 9/1 6 | 2 ,75 14 3 |
| Ma y 3 1 | Div ide nd | IN ST ITU TIO NA L F UN D UB S S ELE CT PR IME | 4 ,38 9.6 9 | |
| To tal ta | ble div ide nd xa | s | 97 ,14 2.1 2 | |
| Ta xab le int st ere | Ma y 6 | Inte t res | UB S A G E XP OS IT A CC OU NT AS OF 05 /05 /16 | 15 .28 |
| Ma y 6 | Inte t res | S B SA UB AN K U DE PO SIT AC CO UN T A S O F 0 5/0 52 6 | 0.2 8 | |
| To tal ta | ble in ter t xa es | 91 5.5 6 | ||
| To tal di vid | $ 7 ,15 7.6 8 | |||
| Da te | Act ivit y | De i ptio scr n | Am t (5 ) oun | |
| Bi ll ts pa ym en | Ma y 3 | Wi thd al raw | AC H T O S t B n A T C ITIZ EN S B AN K , N A cot or ge rso | -2 ,50 0 ,00 :10 0 |
| To tal bi ll | -52 .50 0 ,00 0.0 0 |
CNP7C006C055133146 NP7000191995 COCOS 0516 030575004 Y123575550000000 Page 6 of 8¶
Resource Management Account May 2016¶
Account name: GHISLAINE MAXWELL Friendly account name: Ind Cash/Savin Account number:¶
Your Financial Advisor. SCOTT STACKMANA.YLE CASRIEL 212-821-7000/800-308-3140¶
Account activity this month (continued)¶
| Da te | Ac tmt y | Des cri ptio n | (Si Am t oun | |
|---|---|---|---|---|
| Ot he r fu nd s d eb ite d | Ma y 6 | Wi thd al raw | FE DE RA L F UN DS T O H ad do Mo nd , A T W ELL S F AR GO Fo n, rga n a rem an BA NK , N A | -5 o s c a o o |
| Ma y 2 6 | Tra nsf er | JO UR NA L T O VI 23 69 2 116 EA ST 65T H S TR EET C LI | -1 ,22 1.6 7 | |
| To tal ot | he r fu nd s d eb ite | d | -$5 1 ,22 1.6 7 |
Investment transactions¶
For more rifcfmation about the pricehalue shown for restricted securities, see important info:matron about your statement at the end of this dockanent¶
| Da te | Ac tivi t y | De i ptio scr n | Qu it ant y | Va lue IS ) | (SI ern e | ds f Pro rom cee inv est nt me tion s (E tran sac | Fun ds hdr for vnt avm inve stm ent s b ght 1E ou | Acc d rue inte t IS ) res |
|---|---|---|---|---|---|---|---|---|
| Ma y 2 | Re inv est nt me | PU TN AM SH OR T D UR AT ION IN CO ME FU ND Y O DIV IDE ND RE INV ES TE D A T 1 0.0 4 N AV N /16 AS OF 04 129 116 04 29 | 27 4.1 46 | -2 ,75 2.4 3 | ||||
| Ma y 3 | So ld | S S CT PR IME ST TIO L F UN D UB ELE IN ITU NA | -2 ,50 0 ,00 0.0 00 | 2 ,50 0 ,00 0.0 0 | ||||
| Ma y 6 | So ld | PR IME S S CT IN ST ITU TIO NA L F UN D UB ELE | -49 ,00 0.0 00 | 49 ,00 0.0 0 | ||||
| Ma y 1 1 | Bo ht ug | UB S S CT PR IME IN ST ITU TIO NA L F UN D ELE | 6 0 70 40 | -40 6.0 7 | ||||
| Ma y 1 2 | Bo ht ug | PR IME UB S S CT IN ST ITU TIO NA L F UN D ELE | 2 7 90 62 ,59 | -62 ,59 2.7 9 | ||||
| Ma y 2 6 | So ld | IN ST ITU TIO NA L F UN D UB S S ELE CT PR IME | -1 ,22 1.6 70 | 1 ,22 1.6 7 | ||||
| Ma y 3 1 | Re inv est nt me | UB S S ELE CT PR IME IN ST ITU TIO NA L F UN D ES ON DIV IDE ND RE INV TE D A T 1.0 0 N AV 1/1 05 13 6 | 4 ,38 9 6 90 | -4 ,38 9.6 9 |
Total¶
$2,550,221.67 -S70,140.98¶
| Da te | Act rr4 y | Des cri ptio n | Am t IS ) oun | |
|---|---|---|---|---|
| y b ala cti vit ies Mo nc e a ne | AP I.7 9 | Ba lan fo d ce rw ar | SO SO | |
| Ma y 3 | De it pos | S B SA PO SIT AC CO UB AN K U DE UN T | 1 ,39 05 1 | |
| Ma y 6 | De sit po | S O F 0 UB S B AN K U SA DE PO SIT AC CO UN T A 5/0 5/1 6 | 0.2 8 | |
| Ma y 9 | Wi thd al raw | UB S B AN K U SA DE PO SIT AC CO UN T A S O F 0 5/0 6/1 6 | -98 4 7 2 | |
| Ma y 1 2 | Wi thd al raw | -40 6.0 7 | ||
| Ma y 3 1 | Clo sin g U BS Ba nk | US A D it A nt ep os cc ou | s o s o |
The u8S8ane USA Deposit Account. d your plenary sweep option¶