From:	Stackman, Scott
Sent:	Tuesday, August 11, 2020 5:52 PM
To:	Brown, Paul S.; Fleming, Andrew-J(G-INV); Keith, Regina
Subject:	FW: MAXWELL: Transfer Recap

From: Garcia, Camille **Sent:** Thursday, February 27, 2014 3:35 PM **To:** Stackman, Scott; Casriel, Lyle Cc: Klein, Matthew; Ramdeen, Vijai; Shkreli, Juliana; Waldron, Chelsey Devon Subject: MAXWELL: Transfer Recap Scott/Lyle, Here is a recap of the transfer:

BANKING ACCOUNTS
Account Title	UBS A/C	JPM Mkt Value a/o 12/31/13	Value at UBS	Notes
Ghislaine Maxwell		16,872.07	27,047.74	Completed
Ghislaine Maxwell		3,122,468.82		In process
Max Foundation		3,517.72	3,517.75	Completed
Max Foundation		17,213.42		In process
116 East 65th Street LLC		10,731.50	30,265.73	Completed
Pot and Kettle LLC		5,838.70	5,838.70	Completed
Ellmax LLC		87,974.09	87,974.09	Completed
TerraMar Project, Inc.		50,989.28	35,749.95	Completed
TerraMar Project, Inc.		0.00	0.00
Max Hotel Services Corp.		2,399.64	2,360.13	Completed
Total Banking Assets			3,318,005.24	192,754.09

INVESTMENT ACCOUNTS
Account Title	UBS A/C	JPM Mkt Value a/o 12/31/13	Value at UBS	Notes
Ghislaine Maxwell		$5,259,275.95		Waiting to submit once international positions are transferred out of JPM A/C
Ghislaine Maxwell		$430.00	0.00	Zero Balance @ JPM
Ghislaine Maxwell - OAP IHD		$1,967,979.33	1,793,384.45	ACAT Completed - Equity Positions
Ghislaine Maxwell - TAP DYS		$1,036,516.92	1,031,614.80	ACAT Completed - Mutual Funds

1 SDNY_GM_00274189 EFTA00078580

Ghislaine Maxwell-TAP ARFI		$1,003,477.16	991,783.20	ACAT Completed-Mutual Funds
Ghislaine Maxwell-HY		$3.00	0.00	Zero Balance@JPM
Ghislaine Maxwell-OAP FDG		$2,045,944.92	1,966,430.85	ACAT Completed-Equity Positions
Ghislaine Maxwell-IRA		$56,821.46	56,278.66	ACAT Completed-Mutual Fund
Total Investment Assets		11,370,448.74	5,839,491.96

2 EFTA00078581 ## Signature Page Summary

Account Number and Description	Signature Requirement
RMA Domestic - Sole Owner	Client Relationship Agreement
RMA Domestic - Sole Owner	Client Relationship Agreement
RMA Domestic - Sole Owner	Client Relationship Agreement
RMA Domestic - Sole Owner	Client Relationship Agreement
RMA Domestic - Sole Owner	Client Relationship Agreement
RMA Domestic - Sole Owner	Client Relationship Agreement
RMA Domestic - Sole Owner	Client Relationship Agreement
RMA Domestic - Sole Owner	Client Relationship Agreement
RMA Domestic - Sole Owner	Client Relationship Agreement

Package ID: 0093830915 SDNY_GM_00274191 1 EFTA00078582 Intentionally Left Blank SDNY_GM_00274192 EFTA00078583 # Client Information Ghislaine Maxwell Personal Information

Name	Ghislaine Maxwell
Citizenship	United States
Gender	Female
Date of Birth
Marital Status	Single

Contact Information

Residential Address
City, State, Zip Code	New York, NY 10065-7007
Home Phone
E-mail Address

Employment Information

Employment Status	Employed
Occupation	Other
Occupation Industry	Other
Employer Name	The TerraMar Project
Business Address
City, State, Zip Code	New York, NY 10065 - 7007

Net Worth Information

Annual Income	Range from $200,000 - $499,999
Liquid Assets(cash and marketable securities)	Range from $10,000,000 AND ABOVE
Net Worth(excluding primary residence)	Range from $10,000,000 AND ABOVE

You have indicated that you do not derive a substantial amount of your income / wealth (over 50%) from a country outside of the United States. Investment Information

Years you have held investment accounts	20
Equities	None
Bonds	None
Futures	None
Options-Buy	None
Options-Sell	None
Knowledge of investments	You have indicated you are an experienced investor in financial markets and market investments.
Percentage of total investable assets held at UBS	Less than 20%

## Other

Own Home or Rent?	Own
Affiliations
Affiliated with securities firms or broker/dealer?	No
You have indicated that you are not an employee of UBS AG, its subsidiary or affiliates.
You have indicated that you are not related to an employee of UBS AG, its subsidiary or affiliates.

U. S. Federal law requires us to obtain, verify and record information that identifies each person or entity that opens an Account with us. When you open an Account, we will ask for your name, street address, date of birth and a tax identification number, such as a Social Security number. We may also ask to see a driver's license or other documents that will allow us to identify you. Please review and verify all of the information that you provided to us when you opened your Account. If you have changes, corrections or additions, notify your Financial Advisor as soon as possible. 3 If you share assets with another person, the net worth figure here shows your portion only, based upon instructions you provided. **investment Information:** This section reflects answers you provided related to your investment experience, market knowledge and other assets and is used to ensure our investment recommendations are suitable for your situation. SDNY_GM_00274193 3 EFTA00078584 You have indicated that you are not a control person (Policy-maker, director or 10% shareholder) of a publicly traded corporation. 4 SDNY_GM_00274194 4 EFTA00078585 # Account Information ## RMA Domestic Sole Owner

Account Number
Account Title	Ghislaine Maxwell
Account Address
City, State zip	New York, NY 10065-7007
Cards and Checks for this account, if requested, will be mailed to this address:	New York, NY 10065-7007
Primary Account Holder	Ghislaine Maxwell
Disclosure of Beneficial Ownership	UBS will not disclose your name, address and security position to issuers of any securities held in your Account.
Margin	Yes

You have agreed that the Margin Agreement in the Completing Your Account Opening Process package governs your use of margin in this account and all other accounts you have now or any accounts that you may open in the future. As described in the Margin Agreement, certain securities in your Account may be loaned to UBS or to other persons or entities.

Features and Services
Checking	Premier- RMA / BSA
VISA Credit(W/Rewards points)

Account Risk ProfileYour answers to our profiling questions:	Aggressive/Speculative
Risk Tolerance	High Risk
Investment Objective	Produce a combination of income and capital appreciation
Risk/Return Objectives	Higher Fluctuations,Higher Returns
Investment Time Horizon	Longer than 10 years(through several market cycles)
Short-Term Liquidity Needs	No
Sweep Account Election
Primary Sweep Fund	UBS BANK USA DEPOSIT ACCOUNT
Sweep Cap Election	Yes
Cap Amount	$250000.00
Secondary Sweep Fund	UBS AG DEPOSIT ACCOUNT

U. S. Senior Political Affiliation: You have indicated that no account holder, an authorized signatory, benefic owner, trustee, power of attorney, or other individual with authority to effect transactions, or any of their immediate family members or close associates is a Current U.S. Political Official. Non-U.S. Senior Political Affiliation: You have indicated that no account holder, an authorized signatory, beneficial owner, trustee, power of attorney, or other individual with authority to effect transactions, or any of their immediate family members or close associates is a Current or Former non-U.S. Political official or non-U.S. Religious Group/Organization or Senior/Influential representative of a non-U.S. Religious Group/Organization. ## Source of Funds in the Account

You have indicated the following as the source of funds for this account:
Other Income Source	transfer

Please review the information about each of your accounts and notify your Financial Advisor immediately if you have any changes or corrections. For more information, please refer to the UBS Deposit Account Sweep Program Disclosure Statement. Please note the account risk profile and investment objective below are specific only to this account: other accounts may have different account risk profiles and investment objectives. Your Account Risk Profile for this particular account is defined as: **Aggressive:** Willing to accept high risk to principal and high volatility to seek high returns over time. Different accounts may have different risk profiles 5 A senior political official is defined as a President or Vice President, Cabinet Member, Supreme Court Justice, member of the Joint Chief's Staff, Member of Congress or a Parliament, Chairperson, Head or Senior Leader of a major religious organization, or the like. Your Investment Objective, Produce a Combination of Income and Capital **Appreciation** Investments seeking both the generation of income and growth of principal. SDNY_GM_00274195 5 EFTA00078586 ## Electronic Delivery Features Electronic Delivery of Shareholder Communications: You have elected to receive shareholder communications via electronic format in this UBS account. Please refer to Client Relationship Agreement for Terms and Conditions of this service. E-mail Address ## UBS Credit Card Profile (With Rewards points)

Applicant	GHISLAINE MAXWELL
UBS Card Program	UBS Visa Signature Credit Card
Card Security Contact Phone Number(Applicant)

6 SDNY_GM_00274196 6 EFTA00078587 ## RMA Domestic Sole Owner

Account Number
Account Title	Ghislaine Maxwell
Account Address
City, State zip	New York, NY 10065-7007
Cards and Checks for this account, if requested, will be mailed to this address:	New York, NY 10065-7007
Primary Account Holder	Ghislaine Maxwell
Disclosure of Beneficial Ownership	UBS will not disclose your name, address and security position to issuers of any securities held in your Account.
Margin	No

If you did not choose Margin when you opened this account, you may ask to establish margin by contacting your Financial Advisor. You agree that the Margin Agreement in the Completing Your Account Opening Process package will govern your use of margin in this account and all other accounts you have now or may open in the future.

Cost Basis Method	First In,First Out
Features and Services
Premier-RMA/BSA

## Account Objectives and Risk Profile

Account Risk ProfileYour answers to our profiling questions:	Moderate
Risk Tolerance	Moderately High Risk
Investment Objective	Produce a combination of income and capital appreciation
Risk/Return Objectives	Moderate Fluctuations, Moderate Returns
Investment Time Horizon	7-10 years
Short-Term Liquidity Needs	Yes
Sweep Account Election
Primary Sweep Fund	UBS BANK USA DEPOSIT ACCOUNT
Sweep Cap Election	Yes
Cap Amount	$250000.00
Secondary Sweep Fund	UBS AG DEPOSIT ACCOUNT

U. S. Senior Political Affiliation: You have indicated that no account holder, an authorized signatory, beneficial owner, trustee, power of attorney, or other individual with authority to effect transactions, or any of their immediate family members or close associates is a Current U.S. Political Official. Non-U.S. Senior Political Affiliation: You have indicated that no account holder, an authorized signatory, beneficial owner, trustee, power of attorney, or other individual with authority to effect transactions, or any of their immediate family members or close associates is a Current or Former non-U.S. Political official or non-U.S. Religious Group/Organization or Senior/Influential representative of a non-U.S. Religious Group/Organization. ## Source of Funds in the Account

You have indicated the following as the source of funds for this account:
Other Income Source	transfer

Please review the information about each of your accounts and notify your Financial Advisor immediately if you have any changes or corrections. For more information, please refer to the UBS Deposit Account Sweep Program Disclosure Statement. Please note: the account risk profile and investment objective below are specific only to this account; other accounts may have different account risk profiles and investment objectives. Your **Account Risk Profile** for this particular account is defined as: Moderate Willing to accept some risk to principal and tolerate some volatility to seek higher returns. Different accounts may have different risk profiles Your Investment Objective Produce a Combination of Income and Capital **Appreciation** Investments seeking both the generation of income and growth of principal. In accounts with conservative or moderate risk profiles, investment eligibility considerations help us identify whether you may be eligible to invest in certain higher nsk securities as a portion of your portfolio. These investments offer additional diversification. A senior political official is defined as a President or Vice President, Cabinet Member, Supreme Court Justice, member of the Joint Chief's Staff, Member of Congress or a Parliament, Chairperson, Head or Senior Leader of a major religious organization, or the like. 7 SDNY_GM_00274197 7 EFTA00078588 ## Electronic Delivery Features Electronic Delivery of Shareholder Communications: You have elected to receive shareholder communications via electronic format in this UBS account. Please refer to Client Relationship Agreement for Terms and Conditions of this service. E-mail Address 8 SDNY_GM_00274198 8