| 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 | |
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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 | ||
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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¶
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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¶
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EFTA00078584¶
You have indicated that you are not a control person (Policy-maker, director or 10% shareholder) of a publicly traded corporation.¶
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SDNY_GM_00274194¶
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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) |
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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.¶
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SDNY_GM_00274197¶
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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¶
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SDNY_GM_00274198¶
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