EFTA00078595¶
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 | Higher Fluctuations,Higher Returns |
| Investment Time Horizon | 7-10 years |
| 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, 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 risk 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.¶
15¶
SDNY_GM_00274205¶
15¶
EFTA00078596¶
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¶
16¶
SDNY_GM_00274206¶
16¶
EFTA00078597¶
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 | 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, 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 risk 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.¶
17¶
SDNY_GM_00274207¶
17¶
EFTA00078598¶
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¶
18¶
SDNY_GM_00274208¶
18¶
EFTA00078599¶
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 | 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, 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¶
investment eligibility considerations help us identify whether you may be eligible to invest in certain higher risk securities as a portion of your portfolio.¶
These investments offer additional diversification.¶
Appreciation Investments seeking both the generation of income and growth of principal. In accounts with conservative or moderate risk profiles,¶
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.¶
19¶
SDNY_GM_00274209¶
19¶
EFTA00078600¶
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¶
20¶
SDNY_GM_00274210¶
20¶
EFTA00078601¶
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 | Higher Fluctuations,Higher Returns |
| Investment Time Horizon | 7-10 years |
| 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, 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 risk 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.¶
SDNY_GM_00274211¶
21¶
21¶
EFTA00078602¶
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¶
22¶
SDNY_GM_00274212¶
22¶
EFTA00078603¶
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: | No L Street 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 | 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, 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 risk 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.¶
23¶
SDNY_GM_00274213¶
23¶
EFTA00078604¶
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¶
24¶
SDNY_GM_00274214¶
24¶