EFTA00271042.pdf

UORE'W.I0JUI Wall) Client Information TerraMar Project Inc. Client Information U.S. Federallaw requires us Name TerraMar Project, Inc. ro obtain, verify andrecord information that identifies Organization Structure Corporation each person or entity Incorporated Yes char opens an Account with us. When you open an State of Incorporation Delaware Account. we will ask for your name, street address Publicly Listed No dare of birth and a tax For Profit Yes identification number such as a SOCiii Security number. Name(s) of Principal Officers We may also ask to see a driver's kerne or other documents that walr a/lbw us to identify you. Ghislaine Maxwell Please review and verify al Name of Secretary of the information that you provided ro us when you opened your Account. If you have changes corrections or additions, Contact Information notify your Financial Advisor as soon as possible. Residential Address City, State, Zip Code New York, NY 10065-7007 If you share assets with another person, the net Home Phone north figure here shows your portion only, based E-mail Address upon instructions you provided. Net Worth Information InvesbnentInformatinn• This section reflects answers Annual Income Range from $50,000 - $99,999 you providedrelated to Liquid Assets (cash and marketable securities) Range from $100,000 - $249,999 your investment experience. market kncnvIedge and Net Worth (excluding primary residence) Range from $100,000 - $199,999 other assets and is used to ensure our investment You have indicated that you do not derive a substantial amount of your income / wealth (over 50%) from a recommendations are country outside of the United States. suitable for your situation. Investment Information Years you have held investment accounts 2 Equities None Bonds None Futures None Z910-05098006 Options-Buy None Options-Sell None Knowledge of investments You have indicated you have a good understanding of financial markets and market investments. Percentage of total investable assets held at UBS 41-60% 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. You have indicated that you are not a control person (Policy-maker, director or 10% shareholder) of a publicly traded corporation. 1 Package ID, 0094086050 1 EFTA00271042  U0! eW101111 lualij Ghislaine Maxwell Personal Information U.S. Federallaw requires us Name Ghislaine Maxwell ro obtain, venly andrecord information that identifies Citizenship United States each person or entity Gender Female char opens an Amount with us. When you open an Date of Birth Account. we w0I ask for your name, street address. Marital Status Single dare of birth and a tax identification number such as a Social Security number. We may also ask to see a driver's kerne or other Contact Information documents that walr a/lbw Residential Address us to identify you. City, State, Zip Code New York, NY 10065-7007 Please renew and verify al of the information that you Home Phone provided ro us when you E-mail Address opened your Account. If you have changes. corrections or adthrions, notify your Financial Advisor Employment Information as soon as possible. Employment Status Employed if you share assets with Occupation Other another person, the net worth figure here shows Occupation Industry Other your partial only, based Employer Name The TerraMar Project upon instructions you provided. Business Address InvesenentInfrematinn• City, State, Zip Code New York, NY 10065 - 7007 This section reflects answers you providedrelated to your investment experience. Net Worth Information market knowledge and Annual Income Range from $200,000 - $499,999 other assets and is used to ensure our investment Liquid Assets (cash and marketable securities) Range from $10,000,000 AND ABOVE recommendations are suitable for your situation. 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. 2 2 EFTA00271043 1.1011eU110jUl Wail) tio9eumjui Wail) You have indicated that you are not a control person (Policy-maker, director or 10% shareholder) of a publicly traded corporation. 3 3 EFTA00271044  U0! eW101111 lualij Personal Information U.S. Federallaw requires us Name ro obtain, verify andrecord information that identifies Citizenship United States each person or entity Date of Birth char opens an Amount with us. When you open an Account, we w0I ask for your name, street address. dare of birth and a tax Contact Information identification number such as a Social Security number. Residential Address We may also ask to see a driver's kerne or other City, State, Zip Code documents that whir a/lbw Home Phone us to identify you. Please review and verify al of the information that you Employment Information provided ro us when you opened your Account. If Employment Status Employed you have changes. Occupation Admin Assistant/Secretary corrections or adthrions, notify your Financial Advisor Employer Name as soon as possible. Business Address If you share assets with City, State, Zip Code New York, NY 10065 - 7007 another person, the net worth figure here shows your partial only, based Net Worth Information upon instructions you provided. 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. InvesbnentInformatinn• This section reflects answers you providedrelated to Investment Information your investment experience. market kncnvIedge and Years you have held investment accounts None other assets and is used to Equities None ensure our investment recommendations are Bonds None suitable for your situation. Futures None Options-Buy None Options-Sell None Knowledge of investments None Percentage of total investable assets held at UBS None 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. You have indicated that you are not a control person (Policy-maker, director or 10% shareholder) of a publicly traded corporation. 4 4 EFTA00271045  Account Information BSA Corporation Your Account ease review the information Account Number about each of your accounts and notify your Financial Account Title TerraMar Project, Inc. Advisor immediatey if jou have any changes or Account Address conecrions. City, State zip New York, NY 10065-7007 For more information, tak"ase refer to the UBS Deposit Cards and Checks for this account, if requested, will Account Sweep Program be mailed to this address: New York, NY 10065-7007 Disclosure Statement. Primary Account Holder TerraMar Project, Inc. Pleasenote the account risk profile and investment Additional Account Relationships "msAll otser five below are specific only to this account other accounts Ghislaine Maxwell Beneficial Owner may have different account risk UBS will not disclose your name, address and security profiles and investment otrceves. Disclosure of Beneficial Ownership position to issuers of any securities held in your Account. Your Account Risk Profile for this particular account is defined Margin Yes as: Moderate: Willing to accept You have agreed that the Margin Agreement in the Completing Your Account Opening Process some risk to poincipal and tolerate some volatility to seek higher package governs your use of margin in this account and all other accounts you have now or any returns. accounts that you may open in the future. As described in the Margin Agreement, certain securities Different accounts may have in your Account may be loaned to UBS or to other persons or entities. different risk profiles Your Investment Oblective Cost Basis Method First In,First Out At deve CapitalAppredstkm Investments seeking growth of prinopalrather than the Features and Services generation of income. Checking Premier- RMA / BSA In accounts with conservative or moderate risk profiles, VISA Credit (W/Rewards points) investment eligibility considerations help us identify whether you maybe Account Objectives and Risk Profile eligibk to invest in certain higher risk securities as a Account Risk Profile Moderate portion of your portfolio. Your answers to our polling questions: These investments offer additional dyers',fkarion. Risk Tolerance Moderate Risk Achieve capital appreciation (emphasis on growth of A senior political official is Investment Objective capital, not on income) defined as a President or Vice President Cabinet Member, Risk/Return Objectives Moderate Fluctuations, Moderate Returns Supreme Court Justice, member of the Saint Chiefs Investment Time Horizon 3 - 6 years (an average market cycle) Staff, Member of Congress or a Parliament, Chairperson. Short-Term Liquidity Needs No Head or Senior Leader of a major religious organb•ation, Sweep Account Election or the Ike. Primary Sweep Fund UBS BANK USA BUSINESS 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. 5 5 EFTA00271046  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 6 EFTA00271047  UBS Client Relationship Agreement UBS Client Relationship Agreement Introduction At UBS, we understand that we succeed only when our clients succeed. With that in mind, 'Accounts" refers to all securities we provide a customized approach to wealth management, built on your personal accounts, brokerage accounts, relationship with your Financial Advisor and shaped by an understanding of your needs margin accounts, deposit accounts or and aspirations. other accounts you open with us now or in the future. Known as the Client Relationship Agreement, this document outlines the terms and conditions of your relationship with us. By maintaining your Accounts at UBS, you agree to We refer to the Client Relationship these terns and conditions and the other agreements and disclosures we refer to here. If Agreement together with all other signatures are required, please return the signed signature page in the enclosed envelope. agreements and disclosures that we make available to you, and any To confirm that our records are complete, we will send you a record of the information you amendments, as our 'Agreement" give us after you open a new Account. Please review the Client Information and Account with you. Information pages of the Completing Your Account Opening Process package and notify us promptly if there are any updates or corrections. We also refer to the "Completing Please note: this Client Relationship Agreement applies to all of your accounts at UBS, Your Account Opening Process" including any Accounts you may already have with us and Accounts you may open in the package, which includes Signature future. You will not receive another copy of the Client Relationship Agreement or the Pages, optional forms and other Agreements and Disclosures unless there are updates and amendments, or if we require required documents. your signature on this Agreement when you open Accounts in another capacity. Some of the information in this document and the other agreements and disclosures we send you If a Signature Page is included, please may not apply to you now. Please retain these documents for future reference because have all named account holders sign they contain important information if you decide to add services or open new Accounts. the Signature Page and return it to us in the enclosed envelope. The terms and conditions in this Client Relationship Agreement apply to all Accounts you This column contains important open with UBS Financial Services Inc. or UBS Financial Services Incorporated of Puerto Rico definitions applicable to our or any other introducing broker-dealer that has a clearing agreement with UBS Financial Agreement with you. Services Inc. In addition, we will send you other agreements and disclosures for the UBS accounts and services you choose when you open your account, as well as features you may add in the future. We refer to all these documents, including any amendments, as the Agreements and Disclosures booklet. Your acceptance of your initial Client Relationship Agreement will serve as your agreement 'You," "your" and "yours" refer to to the terms and conditions governing any new Accounts, features or services. Deposits of you as a client of UBS. cash or securities and your continued use of your UBS Accounts constitute your agreement to all of the terms and conditions applicable to your Accounts. If you do not agree to the "UBS," "we," us," "our" and "ours" terms and conditions, you may cancel a feature or service or close your account. refer to UBS Financial Services Inc. and unless we indicate otherwise, its As a UBS client, you may decide to open additional Accounts or take advantage of services successor firms, subsidiaries, and account features in the future. With some exceptions, you will be able to do so correspondents and Affiliates, without signing additional documents or agreements. Upon approval of your accounts and including its parent company, UBS services, we will confirm your requests in writing and provide any relevant agreements and AG. disclosures you have not already received. Any authorization of features and services you give us will remain in effect until a reasonable time after you notify us to terminate the 'Affiliates" refers to UBS Financial feature or service. Services Incorporated of Puerto Rico (which clears through 1.185 Financial It is important to note that when we act as your broker-dealer, we do not enter into a Services inc.), 1.185 Bank USA, UBS fiduciary relationship with you, regardless of the fee structure you select. Except in special circumstances, we are not held to the same legal standards that apply when we have a Credit Corp., UBS Trust Company, fiduciary relationship with you, as we do when providing investment advisory services. We N.A. and their insurance agency de 0162 2227 4453 02/18/2014 will effect transactions for your brokerage Accounts only as instructed by you, and neither affiliates and subsidiaries and all UBS Financial Services Inc. nor your Financial Advisor will have any discretion over your other subsidiaries and affiliates. Accounts. 7 EFTA00271048 UBS Client Relationship Agreement Representations By signing a Client Relationship Agreement, you make the following representations: Please review and verify the information about you and your • You are at least 18 years old or have reached the age of majority according to the laws Accounts in the "Completing Your of the state in which you reside and the laws of the State of New York. Account Opening Process" package. If you have questions, changes or • You have notified us if you, your spouse or any beneficial owner of the Account(s) are corrections, call your Financial or become employed by any of the following: a member firm of FINRA or other Advisor. exchange (including broker/dealer subsidiary of a bank, insurance company or other financial institution), or securities or commodities exchange or self-regulatory organization or any of their affiliated organizations or UBS's independent auditor. You agree to notify us promptly of any changes. • No one other than you, and the individuals identified to UBS in connection with the opening of the Account, has or will have an interest in your Account unless you notify us in writing and UBS Financial Services Inc. agrees to continue to carry the Account. • All of the personal and financial information you have supplied to UBS is true and accurate, and you will notify UBS promptly of any material changes, particularly the information regarding your residence, financial situation, investment objectives or tax status. • You understand that UBS provides financial and investment services only and does not provide legal or tax advice. • You represent that you have fulfilled and will continue to fulfill all tax related and reporting obligations associated with any assets in your UBS accounts. • If you are acting as executor, trustee, conservator, guardian or custodian: — You understand that you are a fiduciary on behalf of the beneficial owners of the Account and that you have a duty to use the services and features provided through the Account for the benefit of the beneficial owners of the Account and not for your own benefit. — You acknowledge that you will make an independent determination that any activity in the Account is suitable and appropriate for the beneficial owners and that the compensation we receive is reasonable. — You understand and agree that this determination is solely your responsibility and not ours. Fees and Charges As a client of UBS, you agree to pay all fees and charges relating to your accounts for any Please refer to the Fees and Charges PIOZ/81/Z0 OSor LZZZ Z910 oP transactions or services you receive from us, such as annual service fees, brokerage fees for section of the Agreements and securities transactions, fees for specific services you request and fees or charges by a third Disclosures booklet or more party that we incur in the course of providing services to you. information about fees and charges. If you have questions, please contact All fees and charges are subject to change at any time. Fees and charges will be charged to your Financial Advisor. your accounts and may be satisfied, along with any other amounts you owe us, from free credit balances, margin and other assets in any of your accounts. We may sell assets in your Account to satisfy debit balances for any amounts due, including those resulting from unpaid fees and charges. 8 EFTA00271049  UBS Client Relationship Agreement Individual Retirement Accounts The Agreements and Disclosures booklet contains the UBS IRA Custodial Agreements and The features and fees of your IRA are the IRA Disclosure Statements that apply to any Traditional, Roth, SEP or SIMPLE Individual fully described in the Agreements Retirement Accounts (IRAs) you open with us now or in the future. If we make changes to and Disclosures booklet. the UBS IRA Custodial Agreement and the IRA Disclosure Statement we will send you updated documents, and you agree to be subject to those updated terms and conditions. Please note: UBS does not extend margin for Individual Retirement According to the UBS IRA Custodial Agreements, UBS Financial Services Inc. is named as Accounts. the custodian of your IRA when we accept the Account. At your death, the beneficiary or beneficiaries whose name(s) are shown on the Account Information pages of the Employers with a SEP IRA or SIMPLE Completing Your New Account Process package will become entitled to your IRA. BM plan for their businesses must sign a separate plan document. We Beneficiaries must be named in writing. Your written designation may apply to future accept any approved plan accounts, and in that case, we will confirm your designation in the Completing Your documents, known as prototypes, Account Opening Process package. If you do not designate beneficiaries, or your beneficiary designation does not effectively dispose of the assets, your beneficiary with whether they were produced by UBS, respect