EFTA01275407.pdf

pr ir i rviCeS VIC UBS Resource Management Account ew o NY 10171.O3O2 March 2014 HI AN MAX LL NEW YORK NY 10065.7007 Account name: GHISLANE MAXWELL Friendly account name: Indiv.Savings Account number: Your Financial Advisor: SCOTT STACKLIANItYLE CASRIEL Phone Questions about your statement? Call /04 Eirhancia AdvJior Of Ire Value of your account RMA Resourceline at on February 28 on March 31(1) account Your assets 0.00 2,984,074.11 IAA our website: Your liabilities 0.00 0.00 strew.ubscomifinanciaservices Value of your account $0.00 $2,984,074.11 Items for your attention • If you use UBS Online Services, consider changing your User Name and Password regulady to protect your personal data. Not enrolled? Go to sources of your account growth ubs.combonlineseneices Tracking the value of your account duriag 2014 Value of your account S Thousands at yea. end 2013 5000 2.984.1 Net deposits and vvithdravals 52,984,03038 Your ilveSITIM1t return DM:lendand interest income 1413.53 Change in market value 5000 00 Value of year woman on Mar 31, 2014 S2,904.07411 Feb 2014 Mar 2014 SDNY GM 00022820 Member SIPC CNP703010064798i1 _0314 Page 65 of 86 CONFIDENTIAL EFTA_00I33440 EFTA01275407 SUBS Resource Management Account March 2014 Account name: Friendly account name: ir Account number: Your ignoncid Advisor: SCOTT STACK MANLYLE CASRIEL Your account balance sheet Summary of your assets value on Percentage of March 31 (S) you' account A Cash and money balances 0.00 0.00% Your current asset allocation B Cash alternatives 2,984,074.11 100.00% C Equities 0.00 0.00% D Fixed income 0.00 0.00% E Non-traditional 0.00 0.00% F Commodities 0.00 0.00% G Other 0.00% Total assets $2,384,074.11 100.00% B Value of your account $2,984,074.11 Eye on the markets Percentage change Index March 2014 Year to date S&P 500 0.84% 1.81% Russell 3000 0.53% 1.97% MSC I - Europe, Australia & Far East -0.57% a 77% Barclays Capital U.S. Aggregate Bond Index -017% 1.84% Interest rates on March 31, 2014 3-month Treasury bills: 0.04% One-month LIBOR: 0.15% CNP7C00)0064798I 2 I= CBI 4 llitY_GM_00024M1 66 of 86 CONFIDENTIAL EFTA_00133441 EFTA01275408 SUBS Resource Management Account Account name: GHISLAINE MAXWELL Your Flnandal Advisor Friendly account namesiridie Savings SCOTT STACKMANLYLE CASRIEL March 2014 Account number. Change in the value of your account Cash activity summary March 2014 (Si See account activity the month for deals. Balances in your Sweep °pa ons are inducedin the opening and Year to date (I) closing balances value. FDIC Insurance ippies oNy to deposits at u85 Bank °SA, not to deposits at LOS AG, Stamford Evanth Of oank deposits pieced through the ues internaiond DepOS4 ACIOUnt piogram. SIPC Opening account value $0.00 $0.00 protection applies to money market sweep fund holdingsbut not bank deposits Seelmporcant inSonnation about your statement on the at Imo pars cf this document for detals Deposits, including investments transferred in 2,984,030 58 2,984,030 58 Mardi 2014(3) Year to date (I) Dividend and interest income 43.53 43.53 Opening balances $0.00 $0.00 Closing account value $2,984,074.11 $2,984,074.11 Additions Deposits and other funds credited 2,984,030.58 2,984,030.58 Dividend and interest income earned Dividend and interest income 43.53 43.53 Proceeds from investment transactions 1 64 1.64 For puiposes of Ms statement, tmeigilty of Inkiest and chldend Income ha been determined Iran a US tar reporting perspecthe. Based upon the residence of the account holder, =count type, or product type, Total additions $2,984,075.75 $2,984,075.75 some Interest ardor dvldend payments may not be subject to United Slates (US) anact Puerto RICO (PR) Income tares, The lent monthly statement is not Intended to to used and carrot be reed upon for I& Subtractions purposes. Clients should refer to the an:feat:4e tar reporting forms they receive from vBS annually, such as the Forms 1099 and the Earns 493, foe la( reporting information it is the pracice of 1185 to file the Funds withdrawn for investments aPCliCatk 18c reporting forms with the US Internet Revenue Service aid PR Treasury gefoartment and in bought -2,984,075 75 -2,984,075.75 such forms accurately classify clinclenct ardor interest afar exempt or tacable income. Pleat consult your inctssclual tax preparer. Total subtractions -$2,984,075.75 -$2,984,075.75 March 2014 (5) Year to date (5) Closing balances $0.00 $0.00 Taxable dividends 41.89 41.89 Taxable interest 1.64 1.64 UBS Bank USA Deposit Account APY Total current year $43.53 543.53 Interest period Feb 7 - Mar 6 Total dividend & interest 543.53 543.53 Opening UBS Bank USA Deposit balance Feb 7 $0.00 Closing UBS Bank USA Deposit balance Mar 6 $0.14 Number of days in nterest period 28 Average daily balance $17,857.14 Interest earned 80.14 Annual percentage yield earned 0 01% SDNY GM 00022822 CriOngeg30647gel 3 = 0314 Pegs 67 of 86 CONFIDENTIAL EFTA_00133442 EFTA01275409  Account name: *UBS YouriSnandd Advisor. I Resource Management Account Friendly account name: ir • SCOTT STACK MAAILYIE CASFUEL March 2014 Account number: UBS AG Deposit Account APY Interest Pe-rod Feb 7 - Mar 6 Opening UBS AG Deposit balance Feb 7 50.00 Closing UBS AG Deposit balance Mar 6 S1.50 Number of days in interest period 28 Average daily balance $195,287.90 Interest earned 81.50 Annual percentage yield earned 0 01% 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 ful description of the alternative investment objectives in important inksrmation 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 instructions e Your account cost basis default closing method is FIFO, First In, First Out. Cril.1000-ooci4,30 0.314 INSY_GM_000282Kl43 68 of 86 CONFIDENTIAL EFTA_00133443 EFTA01275410 SUBS Account name: GHISLAINE MAXWELL Resource Management Account Your Fl nandal Advisor: Friendly account nearte:Indiv.Savi s SCOTT STACK MANLYLE CASRIEL March 2014 Account number. Your assets Sane penes, income and current WI ueS ShOwn may be approximate. AS a issue, gai rts and losses may nom be accurately refleded. See Important inlormabon about your Statement a the end ol this ciccumeM for male informason Cash alternatives money market funds Money market funds one neither insured for guaranteed Di the Feder& Deposit insuraue Corporation °ray other government agency. Although money Markel funds seek to preserve the value ol your Investment at Si DO per share. it is poditee 10 lose money by infesting in these funds. Tatar reinvested d the tots cid reinvested driclends It does not include bay cash dvictnds. n is not a la Unreekze4 (taxi gem a bss is the Orlfetence between the current venue and the cost basis end would lot fa the purposes of determining tadrg periods or cost basis. The shares you receive each time you ge re raly be your tattle ga n or loss .f the security was sad on thls date. The unrealized Ras) gin or loss may reinvest dudena become a separate tax lot. need to be &lusted for ret an of capta paarents in order to determine the refired gain or loss for tar Cost Imes is the 10141 purchase cost of the security. Inducing renvestedd iisciroct Tit cost basis may reportingpurposes need to be Ousted for return d capital payments in order to determine the adlustedcost basis for tar investment return is the current value mous the mount you invested. R does nee include shares that are not reporting purposes. reflected on your statement. inctudng shares that have been reamed as either a grin a alms aiso des not include cash ciNckna that were not reinwsted Purchase pine/ Number Average` price Client Cost Price per shale venue on unreelized IneStrnent Htldng Hddng d than pies than (S) investment (5) Ofefal (i) on Mar 31 (S) Mar 31 (5) gain or loss (I) return IS) Poled UBS SELECT PRIME INSTITUTIONAL FUND 2,984,074.110 1.000 2,984,074 1 I 2,984,074.11 1.000 2,984,074 II EAl. $597 Current yield 002% Your total assets Percentage of Cost Estimated unwind value on Ma 31 (5) your account taus (5) annual income (5) cyan or loss (S) cash ahematives Money market funds 2,984,074.11 100.00% 2,964,074.11 597.00 Total $2,984,074.11 100.00% $2,984,074.11 $597.00 Account activity this month Date Acthity Description Amount (5) Deposits and other funds credited Mar 3 Deposit FEDERAL FUNDS DEPOSIT BY GI-NSIAINE MAXWELL AT CHASUS33 2,984,030.58 Total deposits and other funds audited $2,984,030.56 SDNY GM 00022824 CelP7C0070064798I 5—_0314--1- Page GO of 86 CONFIDENTIAL EFTA_00133444 EFTA01275411  Account name: i5HISLAINE MAX1N ELL *UBS Resource Management Account March 2014 Friendly account name:Indiv Savi s Account number: Your lq sandal Advisor: SCOTT STACK MAI/LYLE CASRIEL Die Aztiaty Descry:410n Amount (S) Dividend and interest income Taxable dividends Mar 31 Dvidend UBS SELECT PRIME INSTITUTIONAL FUND 41.89 Total taxable dividends $41.89 Taxable interest Mar 7 Interest UBS AG DEPOSIT ACCOUNT AS OF 03/05/14 1.50 Mar 7 Interest URS BArir USA DEPOSIT ACCOUNT AS OF 03/0614 0. 14 Total taxable interest $1.64 Total dividend and interest income $43.53 Invesbnent transactions For mote Inlorrnation tout the pike/salve shown SW reStrIded SK Unlit o purr.) rtormgi0n 00OO your statement at the end or thn dacsrnent Prcceeds from Funds investment wIthOratenICr Accrued Cote ACbuty 06Ciption Ouarility vSue CO Pnce ',amebae's (S) instalments boughs (S) 'merest (S) Mar 6 Bought UBS SELECT PRIME INSTITUTIONAL FUND 2,984030.580 1.000 -2,984030 58 Mar 10 Bought U85 SELECT PRIME INSTITUTIONAL FUND 1.640 -164 Mar 10 Bought UBS SELECT PRIME INSTITUTIONAL FUND 1.640 .164 Mar 1 I Sold 1165 SELECT PRIME INSTITUTIONAL FUND -1.640 1.64 Mar 31 Reinvestment 11135 SELECT PRIME INSTITUTIONAL FUND 41.890 -41 89 DIVIDEND REINVESTED AT 100 NAV ON 03/31/14 Total 51.61 42,984,075.75 Date Activity Description Amount IS) Money balance activities Feb 28 Balance foreword $0.00 Mar 4 Dopmx UBS BANK USA DEPOSIT ACCOUNT 250000 00 Mar 7 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 03/06114 -250,000.00 Mar 7 Deposit UBS BANK USA DEPOSIT ACCOUNT AS OF 03/06114 0.14 Mar 10 Deposit UBS BANK USA DEPOSIT ACCOUNT 1.50 Mar II Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 03/10/14 -1.64 Mar 31 Closing UBS Book USA Deposit Account $0.00 the UBS Bait USA Cepost Account is your primary sweep option Feb 28 Balance forward $0.00 Mar 4 Deposit UBS AG CEPOSIT ACCOUNT 2,734.030 58 Mar 7 Withdrawal UBS AG CEP097 ACCOUNT AS OF 03/0614 .2,734030 58 Mar 7 Deposal U85 AG DEPOSIT ACCOUNT AS OF 03/0E/14 1.50 continued next page CNP70X90064798I 6 03l4 l alYGM0002 1 1”S 70 of 86 CONFIDENTIAL EFTA 00133445 EFTA01275412  Resource Management Account Account name: GHISLAINE MAXWELL Your Amanda Advisor: *UBS March 2014 Friendly account name: frit,' Savi s Account number. SCOTT STACK MANLYLE CASRlEL Account activity this month (contrived) Date ACIMR1 peso/Site Amount II) Money balance activities (continued) Mar 10 Withdrawal UBS AG CEPOSIT ACCOUNT -1.50 Mar 31 Closing MIS AG Deposit Account $0.00 The UBS AG Del:091 AOCCunt is yOur SeCOnCATy sweep Opt Co SONY GM 00022828 CNP7C00;0054798l 7 =0314 Pegs 71 of 86 CONFIDENTIAL EFTA_00133446 EFTA01275413 *UBS Yournotes .17,30.0I6.73.8 =.I 4 MMElly . E.,,,,, ........ ,..M . CONFIDENTIAL EFT,00133647 EFTA01275414  Important information about your statement LEIS Financial Services tr. (the F im or UBS financial sent you the fro stsemera on which the error or The Fim, together wrth certain affiliates, ha also account hekl, you choose one of tie following Serviced( is a merrter of all panel:el secuily, cannodty problem appeared. purchased stppinental protection. The maximum anestrrient obit-ter and cote:re exchanges. MS Fe-encial Services and 1165 - Prow:kyr)," name ad accost number Of any) amount payable to al eligible dients, carts& rads • stodge Conant!mom. ...atom s searg the Bank USA n rdrect subsdares of LES AG and — Dresser the lira or the wander you are are this protection is S500 million as of December 10, 2013. generation d income cak. affiliates of LE6 Seriatim U.C. Ter Fim's financial about, and .plan as chat as mu can why you • Achim Cepralappreciation Inteetrnentt seeking statement is available upon mopes the Fars arose.* believe t is an error a why you need more Word to the poicy conditions arid limitations, cash a growth of prncpal rather than the gereraim of offices are ar eitemation the firm is further protected tam to to 11.9 million n the income — Provide thedollar arroat of the suspected error. aggregate for all your accounts held n a paticular • Produce Combinaton of ircone and Capital capacity A fin ccpy of tie poky waning is INAilible Appian:awn Memento seekhg both der generation The Fim or Cad Issuer wt imestigite your ccmplaint Won reciurst. of name and mouth of ;timbal. Weehawken, RI and wet correct any error promptiy. The SIPC protection and the applemental protection Overall rids profiles Ibis animal represent the tay official record of yaw Please make all decks payable to the Fan or der both do not apply to. LES Financial Sakes account. Other march, not financial institution ippicated on to front of this • Certain fnancia routs controlled by (rid naiad it • Coasavarre Seeks to maintain anal peeper, with official tic documents, containing rereading data noted low OA and volatility to the acorn owral, nenif Oak:mint h ad:Wm to nectar accord feet accounts your account veldt but hell away from UBSFina-col that means the teat does not generate significant riot be relied Lyon If you believe there is an error cr may be subject to rriattaeranCe fees, chages for late Services fe.g.. certain cash al UBS Bat. fel cads at emission please report it immedately n *Ming to the income or returns red may not keep pace with parent for setriles purchases and charges for unpaid LES AG St/miredbranch insurarke prOSK1S, inflation. Ranch Manager is. the office snag your account. armunts in cash =cont. Accounts that ate transferred including variable amities, and Ed shares or mutual to other imitations may be subject to a wander be. fondt when such than are registered diectly h the • Moderate: Willing to accept some risk to principal aid Aelmugh al figures shown We Handed to be accurate. name of She account hake on the backs ad wads tolerate some ',lottery to seek hgher returns. statement data sktili not be used fcr tat purposes Rely UBS Sweep Options of the applied* issuer a taster agent); • Aggressive: Wiling to accept high rift to prinopal and sort on yeatend tax lams, te.. Form 1099. SkaBs UBS offers optima for sweepng cash biarces, Winces high ratan* to seek highreturns ore time. 10425, etc.) whinprepregyour tax return. The Fine it to bar deposits at UBS Bat USA and WS AG Stand • Certain rwestmeet contracts or Mestment interest required by law to report to ihe IRS all taxabk dividence, branch Sink Sweep Progome, money maks mutual pg., limited penned* and piste pa:emeriti) the Statement liouseholdne mooed* rantaubb detickads and tat remit sods (Morey Fu-ds) rd theInternationalDepose we rot repaired under tie Securities Act of 1%3; We may consoldaie al related account statements with erred on acuities held in yxr aciont, net proceeds Arrant ODAlfor customers Shan International ird the same address n the same tanker. Accounts may on sale transact:re, and cost basis cncenain covered Renate Management Account. through re Bank be related Ice this purpose betake they haw owners swains. Sweep Prtraamt rah balances re swept to LEGBerk • Commodities corrects (e.g., lamer excha-ge and who also maintin pia accord relationshas was other USA up to n intsbkhodirnk ad then to LES AG pm eta metal ccntradd. aduding futures contacts clients at the sane address. This practice known as Communications with the Finn Stanford Branch or a Money Fund. Deposits at UBS • householing • R you prefer to reprise Pdivalual . Please reconfirm any oral coimircatearts in wring rd ormoditY cram contracts. statemeats mailed in separate envettpta — y0U may Bat USA are FDIC nstred in accordant with FCC to further protect your rotes incladrig your ogress ruks. For nacre nlamatim please sat mar...Witter. the 51K potecton and to suppemental protection do dare householdeg by tiling you. F remise Advisor. raider the Storks Maar Protection Act (SEAT Deposes at UBS AG SleekedBurch ad furs of not apply to these assets erne they otherwise appear Money Funds are rot inured by the FCC. on yin strements The 9PC protedia end the Friendly accourt name • If the finacal nstitution on the top left of the front sullommental protection do not poled agora changes the FrendY account name reflects formation that you of this staternert is not UBS Financial Sakes. U3S Throup the OA, araileble toads balances are swept to it the makel vats of you investments (whether as a entered on the Firm's onto* senores vrebste. R ts a Financial Sentra ernes gar account as cleanng depose accounts at UB5 AG New Yak Branch and UB5 result of market morment. issuer balkruptCy Cr customizable rnictrurre' those by you to aria you taker by anargerront watt the rdcated &Puke. AG Cayman Brach Mew deposits are not esund by OtherbYee) war sir record...pint It has rro legal effect on your We Wormed yaa of Mk relationship when you the FCC. Balances Feld at the LES AG Cara" Brads account. You can change yds hiendt account names, opened this accost. hare cast your lads and are temporanty exposed to the so...reign risk of the More information is prelate tpcn repast You may through Onere Services or by contactegmurFaancial sautes a-e located a UB5 Anatol Services and rot Carman elands, and tare is no 'santee or other obtan more Scansion abote Sit. incising the 5IPC Adviser. the imocbcng broker. ad you nom make erect-I obligalon of LES AG to repay*. betakes wink as the Brochure, by contacting SIPC a 202-371-8300w by of are error or &Makin to both NITS. UBSCarmans Podia books. %tang the SIM **Mite at rawarptag ACCOr overview • vain ofmw accountrporrob Net of assets mot A 0 accctnt statements shall be deemed complete ad Deposes a LES Bat LEA and tad'.UBS AG Berth are Dividend ReiWetblbedill Program (DPP) •Ailtes. accurate if not objected ton *meg within 60 days. not protected by SIPC. Money Fund shares ere protected the li ke reflected is an pram price. You mar obtan Asset tweaks salable cash balances, visit for by SIPC. See *U3S Financial Services Arrant Protection' the acb.el price kenrot Fnancial Advisor. Orey sack restricted storey list), and Global tine Deposits, • PION* died amok. complaints a itcpiies to the bobw fare are purchased under DRIP; partial shares wil be wreaked marks to market, and ceetaa arts not held Fi-m's C bent ' eat at 201.352.1699 wet rd the rah wS be deposited your account. The by the Fim. Does not includemasted smoked SeCuttiell assets atollfree at 8:03 A.M. to 6:03 P.M. Upon sus retest, balances in tie Bank Sweep dviderd reavesvnere wire applied by fie ewer may al the end of the pior and rural periods, or ET Monday through e- ay, a in aka to UBS Po:gramor OA may be withdrawn, and shares of a • from the market vice at which thepartied shares erica private irwestments, emoted stock options rd ices k., Client Relation Depalment, Money Fund my be liquidated, and the proceeds an sold stock options Unton C sty. W 07087. returned so you or tasks amont. • Intakes Include, debt blI/M•1, culdardirg margin Csolerelieu loans. credit the, Mon amant balances. • hcase of en0rS Or ouestkoo about an electronic Aster formation about available wrap options, Crib, whole units may be hada soy amour. If you • Cash/raoner balinrea Total of reinvested avalable bads rands Olt BS Vareckbit ncleing unit emiest rates and yelds, a availabk at entitled to apalel um( a a mutt of a ladedPanto' cab balances. plus UBS Bak LISA deposit braces U3S card transactions, call wwwtte c from your F rema Advisor ▪ otevaise, the Firm suit ether sell parhal Ls*, at AG Starreord Brand) deposit balances and money market Financial Senates ex.. or by calling made) like a accept an amount determined by a mitel fund sweep boraxes, at to case of ha Weehawken N) 07086. Ath-. MAArBSA Saes mai:teed cleans agency, and credit scar account statement period. Noricormlocity Vet credit balances in UM Financial Serrae account protection your acct are rot segregated from other balances Cal or write as soon as you can it you thrk yam The it a member of the SeardeS Inyeibli Protection Investment objectives and to Fan my use any of these funds! the ordinary statement or receipt is wrong Cr d you need more Corporation EEC), whkh protect securities account, of aye nanimere °teaks rd risk profile Me speck to course of it business. these funds a* payabk Loon racemein about a nerdy on the statement or its members up so 1500,03) (roaring S2B),000 for each account and may ray between Please Weir the your darned. This total n included et to anent period rental. The Firm or Card boar (as aPicablemmaat dams kr cash) the SIK asset protection Imes aTPV to Fun promote, a mon; of any signkant Mango n gar closing value. her horn you ro later dm, 60 days after to Fim all account tetra hold n a palkukr capacity. foamier situation or masker% objectives. Foe each SDNY_GM_00022828 CONFIDENTIAL EFTA_00133448 EFTA01275415  Important information about your statement (con inued) landew Herniation you would Warily reek* n the market Prices we - •Darinca to date' may include num a - h etkle co to crimson; caned n connection For deadinformition cn theFinis lending practkes obtamd from various third party sources Snit. tie capilal. income a both wth the sale or astanon o1away contracts and disci:rives, refer to ear Clem fatbraiip Delve to be rehtle. but we do not gmealee heir - Chanel a see • represents the initial Oran; and at investment ma