EFTA00271072.pdf

U09eW100114aD Client Information MAX FOUNDATION Client Information U.S. Federallaw requires us Name MAX FOUNDATION ro obtain, verify andrecord information that identifies Organization Structure Foundation each person or entity Incorporated No rhar opens an Account with us. When you open an Publicly Listed No Account. we will ask for your name, street address For Profit Yes dare of birth and a tax identification number• such Name(s) of Principal Officers as a SOCiii Security number. Ghislaine Maxwell We may also ask to see a driver's kerne or other documents that MY allow us to identify you. Contact Information Please review and verify al Residential Address of the information that you City, State, Zip Code provided ro us when you opened your Account. If Home Phone you have changes corrections or adthtions E-mail Address notify your Financial Advisor as soon as possible. Net Worth Information /f you share assets with another person, the net Annual Income Range from $0 - $29,999 worth figure here shows your partial onfy, based Liquid Assets (cash and marketable securities) Range from $100,000 - $249,999 upon instructions you Net Worth (excluding primary residence) Range from $100,000 - $199,999 provided. You have indicated that you do not derive a substantial amount of your income / wealth (over 50%) from a InvesbnentInformatinn• country outside of the United States. This section reflects answers you providedrelated to your investment experience. Investment Information market knowledge and other assets and is used to Years you have held investment accounts 10 ensure our investment Equities None recommendations are suitable for your situation. Bonds None Futures None Options-Buy None Options-Sell None You have indicated you have a good understanding Knowledge of investments of financial markets and market investments. 8610-95Z680K 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, 0094089256 1 EFTA00271072  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 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 116 E 65th Street 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 EFTA00271073 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 EFTA00271074  Account Information BSA Foundation Your Account Please review rhe information Account Number about each of your accounts and notify your Financial Account Title MAX FOUNDATION Advisor immediatey if jou have any changes or Account Address 116 East 65th Street corrections. City, State zip New York, NY 10065-7007 For more information, taktese refer to the UBS Deposit Cards and Checks for this account, if requested, will 116 East 65th Street Account Sweep Program be mailed to this address: New York, NY 10065-7007 ii Disclosure Statement. Primary Account Holder MAX FOUNDATION Pleasenote the account ink profile and investment UBS will not disclose your name, address and security otsective below are specific only Disclosure of Beneficial Ownership position to issuers of any securities held in your to this account other accounts Account. may have different account risk profiles and investment Margin Yes otrceves. Your Account Risk Profile for You have agreed that the Margin Agreement in the Completing Your Account Opening Process this pantcular account is defined package governs your use of margin in this account and all other accounts you have now or any as: accounts that you may open in the future. As described in the Margin Agreement, certain securities Moderate Will to accept some risk to principal and tolerate in your Account may be loaned to UBS or to other persons or entities. some volatility to seek higher returns. Cost Basis Method First In,First Out Different accounts may have different risk profiles Features and Services Your Investment Oblective Addeve CapitalAppredstkm Checking Premier- RMA / BSA Investments seeking growth of ponds:elrather than the gewrafion of income. Account Objectives and Risk Profile In accounts with conservative Account Risk Profile Moderate or moderate ink profiles, Your answers to our profiling questions: investment eligibility considerations help us Risk Tolerance Moderate Risk identify whether you maybe eligibk to imps: in certain Investment Objective Achieve capital appreciation (emphasis on growth of higher risk securities as a capital, not on income) portion of your portfolio. These investments offer Risk/Return Objectives Moderate Fluctuations, Moderate Returns a additional dyers',fkarion. Investment Time Horizon 3 - 6 years (an average market cycle) A senior political official is Short-Term Liquidity Needs No a defined as a President or Vice President Cabinet Member, Sweep Account Election Supreme Court Justice, member of rhe Joint Chiefs Primary Sweep Fund UBS BANK USA BUSINESS ACCOUNT Staff, Member of Congress or Sweep Cap Election Yes a Parliament, Chairperson. Head or Senior Leader of a Cap Amount $250000.00 major religious organb•ation, or the Ike. 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. 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 4 4 EFTA00271075  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.), UBS 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., 1.185 Trust Company, fiduciary relationship with you, as we do when providing investment advisory services. We M. and their insurance agency de 0198 2711 5421 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. 5 EFTA00271076 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 de 0198 2711 5422 02/12/2014 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. 6 EFTA00271077  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 to the IRA or any part of the IRA not effectively disposed of, will be your surviving an IRS model or a document from spouse, or your estate if you do not have a surviving spouse. You may be charged a another provider. If you would like to Custodial Account fee in connection with this IRA. use a UBS prototype, please ask for a copy of the SEP IRA Plan or SIMPLE If this IRA account is funded via transfer from a non-UBS account, you represent that all UM Man prototype document from transfers to this account originate from a same name inherited IRA of the same type your UBS Financial Advisor. indicated on this IRA Account Application (e.g., Traditional IRA, Roth IRA) and/or a direct rollover from a qualified plan which named you as beneficiary. Accounts with Cash Management Features The Agreements and Disclosures booklet contains the terms and conditions that apply to 1.185 offers a variety of accounts with the cash management features you may select. All requests to enroll in cash management cash management features, including features are subject to approval. We consider your continued use of your Account as your the Resource Management acceptance of the applicable terms and conditions. Account® (AMA), Business Services Account BSA® (8SA) and There are important differences in the cash management features and other services that International Resource Management are available to U.S. residents through UBS accounts and those that are available to clients Account® (IAMAS). who reside outside the U.S. For example, we have different sweep programs for uninvested cash and different Card programs for these accounts. This agreement and the Agreements and Disclosures booklet describe which programs apply to which types of accounts. Verbal Authorization to Upgrade or Add Cash Management Features to an Account For any account you have with us now or may open in the future, we may accept verbal Cash management features available requests to upgrade or add cash management features to your Account. Generally, we for eligible accounts include: permit any authorized person to provide verbal instructions to upgrade or add services to • Check writing your Account unless you instruct us otherwise. In some circumstances, we may ask you or • Debit cards another person who is named on the account to sign additional documents or provide • Credit cards additional information for those additional features. We will provide you updated terms • Rewards programs and conditions for the services you request if we have not already sent them to you or • Bill Payment another owner of the Account. We consider your use of the Account as your acceptance of • Electronic Funds Transfer the applicable terms and conditions. • Margin loans Our Sweep Options and Your Sweep Election Sweep Options' refers to the options made available by U85 for the As a service to you, we offer options for the automatic investment or deposit of available automatic investment or deposit cash balances ("sweep") in your Accounts. Current Sweep Options include the UBS Bank ("sweep) of available cash balances Sweep Programs and the Sweep Funds. The available Sweep Options and their features, in your Account. Sweep Options and the eligibility of an Account for a specific Sweep Option varies by the type of Account include the UBS Bank Sweep de 0198 2712 5423 02/1812014 you open, the services you select, the type of entity you are and your country of residence. Programs, the Sweep Funds, the We may change or discontinue our sweep service at any time, including adding or Puerto Rico Short Term Investment discontinuing specific Sweep Options. We may establish criteria for Sweep Options offered Fund, the International Deposit to different clients, including, but not limited to, establishing minimum asset requirements Account Sweep Program and any for clients to qualify for specific Sweep Options. other sweep investments we may make available from time to time for You authorize and direct us to deposit or invest your available cash balances on each eligible Accounts. business day in your Sweep Option and to withdraw your funds from, or liquidate your 7 EFTA00271078 UBS Client Relationship Agreement shares in your Sweep Option, as described in this section and in the General Terms and 'Sweep Funds" refers to one or more Conditions in the Agreements and Disclosures booklet, and any amendments. of the UBS money market funds made available as a Sweep Option. Please refer to the UBS Bank Sweep Programs Disclosure Statement for a description of the Sweep Funds are described in the eligibility requirements for the UBS Bank Sweep Programs. if your Account is not eligible respective prospectuses for the UBS for the UBS Bank Sweep Programs, you may select an available Sweep Fund as the Sweep RMA Funds, UBS Cashfund, UBS Option for your Account. Retirement Money Market Funds,