EFTA01597159.pdf

UORE'W.I0JUIWaD Client Information ELLMAX, LLC Client Information U.S. Federallaw requires us Name ELLMAX, LLC ro obtain, verify andrecord information rhar identifies Organization Structure Ltd Liability Company each person or entity Incorporated No rhar opens an Amount with us. When you open an Publicly Listed No Account. we w0I ask for your name, street address. For Profit No dare of birth and a tax identification number such Name(s) of Authorized Persons as a Social Security number. Ghislaine Maxwell We may also ask to see a driver's license or other Name(s) of Managers/Members documents that II/Oa/lbw us to identify you. Ghislaine Maxwell Please renew and verify al of the information that you provided ro us when you Contact Information opened your Account. If Residential Address 1000 Venetian Way you have changes• Apt. 801 corrections or adthrions, - 1 notify your Financial Advisor City, State, Zip Code Miami Beach, FL 33139-1043 as soon as possible. Home Phone (212) 535 - 6833 If you share assets with E-mail Address another person, the net worth figure here shows your portion only, based upon instructions you Net Worth Information provided. Annual Income Range from $50,000 - $99,999 MMi InvestmentInfrematinn• Liquid Assets (cash and marketable securities) Range from $100,000 - $249,999 - MN This section reflects answers you providedrelated to Net Worth (excluding primary residence) Range from 8100,000 - $199,999 your investment experience. You have indicated that you do not derive a substantial amount of your income / wealth (over 50%) from all market knowledge and other assets and is used to country outside of the United States. ensure our investment recommendations are suitable for your situation. Investment Information Years you have held investment accounts 5 Equities None Bonds None Futures None "IN Options-Buy None SSZO-176L99ZS6 Options-Sell None You have indicated you have a good understanding Knowledge of investments 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. SDNY_GM_00009469 1 Package ID, 0095266794 CONFIDENTIAL 1 EFTA01597159  U0! E.W.I0JUI Wall) Ghislaine Maxwell Personal Information U.S. Federallaw requires us Name Ghislaine Maxwell ro obtain, verify andrecord information rhar identifies Citizenship United States each person or entity Gender Female char opens an Amount with us. When you open an Date of Birth 12/25/1961 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 Contact Information driver's license or other Residential Address 116 E 65th Street documents that whir a/lbw us to identify you. City, State, Zip Code New York, NY 10065-7007 Please review and verify al Home Phone (212) 535 - 6833 of the information that you E-mail Address provided ro us when you opened your Account. If you have changer corrections or adthrions, Employment Information notify your Financial Advisor as soon as possible. Employment Status Employed Occupation Other If you share assets with another person, the net Occupation Industry Other worth figure here shows Employer Name The TerraMar Project your portion only, based upon instructions you Business Address 116 E 65th Street provided. City, State, Zip Code New York, NY 10065 - 7007 InvesbnentInfrematinn• This section reflects answers you providedrelated to Net Worth Information your investment experience. Annual Income Range from $200,000 - $499,999 market kncnvIedge and other assets and is used to Liquid Assets (cash and marketable securities) Range from $10,000,000 AND ABOVE ensure our investment recommendations are Net Worth (excluding primary residence) Range from $10,000,000 AND ABOVE suitable for your situation. 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 a Equities None Bonds None Futures None Options-Buy None Options-Sell None You have indicated you are an experienced investor Knowledge of investments 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. SDNY_GM_00009470 2 CONFIDENTIAL 2 EFTA01597160 ti011etWOR luau') U09eUn0jUj wall) You have indicated that you are not a control person (Policy-maker, director or 10% shareholder) of a publicly traded corporation. SONY_GM_00004471 3 CONFIDENTIAL 3 EFTA01597161 UOiletUlOWI Wail) uogewicqui Iva° Pot & Kettle, LLC Client Information U.S. Federal law requires us Name Pot & Kettle, LLC ro obtain, verify and record information rhar identifies Organization Structure Ltd Liability Company each person or entity Incorporated No char opens an Amount with us. When you open an Publicly Listed No Account, we will ask for your name, street address. For Profit No dare of birth and a tax identification number such Name(s) of Authorized Persons as a Social Security number. Ghislaine Maxwell We may also ask to see a driver's kerne or other Name(s) of Managers/Members documents that whir albw us to identify you. Ghislaine Maxwell Please review and verify at of the information that you provided ro us when you Contact Information opened your Account. If Residential Address 1000 Venetian Way you have changes Apt. 801 corrections or ad.:Worts, t notify your Financial Advisor City, State, Zip Code Miami Beach, FL 33139-1043 as soon as possible. Home Phone (212) 535 - 6833 If you share assets with E-mail Address another person, the net worth figure here shows your portion only, based upon instructions you Net Worth Information provided. Annual Income Range from $0 - $29,999 InvesbnentInformatintr Liquid Assets (cash and marketable securities) Range from 8100,000 - $249,999 - MN This section reflects answers you provided related to Net Worth (excluding primary residence) Range from 8100,000 - $199,999 your investment experience. You have indicated that you do not derive a substantial amount of your income / wealth (over 50%) from I market kncnvIedge and other assets and is used to country outside of the United States. ensure our investment recommendations are suitable for your situation. Investment Information Years you have held investment accounts S Equities None Bonds None Futures None 'MN Options-Buy None Options-Sell None You have indicated you have a good understanding Knowledge of investments 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. S0NY_GM_00004472 4 CONFIDENTIAL 4 EFTA01597162  Account Information BSA Ltd Liability Company Your Account Please review the inkonarion Account Number Y1 23679 about each of your accounts and notify your Financial Account Title Pot & Kettle, LLC Advisor immedetely if jou have any changes or Account Address 1000 Venetian Way Apt. 801 correction. City, State zip Miami Beach, FL 33139-1043 For more information, tat"ase refer to the UBS Deposit 1000 Venetian Way Account Sweep Program Cards and Checks for this account, if requested, will Disclosure Statement. be mailed to this address: Apt 801 Miami Beach, FL 33139-1043 Pleasenote the account ask Primary Account Holder Ghislaine Maxwell profile and investment objective below are specific only Additional Account Relationships to this accounts other accounts Dish F8O Account Owner Auth • nay have thfferent account risk profiles and investment Power of Attorney • otlectwes. UBS will not disclose your name, address and security Your Account Risk Profile for this particular account is defined Disclosure of Beneficial Ownership position to issuers of any securities held in your as: Account. Moderate Witting to accept some risk to pfincipat and tolerate Margin Yes some volatility to seek higher returns. You have agreed that the Margin Agreement in the Completing Your Account Opening Process Different accounts may have different risk profiles 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 Your Investment Objective in your Account may be loaned to UBS or to other persons or entities. Produce a Combination of Income and Capital Appreciation Myestmems Cost Basis Method First In,First Out seeking both the generation of income and growth ofprincipal. In accounts with conservative Features and Services or moderate risk profiles, Checking investment eligibility Premier- RMA / BSA considerations help us identify whether you maybe egibk to invest in certain Account Objectives and Risk Profile higher risk securities as a portion of your portfolio. Account Risk Profile Your answers to our profiling questions: Risk Tolerance Moderate Moderate Risk Its These investments offer additional &versification. A sensor political official is Produce a combination of income and capital defined as a President or Vice Investment Objective President Cabinet Member, appreciation Supreme Court justice, Risk/Return Objectives Moderate Fluctuations, Moderate Returns member of the bin: Chiefs Investment Time Horizon 7- 10 years a Staff, Member of Congress or a Parliament, Chairperson. Head or Senior Leader of a Short-Term Liquidity Needs No major religious organization, or the like. Sweep Account Election 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. SDNY_GM_00009473 5 CONFIDENTIAL 5 EFTA01597163  Source of Funds in the Account You have indicated the following as the source of funds for this account: Other Income Source transfer 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 SDNY_GM_00009474 6 CONFIDENTIAL 6 EFTA01597164 lUrIODDV BSA Ltd Liability Company Your Account Please review rhe information Account Number Y1 23680 about each of your accounts and nobly your Financial Account Title ELLMAX, LLC Advisor immediately if jou have any changes or Account Address 1000 Venetian Way Apt. 801 corrections. City, State zip Miami Beach, FL 33139-1043 For more information, tat"ase • refer to the UBS Deposit 1000 Venetian Way Account Sweep Program Cards and Checks for this account, if requested, will Disclosure Statement. be mailed to this address: Apt 801 Miami Beach, FL 33139-1043 Pleasenote the account risk Primary Account Holder Ghislaine Maxwell MEM profile and enestmenr otsective below are specific only Additional Account Relationships to this account other accounts may have ckfferent account risk Dish F8O Account Owner Auth profiles and investment Power of Attorney • armies. UBS will not disclose your name, address and security Your Account Risk Profile for this particular account is defined Disclosure of Beneficial Ownership position to issuers of any securities held in your as: Account. Moderate Wiling to accept some risk to pfincipal and tolerate Margin Yes some volatility to seek higher returns. You have agreed that the Margin Agreement in the Completing Your Account Opening Process Different accounts may have different risk profiles 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 Your Investment Objective. in your Account may be loaned to UBS or to other persons or entities. Produce a Combination of Income and Capital Appreciation Mrestmenrs Cost Basis Method First In,First Out seeking both the generation of income and growth ofprincipal. In accounts with conservative Features and Services or moderate risk profiles, Checking investment eligibility Premier- RMA/ BSA considerations help us identify whether you maybe elinibk to imps: in certain Account Objectives and Risk Profile higher. risk securities as a portion of your portfolio. Account Risk Profile Moderate These investments offer Your answers to our profiling questions. additional cfiversi&orlon. Risk Tolerance Moderate Risk A senior political official is Produce a combination of income and capital defined as a President or Vice Investment Objective President, Cabinet Member, appreciation Supreme Court Justice, Risk/Return Objectives Moderate Fluctuations, Moderate Returns member of rhe Joint Chiefs Investment Time Horizon 7- 10 years a Staff, Member of Congress or a Parliament, Chairperson. Head or Senior Leader of a Short-Term Liquidity Needs No major religious organization, or the like. Sweep Account Election 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 of 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. SDNY_GM_00004475 7 CONFIDENTIAL 7 EFTA01597165  Source of Funds in the Account You have indicated the following as the source of funds for this account: Other Income Source transfer 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 SDNY_GM_00009476 S CONFIDENTIAL 6 EFTA01597166  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 s