EFTA00271128.pdf

UORE'W.I0JUIWaD Client Information 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 tame 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 kerne or other Residential Address documents that walr a/lbw us to identify you. City, State, Zip Code New York, NY 10065-7007 Please renew and verify al Home Phone of the information that you E-mail Address provided ro us when you opened your Account. If you have changes. 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 provided. City, State, Zip Code New York, NY 10065 - 7007 InvesbnentInformatinn• This section reflects answers you providedrelated to Net Worth Information your investment experience. Annual Income Range from $200,000 - $499,999 market knowledge 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 Equities None 8t700Z86ZE9V6 Bonds None Futures None Options-Buy None -1M 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. 1 Package ID, 0094632982 EFTA00271128 n 0 You have indicated that you are not a control person (Policy-maker, director or 10% shareholder) of a publicly 0 traded corporation. 0 2 2 EFTA00271129  Account Information Traditional IRA Your Account Please review the information Account Number about each of your accounts and notify your Financial Account Title Ghislaine Maxwell IRA Advisor immediately if jou have any changes or Account Address corrections. City, State zip New York, NY 10065-7007 For more information, Aktase refer to the UBS Deposit Cards and Checks for this account, if requested, will Account Sweep Prog✓am be mailed to this address: New York, NY 10065-7007 Disclosure Statement. Primary Account Holder Ghislaine Maxwell Pleasenote the account risk profile and investment Additional Account Relationships otsective below are specific only to this account other accounts Dish F80 Account Owner Auth may have thfferent account Ask ➢ower of Attorney profiles and investment otrerrves. UBS will not disclose your name, address and security Disclosure of Beneficial Ownership position to issuers of any securities held in your Your Account Risk Profile for this particular account is defined Account. as Moderate: Willing to accept Margin No some risk to principal and tolerate some volatility to seek higher If you did not choose Margin when you opened this account, you may ask to establish margin by returns. contacting your Financial Advisor. You agree that the Margin Agreement in the Completing Your Different accounts may have different risk profiles 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. Your Investment Objective Produce a Combination of Cost Basis Method First In,First Out Income and Capital Appreciation lmestmems seeking both the generation of income and growth ofprincipal. Features and Services In accounts with conservative Premier- RMA / BSA or moderate risk profiles, investment eligibility considerations help us Account Objectives and Risk Profile identify whether you maybe eligibk to invest in certain Account Risk Profile Moderate higher risk securities as a portion of your portfolio. Your answers to our profiling questions: These investments offer Risk Tolerance Moderate Risk additional dyers',fkation. Produce a combination of income and capital A seniorpolitical official is Investment Objective appreciation defined as a President or vice 1 Preskkn4 Cabinet Member, Risk/Return Objectives Moderate Fluctuations, Moderate Returns Supreme Court Justice, Investment Time Horizon 7 - 10 years member of the Joint Chiefs Staff, Member of Congress or Short-Term Liquidity Needs No a Parliament, Ovirpencn Head or Senior Leader of a Sweep Account Election major religious organization, or the Ike. Primary Sweep Fund UBS BANK USA DEPOSIT ACCOUNT Sweep Cap Election Yes 'MEM 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. 3 3 EFTA00271130  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 Beneficiary Designation According to our records, you have designated the following beneficiary/beneficiaries to become entitled to the assets in your IRA. Your designation will become effective when we receive your signed Signature Page. Ghislaine Maxwell IRA I Primary Beneficiary: Relationship: Non Spouse Share of Benefit: 100.00% Contingent Beneficiary Selection: To Primary bene(s) estate 4 4 EFTA00271131  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 affiliates and subsidiaries and all de 00418 656 1311 0221/2014 will effect transactions for your brokerage Accounts only as instructed by you, and neither UBS Financial Services Inc. nor your Financial Advisor will have any discretion over your other subsidiaries and affiliates. Accounts. 5 EFTA00271132 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 VIOL/IMO BEL 9998000 aP 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 EFTA00271133  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 0048 657 1313 02/21/2014 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 EFTA00271134 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 and the UBS Select Capital Money Market For Accounts eligible for one of the UBS Bank Sweep Programs, unless you are eligible for Funds. and select an available tax-advantaged Sweep Fund, your Sweep Option will be one of the UBS Bank Sweep Programs. In general, most clients with a Resource Management Account® (RMA®), Individual Retirement Account (IRA), Basic Investment Account, Business Services Account® (BSA®), Coverdell Education Savings Account and certain Investment Advisory Accounts will be eligible for one of the UBS Bank Sweep Programs. Eligibility is based primarily upon the type of client. Most non-business clients and employee benefit plans qualified under Section 401(a) or Section 403(b)(7) of the Internal Revenue Code of 1986, as amended, or under any other employee retirement or welfare plan subject to the Employee Retirement Income Security Act of 1974, as amended (ERISA) (Plans) are eligible for the Deposit Program. In cases where a participant in a Plan has established a Securities Account for purposes of participation in the Plan (each a Plan Participant), the Plan Participant will be eligible for the Deposit Program. Most business clients are eligible for the Business Program. The 'UBS Bank Sweep Programs' The UBS Bank Sweep Programs collectively refers to the UBS Deposit Account Sweep Program (the Through each of the UBS Bank Sweep Programs, available cash balances in each eligible 'Deposit Program') and the UBS Account are automatically deposited into deposit accounts at Bank USA up to the Bank Business Account Sweep Program USA Sweep Cap. Available cash balances in excess of the Bank USA Sweep Cap will be (the 'Business Program') as more automatically swept without limit to your Secondary Sweep Option. fully described in the UBS Bank Sweep Programs Disclosure Unless you select an available Sweep Fund, the Secondary Sweep Option for eligible Statement. Accounts other than Investment Advisory Accounts is deposit accounts at AG Stamford Branch. Investment Advisory Accounts will not sweep to the AG Stamford Branch; instead UBS Bank USA (Member FDIC) ('Bank the Secondary Sweep Option for Investment Advisory Accounts will be an available Sweep USA,,is an FDIC-member bank Fund. affiliate of UBS. Funds in deposit accounts at AG Stamford Branch are not eligible for FDIC UBSAG, Stamford Branch ("AG insurance or protection by SIPC. Sweep Funds are not FDIC-insured, not guaranteed by Stamford Branch") is a US branch of a bank, are sold by prospectus only and may lose value. UBSAG, a Swiss Bank that is the Deposits held at Bank USA through the Business Program are subject to monthly parent of UBS Financial Services Inc. withdrawal limits, as described in the UBS Bank Sweep Programs Disclosure Statement. If and UBS Financial Services your withdrawals in a month reach the limit, all funds on deposit through the Business Incorporated of Puerto Rico. Program will be withdrawn from Bank USA and transferred into your Secondary Sweep de 0048 657 1314 02/21/2014