EFTA01274717.pdf

;14) UBS UBS Financial Services 299 Park Avenue 25th Roor UBS Strategic Advisor New York NY 10171.0002 October 2015 CNP70057252891015 V1 0 GHISLAINE MAXWELL 116 E 65TH STREET NEW YORK NY 10065.7007 Account name: GHISLANE MAXWELL Friendly account name: Indio. V49920008 Account number. Your Nnancial Advisor- SCOTT STACKIAANILYLE CASRIEL Phone Questions about your statement Call your Financial Advisor or the Value of your account RMA ReSOtleCeuele at SOO-WA-1000, on September 30 (SI on October 30 (S) account Your assets 1,194,795 62 I ,214,522.28 tAsit our website: Your liabilities aoo 0.00 ‘vviw.ubs.comifinanciafsegvices Value of your account $1,194,795.62 31,214,522.28 Sources of your account growth Tracking the value of your account during 2015 Value of your account S The Lr,anGS at yea' end 2014 $1,469A81.00 • 4,59 Net deposits and withdrawals 4287,579.16 I,•949 1,214.5 Your nvestment return • Diedendarxl interest income 350,153.36 Change in malign value -517,532.92 Value of your account on Oct 30, 2015 31,214522.28 Dec 2014 Sep 2015 Ocl 2015 SDNY GM 00021960 Mombor SIPC CNe70303005725209 W00018949603005 1015 030575004 000000 Page 1 of 14 CONFIDENTIAL EFTA_00132580 EFTA01274717 SUBS 1.1B5 Strategic Advisor October 2015 Account name: GHISLAWIF ' Friendly account name:Indio Vd9r• Account number: • ,.LLB Your lq Randal Advisor. SCOTT STACK MANLYLE CASRIEL Your account balance sheet Summary of your assets value on Percentage of October 30 t$) your account , Cash and money balances may include A Cash and money balances 2,104.18 0.17% Your current asset allocation available cash balances. UBS Bank VSA deposit B Cash alternatives 0.00 0.00% account balances. LAS AG Sumford Branch deposit account balances and money market C Equities 1,212,418.10 99.83% mutual fund sweep balances See the Imponant information about your statement on the last D Fixed income 0.00 000% two pages of this statement for details about those balances E Non-traditional 0.00 000% F Commodities 0.00 000% G Other 0.00 000% Total assets $1,214,522.28 100.00% Value of your account $1,214,522.28 Eye on the markets Percentage change Index October 2015 Year to date S&P 500 8.44% 2.70% Russell 3000 7.90% 2.02% MSC I - Europe, Australia & Far East 7.82% 2.53% Barclays Capital U.S. Aggregate Bond Index 0.02% 1.14% Interest rates on October 30, 2015 3-month Treasury bills: 0.08% One-month LIBOR: 0.19% CNP70003005725290 NPTOCOIEr3496 00635 1015 030575004 COMY_GM_00021gtige 2 of 14 CONFIDENTIAL EFTA_00132581 EFTA01274718  UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your If mandril Advisor: UBS October 2015 Friendly account name:Indivve992(x)08 Account number. SCOTT STACKMANLYLE CASRIEL Change in the value of your account Summary of gains and losses yaws reposed below exclude products for which gam andlosses are not classified. October 2015(4) Year to date (I) Realized gains and losses Unrealized Opening account value $1,194,795.62 $1,469,481.00 October 2015(4) Year to date (S) gains and losses (S) Deposits, including investments transferred in 0.00 1,506.30 Short term 0.00 -804.37 0.00 Withdrawals and fees, Long term -203.77 -14,187.75 65,120.90 including investments transferred Total -$203.77 -$14,992.12 $65,120.90 cut -53,544.70 -289,085.46 Dividend and interest income 2,338.57 50,153.36 Change in market value 70,932.79 -17,532.92 Closing account value $1,214,522.28 $1,214,522.28 Dividend and interest income earned For purposes of iris statement, mitts', of merest and clindend income has been determined ficen a us tar reporting perragdne, 8aed upon the residence of the account holder, account type, or prolud twat, some interest ands dvidend payments may not be subject to United States (US) arch Puerto Rico (PR) Income Ins. The dent mOnthY Statement is not intended 10 be used and (ambit be (feed tam fa tac purposes. Clients should refer to the apdictie tar reporting forms they recent. from 185 annualy, such as the corns 1099 and the FaiTtS 480, fa rat recoiling intormaton It IS the PradICe a 1185 to file tht zupitcaUt ten reporting forms with the US intern.V Revenue Service and PR Treasury Deportment, and in such forms accurately classify dwdenct area Interest as tax exempt or tacable 'more. Pleat consult ycur Inch/dual tax prepare( October zoiS Year to date IS) Taxable dividends 2,338.57 50,146.97 Taxable interest 0.00 6.39 Total current year $2,338.57 $50,153.36 Total dividend & interest $2,338.57 $50,153.36 SDNY GM 00021962 OiP7C00700572Sigi NPT003l$9496 COCOS 101S 030579004 000000 Pigs 3 of 10 CONFIDENTIAL EFTA_00132582 EFTA01274719 4tUBS Your financial Advisor: Account name: GHISLAINE MAXWELL UBS Strategic Advisor Friendly account name:Indiv Vd SCOTT STACK MANLYLE CASRIEL October 2015 Account number: Cash activity summary Loan summary See aCtOunt actoity tars moNhfot decals Seances In your SwepONIceis are InclutSeclm the comma and Year to date loan interest $27.62 closing balances 'due. CDC Insurance °Nies only to deposits at U85 Bank USA, not to deposits at tiBs AG, site ford &arch or bank deposits placedthrough tne UBS intemationd Depose Account pioeam. SIPC protection apples to morn market sweep fund haring, but rot bank deposits. See important infoonatOn about your statement on the last two pages of this document for detals. UBS Bank USA Deposit Account APY October 2015 (I) Year to date (S) Interest period Sep 8 - Oct 6 Opening balances 551,987.08 $3,054.91 Opening UBS Bank USA Deposit balance Sep 8 $0.00 Additions Closing UBS Bank USA Deposit balance Oct 6 11,955.55 Deposits and other funds credited 0.00 1,506.30 Number of days in nterest period 29 Dividend and interest income 2,338 57 50,153.36 Average daily balance $1,897.37 Proceeds from investment transactions 1,323.23 237,120.64 Interest earned $0.00 Total additions $3,661.80 $288,780.30 Annual percentage yield earned 000% Subtractions Professional management fees and related services -1,505.77 -7,118.71 Your investment objectives: Other fees -51.85 -1,101.78 You have identified the following investment objectives for this account if you have questions -280,864.97 about these objectives, disagree with them, or wish to change thorn, please contact your Other funds debited -51,98708 Financial Advisor or Branch Manager. You can find a full description of the alternative Funds withdrawn for investments investment objectives in finportant information about your statement at the end of this bought 0.00 -645.57 document Total subtractions -$53,544.70 -$289,731.03 Your return objective: Cunene income &capital appreciation Net cash flow -$49,882.90 -$950.73 Your risk profile: primary Aggressive Closing balances $2,104.18 52,104.18 Investment eligbirity consderafion - None selected Withholdings and tax summary Your account instructions October 2015 (S) Year to date (I) • You account cost basis default closing method is FIFO, First In, First Out. Foreign taxes paid 000 -4,14790 Prior year(s) adjustment 0 00 21.94 Total withholdings and taxes $0.00 -$4,125.96 CNe70002)005725292NP70C0189496 00005 1015 030575004 COMAY_GM_00021Nne 4 of 14 CONFIDENTIAL EFTA_00132583 EFTA01274720  UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Finandal Advisor: UBS October 2015 Friendly account name: Indiv v4992(x)08 Account number. SCOTT STACK MANLYLE CASRIEL Your assets Some pnces, income and (orient vaues Shdern may be appfoximane. AS a team. gam ma/ not be accurately reflected. Ste 'moor:ear Intoneetion etiour your statement a the end of the clacumem fOr more infornason. Cash Cash and money balances Cash and morey batances may include avalaile cash balances, UBS Bar* USA depost account balances, UBS AG Stardord Branch deposit account balances and money market mutual fund sweep balances. UBS Bank USA deposit account balances are insured by the WC vat hn applicable limits, but are not protected by SIPC u8S AG Stanford Branch deposit account barites ate not insured be FDIC and re not protected by SIPC Money market sweep balances are protected by SEC bin re rot insured by the FDIC. See the Important information about your statement at the endof this doctrnent for details about those balances. Openng basic. Cloung Wage Price per share Average DeAdencl Interest 041 n Hddng on Oct I ($) on Oct 30 IS) on Oct 30 (5) 'me period period cep amount CS) Cash 49,027 89 0.00 LEtS BANK USA DEP ACC' 2,95919 2A04. 18 250.000 00 Total $51,987.08 $2,104.18 Equities Common stock Purchase pricer Trade lAccribet Average price Price per share value on unresized Racing udring date of shares per Shalt (5) COP bads(S) on Oct 30(I) Oct 30(5) gain or loss (I) period MB LTD SPON ADR Symbol: ABB Exchange: NYSE (Al: $571 Current yield 302% Jan 29,13 350000 21.573 7,550.62 18.880 6.608 00 -942.62 LT Apr 22, 13 650 003 21 211 13,787 15 18.880 12,272 00 -1,515.15 LT Security total 1,000.003 21338 21 ,337 77 18,880 00 -2.457.77 ASTRAZENECA PLC SPON ACR Symbol AZN Exchange: NYSE (Al: 31,007 Current yield. 4.33% Jan 29, 13 420.000 25.065 10,527 30 31.890 13,393 80 2,866.50 LT Apr 22. 13 170.000 25.667 4,363 53 31.893 5,421 30 1057.77 LT hi 12,13 140.000 24.720 3,46092 31,893 446460 1,003.68 LT Security total 730.030 25.139 18.351.75 23.279.70 4,927.95 continued next page SDNY GM 00021964 CelP7C00?305725293NP70031$9496 nom 1015 030575001 coc000 Page s of 14 CONFIDENTIAL EFTA 00132584 EFTA01274721  Account name: GHISLAINE MAXWELL UBS UBS Strategic Advisor October 2015 friendly account name:Indiv V49920008 Account number. Your A sandal Advisor. SCOTT STACK MANLYLE CASR1EL Your assets . Equities . Common stock (continued) Purchase pricer Trade tenter Average price Price per share Vdue on unreaued Hddng Hddng date of therm per stave (3) Cost bags (S) on Oct 30(a) Oct 30($) gain or lost (6) ptriOd ME SYSTEMS PLC SPON ACR Symbol: BAESY Exchange OTC EAI: 11,231 Current yield: 455% Jan 29,13 1,000.000 22.160 22,160.00 27.050 27,050.00 4,890.00 LT BAYER A G WON ADR Symbol: BAYRY Exchange: OTC EAI: 1439 Current yield 1.34% Jan 29,13 200.000 99.560 19,912.00 133.440 26,688.00 6,776.00 LT Apr 22, 13 45.000 101.760 4,579.20 133.440 6,004.80 1,425.60 LT Security total 245.000 99.964 24,491.20 32,692.80 8,201.60 row BILLITON LTD SPON ADR Symbol: BHP Exchange. NYSE EAI: 11,079 Current yield. 7.54% Jan 29,13 320.000 78.520 25,126.50 32890 10,524.80 •14,601.70 LT Apr 22, 13 30.000 63.865 1,915.95 32.890 986.70 -929.25 LT Jul 12.13 85.000 61.002 5,18523 32.890 2,795.65 -2.389.58 LT Security total 435.000 74.087 32,227.68 14,307.15 -17,920.53 8RMSH AMER TOBACCO PLC G8 SPON ACR Symbol: Ertl Exchange: AMD( EAI: 32,676 Current yield:3.84% Jan 29,13 340.000 104.097 35,393.08 116.100 40,154.00 4,760.92 LT Apr 22, 13 150.000 107325 16,098 78 118.100 17,715.00 1,616.22 LT Jul 12,13 100.000 105.544 10,554.44 118.100 11,810.00 1,255.56 LT Security total 590.000 105.163 62,046.30 69,679.00 7,632.70 CEUTSCFE TELEKOM AG DE SPON ADR Symbol: DTEGY Exchange: OTC (Al: 32.276 Current yield: 2.86% Sep 16. 13 1,275.000 13387 17,059.45 18.660 23,791.50 6,722.05 LT Sep 17.13 1,150.000 13359 15,362 85 18460 21,459.00 6,096.15 LT Sep 18, 13 990.000 13393 13,259.17 18.660 18,473.40 5,214.23 LT Oct 10, 13 855.000 15.481 13,236.68 18660 15,954.30 2,717.62 LT Security total 4,270.000 13.801 58,928.15 79,678.20 20,750.05 CCUTSCI-E POST AG SPON Apt Symbol: DPSGY Exchange: OTC EAI: $910 Current yield 3.07% Jan 29,13 280.000 23.900 6,692.00 29.690 8,313 20 1,621.20 LT Apr 22, 13 720.000 22.581 16258.75 29.690 21,376.80 5,118.05 LT Security total 1,000.000 22.951 22,950.75 29490.00 6,739.25 continuednext page CNP70009005725294NP7000189496 00005 MIS 030575004 COMY_GM_0002Allie 6 of 14 CONFIDENTIAL EFTA_00132585 EFTA01274722  UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Pi nodal Advisor: *UBS October 2015 Friendly account name:Indiv.V49920008 Account number. SCOTT STACKMANYLYLE CASRIEL Your assets Equities . Common stock Iconhnuedi PAreate P(Vt TIJO Nurrber Average pike Price per share Whit on Unfeigned Hddng Hddng dal., of shares per shape (t) Cost basis (0 on Oct 30(1) 0030 ($) can or loss (t) period ENGIE SPON ADR Symbol: ENGIY Exchange OTC EAI: 41,481 Current yield: 5.65% Jan 29,13 240.000 20.779 4,986.98 17.490 4,197.60 -789.38 LT Apr 22, 13 380.000 20.919 7,949.37 17.490 6,646.20 -1,303.17 LT Jul 12, 13 215.000 20.144 4330.97 17.490 3,760.35 -570.62 LT Aug 21, 13 285.000 22.200 6,327.10 17.490 4,984.65 .1,342.45 LT Aug 22, 13 140.000 22.508 3,151.20 17.4% 2,448.60 •702.60 LT Aug 23, 13 240.000 22.418 5,38051 17.490 4,197.60 -1,182.91 IT Security total 1,501000 21.417 32,126.13 26235.00 -5,891.13 GEM° SMITHK WE PLC ADR Symbol: GSK Exchange: NYSE EAI: 42.462 Current yield: 5.63% tan 29,13 330.000 45.615 15,052.95 43.060 14209.80 -843.15 LT Feb 13, 13 320.000 45.645 14.60646 43.060 13,779.20 -827.26 LT Apr 22, 13 245.0400 50630 12,404.47 43.060 10,549.70 -1,854.77 LT Jul 12,13 120.000 52.904 6,348.48 43.060 5,167.20 •1,181.28 LT Security tout 1,015.000 47.697 48,412.36 43,705.90 4706.46 IMPERIAL TOBACCO GROUP PLC SPON ADR Symbol: ITYBY Exchange:OTC EAI: 32,083 Current yield: 3.75% Apr 25. 13 60.000 70.89I 4253.51 107.770 6.466.20 2212.69 LT Apr 26, 13 375.000 70.792 26,547.34 107.770 40,413.75 13,866.41 LT Jul 12, 13 80.000 68-375 5,470.00 107.770 6,621.60 3,151.60 LT Security total 515.000 70.429 36270.85 55,501.55 19230.70 MTN GROUP LTD SPON ADR Symbol: MTNOY Exchange:OTC EAI: 11,638 Current yield: 7.21% Jan 29,13 1025.000 19.580 20,069.50 11.410 11,695.25 -8,374.25 LT Apr 22, 13 590.000 17390 10,260.10 11.410 6,731.90 -3,528.20 LT hi 12, 13 375.000 19219 7,207.31 11.410 4278.75 -2,928.56 LT Security total 1,990.000 18.863 37,53691 22,705.90 -14,831.01 NESTLE S A SPONSORED ADR REPSTG REG SHS SWIT2 AE* Symbol: NSRGY Exchange: OTC (Al: 41,719 Current yield: 2.51% Jan 29,13 415.000 70.160 29,11640 76.220 31,631 30 2,514.90 LT continuednext page SDNY GM 00021968 CNP700C6005725295 NP7000189496 00005 1015 030575001 oococo Pag• 7 of 14 CONFIDENTIAL EFTA 0(1132586 EFTA01274723 4tUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Friendly account name:Indiv Vi19920008 Your Anand.' Advisor, SCOTT STACK MANLYLE CASRIEL October 2015 Account number. Your assets . Equities . Common stock (continued) Purchase price/ Trade Monad Average pdce Price per share Vdue on Unrealized Hokin; Haling date of therm per share (S) COIL bat (I) on Oct 30(1) Oct 30(1) gain or lost (1) period Apr 22, 13 290.000 69.918 20,27622 76.220 22,10180 1,827.58 LT Jul 12, 13 195.000 67.417 13,146.41 76.220 14,862 90 1,716,49 LT Security total 900.000 69.488 62,539.03 68,598.00 6,058.97 !IPPON TELEG &TEL COFP SPON ADR Symbol: NTT Exchange NYSE EAI; 11,441 Current yield: 1.78% hi 22, 13 1,700.000 26.445 44,957.18 36.730 62,441.00 17,483.82 LT Aug 6,13 510.000 26309 13,417.69 36.730 18,732.30 5,314.61 LT Security total 2.210.000 26.414 58,374.87 81,173.30 22,79843 NOVARTIS AG SPON ADR Symbol: NVS Exchange: NYSE EAI: 52.203 Current yield: 2.50% Jan 29.13 590.000 671377 40,047.61 90.430 53353.70 13,306.09 LT Apr 22, 13 240.000 72.512 17,403.02 90.430 21,703.20 4,300.18 LT Jul 12, 13 145.000 73.450 10,650.38 90.430 13,112.35 2,461.97 LT Security total 975.000 69.847 68,101 01 88,169 25 20,068.24 ORKLA ASA A SRS SPON ADR Symbol: ORKLY Exchange: OTC EAI: 51,029 Current yield; 2.95% Jan 21,14 710.000 8.052 5,717.56 8.490 6,027.90 310.34 LT Jan 22, l4 220.003 8.190 1,801.84 8490 1,867.80 65.96 LT Jan 23,14 315.000 8.282 2,608.92 8.490 2,674.35 65.43 LT Jan 24,14 185.000 8.147 1,507.25 8490 1,570.65 63.40 LT Jan 27,14 135.000 8.019 1,062.58 8490 1,146.15 63.57 LT Jan 28, Is 265.000 8.045 2,132.08 8.490 2,249.85 117.77 LT lan 29,14 390.000 7.991 3,11633 8.490 3,311.10 194.57 LT Jan 30,14 245.030 7.849 1,923.23 8.490 2,080.05 156.82 LT Jan 31,14 260.000 7 878 2,048 46 8490 2,207.40 158.94 LT Feb3, Id 185.000 7.794 1,441.96 8.490 1,570.65 128.69 LT Feb4, 14 235.000 7.671 1,802.69 8.490 1,995.15 192.46 LT Feb 5, 14 245.000 7.727 1,893.29 8.490 2,080.05 186.76 LT Feb 6, 14 165.000 7.561 1,247.70 8.490 1,400.85 153.15 LT Feb 7, 14 310.000 7.528 2,333.87 8.490 2.63190 298.03 LT Feb 10, 14 250.000 7.609 1,902.25 8.490 2,122.50 220.25 LT Security total 4,115.000 7.913 32,560.21 34,936.35 2,376.14 continuednext page CNP70009005725296 W7000189496 000051015 030575004 DOWNYGM00021ttee 8 Of 14 CONFIDENTIAL EFTA_00I 32587 EFTA01274724  UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Pi nodal Advisor: *UBS October 2015 Friendly account neme:Indiv V49920008 Account number. SCOTT STACKMANLYLE CASNEL Your assets . Equities Common stock (continued) Room price Trade minter Average price Pnce per share Ydue on Linrezezed HdcIng HdOng date of shares per shale (1) cost bails (S) on Oct 30(1) 0(130 (1) gain or lots (1) Period PT. TELEKOMUNIKASI INDONESIA SPON A011 Symbol: TLK Exchange: NYSE EAI: 1644 Current yield 2.35% Jan 29,13 690.000 39.442 27215 25 39.760 27,434,40 219.15 LT RECKITT BENCKISER PLC WON ADR Symbol: ROW Exchange: OTC EAI: 11.299 Gwent yield: 1.85% lan 29,13 2,590.000 13.187 34,15685 19.820 51.333.80 17,17695 LT Apr 22, 13 510.000 13.966 7,122.67 19.820 10,108.20 2,985.53 LT lial 12,13 440.000 13.938 6,132.99 19.820 8,720.80 2.587.81 LT Sactrity total 3,540.0(0 13.393 47,412.51 70,162 80 22,750.29 ROYAL DUTCH SHELL PLC CL A SPON ADR Symbol: RDSA Exchange: NYSE EAI: 138 Current yield. 6.04% 120(X1 ---This information was unawiable- 52.460 629.52 ROYAL DUTCH SHELL PLC ADS REPSTG 2 CL 8 ORD SHS SPON ADR Symbol: RD5.9 Exchange: NYSE EAI: 41,504 Current yield: 7.14% Jan 29,13 185.000 74.585 13,798.31 52690 9,747.65 .4,050.66 LT Apr 22, 13 215.000 69856 14,159.06 52.690 11,328.35 -2,830.71 LT Sootily total 400.000 69.893 27,957.37 21,076 00 -6,881.37 SANOR SPON ADR Symbol: SNY Exchange: NYSE EAI: 51,087 Current yield:2.16°4 Jan 29,13 525.000 48.754 25,596.34 50.340 26,428.50 832.16 LT Apr 22, 13 275.000 52.654 14,480.06 50.340 132343.50 -636.56 LT Jul 12,13 200.000 52.424 10,484.90 50.340 10,068.00 -416.90 LT Security total 1,000.000 50.561 50,561.30 50,340 00 -221.30 SEMENS A G WON ADR Symbol: SIEGY Exchange: OTC EAI: 51.380 Current yield: 2.74% lan 29.13 250.000 110.110 27,527.50 100.570 25,142.50 -2.385.00 LT Apr 22, 13 200.000 100.134 20,026.84 100.570 20,114.00 87.16 LT Jul 12,13 50.000 107256 5,362.83 100.5