EFTA01275587.pdf

U8S Financial Services Inc. Private Wealth Management UBS 299 Park Avenue 26th Floor Resource Management Account New York NY 10171.0002 March 2019 CNF7076517511 0319 )0 5 VI 0 Account name: OHISLAINE MAXWELL Friendly account name: Ind CashfSavng Account number: _3575 SS Your financial Advisor: SCOTT STACKMANILYLE CASPJEL Phone] Questions about your statement? Call to Emery:la Advsor or tke Value of your account RMA Resourceline at 800-RMA-1000, on February 28 (1) on March 29(S) account 029323575 Your assets 694,182 87 173,792.07 Visit our websIte: Your liabilities aoo O.00 www.u0S.Cornifinan0a1SennCeS Value of your account $694,182.87 $173,792.07 Items for your attention , Holy vutc,:t yc lion: Irani and review bank, credit card, and brokerage statements regularly. Also, get your free credit report annually from Sourats of your account growth www.annuakreditreporteorn. Tracking the value of your account during 2019 Value of your account 1 Thousands at year end 2018 1699,9S4.77 Net deposits and 6,144.7 viittdraee* -1529,682.39 Your nvestrnent return 4000000.11\ 4,208.9 Divdend and interest income 33519.69 Change m 9914 817.6 7000 694.2 ins market value 10.00 Value of year worn on Mar 29, 2019 $173,792.07 Dec 2014 Dec iois Dec 3016 Dec 3017 Dec 301s Feb 3019 Mar 2019 SDNY GM 00023000 Member SIPC CNP70008006517511 NP7003302199 03072 0319 030579004 Y123575650103010 Page 1 of 6 CONFIDENTIAL EFIA_00133620 EFTA01275587  Your Finandul Advisor: UBS Resource Management Account Account name: GH5LAINE MAXWELL Friendly account name: Incl:CasbiSaving SCOTT STACK MANY LYLE CASFeEL March 20'9 Account number YI 23575 55 Your account balance sheet Summary of your assets Value on Percentage of March 29 ($) you octant A Cash and money balances 0.00 0.00% Your current asset allocation B Cash alternatives 173,792.07 100.00% C Equities 0.00 0.00% D fixed income 0.00 0.00% E Non-traditional 0.00 0.00% F Comrnodrties 0.00 0.00% G Other 0.00 0.00% Total assets $173,792.07 100.00% B Value of your account $173,792.07 Eye on the markets Percentage change Index March 2019 Year to date S&P 500 1.94% 13.65% Russell 3000 1.46% 1404% MSC I - Europe, Australia & Far East 0.74% 10.13% Barclays Capital U.5. Aggregate Bond Index 1.92% 2.94% Interest rates on March 29, 2019 3-month Treasury bills: 2.31% One-month LIBOR: 2.49% CNP703093C65175I 2 NP7003302I99 00032 ce19 D30575004 YI 23575550 I CfgaiLlYGM000230blite 2 of 6 CONFIDENTIAL EFTA 00133621 EFTA01275588 SUBS Account name: GHI5LAINE MAXWELL Your Vinandal Advisor: Resource Management Account Friendly account nano:Ind:Cash/ Saving SCOTT STACK MANIYIE CASRIEL March 2019 Account number. Y I 23575 55 Change in the value of your account Cash activity summary March 2019 (3) Year to date (Si See Account activity the month lot deta Is &dances In your Sweep Options are 'riducedIn the open to and closing balances value FDIC insurance Lott to ckponts at UBS Bank USA and an banks participating in the UBS FDIC insured Deposit «wan. I does not aliply to deposits at UBS AG. strrioet Search. UPC Opening account value $694,182.87 5699,954.77 potection applies to money market sweep find holdings but not bare deposits Seelmportant inCorination about your statement on the tat two pars of this document for detals With&awals and fees, including investments transferred Mardi 2019 (3) Year to date 04 cut -521,156.46 -529,682.39 Opening balances $0.00 $0.00 Dividend aid interest income 765.66 3,519.69 Additions Closing account value $173,792.07 5173,792.07 Dividend aid interest income 765.66 3,519.69 Proceeds from investment transactions 521,156.46 529,682.39 Dividend and interest income earned Total additions $521,922.12 $533,202.08 For proposes of INS statement, tacatiity of inkiest and dol.:lend Income has been dekmlned Item a US Subtractions tar legating perspective. fixed upon the residence of the account holder. account type, or product type, sane interest andor dvidend payments may not be subject to United States (US) and Puerto Rico (RR) Other funds debned -521,156 46 -529,682.39 income tarn The dont month« statement is rot intended lob used and carrot be rtked upon for tar 0010Set Clients should refer to the apt:kale tar reporting forms they recent from IRS annually, such as Funds withdrawn for investments the forms 1099 and the Forms 493, fa tar reporting information n is the practice of UBS to file the bought -765.66 -3,519.69 digital:« tar reporting forms with the US internq Revenue Service and PR Treanury Oeturtnent and in such forms accurately das9 fy chidends arcla Interest eat, trenrpt Or bauble income rime consult your Total subtracttons -$521,922.12 -$533,202.08 inchodua tax preparet March 2019 (S) rear to date IS) Closing balances $0.00 $0.00 Taxable dividends 765.66 3,519.69 Total current year $765.66 $3,519.69 Your investment objectives: You have identified the following investment objectives for this account If you have questions Total dividend & interest $765.66 $3,519.69 about these objectves, disagree with them, or wish to change them, please contact your Financial Advisor or Branch Manager You can find a full description of the alternative investment objectives in important information about your statement at the end of this document Your return objective: Cunent income &capital appreciation Your risk profile: Primary - Moderate Investment ehgibihty consderaton - None selected SDNY GM 00023002 cinv7coosci05517SI 3 Ne7003302199 00072 0319 030575004 Y173575550100010 Page 3 of 6 CONFIDENTIAL EFTA_00133622 EFTA01275589  Account name: GHISAIIE 10A:01VELL UBS Resource Management Account March 2019 Friendly account name: Account number. Savng Y I 23575 SS Your Hounds' Advisor: SCOTT STACK MANY LYLE CASRIEL Your account instructions • Your account cost basis default closing method is FIFO, First In, First Out 01P7C0C00065175I 4 NP7000302I99 00002 0319 030575004 YI2357555010ftftlyGit000230ter 4 of 6 CONFIDENTIAL EFTA_00133623 EFTA01275590  Account name: GHISLAINE MAXWELL Resource Management Account Your Fi modal Advisor: *UBS March 2019 Friendly account name: Ind.CaShiSaving Account number. Y1 23575 55 SCOTT STACK MANLYLE CASRIEL Your assets Some prices, income and current vaues Sheet(' May be approximate. AS a teak gam &tresses ma/ nol be accurately reflected. See rmporunr infoanabon about your statement a the end of this ciccurneM far more infornzon. Cash alternatives Money market funds Money market funds at reinter insured to, gisaffinteed ty the Feeeta Deposit Insurance Corporation or any Other goverment agency. inslautona prime and institutional municipal funds must nog flea net asset values (NAV) per share to the nearest It I COIN of a cent (e.g., S1.0000 Government and fetal money market funds will continue to transact al a stale $1.00 net asset value. Although money matte' funds seek to preserve the value of your Investment at CO per share. II d possible to lose money by inieging in these funds. Total (virtue:fed is the tali d ale reinvested chadonds n does not include any cash dsidends n is not ale Unreafrod(ax)goin or bas is the difference between the <in rent value and the cost basis ad would lot for the purposes of determining holdrg periods or cod basis. The shares you receive eah time you generally be your taxtlegan or loss if the security was sold cn this die. The unrealized dal pan or loss coat reinvest cl wdends becorne a separate tax fbl need lobe a0usted for ret Lin of (spate' parents in order to determine the readred gain or loss for tax Cost boas is the total purchase cost of the security. includng reinvesteddudends The cost basis may reporting purposes. need to be adusted for return d capital payments in order to deleirrine the alusted cost basis for tar investment return is the current value minus the amount you invested t does not Include shares that are not retonirg pumices. reflected on your statement. End udng shares that have been realized as either a gan o a to5s. R also does not include cash cludencts that were nor reinvested Purchase price Number steerage price Chem Cost ante per share Value on unrealized Investment mddng Hddng d dises per Mae (S) investment(S) basil (S) on Mar 79 31 Mar 7901 gin or loss CO return (S) Period U85 PRIME RESERVES FUND 173,792 070 ---This information was unavailable-- 1.0000 173,792 07 EAI: 14,206 Curent yield: 2 42% Your total assets Percentage of Cost Estimated unrealized Value on Mar 29 (S) your ac count basis (S) annual mane (SI gin or loss (I) Cask alternatives a Money market funds 173,792.07 100.00% 4,206.00 Total 5173,792.07 100.00% $4,206.00 • Missing cost basis information SDNY GM 00023004 CNPTC003306517515 WM003302199 00072 0319 030579004 Y123575S50 100310 Page 5 of 6 CONFIDENTIAL EFTA_00133624 EFTA01275591 SUBS Resource Management Account March 2019 Account name: Friendly account name: it : Account number: Your Amanda' Advisor: SCOTT STACK MANLYLE CASRIEL Account activity this month Date AaIlly Demotion Amour* (S) Dividend and interestutoome Taxable dividends Mar 29 Dvidend UBS PRIME RESERVES FUND 765.66 SYMBOL UPRXX Total taxable dividends $765.66 Total dividend and interest income $765.66 Die ACRYIy Description *mull (1) Other funds debited Mar I Transfer TO VI 23576 8100 -5,156.46 Mar 13 Transfer TO Y1451703100 -500,000.00 Mar 14 Transfer TO Y1236802100 -16,000.00 Total other fends debited 4521.156A6 Invesbnent transactions rot mare intonation tout the Oat taut shown for restricted secuddes, see important Mformation about your simmer* at the end& this Stirlen' erc<eeds from Puna investment wftlsdrann for Accrued Ole Mthlty DeStIpt:On Ouantlry vti tie (SS Prke 01) transactions (I) invesimentsbar9/4 (S) interest (I) Marl Sold UBS PRUVE RESERVES FUND .0.46o SYMBOL: UPON Marl Sold UBS PRIME RESERVES FUND 4,156.000 5,156.46 SYIMIBOL• UPA)0( Mar 13 Sold URS Pia* RESERVES FUND -500,000.000 500,000.00 SWUM: UPRXX Mar 14 Sold UBS PRIME RESERVES FUND -16,000.000 16,000.00 SYMBOL: UPRXX Mar 29 Reinvestment (AS PRIME RESERVES FUND DIVIDEND 0.660 -066 REINVESTED AT 1.00 NAV ON 0312919 SYM301.: UPRXX Mar 29 Reinvestment UBS PRR/E RESERVES FUND DIVIDEND 765.000 -765.00 REINVESTED AT 1.00 14AV ON 03/2919 SYN1301.: UPRXX Total $521,156.06 -$765.66 CNP703C0005517516NP70C0302199 00002 0319 0305750N Y123575550 I OCIEMY_GM_00023C81596 6 of 6 End of statement for account number Y1 23575 S5 CONFIDENTIAL EFIA_00133625 EFTA01275592  Important information about your statement 165 Financial Sevres K. (the Fames 185 reranCie her keen you co law that 60 days after the Fern capacity. A la copy of he poky weedig is available exam a want and may rot keep pace with Semi:era is a mentor of all pr i-cipal cecvuy, ccenmcday sent you the fat st moment on which the mac or Loon request. inftetim. and omen orchargts. UBS Financial Sonnets and 185 Problem anned. • Moderate VANN to accept some rid to pierces.' ard Bank USA are ndrect sttskaaries of 185 AG and - Prot* war name ad accost number Of any) Reiter the SIPC wireclionnor the supplemental tolerate sane volAiity to seek higher returns. affiliates of UB5 Secukin RC. The F im'sINA& - Describe the error or the Haider you ale innate protection apply to: • Amyrtsar Wiling to accept high risk to prince.' ad Statement is available.upon request. The Firm's excayArq about, and eaplain as diary as you can whyyou • Cairn franca' assets controlled by (and nclided n high voltam to seek highMars over bine. offices aro at: believe a is anmu a new you need mete your atcoura vats) but Mkt 1Why from 185 Financial • instiser7 figny Canso:tenth.): I *Mud. a 'formation. Services. For nrole certain 1.0 insurance ;MOMS. Minion or the po.Moho fa that account my incfide 18$ Feta-kal Services re. - Pronde the dors arnxnt of the suspected era. ntliaang arable aguitts. and 00 shares of mAol complex swages, limited liquidity and cream 1200 'Irby Boulevard funds registered n the rune of the account holder on volatile?. Weehawken. NJ 07086 The Finn or Card Wu.r vol investigate you cavern the books of the Sue or transfer gm(); and MI correct wry *nor prorptU. For alleged errors • kwestment cortexes ce Menem eateersIs (e.g. Statement ehouseholdike This statement represents the only official record of sex moire.; l/B5 14/16.a• debil cad Ira-mach:me if to sake lirnited partnerships and private Placements)hat are We may consolidate al reined account statements with U3S Froncial Sevres account. Other records. erupt more than 10 bus tress days to do this, we winged. not registered under the Securities Act of 1933; the sane address in the urm envelge, e g. because divot ter obornents. contanng centric-tag data should you account la the amount you Ihnk sin took so that • Cronnoditin contracts (e.g. foreign ...charge and they haw owners who also maintain joint account nor be relied won d youberme thee is an era or you yea hive the use of the roomy diem; tie tine it mucus metal contracts), magma futures onads retationshos was otter Norts at the same addcess. If ceninan please report m ironintately n take.; to the tam in to ccrepkte as imastigatien. and commodity option contract, and you prefer to mere idiwdusl statements mailed in Brans Manager of the office nag you account. • Deposit weans Incept certificates of &posh) at WS separate etholOPet. you may decline hotneholdeg by Please make all cheeks payable to the Fern Or the Bak USA, IRS AG U.S. brans sod bats it the calling you Financial Advisor Although alI igxes shown re trended to be accurate, Inmost ententes notated on the front of this FDIC hared Deposit Program. statement data should not be used for lah exposes key staserrent In additien to roan account lees amounts The SIPC protection and the upplemental protection do Friendly Kenn name witty on ye:tend tor. tons. Fern 1099.519& may be %Art to mantonarce fem, charges fir Me not apply to those assets evenif they otherwise appear The Friendly account name is a custemarre *nclourne 1042$. etc when prepang your tat return. The Fan is Payment for securities purchases and charges for urpaid on sae Sidman.. The WC protection ad the chosen by you to assist you withyor rwordleeprig regured by kw to(*poi to the RS altaxable doidends, arcurs n cash accounts. Accounts that are tendered appkenental protection Ai not protect again changes has ro legal effect on your account is not 'ended to reportable neattoable drafalia and taxable interest to other nsteurons may be subject to a Vander fee. n the market vak* of Your investments (kether as a relied any strategy, prodact recoromendaebn, end al slurries held it pit =cent net proceeds mut of motet movement issuer brikruptcy imestment objective or Sc profile associated wett you on sale karnactbre, rd con basis awaken coaxed UBS Sweep Option. otherwise) accounts. and is not a promise or gnaMee that wnbtt sentries- 185 offers metro for rweetag cash balances to bark or any financialresullt Can a will be achieved. All depose accounts at non-noted bats and affiliated Dividend Reinvent& Program (DRIP) inenments invoke the risk of kiss. indudig the risk of Ceankations with the Finn banks and money rani MALI lunch (Money Ftwb). The price reflected is an average price You may obtari loss of the erase irreiStMnIt. You <enchant). your • Please reconfirm any oral cortruneatken i. nag Depose nano at UK Bark USA and mainlined the a& price In your Financial Advisor. Onky Wok Frees./ mecum names throughOnline Stenos a by tofurther protect your rights. inclaing your rgtits barks rank:env in the UBS FDIC-Inured Deposit shares we purchased smite DRIP, partial stunt wallet cantering you F rental Ahem net the Securities mentor Protection Act DEAL Program are FDIC.nsured n accordance wfi FDK rules sold and the cash wit be deposited in yOur account The • If thefinancial institution on the top left of the front Fa Mee &amnion, please vise www fdc.gay. Depose dodged remestment Price sv7Pled bx.. 9se one may Arran overview of this Pined is not UBS Fnmeir Services. U35 amine% at 185 AG Stanford Branch and shoes of defer from the makeraxe al Moth path.' shires • Vabe of pur arcoontborflofo. Net of assets and riuncial Semen caries you Ikttalt as during MoneyFinch are rot insured by the FDK. are sold line es. baker by arrongerner wait to irked Minton • buns Includes ayskable cash balances. values for we itonried you ce the retabontso mben your Bank deposits we not protected by SPC. Money Fug Cadvinilieu opened this account. h the raw you finds and shuts are peeleded by SITC. See U85 F mescal eneces regrind security (ett ). and Global Tim Deposits, Only whok ants maybeMad al your accouff. If you are unrealized mats to &orbit and Certain Mats me held secants re Mated a 1.11$ fnaneol Seven and rot AcCOuril Proterton- below, elated to a part& a& as a result of a cliviand pavane,' the antacigbroker. and youmutt make a feral by the Fim. Don rest nob* unpnced secure enlasiels a othenvire, the Firm MI other sell partial <net at at the end of the prior and current statement Pre ode. or of erg error or amnion to both finis Uralyour repent, balances in the bare depositsmay be mate peke or accept n annum determined by • panne inserters. unrested suck opeitim and • As descebed 'n the account newts, you mat withdrawn. ard shares of a Morey Fed maybe regretted clearig Korey, a-adcredit your account timetable stock options notifyusof any arces or fraud involving checks Ibmidatect and the proceeds retuned to you ryas secures accost • eiatialibes Klass debt I:offences, outstanding margin reflected on axe statement within 30 days after 1 was Inverbnent objectives bra. creole Ink short acorn. balances. milady made available. the emstmere objectives rid risk profile are stroke to • Plowdiva customer compliers or irons to tie Further adrarnatiri about available intro options, • Cash/money balarxm Total of tnimeved available each account and may vay between you acrours. cab balances, plus devout balances at affiliated and rim's< lent Relations Department x 201.352-1699 n cladng eine& ireerest rate, ad yields. 6 nadable at Please advise the Finn proem(' n toiling of any wwwririscorassnapydla, from yea •NIX•liAd•We nakaifihned brill, and money market mutual keg or toll-free at 800.3549103, 8:00 A.M. to 6 AO P.M portant change in yrs financial situation a swag baboon, at the cote of to statement period ET Monday enoughFrclay. or in emtag to UBS or by <ring 800.762.1000 nveserront objectives. Foe each account het, you river.' Sewn re., Chest Relations Depaiment, Nonyorrmodity free molt balancesin you- accost' are Moose nol the (Mowing imestment objectives: notswpgxed from other balances ad the Pim may P.O. Box 766 w.onCiy, NI 07087. UBS Financial Services arrant protection • Piocas• Catena:mom, Inns meets seeking the The Firm is &member of the Starnes Iwestor Protection bensof them binds li the melon came offs • Allneemeres shall be deemed cormlne rod acorn generation of iron cab. bans" These finds are payable Leon your demand. it not objected to in suiting within 60 days. Corporation (MK), nth protects kroner custames • Achira Capital Appreciate.= evestrneros wain of Rs mantes in to $502000 (nckding $250,000 Ice This total is added in the nerved periodclung aka • For TTY meets. Call 8446120986 or from ante goon of peixPal Mkt than the generation of the US.: Cal 201-352-1495 <biro for cash). Eglanatov brochure Rabb* upon Mane. tenting information • has. of aeon or ow-slims about xielectronic ✓emit& or al mew.MC oast The 5IPC asset protection Mies age, to an accounts that you hold in a panoalw • Prodoce Conbinason ofMorn and Capital For deleted Hermeticn on the Ian's lending practices finds transfer (Ern bi pawner or MS Vise debit Apple<iation: Investments seeking both the geremica sd cimbsuers, relic to you Client Relliketshe) cad transactions, call M762-1000. or wee to UBS capocey. The Finn, together with eaten affiliates. hn to of roam andgrowth of Prixital. Agreement cr Account Agiewnem and the Congeal Prance' Services rt., 1000 Harbor Mg, 61h floor, Terms and Conditions. UBS Statement of Credit Practices Weehenten. N.I 07086, AtIn FcMtele8A Semen purchased sorpkmental karate The nwirein amts payable to all eligble clients. collectively under Orem. risk table; available nagaarcena dodtadaMules theprotection is MOO neon as of Deamber 10, 2016. • Conservator Seeks to nointinintal pracieal, with Cal cr write as soul as you can, if you shit you low risk, .n.1vast lily to the want monk even if statement or rece# is vmng a f you need more Subeect to the polky can:Mims and Inaba . ash at the Gins is further protected for up to 11.9 non in the Mal means the account dun not generals significant Motrnalcn tout a (Infer on the statement or reap. The pima Cad bear (as noIrcable) must garnet foe A your accounts held n aparticular SDNY_GM_00023006 CONFIDENTIAL EFTA 00133626 EFTA01275593  Ilnportant information about your statement (Continued) Your assets - For cenan *canes roans n non -conform ng • Est. (estimated) interne, current yields and rates. — We «new <Cenper6tiliell Irons WS 8eic USA, ISS Your statement iterates rearte red other assets held denornriatons, price ad queerly (face .aka) may An to mate of myna! r‘diee n bared on (c.o.,' AG Stamford Branch and nceaff deed barks n the accounl at the end of the Statement reread You have been adjusted to facilitate proper vein+ chided and .merest rain, assailing the sec rnes will tfvoujs our cash weep Fro;raTh may ask for delver of ft* Paid securities al we tire. To obtain orient quotations when mailable. contact be held for one yea- from statement date or until compensation may be ama-Mk per account fee or You may reel,* wattles used as loan Wawa alter you &cahoot Sawa. mataity. The estimate is owe" a guideline, accuracy may be a percentage of natant defy deposit pens any balance de on them. Ark securities and continued noon* are not guaranteed beirves tranorerred to the For ding the icaummt peed are • Private investments and structured r) produces. - Conuted wrath name aid current yield for toed at market value or of the end of the stamen hivate nwstrnent ward*, (IN died certain types of bourne <cold riflede a return of Activity period PankiPalko program and real estate inaernent trust or-clonalor captal sans is which case the en Information regating commissions and other chages • Coe basis. ndetesnnirg the cost basis of the swains) and structured products are generally highly income (rd current yteloi would be overstated. incurred n correction with the exasoion of trades, secants mended in this itaternent, wboe indicated ihanct Ceram south:ad wakes haw not been - Estimated arnual name and curet yeld and the landingoption tram-Atone has been tended on with the number 'I,' keS Fannie Services has relied registered ivith the Socaitin and Exchange atoll income and yield neghe be lave or haler cordimitations previously lionehed so you, ed will be on information dunned from sources otho Manther Carmissen or ado• any state wares laws. We than the *shinned amounts provided to toes promptly on nmast. Pi-aerial Streets. abiding intention from maker provide catenated values for page resumed - An estinate of xnualized income (dividerd aockr Inn or that you ma" have;corded to your Ftharnal stakes and structured products for neirmal crud interest) divided by the current market Short selling kleiser. the Firm does AM almeniesty seedy a purposes only Autrey d not guaranteed valuidaveragr balance a based on the last divdend ll you .e engaged n shat sang a away, puma" guarantee the aCOSaCy or vitality N any OMemotion - These vases may differ abseaneisty Iran peon, it or merest payment made by the issuer and incur a charge Sae to (wan arrow:no costs for that vended by sources other than U3S Financial Setae ay. al which a private' math, rt security of sauna the seoinesidaposes will be hell fee one pan inalarseuricy. In addle++ although LeS Chian Seeds gerseralk structured product may be boc4nt or sold and do yea from the statement date rotund maturity. updates that nikematim as it is received, the fan not recession, represent the vain you may rearm Accuracy and contnued yield ere not guaranteed. Open orders does not von* any entrances dna the informances goon Caddo:on. Regaidng open co • roblitcancelee aders that crcler "Coat b% ad nd "Ureealcod gee loss' is - Third pony *stoats of value re n gai a <actin • Meets net held by WS Financial Services, Certain were not evoned by the seamen date, open buy and accurate as of the date of this statement. As suChc date ad ore supped to UPS Finer it Services on a assets ar e not