EFTA01274941.pdf

U85 Financial Services hc SUBS 299 Park Avenue 25th floor Resource Management Account New Yolk NY I 017 1-0032 April 2014 CNP70056E05870414 VI 0 GHISLANE MAXWELL 116 E 65TH STREET NEW YORK NY 10065-7007 Account names GHISIANE MAX WELL Your Kneaded Advisor: SCOTT STACKMAN/LYLE CASRIEL Phone 2 12-821 -7000/800-308-3140 Questions about your statemeat? As a service to you, your portfoto value of Call your Financial Advisor or the Value of your account $4.803,1% 8S hxl tides accrued interest RMA ResourceLine at 800-RMA-I000, on March 31 (3) on April 30 (3) account 029323574 Your assets 0.00 4,803.158 85 %Ask our website: Your liabilities 0 00 000 www.ubscomitirtanciatenaces Value of your account 50.00 54,800,158.85 Accrued interest in value above 30 00 34.55805 Items for your attention . If you use UBS Online Senices, consider changing your User Name and Password regularly to protect your personal data. Not enrolled? Go to Sources of your account growth ubs cornionineseneices Tracking the value of your account during 2014 Value of your account The LrianIS at year end 2013 sow 4.803 7 Net deposits and witdrazzaki $4,802,194.34 Your nvestrnent return Dividend and interest income 312,358.51 Change in value of accrued interest 94568.05 00 Change in market value 418962.05 Ain 2014 Apr 2014 Value of your scant on Apr 30, 2014 $4800.158.85 SDNY GM 00022184 Member SIPC C NP70302009938697 NP7003191 745 00036 0414 030575004 m3574550000000 Page 65 of 08 CONFIDENTIAL EFTA 00132%04 EFTA01274941 SUBS Resource Management Account April 2014 Account name: GHISLAINE MAXWEU. Your Fi Asocial Advisor SCOTT STACK MANLYLE CASRIEL 212-821.7000/800-308-3140 Your account balance sheet The value of your account mclucts assets held a UBS and cenan assets held anai Iran U8S page I fp more idournation. Summary of your assets Value on Percentage of April 30(1) your account A Cash and money balances 19,623.53 041% yo Cash and money balances may Mdude rent asset allocation available cash balances, UBS Bank LISA deposit B Cash alternatives 3,112,209.61 64.83% account balances, UBS AG Stamford Branch deposit account balances and money market C Equities 463,909.58 9.67% mutual fund sweep balances See the Important information about your statement on the tast D Fixed income 1,142,954.55 23.81% two pages of this statement for details about those balances E Non-traditional 0.00 0.00% F Commodities 23,601.80 0.49% 0 Other 37,859.78 0.79% Total assets $4,800,158.85 100.00% Value of your account 34,800,158.85 Eye on the markets Percentage change Index Apr,' 2014 Year to date S&P 500 0.74% 2.56% Russell 3000 0.12% 2.10% MSC] - Europe, Australia & Far East 1.53% 2.31% Barclays Capital U.S. Aggregate Bond Index 0.84% 2.70% Interest rates on April 30, 2014 3-month Treasury bills: 0.02% One-month LIBOR: 0.15% CNP X0000%88688 NP70C0 9I 745 CCM 0414 030579004 yi 23574550 03fOlyott 000 66 of 98 CONFIDENTIAL EFTA 00132805 EFTA01274942  • I MA • U._ Your PIsandal Advisor: Resource Management Account *CBS SCOTT STACKMANLYLE CASRiEL 212-821-70001800-308-3140 Change in the value of your account Summary of gains and losses Values reported below exclude product for which gam and losses are not classified. April 2014 ($1 Year to date IS) Realized gains and losses Unrealized Opening account value $0.00 $0.00 April 2014 (5) Year to date ($) gains and bsses IS) Deposits, including investments transferred in 4,802,194.34 4,802,194.34 Short term Goo 0.00 I 8,735 60 Dividend and interest income 12,358.51 12,358.51 Long term 0.00 0.00 19,260 68 Change in value of accrued Total $0.00 $0.00 $37,996.28 interest 4,568.05 4,568.05 Change in market value -18,962.05 -18,962.05 Cash activity summary Closing account value $4,800,158.85 $4,800,158.85 See Account .064ythis month for details. Balances in your Sweep Options are inducedin the cpenng and closing balances vain. FDIC insurance cpsees only to deposit a UPS Bank USA, not todes:crab at US$ AG, Stamford Branch or bank deposits placed throult the UBS International Depose Account program SIPC Dividend and interest income earned protection *pits lo money man.' sweep hod holdings but rot bank cupolas. Seeimportant Mlonnedon about your statement an the last two pages of this document for &teas. For purposes of tits ststenwrit, taabity of interest and dhdena income ha been determined Fran a US April 2014(5) Year to date IS) Ian reporting Perspective. Based upon the residence of the account holder, account type, or product type, Opening balances $0.00 $0.00 some interest andor deiClend payments may not be sublets to United Slates (US) and, Puerto Rico (PR) income taxes. The dent monthly statement is not intended to to used and cannot be reied upon fa tar purposes. Clients should refer to the appetite tar reporting fours they teethe tram UBS annualy, such as Addibons the Forms 1099 and the Forms 480, for tat reporting iMormatrow n IS the priXACe of UBS to file Itit Deposits and other funds credited 3,119,473.63 3,119,473.63 appricade far reporting forms vAth the us internal Revenue SeMce and PR Treasury Department, and in such rooms accurately classify cludenct ardor interest a ten exempt or towable income. Please consult your Dividend .and interest income 12,358.51 12,358.51 IndWdual tar prepanr. Total additions $3,131,832.14 $3,131,832.14 April 2014 (1) Year to date ft) Subtractions Taxable dividends 61.63 61.63 Funds withdrawn for investments Taxable interest 12,2% 88 12,296.88 bought -3,112,208.61 -3,112,208.61 Total current year $12,358.51 $12,358.51 Total subtractions -$3,112,208.61 -$3,112,208.61 Total dividend & interest $12,358.51 $12,358.51 Nat cash flow $19,623.53 $19,623.53 Closing balances $19,623.53 $19,623.53 SONY GM 00022188 CW70009005668689 NP7000191 745 00006 0414 030575004 Y123574S50 COODOD Page 67 of 98 CONFIDENTIAL EFTA [10132806 EFTA01274943 SUBS Resource Management Account April 2014 Account name: HIM.AINE MAXWFLL Your financial Advisor: SCOTT STACK mat LYLE CASRIEL 212-821.7000/800-308-3140 Your investment objectives: You have identified the following imestrnent objectives for this account If you have questions about these objectives, disagree with them, or wish to change them, please contact your Fnancial Advisor or Branch Manager You can find a full description of the alternative investment objectives in important inkemation about your statement at the end of this document Your return objective: Current inccene & capital appreciation Your risk profile: onmary - Moderate Investment &lcbitty consideration • None selected Your account instructions • Your account cost basis default closing method is FIFO, First In, First Out CNP7C0C9005688690 NP70C0I9I 745 00C06 NM 030575004 yi23574$50C0MINYGMGooSitt 68 of 98 CONFIDENTIAL EFTA 00132807 EFTA01274944  Resource Management Account Account name: GHISLAINE MAXWELL Your Nnandri Advisor: *UBS April 2014 SCOTT STACKMANLYLE CASRIEL 212821-70001800-308-3140 Your assets Sane paces, income and current vanes ShOnn may be approximate. AS a fella, gala and IOUSMai not be acurately reflected. See Important mlonnabon about your statement a the end ol this dxurrent for more informaeon Cash Cash and money balances Cash and money balances may include avalable cash balances. UBS Bar* USA deposit acount Warren. UBS AG Stanford Branch deposit account baances and money market mut ua fund sweep baiances UBS Bank USA deposit accounl balances are insured by the FDIC Winn applicable limits, bul are not potected by 9PC MS AG Stanford Brow h derovt Account Wines we not insured by FDIC and age not voltaic' by SIPC Money market sweep balances are protected by WC but ere not insured by the FDIC. Set the frneorrant information about your statement at the end of this document for details about those balances. Openngbdance Closing Wane Pnce per Mace Average Drildenl interest Dar in Hddng on Apr 1 (1) en Apr 30 IS) on Apr 30 (1) rate period period Cop mount (1) Cash 0.00 4,921 88 LIBS BANK USA CEP ACCT 000 14,701 65 250.000 00 Total $0.00 819,623.53 Cash alternatives Money market funds Monty market funds are neither insured for guaranteed ty the Federal Deposit Insurance Commotion or any other gorenerrotnt agency though money market funds Seek to deserve the value c4 your imestment at 51.00 per share, it is possible to lose money by Infesting in these funds. Tatar reinvested o the tors dal reinvested dydends n does nos include any cash dedencts, is is not a is unrealized(taxigan or loss is the difference between she current yaw' and the con basis and wood lot for the purposes of determining NOro periods or cost basis. The shares you receive exh Imo you generely0e your farad e pan or loss if the security was sold on this date. The unrealized (UN) pan or JOS, may reinvest d vdenck become a separate tax lot. need to be acLusted for ret sin of capita parreMs in order to de-4,nnine the retied gain or loss for tax Cost bass o the total purchase cost of the security, inducing reinvesteddin:lends The cost basis may rePriaine purposes. need to be alusted for return cf capital payments in order to dettonne the °dusted cost basis for tar Investment return Attie current value mint the non: you invested ft does not include shares that are not reporting purposes reneged on your statement, inducing shares that haw been realized as either a gan a a loss. t aso does not include cash dvichnds that were nor: reinvested. Purchase price/ Number Average price Client Cost Pr'« per share Value on Unrealized InsesOnent Hdring mddng of oats per flee (S) Investments) oasis (1) on Apr 30 (5) Ape X (Si On or loss en return IS) ',Med JP MORGAN NEW YORK MUNICIPAL MONEY MARKET FUND MORGAN 1.0000 --This information was unavailable— 1.000 1.00 continued next page SDNY GM 00022188 CHM:007005688691 NP700319174500036 0414 030575004 Y123574550000000 Page 69 of 98 CONFIDENTIAL EFTA_00132808 EFTA01274945 *UBS Resource Management Account Ann( 1.: Account name: GHISLAINE MAXWELL Your Anandal Advisor: SCOTT STACK MANYLYLE CASRIEL 212.821.7000f800-308.3140 Your assets Cash alternatives Money market funds (Continued) Furctrera pilfer sorter Average price Chem Colt Price per share Value on Unrealized Investment Hddng Hddng sr stuns per shoe (S) Ir....timers+ (S) basis (S) on 4/x 30(1) Apo 30 (S) On De IOU (i) Mum (1) peeled Symbol. VNI, AA UBS SELECT PRIME INSTITUTIONAL FUND 3,112,208.610 1.000 3,112,20861 3,112208.61 1.000 3,112,208 61 EAI: $934 Current yield 0.03% Total $3,112,208.61 $3,112208.61 $3,112,209.61 80.00 Total estimated annual income: $934 Equities Common stock Purchase pdcd Trade Hurter Average Dice Price per share Vaue on Urodized Hddng Wiring date of shares per share ($) COSI NOS (S) on Apr 30(0 A0(3041 gain or loss CH period APACHE CORP Symbol. ADA Exchange: NYSE EAI: $95 Current yield: 1.15% May 17, II 30.000 119289 3,578.67 86.800 2,604.00 -974.67 LT lun21,11 32.000 117.744 3,767.83 86.800 2,777.60 -990.23 LT Aug 2, 11 33.000 122.933 1,056.80 86.800 2,864.40 -1,192.40 LT Security total 95.000 120.035 11,40330 8246.00 -3,157.30 SAW OF AMER CORP Symbol: MC Exchange: NYSE (Al; 138 Current yield: 0.27% May 17, 11 303.000 11.860 3,593.84 15.140 4,587.42 993.58 LT lun21,11 313.000 10.670 3,339.86 15.140 4,738.82 1,39695 LT Aug 2,11 328.000 9.802 3215.15 15.140 4,96592 1,750.77 LT Security total 944.000 10.751 10,148.85 14,292.16 4,143.31 CMGROUP INC Symbol: C Exchange. NYSE EAI: $14 CuiTent yield: 0.08% May 17, 11 115.000 41249 4,743.71 47.910 5,509.65 765.94 LT Jun 21, 11 121.000 38.285 4,632.57 47.910 5,797.11 1,164.54 LT Aug 2, 11 l22.0O3 38297 4,672.24 47.910 5,845.02 1,172.78 LT Security total 358.000 39242 14,04852 17,151.78 3,103.26 continuednext page CNP70303005668692NP700019174500006 0414 C00575001 Y12357455000Mliy_GM00022109 70 of 98 CONFIDENTIAL EFTA_00112809 EFTA01274946  Account name: GHISLAINE MAXWELL Resource Management Account Your /I sandal Advisor: SUBS [ SCOTT STACKMANLYLE CASRIEL 212-821-70001800-308-3140 Your assets . Equities . Common stock (continued) ', ochre vice ifJO writer Average prke Price per share value on uneedIzed Hold ng Wiring dui( of shares per share (S) Cost bast, (1) on Apr 30 di Apr 30 (Si gain or loss (t) period GENERAL MOTORS CO Symbol: GM Exchange: NYSE (Al: 41,648 Current yield: 3.48% Nov 18. 10 1373.000 36 416 50,00000 34.480 47,34104 -2,658.96 LT GERON CORP Symbol. GERN Exchange OTC Nov29, 10 LOCO 000 5.709 5,709 32 1.980 1,98000 -3,729.32 LT Dec 6, 10 2.000 000 6 210 12,420 00 1.980 3,960 00 -8,460.00 LT Security Iota( 3,000 000 6 043 18,129 32 5,940 00 .12,189.32 SCHLLIMRERGER LTD NETHERLANDS ANTILLES Symbol SLEt Exchange. NYSE EAT 4181 Current yield 1 58% May 17, 11 37.000 81 270 3,037 00 101.550 3,757.35 750.35 LT lure 21, 11 40.000 82 436 3,297 45 101.550 4,062 00 764.55 LT Aug 2,11 36.003 89 433 3,219 59 101.550 3,655.80 436.21 LT Security total 113.003 84284 9,524.04 11,475.15 1,951.11 TWITTER INC Symbol 1TNTR Exchange' NYSE Nov 7, 13 2,000 CO3 45 160 90320 00 38.970 77,9.10 00 -12,380.00 51 Total 1,203,574.03 1182,385.13 -121,187.90 Total estimated annual income: $1,976 Closed end funds & Exchange traded products Total reinvested is the tota d at reinvested dvsdends n does rot include any cash dvide rods. n is not a tat Unrealized (tar) gain or loss is the dfference between the current value and t re cost bads aid would lot for the purposes of determining holdrg periods or cost basis. The shares you receive each hire you genera/ be your tatatle gain a loss lithe sec win was sdd co this date. The unrealized0093nd* loss reinvest d %idea ber(Orne a separate tax at. may need to be 1/gusted for return of <VW Parments in order to dere rmine tree reszed gain or Ices lot tax Cost basis is the :015 purchase cost of the security. indudng ronvestedthdends The cost basis may need (twang purposes. to be &lustedIv return ot captal payments in order to determine the a:lustedcowl ban for tat reporting investment COM is the current value sinus the arnOunt yOU Err...este° R does not incruoe shares that are not imposes. selected on your statement, includngsteres that hait teen reenZedaS timer on era loss It also OUts not include cash dodends that were not gel weStect Purchase Circe( Number Avelace ctKe Client Cost PrKe Der Share Value on unrealized (tad rorrestrnent Hddng Hddng of SAMPS per shares) investment oasis cn Apt 30(1) Apr 30 (1) gain or losS ($) return ($) Mired SPC42 S&P SCO E TF TR Symbol: SPY Trade date: 1u112, 13 1.495.000 167.496 250,407.85 250.407.85 188.310 281523.45 31,115.60 31.11860 ST EAL 45,206 Current yield. 1.85% SDNY GM 00022190 CNP7C00;005688693NPT0o3t9i 745 0003S 0414 030575004 Y123574%00000:0 Page 71 of 98 CONFIDENTIAL EFTA 00132810 EFTA01274947 sUBS Resource Management Account April 2014 Account name: GHISLAINE MAXWELL Your It sandal Advisor: SCOTT STACK MAIILYLE CASRIEL 212-821.7000/ 800-308-3140 Your assets (continued) Reed income Corporate bonds and notes Plitt: are obtaned born indent ',cavil quaint:op butea's that we ccoputeteed valuation formulas to automatically aciusted for anoneaton of bond premum using I he constant yield method If you have felt Sate current values Actual market watts may vary and thus gal nsllosses may not be accurately made a tax election to deduct the premium anceliration on tanazde debt UKunits, you may request U9S reflected. Cost basis has been actuved for accreted original issue clscount (OlD). Cost basis has been adult cost bails fa the tend premium emendation. Trade Taal face slue Purchase Aclusted Price On Witte on Unrealized Hdong Hddng date at maturity (I) once (3) cost OOPS (S) AP( 3001 Apt 30(S) gen of loss (3) period HSBC FIN CORP NTS WE RATE 02.900% MATURES 1011915 ACCRUED INTEREST 312083 CUSIP 40429XYB6 Moody- Baal S&P A EAI: 32,900 Current yield: 2.84% Oct 12, 10 100,000.000 100000 100,000.00 102.769 102,169 00 2,16900 LT GENT ELEC CPTL CORP ADS RATE MATURES05111/16 CUSIP 3696262 VS Moody Al 5&P AA+ EAS 4217 Current yield 043% 50,000000 ---This information was unavailable— 99.965 49,992 50 BMX OF AMER INTERNOTES NTS WE RATE 03.600% MATURES 1111916 ACCRUED INTEREST $2,475 00 CUSIP 06050WDW2 Moody. Baal S&P A- EAI: 15,400 Current yield. 3.49to Nov 01, 10 150,000.000 103.000 150,000.00 103.112 154,668.00 4,668.00 LT P MORGAN CHASE & CO NTS WE RATE 07.900% MATURES 0429'49 CUSIP 46625HHA I Moody Bal S&P: BBB EAU 111,850 Current yield: 6.99% 150,000.000 ---This information was Unavailable- 113.000 169,500 00 Total MS0,000.000 5250,000.00 5476,31950 56,83700 Total accrued interest 52.595.83 Total estimated annual income: $20,367 CNP7C00900SE88694 klk7rXelel745 00006 0414 030575004 V12357455000alliyGht000Sliff 72 of 98 CONFIDENTIAL EFTA 00132811 EFTA01274948  Resource Management Account Account name: GHISLAINE MAXWELL Your Finandel Advisor: *UBS ir.1,C11 SCOTT STACK PAAN, LYLE CASRIEL 212-821-70001800-308-3140 Your assets e Fixed income (continueel) Municipal securities Psicr-xe cbtancd trom Inckrenden1 quotabon tusedis that Lee ccerputettzed vel uatIon formules to dscount ror seostIkt essued d a cscount. whe n ong 'cel [Leus n &gard, amottadon hm teen cals Watt cLatent ydues Ad ual ~Let vetes m very slo taus gainglosses roeit not be accucately <koe uting Ih (ons!~ yell met hod. otherm se amoniration KEK been done vurig Ine straight Ine reflected Cosi basis bas been autaretcaly Øusledfor mandstoiy am:nl:ani:n of bord prerriurn on methcd coupon tasseserrpt muntgal sec udies ming the constant ?iels' rretbod and lor acc teled ccigOd issue TWp kor face vá ue Puicnase Alusted Mee on Vak* on Unrealized HdCrng Hching Ode d ~tom (0 pnce(S) celt buis 40 30(S) apr 30 Ui gen ot loss (1) penod MICHIGAN MUN 80 AUTH RV BE/Ri RATE 05.000% MATURES 10r01/26 CALLABIE 10/011169100.00 ACCRUEO INTEREST 1201.39 NAP 59455TPE3 Moody- Paa SW: AAA EAI: 12,500 Current yield 4.57% Original tost basis 155.424.00 Nov 22, 11 50,000000 105.565 52,782.53 109.501 54,750.50 1,967.97 LT E1RDVILLE TEX ISD UT-07 BLO REF-07 PSA &VR/ RATE 05.000% MATURES 0711929 CALLABLE 02/15/17 0 100.00 ACCRUEO INTEREST 11,04167 CUSIP 090874FV5 Moody Aaa SB.P. AAA EAI: 15,000 Current yield 4.55% Original tost basis 1110,503.00 Nov 14, 11 100,000 000 105 766 105,766.77 109.900 109,900.00 4,133 23 LT MASSACHUSETTS ST H,TH & EDL FACS AU RV 8 EIE /121' RATE 05.000% MATURES 0711932 CA LLABLE 07/15/15 O 103.00 ACCRUEO INTEREST 1729.16 CU9P 57586CFW0 Moody Aaa S&P: AAA CAI: 12.500 arrent yield- 4 76% Original tost basis 154.040.00 Nov 22, 11 50,000.009 102 755 51,377 56 105.117 52,55830 1,180.94 LT Total $200,000.000 $209.926.86 $217.209.00 $7.2$2.14 Total accrued internt $1.97222 Total estimated annual inoome: $10,000 SDNY GM 00022192 CW7030305688695 W7003191745 00036 0414 030575004 YI 23574550 000000 Page 73 of 98 CONFIDENTIAL EFTA_00132812 EFTA01274949 4tUBS Resource Management Account April 2014 Account name: GNISLAINE MAXWELL Your Komodo! Advisor. SCOTT STACK MANLYLE CASRIEL 212.821.7000l800308 3140 Your assets a Fixed income (continued) Preferred securities Train lansiner Pun boo pine Price per dare Vane on Unrealized Hddng Hddng dd. of atom per :hr. (S) Cott bars (I) cn Apr 30 (Si Acs 30(S) gan Of IOU period OTIGROUP CAPITAL XII FXDFLT TRUST PFD 7.875% DUE 10130/2040 Symbol: C.PRN Exhange: NYSE EAI: 319,690 Current yield: 7.22% Oct 4, 10 10,000.000 26130 261,300 00 27.760 272,600 00 11,300.00 LT COUNTRYWIDE CAP V 7.000% CUE 1110I/36CAUABLE Symbol CFC.PR8 Exchange: NYSE EAI: 17,350 Current yield: 6.87% Oct 26, 10 4,200000 23.518 98,77896 25.490 louse Do 8,279.04 LT JPMORGAN CHASE OP XXV 6 700% WE 04102/40 Symbol: .IPM.PRC Exchange: NYSE EAI: $4,188 Current yield: 6.42% Mar 25, I 0 2,500.000 25.030 62,500.00 26.080 65200 00 2,700 00 LT Total $422,578.96 6444,858.00 622.279.04 Total estimated annual income: 631,228 Commodities Closed end funds & Exc