EFTA00238586.pdf

II I ' ated report prepared for Ghislaine Maxwell UBS Ind.0 ashiSaying Indiy Check/Car EU_MAX LLC IMIllillennium Ind', IRA Indy ealyasny Portfolio holdings as of April 26, 2017 Summary of Portfolio Holdings Value on Unrealized Unrealized Est. annual Current %of Cost basis (3) 04/26/2017 (S) gainAoss (5) lain/low (%) income (3) yield r%) portfolio A Cash 110,606.99 308,879.96 0.00 0.00% 1,526.70 0.49% 16.35% Cash 110,606.99 308,879.96 0.00 0.00% 1,526.70 0.49% 15.35% B Fixed Income 55,561.85 55,388.85 -173.00 -0.31% 1,019.95 1.84% 2.75% US 55,561.85 55,388.85 -173.00 -0.31% 1,019.95 1.84% 2.75% C Equity 0.00 0.00 0.00 0.00% 0.00 0.00% 0.00% D Commodities 0.00 0.00 0.00 0.00% 0.00 0.00% 0.00% E Non-Traditional 1,550,000.00 1,648,375.00 98,375.00 6.35% 0.00 0.00% 81.90% Non-Traditional 1550,000 00 1.648,375 00 98,375 00 6.35% 0.00 0.00% 81.90% F Other 0.00 0.00 0.00 0.00% 0.00 0.00% 0.00% Total Portfolio $1,716,168.84 $2,012,643.81 $98,202.00 5.72% $2,546.65 0.13% 100% Balanced mutual funds are allocated in the 'Other' category Report created on April 27, 2017 Page 1 n. CONFIDENTIAL UBSTERRAMAR00003207 EFTA00238586  Consolidated report prepared for Ghislaine Maxwell UBS YXXX575 Ind.CasIvSaving WC 70376 IndyCheck/Car YX)C.,680 ELLmAx LiC YxXX776 YXXX697 Indiv IRA YX)0(339 Indiv ealyasny Portfolio holdings - as of April 26, 2017 (continued) Details of portfolio holdings Unrealized % of Unrealized gai Moss Est. annual Current asset % of Cost basis :S. Market value iS. gainAoss income: 5 yield % class portfolio Total Portfolio 91,716,168.84 $2,012,643.81 $98,202.00 5.72% $2,546.65 0.13% 100% 100% Purchase Price on Unrealized price ($11 04/26/2017 Unrealized gainAcea Est. annual Current % of % of Cash Quantity Avg Price :$) Cost basis (5) Market valueif) gainAoss (5) (94) inmate (5) yield (%) Cash portfolio Cash UBS BANK USA BUSINESS 61,541 35 1 .00 1 00 61,541.35 61,541.35 0.00 0.00% 0.00 0 00% 19.92% 3.06% ACCOUNT UBS BANK USA DEPOSIT ACCOUNT 51,649 11 1.00 1.00 51,649.11 51,649.11 0.00 0.00% 0.00 0.00% 16.72% 2.57% UBS PRIME RESERVES FUND 198,272 97 0.00 1 00 0.00 198,272 97 0.00 0.00% 1,526.70 0.77% 64.19% 9.85% Client investment: 50.00 Reinvested dividends: $0.00 Investment return: $198,272 97 .0% USD CASH -2,583.47 1.00 1 00 -2583 47 -2583.47 0.00 0.00% 0.00 0.00% -0.84% -0.13% Total Cash $110,606.99 $308,879.96 $0.00 0.00% $1,526.70 0.49% 100.00% 1535% Total Cash 5110,606.99 1308,879.96 $0.00 0.00% $1,526.70 0.49% 100.00% 1535% Purchase Price on Unrealized % of price (5)/ 04/26/2017 Unrealized gainloss Est. annual Current Fixed % of Fixed Income Quantity Avg Price (5) Cost basis (S) Market value (5) gainfioss (5) (%) inccme(S) yield (%) Income portfolio us DOUBLE LINE TOTAL RETURN FUND 1,693.32 10.63 10.70 18,000.00 18,118.53 118.53 0.66% 672.98 3.71% 32.71% 0.90% INSTL Client investment: 518,000.00 Reinvested dividends: $0.00 Investment return: $118.53 (0.66W JP MORGAN SHORT DURATION 1,779.35 10.99 10.83 19.561.85 19,270.32 -291.53 -1.49% 177.40 0.92% 34.79% 0.96% BOND FUND CLASS I Client investment: $0.00 Reinvested dividends: $19,561.85 Investment retain: $19,270.32 (0%) PUTNAM SHORT DURATION 1,789.26 10.06 10.06 18,000 00 18,000 00 0.00 0.00% 169.57 0.94% 32.50% 0.89% INCOME FUND Y Client investment: 518,000.00 Reinvested dividends: $0.00 Investment return: $0.00 (0%) Report created on: April 27, 2017 Page 2 of 5 CONFIDENTIAL UBSTERRAMAR00003208 EFTA00238587  Consolidated report prepared for Ghislaine Maxwell UBS YX XX575 Ind.CasIV5aving 10( )0(576 inkyCheck/Car •00C/6110 ELLMAXLLC YX XX776 IMIffillenntum YXXX697 Indy IRA YX);(339 indiv Balyasny Portfolio holdings - as of April 26, 2017 (continued) PurchaSe Price on Unrealized % of price IS)/ 04/26/2017 Unrealized gainAoss Est. annual Current Fixed % of Fixed Income Quantity Avg Price ;Si Cost basis ;5 Market value iSl ainAoss 5 (%) income ;Si yield ;%i Income portfolio us Total US $55,561.85 $55,388.85 5-173.00 -0.31% $1,019.95 1.84% 100.00% 2.75% Total Fixed Income 555,561.85 555,388.85 5-173.00 -0.31% $1,019.95 1.84% 100.00% 2.75% Purchase Price on ealized % of price IS)/ 04/26/2017 Unrealized gainAoss Est annual Current Non- % of Non-Traditional Quantity Avg Price (Si Cost basis .5 Market value • S gainAoss ;Si oa income 5 yield WO Traditional portfolio Non-Traditional AlPHAKEYS MILLEN FND 701,077.00 0.93 1.00 650,000.00 701,077.00 51,077.00 786% 0.00 0.00% 42.53% 34.83% BROKERAGE A/003/31/17 ATLAS ENHANCED FUND LP NO 947,298 00 0 95 1 00 900,000 00 947,298 00 47,298.00 5 26% 0.00 0 00% 57 A7% 47.07% 02/28/17 Total Non-Traditional 51,550,000.00 51,648,375.00 598,375.00 6.35% $0.00 0.00% 100.00% 81.90% Total Non-Traditional 51,550,000.00 51,648,375.00 598,375.00 6.35% $0.00 0.00% 100.00% 81.90% Unrealized % of Unrealized gaintloss Est. annual Current asset % of Cost basis Market value ($: qainttoss ;$ t%) income/4) yield dass portfolio Total Portfolio 51,716,168.84 52,012,643.81 $98,202.00 5.72% $2,546.65 0.13% 100% 100% Total accrued interest (included in market values): 50.00 Report created on April 27, 2017 Page 3 ol 7, CONFIDENTIAL UBSTERRAMAR00003209 EFTA00238588  t ips Disclosures applicable to accounts at UBS Financial Services Inc. This section contains important disclosures regarding the were purchased in different lots, the unit price listed unbunde balanced mutual funds is selected and if a information and valuations presented here This retort does not represent the actual cost paid for each lot The fund's holdings data is available, mutual funds wit be Current Yield: Current yield is defined as the estimated presents information since December 31, 2002 This unrealized gaiMoss value is calculated by combining the dassified by the asset class, subclass, and style annual income divided by the total market value report does not include complete account activity or total value of all tax lots plus a minus the total market breakdown of their underlying holdings. Where a performance of your accounts before this date all value of the security mutual fund or ETF contains equity holdings from Credit/Event Risk investments are subject to evert risk information presented is subject to change at any time multiple equity sectors, this report will proportionately and changes in credit quality of the issuer. Issuers can and is provided only as of the date indkated The if you choose to display tax lot level information as allocate the underlying holdings of the fund to those experience economic situations that may have adverse information in this report is fa informational purposes separate ine items on the Portfolio Holdings report, the sectors measured as a percentage of the total fund's effects on the market value of their securities. only and should not be retied upon as the basis of an tax lot information may include information from asset %rake as of the date shown Investment or liquidation decision UBS FS account sources other than U85 FS The Firm does not Interest Rate Risk Bonds are subject to market value statements and official tax documents are the only independently verify or guarantee the accuracy a This information is supplied by Morningstar. Inc on a fluctuations as interest rates rise and fall. If sold prior to official record of your accounts and arena replaced. validity of any information provided by sources other monthly basis to UBS FS based on data supplied by the maturity, the price received fa an issue may be less than amended or superseded by any of the information than UBS FS. As a result this information may not be fund which may not be current Mutual funds change the original purchase price. presented in these reports accurate and is provided for inlamational purposes their portfolio holdings on a regular :often daily: basis. ovity Clients should not rely on this information in Accordnay. any analysis that includes mutual funds may Reinvestment Risk: Since most corporate issues pay UBS FS offers a number of imaistrnent advisory programs mating purchase or sell decisions, for tax purposes or not accurately reflect the current composition of these interest serri annuary. the coupon payments over the life to clients, acting in our capacity as an investment otherwise See your monthly statement for additional finds. If a fund's underlying holding data is not of the bond can have a mayor impact on the bond's total adviser, including fee-based financial planning. information available, it will be classified based on its corresponding return discretionary account management, non-discretionary overall Morningsta classification MI data is as of the vestment advisory programs, and advice on the Pricing: MI securities are priced using the dosing price date indicated in the report Accrued Interest: Interest that has accumulated selection of investment managers and mutual funds reported on the last business day preceding the date of between the most recent payment and the report date offered through our investment advisory programs this report Every reasonable attempt has been made to Equity Style: The Growth, Value and Cae labels are may be reflected in market values for interest bearing When we act as your investment adviser, we will have a accurately price securities, however, we make no determined by Standard and Poor's using a priceto- securities widen agreement with you expressly admowledging warranty with respect to any security's price. Please refer book ratio methodology. The Growth, Value and Core ow investment advisory relationship with you and to the back of the first page of your UBS FS accounts labels are based on how a company's price-to-book ratio Gain/Loss: The gaiMoss information may include describing our obligations to you At the beginning of statement for important information regarding the compares to the median price-to-book ratio for its calculations based upon non-UBS FS cost basis our advisory relationship, we will give you our Form ADV pricing used for certain types of securities, the sources of industry based on the company's assigned Industry nformation. The Frm does not independently verify or brochures: for the program's) you selected that provides pricing data and other qualifications concerning the Sector. If the company's ratio is greater than or equal to guarantee the accuracy or validity of any information detailed information about among other things, the pricing of securities To determine the value of securities the industry median, it is classified as a growth stock. If provided by sources other than UEIS FS. In addition, if advisory services we provide, our fees, our personnel, in your account, vie generally rely on third party the companys ratio is less than the industry median, it is this report contains positions with unavailable cost basis, our other business activities and financial industry quotation services If a price is unavailable or believed to classified as a value stock If a security includes both the gairvioss: for these positions are excluded in the affiliations and conflict between our interests and your be unreliable, we may determine the price in good faith growth and value attributes, it is classified as a core calculation for the GaniLoss) As a result these lithos interests and may use other sources such as the last recorded stock If price-to-book is not available or the industry's may not be accurate and are provided fa informational transaction When securities are held at another median is not available, ff15 item will be Unclassified purposes only C bents should not rely on this Please review the report content carefully and contact custodian a if you hold illiquid or restricted securities for information in making purchase or sell decisions, for tax your Financial Advisor with any questions. which there is no published price, we MI generally rely Equity Capitalization: Market Capitafization is defined purposes or otherwise Rely only on year-end tax forms on the value provided by the custodian or issuer of that as the number of shares outstanding times the market when preparing your tax retum See yore monthly The account listing may or may not inducle al of your security value Equity securities are classified as Lange Cap if they statement for additional information accares with UBS FS. The accounts included in this have a capitalization of 8 billion or above. Securities with report are fisted under the 'Accounts included in this Cat Cash on deposit at UBS Bank USA is protected by capitalization between 1 8 and 7 9 billion are classified review' shows on the first page or listed at the top of the Federal Deposit Insurance Corporation ;FDIC) up to as Mid Cap. Securities with capitalization below 1.79 each page Account changes: At U85, we are committed to 5250,000 in principal and accrued interest per depositor billion are classified as Smal Cap Unclassified securities helpng you work toward your financial goals So that for each ownership type Deposits made in an are those for which no capitalization is available or Portfolio: For purposes of this report 'portfolio' is we may continue providing you with financial advice individual's own name, joint nine, or individual appicalde defined as all of the accounts presented on the cover that is consistent with your investment objectives, please retirement account are each held in a separate type of ownership. Such deposits are not guaranteed by UBS FS. consider the folloning two questions. page or the header of this report and does not Equity Sectors: The Equity sector analysis may include a necessarily include at of the client's accounts held a 1: Have there been any changes to your financial More informations available upon request variety of accounts, each with different investment and UBS FS or elsewhere situation or investment objectives] risk parameters. As a result, the ownwighting or 2: Would you like to implement or modify any Margin: The quantity value may indicate that all or part underweiohting in a particular sector or asset class restrictions regarding the management of your account? Percentage: Portfolio (in the '% Portfolio' cdurnn) of this position is held on margin or held in the short should not be viewed as an isolated factor in making if the answer to either question is 'yes,' it is important includes all holdings held in the accounts) selected account. When an account holds a debit balance, this iwestmenvbquidation decisions. but should be assessed when this report was generated Bread asset dentin the that you contact your Financial Advisor as soon as debit balance is incorporated into the account's total on an account by account basis to determine the overall possible to discuss these changes. For MAC advisory '% broad asset class' column) includes all holdings held market value and deducted from the total value. When impact on the account's portfolio. in that broad asset class in the accounts) selected when Wants, please contact your investment manager calculating the percent of portfolio on each security, the Seedy if you would like to impose or change any this report was generated. percentage will be impacted by the total market value of Classified Equity Classified equities are defined as investment restrictions on your account the account Therefore, if the account's market value is those equities for which the firm can confirm the specific Tax lots: TM report displays security tar lots as either reduced by a debit value of a holding the percent of industry and sector of the underlying equity instrument. ADV disdoeurt A complimentary copy of our current one line item e., lumped tax lots) or as separate tax lot portfolio viii be greater and if the account's market value is increased by a lidding then the percent of Form ADV Disclosure Brochure that describes the level information If you choose to display security tax Estimated Annual Income: The Estimated Annual advisory program and related fees is available through lots as one Ine item. the total cost equals the total value portfolio nil be less ncome is the annualized year to date per share your Financial Advisor. Please contact your Financial of all tar lots. The unit cost is an average of the total dividends paid and multiplied by the quantity of shares Advisor if you have any questions cost divided by the total number of shares. If the shares Mutual fund Asset Allocation: II the option to held in the selected accounts:, Report created on: April 27, 2017 Page 4 of 5 CONFIDENTIAL UBSTERRAMAR00003210 EFTA00238589  UBS Disclosures applicable to accounts at UBS Financial Services Inc. (continued) Important information for former Piper Jaffrey and McDonald Investments clients: As an accommodation to former Piper Jaffrey and McDonald Investments dents. these reports include performance history for their Piper ;affray accounts prior to August 12, 2006 and McDonald Investments accounts prior to February 9. 2007. the date the respective accounts were converted to MS FS 1)85 FS has not independently verified this information nor do we make any representations or warrantes as to the accuracy or completeness of that informaton and will not be liable to you if any such nformaton is unavailable. delayed or inaccurate For insurance, annuities, and 529 Plan,1.165 FS relies on information obtained from Mid party services it believes to be resale. UBS FS does not independently verify or guarantee the accuracy or validity of any information provided by third parties information for insurance, annuities. and 529 Piero that has been prattled by a Mild party service may not reflect the quantity and market value as of the previous business day When wailed& an • a of date is included in the description investors outside the U S ate subject to securities and tax regulations within their applicable jurisdiction that are not addressed in this report Nothing in this report shall be construed to be a solicitation to buy or offer to sell any senility, product or service to any non-U S imestor, nor shall any such security, product or service be sacited, offered or sold in anyjurisdiction inhere such activity mild be =tray to the securities laws or other local laws and regulations or would subject UBS to any registration requirement within such juriscrection UBS FS AI Rights Reserved Member 9K. Report created on April 27, 2017 Page S of 5 CONFIDENTIAL UBSTERRAMAR00003211 EFTA00238590