EFTA01597055.pdf

Signature Page Summary Ghislaine Maxwell Account Number and Description Signature Requirement RMA Domestic - Sole Owner a_ Client Relationship Agreement RMA Domestic - Sole Owner a Client Relationship Agreement RMA Domestic - Sole Owner a Client Relationship Agreement RMA Domestic - Sole Owner a Client Relationship Agreement RMA Domestic - Sole Owner a Client Relationship Agreement RMA Domestic - Sole Owner al Client Relationship Agreement RMA Domestic - Sole Owner a Client Relationship Agreement RMA Domestic - Sole Owner al Client Relationship Agreement RMA Domestic - Sole Owner al Client Relationship Agreement RMA Domestic - Sole Owner al Client Relationship Agreement LC 1.0- S l60£8E6 de 0177 2386 4771 02/12i2014 SONY_GM_00009365 Package ID. 0093830915 CONFIDENTIAL EFTA01597055 Intentionally Left Blank CONFIDENTIAL ""--- EFTA01597056  U0! eW101111 lualij Client Information Ghislaine Maxwell Personal Information U.S. Federallaw requires us Name Ghislaine Maxwell ro obtain, verify andrecord information that identifies Citizenship United States each person or entity Gender Female rhar opens an Amount with us. When you open an Date of Birth Account. we w0I ask for your name, 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 drivers Fame or other Contact Information documents that walr a/lbw Residential Address us to identify you. City, State, Zip Code Please review and verify al of rhe information that you Home Phone provided ro us when you E-mail Address opened your Account. If you have changes. corrections or ackGrions, notify your Financial Advisor Employment Information as soon as possible. Employment Status Employed If you share assets with Occupation Other another person, rhe net worth figure here shows Occupation Industry Other your portion only, based Employer Name The TerraMar Project upon instructions you provided. Business Address InvesenentInfrematimr City, State, Zip Code This section reflects answers you providedrelated to your investment experience. Net Worth Information market kncnvledge and Annual Income Range from $200,000 - $499,999 other assets and is used to ensure our investment Liquid Assets (cash and marketable securities) Range from $10,000,000 AND ABOVE recommendations are suitable for your situation. Net Worth (excluding primary residence) Range from $10,000,000 AND ABOVE 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 Bonds None Futures None - MN Options-Buy None Options-Sell None Knowledge of investments You have indicated you are an experienced investor 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. SDb Y_GM_00009367 CON H.DENTIAL 3 EFTA01597057 U011eWl0jUI wagJ uogeuimjui wags You have indicated that you are not a control person (Policy-maker, director or 10% shareholder) of a publicly traded corporation. SONY_GM_00009368 4 CONFIDENTIAL 4 EFTA01597058  Account Information RMA Domestic Sole Owner Your Account Please review the inkmarion Account Number about each of your accounts and notify your Financial Account Title Ghislaine Maxwell Advisor immeoatey if you have any changes or Account Address conwrions. City, State zip Fo✓ more information, please refer to the UBS Deposit Cards and Checks for this account, if requested, will Account Sweep Prog✓am be mailed to this address: ii Disclosure Statement. Primary Account Holder Ghislaine Maxwell Please note the account risk profile and investment UBS will not disclose your name, address and security of:sect:it below are specific only Disclosure of Beneficial Ownership position to issuers of any securities held in your to this account. other accounts Account. may have thffereot account risk S profiles and investment Yes otKctives. Margin a your Account Risk Profile for You have agreed that the Margin Agreement in the Completing Your Account Opening Process this particular account is defined package governs your use of margin in this account and all other accounts you have now or any as: accounts that you may open in the future. As described in the Margin Agreement, certain securities Aggressive. Wilting to accept high risk to principal andhigh in your Account may be loaned to UBS or to other persons or entities. voLitibry to seek high returns over time. Cost Basis Method First In,First Out Different accounts may have different risk profiles features and Services Your Investment Objective Produce a Combination of Checking Premier- RMA / BSA Income and Capital Appreciation Mrestmenrs VISA Credit (W/Rewards points) seeking both the generation of income and growth ofprincipal Account Objectives and Risk Profile A senior political official is defined as a President or Vice President Cabinet Member, Account Risk Profile Aggressive/Speculative Supreme Court Justice, Your answers to our profiling questions: member of the Saint Chiefs Risk Tolerance High Risk Staff, Member of Congress or a Parliament Chairperson. Produce a combination of income and capital ■ Head o✓ Senior Leader of a Investment Objective appreciation major religious organization, or the eke. Risk/Return Objectives Higher Fluctuations, Higher Returns Investment Time Horizon Longer than 10 years (through several market cycles) Short-Term Liquidity Needs No Sweep Account Election a Primary Sweep Fund UBS BANK USA DEPOSIT ACCOUNT a Sweep Cap Election Yes 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. Source of Funds in the Account You have indicated the following as the source of funds for this account: Other Income Source transfer SDNY_GM_00009369 5 CONFIDENTIAL 5 EFTA01597059  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 U UBS Credit Card Profile (With Rewards points) Applicant GHISLAINE MAXWELL UBS Card Program UBS Visa Signature Credit Card U Card Security Contact Phone Number (Applicant) U SDNY_GM_00009370 6 CONFIDENTIAL 6 EFTA01597060 lUrIODN RMA Domestic Sole Owner Your Account Please review the information Account Number about each of your accounts and notify your Financial Account Title Ghislaine Maxwell Advisor immediately if jou have any changes or Account Address corrections. City, State zip For more information, :Awe refer to the UBS Deposit Cards and Checks for this account, if requested, will Account Sweep Program be mailed to this address: ii Disclosure Statement. Primary Account Holder Ghislaine Maxwell Massenote the account ask profile and investment UBS will not disclose your name, address and security otsectwe below are specific one, Disclosure of Beneficial Ownership position to issuers of any securities held in your to this account other accounts Account. may have &Herein account risk profiles and investment Margin No • atrdwes. Your Account Risk Profile for If you did not choose Margin when you opened this account, you may ask to establish margin by this particular account is defined contacting your Financial Advisor. You agree that the Margin Agreement in the Completing Your as: Account Opening Process package will govern your use of margin in this account and all other Moderate Wiling to accept some risk to principal and tolerate accounts you have now or may open in the future. some volatility to seek higher returns. Cost Basis Method First in,First Different accounts may have different risk profiles Features and Services Your Investment Objective Produce a Combination of Premier- RMA / BSA Income and Capital Appreciation knostmems seeking both the generation of Account Obiectives and Risk Profile income and growth ofprincipal. In accounts with conservative Account Risk Profile Moderate or moderate ask profiles, Your answers to our profiling questions: investment eligibility considerations help us Risk Tolerance Moderately High Risk identify whether you maybe eligibk, to invest in certain Produce a combination of income and capital Investment Objective appreciation higher risk securities as a portion of your portfolio. Risk/Return Objectives Moderate Fluctuations, Moderate Returns These investments offer additional diversification. Investment Time Horizon 7 - 10 years a A seniorpolitical official is Short-Term Liquidity Needs Yes a defined as a President or Vice Preside% Gibbet Member, Sweep Account Election Supreme Court Justice Primary Sweep Fund UBS BANK USA DEPOSIT ACCOUNT member of the Saint Chiefs Staff, Member of Congress or Sweep Cap Election Yes - §111 a Parliament, Chairperson. Head o✓ Senior Leader of a Cap Amount $250000.00 S major religious organiation, Secondary Sweep Fund UBS AG DEPOSIT ACCOUNT or the like. 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. Source of Funds in the Account You have indicated the following as the source of funds for this account: Other Income Source transfer SONY G11_00009371 7 CONFIDENTIAL 7 EFTA01597061  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. II E-mail Address IMI SDNY_GM_00009372 8 CONFIDENTIAL 8 EFTA01597062 O S RMA Domestic Sole Owner Your Account Please review rhe inkmarion Account Number about each of your accounts and notify your Financial Account Title Ghislaine Maxwell Advisor immediately if jou have any changes or Account Address corrections. City, State zip For more information, At"ase refer to the UBS Deposit Cards and Checks for this account, if requested, will Account Sweep Prog✓am be mailed to this address: ii Disclosure Statement. Primary Account Holder Ghislaine Maxwell Masse note: the account ask profile and investment UBS will not disclose your name, address and security otsective below are specific one, Disclosure of Beneficial Ownership position to issuers of any securities held in your to this account: other accounts Account. may have different account risk S profiles and invesnnent Margin No • otrceves. your Account Risk Profile for If you did not choose Margin when you opened this account, you may ask to establish margin by this particular accounr is defined contacting your Financial Advisor. You agree that the Margin Agreement in the Completing Your as: Account Opening Process package will govern your use of margin in this account and all other Moderate Wiling to accept some risk to pfincipal and tolerate accounts you have now or may open in the future. some volatility to seek higher returns. Cost Basis Method First In,First Out Different accounts may have different risk profiles Features and Services Your Investment Objective rF Produce a Combination of Premier- RMA / BSA Income and Capital Appreciation Mrestmenrs seeking both the generation of Account Obiectives and Risk Profile income and growth ofprincipal. In accounts with conservative Account Risk Profile Moderate or moderate risk profiles, Your answers to our motility questions: investment eligibility considerations help us Risk Tolerance Moderately High Risk identify vyhether you maybe eligibk to imps: in certain Produce a combination of income and capital Investment Objective appreciation higher. risk securities as a portion of your porrfobb. Risk/Return Objectives Higher Fluctuations, Higher Returns These investments offer additional &versification. Investment Time Horizon 7 - 10 years A senior political official is Short-Term Liquidity Needs No defined as a President or Vice President Cabinet Member, Sweep Account Election Supreme Cover Juvice, Primary Sweep Fund UBS BANK USA DEPOSIT ACCOUNT member of rhe Joint Chiefs Staff, Member of Congress or Sweep Cap Election Yes a Parliament, Chairperson. Meador Senior Leader of a Cap Amount $250000.00 S major religious organiation, Secondary Sweep Fund UBS AG DEPOSIT ACCOUNT or the eke. 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. Source of Funds in the Account You have indicated the following as the source of funds for this account: Other Income Source transfer SONY G11_00009373 9 CONFIDENTIAL 9 EFTA01597063  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. II E-mail Address IMI SDNY_GM_00009374 10 CONFIDENTIAL 10 EFTA01597064 k O C 5 R RMA Domestic Sole Owner Your Account Please review the inkmarion Account Number about each of your accounts and notify your Financial Account Title Ghislaine Maxwell Advisor immediately if jou have any changes or Account Address corrections. City, State zip For more information, lat'ese refer to the UBS Deposit Cards and Checks for this account, if requested, will Account Sweep Program be mailed to this address: ii Disclosure Statement. Primary Account Holder Ghislaine Maxwell Massenote the account risk profile and thestment UBS will not disclose your name, address and security objective below are specific one, Disclosure of Beneficial Ownership position to issuers of any securities held in your to this account other accounts Account. may have different account risk profiles and investment Margin No objectives. Your Account Risk Profile for If you did not choose Margin when you opened this account, you may ask to establish margin by this particular account is defined contacting your Financial Advisor. You agree that the Margin Agreement in the Completing Your as. Account Opening Process package will govern your use of margin in this account and all other Moderate: Willing to accept some ask to principal and tolerate accounts you have now or may open in the future. some volatility to seek higher returns. Cost Basis Method First In,First Out Different accounts may have different r Features and Services Your Investment Objective Produce a Combination of Premier- RMA / BSA Income and Capital Appreciation. investments seeking both the generation of Account Obiectives and Risk Profile income and growth ofprincipal. In accounts with conservative Account Risk Profile Moderate or moderate risk profiles, Your answers to our profiling questions: investment eligibility considerations help us Risk Tolerance Moderately High Risk identify whether you maybe eligibk to invest in certain Produce a combination of income and capital Investment Objective appreciation higher risk securities as a portion of your portfolio. Risk/Return Objectives Moderate Fluctuations, Moderate Returns These investments offer —1 10 additional diversification. Investment Time Horizon 7 - 10 years a Short-Term Liquidity Needs No a A senior political official is defined as a President or Vice President Cabinet Member, Sweep Account Election Supreme Court Justke, Primary Sweep Fund UBS BANK USA DEPOSIT ACCOUNT member of the Saint Chiefs Staff, Member of Congress or Sweep Cap Election Yes a Parliament, Chairperson. Head or Senior Leader of a Cap Amount $250000.00 S major religious organb•ation, Secondary Sweep Fund UBS AG DEPOSIT ACCOUNT or the like. 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. Source of Funds in the Account You have indicated the following as the source of funds for this account: Other Income Source transfer SDNY_GM_00009375 11 CONFIDENTIAL 11 EFTA01597065  Electronic Delivery Features Electronic Delivery of Shareholder Communications: You have elected to receive shareholder communications