EFTA01273644.pdf

UBS UBS Financial Services Inc 299 Park Avenue 25th Floor UBS Strategic Advisor New York NY 10171.0002 October 2015 CNP7005725249 tar 5 Y1 0 GHISLAINE MAXWELL 116 E 65TH STREET NEW YORK NY 10065.7007 Account name: GHISLAINE MAXVVEll. Friendly account name: Incliv Account number: SEM Your Financial Advisor: Questions about your statement? Value of your account on September 30 (1) on October 30 (1) YOur assets 1,332,724.47 I ,413,893.34 Visit our website: Your liabilities 0.00 0.00 Value of your account 51,332,724.47 31,413,893.34 Sources of your account growth Tracking the value of your account during 2015 VA* of your account S Thousands at year end 2014 41,721,172.36 Net deposits and 1.7212 v4thdrarials 43C6,227.75 Oillanimmomw 1,4139 1332.7 Your VIVeSbleilI return. • • Dbidend and interest income $36,091.40 Change in market value .137,142 67 Value of your account on Oct 30, 2015 S1.413.893.34 Dec 2014 549 2019 0(1 2019 SDNY GM 00020817 Member SIPC CNP70o0300572S2a9NP7000189496 00002 1015 030575004 Y123503550000000 Page 1 of 14 CONFIDENTIAL EFTA_00131437 EFTA01273644 SUBS UBS Strategic Advisor October2015 Account name: GHI$LAINE MArAh ELL Friendly account name:Indiy Account number: YI 2 Your K Randal Advisor. SCOTT STACK MANLYLE CASRIEL Your account balance sheet Summary of your assets Value on Percentage of October 30 ($) your XCOIllf • Cash and money balances may include A Cash and money balances 392,086.32 27.73% Your current asset allocation available cash balances. UBS Bank VSA deposit B Cash alternatives 0.00 0.00% account balances. UBS AG Sumford Branch deposit account balances and money market C Equities 1,021,807.02 72.27% mutual fund sweep balances See the It:venom information about your statement on the last D Fixed income 0.00 0.00% 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 $1,413,893.34 100.00% Value of your account 51.413,893.34 Eye on the markets Percentage change Index October2015 Year to date S&P 500 8.44% 2.70% Russell 3000 7.90% 2.02% MSC I - Europe, Australia 8, 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% 00,70003005725250NP70031Er349600032 1015 030575004 YI235685500:160fiyoht000P0§iie 2 Of 14 CONFIDENTIAL EFTA_00131438 EFTA01273645  UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Nnandal Advisor: * friendly account no/nes8)day Account number. Y1 2 SCOTT STACKMANLYLE CASRIEL 212-821-70001800-308-3140 Change in the value of your account Summary of gains and losses Year to date (I) Yarns reported belt et exclude products for which guns and iosses are not classified October 2015(5' Realized gains and losses Unrealized Opening account value $1,332,724.47 $1,721,172.36 October 2015 (S) Year to date (S) gains and lasses (S) Deposits, including investments transferred in 0.00 2,200.00 Short term 2,544.95 2,544.95 -8,044.62 Withdrawals and fees, Long term 122,799 91 146,791.68 168,252 86 including investments transferred Total $125,344.86 $149,336.63 $160,208.24 cut -8,812.70 -308,427.75 Dividend and interest income 1,612.88 36,091.40 Change in market value 88,368.69 -37,142.67 Cash activity summary See Account activity the month for decals Balances in your SweepOakcm are indudedin the cpenng and Closing account value $1,413,893.34 $1,413,893.34 closing balances yelue. FDIC insurance accires only to deposits a UBS Bank USA, not to deposits at LOS AG, Slarnord Branch or bank deposits placed throush the UBS Interne and Deposit Account program. SIPC protection applies to morwy market sweep fiord holdings but not bark deposits. Seermeorunr inearmation *kit your statement on the last two pages cilhis 00(urnell for &lab Dividend and interest income earned October 2015 (1) Year to date (S) rot cutpos.” of m,s statement, fait ity of 'Metes] ar.1 clwder10 income has been determined from a US Opening balances $7,126.05 $6,517.57 tar repotting perspective. eased upon the residence of the account bottles, account type, or proiset twat, some interest ardor dvidend payments mat not be subject to United Stites (UA ardor Puerto Rico (PR) Addkions Income !ado The dent month,/ statement is not intended lo be used and ranted be weed upon for tat purposes. Clients should refer to the appetite tat reporting forms they recent from UBS annualy, such as Deposits and other funds credited 0 00 2,200.00 the fOrriS 1099 and the FOTO 480. for lac re13011 .9 intorrnaliOn 11 is the ',lattice of U85 to file the zuplicatle tax reponing forms with the US intern4 Revenue Semite and PR Treasury Department, and in Divdend and interest income 1,612.88 36,091.40 such forms accurately cisafy tindenct ardor Interest as Is. exempt or taxable income. neat consult your indvdikal ray preparer Proceeds from investment transactions 400,702.62 748,645.65 October 2015 en Year to date (5) Total additions 5402.315.50 5786,937.05 Taxable dividends 1,612 88 36,086 55 Subtractions Taxable interest 0.00 4,69 Professional management fees and related services -1,686.65 -8,082.81 Total current year $1,612.88 $36,091.24 Other funds debited -7,126.05 -300,344.94 Prior year adjustment 0.00 0.16 Funds withdrawn for investments Total dividend & interest $1,612.88 $36,091.40 bought -8,542.53 -92,940.55 Total subtractions -$17,355.23 -$401,368.30 Net cash flow $384,960.27 $385,568.75 Closing balances 5392,086.32 5392,086.32 SDNY GM 00020819 Chle7C00;0057252st NP7000198496 00032 1015 030579001 Y123568550000000 Page 3 of 14 CONFIDENTIAL EFTA_00131439 EFTA01273646 SUBS UBS Strategic Advisor October zots Account name: Friendly account name: it Account number: --II - Your financial Advisor. SCOTT STACK MANLYLE CASRIEL 212-821.7030/800 308 3140 Loan summary Year to date loan interest $28.14 UBS Bank USA Deposit Account APY Interest period Sep 8 - Oct 6 Opening UBS Bank USA Deposit balance Sep 8 $0.00 Closing UBS Bank USA Deposit balance Oct 6 $802.22 Number of days in interest period 29 Average daily balance $2,534.88 Interest earned $0.00 Annual percentage yield earned 0.00% Your investment objectives: You have identified the following investment objectives for this account If you have questions about these objectives, disagree with them, or with to change them, please contact your Financial Advisor or Branch Manager You can find a fur description of the alternative investment objectives in important informatron about your statement at the end of this document Your return objective: Captal apprecebon Your risk profile: Primary Aggressive Investment ell ibihty consideration - None selected Your account instructions a Your account cost base default closing method is FIFO, First In, First Out CNP7C0(0305725252NP70C0189496 00002 1015030575004 " 23568550001401YGM00020titte 4 4 CONFIDENTIAL EFTA 00131440 EFTA01273647  UBS Strategic Advisor Account name: Your Pi nandd Advisor: UBS October 2015 friendly account name: it Account number. SCOTT STACKMANYLYLE CASRIEL 212-821-7000/800-308-3140 Your assets Some pnces, income and Current Mires Shoccn may be approximate. ASS teul. gams &Id tOsses ma/ 1101 be accurately reflected. Set anportant info/06Ø about your statement a the end of this Oxurnem for more infornmon. Cash Cash and money balances Cash and moray balances may India* avalkie cash balances, UBS Sant USA decoct account balances, UBS AG Startord Branch &boat account balances and money market mutual fund sweep balances. UBS Bank USA deposit account balances are insured by the WC vat hn applk able limits, but ale not protected by 9PC u85 AG Stanford Branchdeposit account bzianas are not Stinted ty FDIC and ase not protected by 9PC Money market sweep balances are protected by PPc but are not limited by the FDIC. See the Important information about your statement x the end."( thin doctrnent for details about those balances. Openngbaance Cloung balaxe Pnet per Thin Avezege Dnidencl Interest Days inddng on Ott I (D on Oct 20 (1) on Oct 30(1) rate perial period Capare:ant Cl/ RMA MONEY MKT. PORTFOLIO 0.00 142,666.32 1.00 0 01% Sep 24 to Oct 25 32 LESEANK USA DEP ACCT 7,12605 250.000.00 250.0130 00 Toed $7,126.05 5392,06632 Equities Common stock Purchase peke/ Trade tkierbet Average price Price per sheet Value on unrealized Holoind addng date of shares per Shale (5) COP basis (S) on Oct 30(1) Oct 30(1) gain or lOSS (1) period AECOM Symbol. ACM Exchange: NYSE Jan 28, I5 500.003 26619 13,309 95 29.470 14,735 00 1A2605 ST Jan 30, IS t00 000 25.532 2,553 24 29.470 2,947 00 393.76 ST Security total 600.000 26.439 15,863 19 17,682 00 1,818.81 ANALOG DEVICES INC Symbol ADI Exchange- OTC EAI: 182 Current yield: 2.67% Apr 22, 13 51 003 42 447 2,16481 60.120 3,06612 901 31 LT AUTOMATIC DATA PROCESSNG INC Symbol: ADP Exchange: OTC EAI: 1141 Current yield 225% Apr 22. 13 72.003 56.870 4,09467 86.990 6263.28 2,168.61 LT continued noxt page SDNY GM 00020821 C HP20303305725253 NP7003I 69496 00002 10IS 030579304 Y123568550000000 Page 5 of 14 CONFIDENTIAL EFTA_00131441 EFTA01273648  Account name: 4t UBS UBS Strategic Advisor October 2015 Account number. GHISLAINE AAAXWEU. friendly account name:Indic I YI 2: Your Nnandal Advisor. SCOTT STACKMAHLYLE CASRIEL 212.82l-70001800.308.3140 Your assets Equities . Common stock kononued1 Purchase craw Trade Weber Average price Price per Owe VdueOn Unrealized Pricing Iddng date of thorn per shag (S) Cost basis (1) on 0(130(5) Oel 30($) gun or !at (S) period BAXTER INTL INC Symbol: BAX Exchange: NYSE EAI: 4716 Current yield 1.23% Jul 20.12 30.000 28.496 854.88 37.390 1,121 70 266.82 LT An 20, 12 17.000 28.455 483.75 37.390 635.63 151.88 LT Jun 21,12 29.000 28.762 834.12 37.390 1,084.31 250.19 LT Jun21,12 7.000 28.444 199.11 37.390 261.73 62.62 LT Jun21,12 5.000 28.838 144.19 37.390 186.95 42.76 LT Jun22,12 61.000 28.658 1,748.19 37.390 2,283.79 532.60 LT Jan 23,13 768.000 36.815 28,274.47 37.390 28,715.52 441.05 LT Apr 22, 13 355.000 38284 13,591.05 37.390 13273.45 -317.60 LT Sep 19, 13 74.000 39.857 2,949.45 37.390 2,766.86 •182.59 LT Sep 19, 13 6.000 39.696 238.18 37.390 224,34 -13.84 LT Sep 19, 13 3.000 39.700 119.10 37.390 112.17 -6.93 LT Sep 20, 13 47.000 39.758 1,86887 37.390 1,757.33 •111.34 LT 0(13,13 154.000 35.679 5,494.57 37.390 5,758.06 263.49 LT Security total 1,556.000 36.504 56,799.73 58,178.84 1,379.11 BLACKRCCK INC Symbol: BIS Exchange: NYSE (Al: 43,244 Current yield: 2.48% Oct 5,12 7.000 189932 1,329.53 351.970 2,463.79 1,134.26 LT Oct 5,12 3.000 187.820 563.46 351.970 1,055.91 492.45 LT Oct 5, 12 2.000 186670 373.34 351.970 703.94 330.60 LT Oct 8, 12 8.000 188.783 1,510.27 351.970 2,815.76 1,305.49 1.7 Oct 9, 12 15.000 189.186 2,837.79 351.970 5279.55 2,44136 LT Oct 9,12 2.000 189.010 37802 351.970 703.94 325.92 LT Oct 10, 12 3.000 187.720 563.16 351.970 1,055.91 492.75 LT Oct 10, 12 2.000 187.670 375.34 351.970 703.94 328.60 LT Oct 10. 12 2.000 187.995 375.99 351.970 703.94 327.95 LT Jan 23,13 224.000 236.966 53,080.41 351.970 78,841.28 25,760.87 LT Apr 22, 13 104.000 251.093 26,113.69 351.970 36,604.88 10,491.19 LT Security total 372.000 235218 87,501.00 130,932.84 43,431.84 COLGATE PALMOUVE CO Symbol: CL Exchange: NYSE EAI: 42292 Current yield: 2.29% Aug 4,11 174.030 41.632 7244.05 66.350 11,544.90 4300.85 LT continued fled page CW700(8005725254 NP700018949600002 1015 030575004 VIn56855003fictilw_Gmixonikte 6 of 14 CONFIDENTIAL EFTA_00 I 31442 EFTA01273649  UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Mnandd Advisor: *UBS Friendly account name:Indiv Account number. YI 2 SCOTT STACK MAMLYLE CASRIEL 212-821-7000/800-308-3140 Your assets Equities . common stock (continued) Parch.* pick« Trade Hurter Average pike Price per share urdue on Unrealized NolOng ticking date of stares per share ($) Cost basis ($) on Oct 3001 0c130($) on ot loss (1) period Aug 12, 11 4.000 42.450 16980 66.350 265.40 95.60 LT Jan 23,13 910.003 54240 49358.63 66.350 60378 50 11,019.87 LT Apr 22, 13 420.000 59.788 25,111.32 66.350 27,867.00 2,755.68 LT Security total 1,508.000 54300 81,883.80 100,055.80 18,172.00 ECG RESOURCES INC Symbol. EOG Exchange: NYSE EAL 3335 Current yield 0.78% Jan 28,15 500.000 90.411 45,205.72 85.850 42,925.00 -2,280.72 ST FORTINET INC Symbol: FINT Exchange: OTC Jan 28,15 500.000 31 942 15,971.36 34.360 17,180.00 1208.64 sr Jan 30,15 250.000 29.431 7,357.75 34.360 8,590.00 1232.25 ST Oct 26, 15 250.000 34.170 8,542 53 34.360 8,590.00 47.47 ST Security total 1,000.000 31 872 31,871.64 34360.00 2,488.36 GENL MILLS INC Symbol: GIS Exchange: NYSE EAI: 43.312 Current yield: 3.03% Aug 4.11 191.000 36 265 6,926 77 58.110 I 1,099.01 4,172.24 LT Aug 12, 11 5.000 35.754 178.77 58.110 290.55 111.78 LT Jan 23, 13 1,001.000 41387 41,428.89 58.110 58,168.11 16,739.22 LT Apr 22, 13 464.003 50287 23,333.21 58.110 26,963.04 3,629.83 LT Jul 17, 13 148.000 49.739 7,361.45 58.110 8,600.28 1,238.83 LT Jun 18,13 73.000 49 836 3,638 07 58.110 4,242 03 603.96 LT Security total 1,882.000 44.031 82,857.16 109,363.02 26,495.86 JOHNSON &JOHNSON COM Symbol: JNJ Exchange: NYSE EAI: 13,198 Current yield: 2.97% Aug 4,11 123603 62377 7,672.38 101.030 12,426.69 4,754.31 LT Aug 12, 11 3.000 63.730 191.19 101.030 303.09 111.90 LT Jan 23.13 642.000 72.736 46,696 71 101.030 64,861.26 18,164.55 LT Apr 22, 13 298.000 84.721 25,247.10 101.030 30,106.94 4,859.84 LT Security total 1.066.003 74.866 79.807.38 107.697.98 27,890.60 MCDONALDS CORP Symbol: MCD Exchange: NYSE EAI: 33,461 Current yield: 3.03% Aug 4, 11 95.000 84.969 8,072 06 112.250 10,663.75 2,591.69 LT Aug 12, 11 3.000 85 910 257.73 112.250 336.75 79.02 LT continued next page SDNY GM 00020823 CNP70003005725255NP7000189496 00002 1015 030575004 Y123568550000000 Page 7 of 14 CONFIDENTIAL EFTA_00131443 EFTA01273650  Account name: *UBS U BS Strategic Advisor October 2015 Account number. GHISLAINE MAXWELL Friendly account name: Indiv YI 2 Your Pl nrincid Advisor SCOTT STACK MANLYLE CASRIEL 212 821.7000/800-308 3140 Your assets . Equities . Common stock (condnved) Purchase price/ Trade Maybe. Average price Price per share Value on Unrealized Hddng Hefting data of shares per share (S) Con bads (1) on Od 30(1) Oct 30($) gin or loss (1) period Nov29, 12 8.000 86.456 69185 112.250 898.00 206.35 LT Ian 23,13 555.000 93.053 51,644.75 112.250 62298.75 10,654.00 LT Apr 22, 13 255.000 99318 25,326.32 112.250 28,623.75 3,297.43 LT Sep 19. 13 78.003 97.879 7,634.63 112.250 8,755.50 1,120.87 LT Sep 19, 13 22.000 97.425 2,143.36 112.250 2,469.50 326.14 LT Sep 19, 13 2.000 97.830 195.66 112.250 224.50 2&84 LT Security total 1,018.000 94 269 95,966 16 114,270.50 18304.34 NEXTERA ENERGY INC COM Symbol NEE Exchange NYSE EAI: 1499 Current yield 3.00% Apr 22.13 162.000 79.757 12,920.65 102.660 16,630.92 3,710.27 LT OCCIDENTAL PETROLEUM CRP Symbol. OXY Exchange: NYSE EAI: $2,907 Current yield: 4.02% Feb 12, 14 148.000 88.959 13,165.96 74.540 11,031.92 -2,134.04 LT Feb 12, 14 117.000 88.989 10,411 82 74.540 8,721 18 -1,690.64 LT Feb 12. 14 32.000 89.002 2,848.07 74.540 2,385.28 -462.79 LT Feb 12, 14 7.000 88.857 622.00 74.540 521.78 -100.22 LT Feb 13, 14 110.000 82.885 9,777.41 74.540 8,199.40 •1,578.01 LT Feb 13, 14 68.000 88.708 6,032.19 74.540 5,068.72 -963.47 LT Feb 13, 14 33.000 88369 2,916 19 74.540 2,459.82 -456.37 LT Feb 13, 14 6.000 88.421 530.53 74.540 447.24 -83.29 LT Feb 14, 14 334.000 92.065 30,749.82 74.540 24,896.36 -5,853.46 LT Feb 18, 14 114.000 92.677 10,565 23 74.540 8,497.56 .2.067.67 LT Security total 969.000 90.422 87,619.22 72229.26 -15,389.96 PEPSKO INC Symbol: PEP Exchange: NYSE EAI: 13,243 Current yield: 2.75% Aug 4, 11 115.000 63.979 7,357.65 102.190 11,751.85 4,394.20 LT Aug 12,11 3.000 63.023 189.07 102.190 306.57 117.50 LT May 16, 12 6.000 68.535 411.21 102.190 61314 201.93 LT Oct 24, 12 1.000 68.690 68.69 102.190 102.19 33.50 LT Oct 25, 12 2.000 68.810 137.62 102.190 204.38 66.76 LT Oct 26. 12 1900 68.890 68.89 102.190 102.19 33.30 LT 04131, 12 1.000 69370 69.37 102.190 102.19 32.82 LT Nov6, 12 1.000 69.370 69.37 102.190 102.19 32.82 LT continued next page CNP700090057252S6NP700019349600002 1015 030575004 vi23568s50C0~1YGM00020kge 8 of 14 CONFIDENTIAL EFTA_00131444 EFTA01273651  Account name: GHISLAINE MAXWELL SUBS UBS Strategic Advisor Your Financial Advisor- Friendly account naine:Indiv SCOTT STACK MAN LYLE CASRIEL October 2015 Account number. Y1 212-821-7000800-308-3140 Your assets Equities . Common stock (continued) Purchase OW Trade wrier Average peke ante per share value on Unreedzed Hddng Hddng date of shares per shape (I) Cost basis (s) on Oct 30(1) 04130(S) gain or loss a) period Nov7, 12 1.000 69.150 69.15 102.190 10219 33.04 LT Nov8, 12 2.000 69.090 13818 102.190 204.38 66.20 LT Jan 23, 13 699.000 72.166 50,444.31 102.190 71,430.81 20,986.50 LT Apr 22. 13 322.000 82251 26,484.85 102.190 32.90618 6,420.33 LT Security total 1,154.000 74 097 85,508 36 117,927.26 32,418.90 PROCTER & GAMBLE CO Symbol: PG &change: NYSE (Al: 13.007 Current yield: 3.47% Aug 4,11 118.000 60.103 7,092.22 76.380 9,01284 1,920.62 LT Aug 12, 11 3.000 60.896 182.69 76.380 229.14 4645 LT Jan 23,13 619.000 69.941 43,293.73 76380 47,279.22 3,985.49 LT Apr 22. 13 286.000 81332 23,261.18 76.380 21,844.68 .1,416.50 LT Apr 24, 13 108.003 77.762 8,398.32 7638