EFTA00271100.pdf

UORE'W.I0JUIWaD Client Information ELLMAX, LLC Client Information 11.5. Federallaw requires us Name ELLMAX, LLC ro obtain, verify andrecord information that identifies Organization Structure Ltd Liability Company each person or entity Incorporated No char opens an Account with us. When you open an Publicly Listed No Account. we will ask for your name, street address For Profit No dare of birth and a tax identification number• such Name(s) of Authorized Persons as a SOCiii Security number. Ghislaine Maxwell We may also ask to see a driver's kerne or other Name(s) of Managers/Members documents that walr a/lbw us to identify you. Ghislaine Maxwell Please review and verify al of the information that you provided ro us when you Contact Information opened your Account. If you have changes Residential Address corrections or additions, notify your Financial Advisor City, State, Zip Code Miami Beach, FL 33139-1043 as soon as possible. Home Phone If you share assets with E-mail Address another person, the net north figure here shows your portion only, based upon instructions you Net Worth Information provided. Annual Income Range from $50,000 - $99,999 MMi InvesenentInformatinn• Liquid Assets (cash and marketable securities) Range from $100,000 - $249,999 —RIM This section reflects answers you providedrelated to Net Worth (excluding primary residence) Range from $100,000 - $199,999 I. your investment experience. You have indicated that you do not derive a substantial amount of your income / wealth (over 50%) from I market kncnvIedge and other assets and is used to country outside of the United States. ensure our investment recommendations are suitable for your situation. Investment Information Years you have held investment accounts 5 Equities None Bonds None Futures None Options-Buy None SSZO-176L99ZS6 Options-Sell None You have indicated you have a good understanding Knowledge of investments of financial markets and market investments. Percentage of total investable assets held at UBS 41-60% 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. You have indicated that you are not a control person (Policy-maker, director or 10% shareholder) of a publicly traded corporation. 1 Package ID, 0095266794 1 EFTA00271100  U0! eW101111 lualij 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 char 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 Contact Information driver's kerne or other Residential Address documents that walr a/lbw us to identify you. City, State, Zip Code New York, NY 10065-7007 Please review and verify al Home Phone of the information that you E-mail Address provided ro us when you opened your Account. If you have changes. corrections or adthrions, Employment Information notify your Financial Advisor as soon as possible. Employment Status Employed Occupation Other If you share assets with another person, the net Occupation Industry Other worth figure here shows Employer Name The TerraMar Project your partial only, based upon instructions you Business Address provided. City, State, Zip Code New York, NY 10065 - 7007 InvesenentInfrematinn• This section reflects answers you providedrelated to Net Worth Information your investment experience• Annual Income Range from $200,000 - $499,999 market kncnvIedge and other assets and is used to Liquid Assets (cash and marketable securities) Range from $10,000,000 AND ABOVE ensure our investment recommendations are Net Worth (excluding primary residence) Range from $10,000,000 AND ABOVE suitable for your situation. 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 Options-Buy None -1M Options-Sell None You have indicated you are an experienced investor Knowledge of investments 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. 2 2 EFTA00271101 n 0 You have indicated that you are not a control person (Policy-maker, director or 10% shareholder) of a publicly 0 traded corporation. 0 3 3 EFTA00271102 U011elthOR wail) UORE'W.I0JUI Pot & Kettle, LLC Client Information 11.5. Federallaw requires us Name Pot & Kettle, LLC ro obtain, verify andrecord information that identifies Organization Structure Ltd Liability Company each person or entity Incorporated No char opens an Account with us. When you open an Publicly Listed No Account. we wc0 ask for your name, street address For Profit No dare of birth and a tax identification number• such Name(s) of Authorized Persons as a SOCiii Security number. Ghislaine Maxwell We may also ask to see a driver's kerne or other Name(s) of Managers/Members documents that walr a/lbw us to identify you. Ghislaine Maxwell Please review and verify al of the information that you provided ro us when you Contact Information opened your Account. If you have changes Residential Address corrections or additions, notify your Financial Advisor City, State, Zip Code Miami Beach, FL 33139-1043 as soon as possible. Home Phone If you share assets with E-mail Address another person, the net north figure here shows your portion only, based upon instructions you Net Worth Information provided. Annual Income Range from $0 - $29,999 MMi InvesenentInformatinn• Liquid Assets (cash and marketable securities) Range from 8100,000 - $249,999 —RIM This section reflects answers you providedrelated to Net Worth (excluding primary residence) Range from $100,000 - $199,999 I. your investment experience. You have indicated that you do not derive a substantial amount of your income / wealth (over 50%) from I market kncnvIedge and other assets and is used to country outside of the United States. ensure our investment recommendations are suitable for your situation. Investment Information Years you have held investment accounts 5 Equities None Bonds None Futures None Options-Buy None Options-Sell None You have indicated you have a good understanding Knowledge of investments of financial markets and market investments. Percentage of total investable assets held at UBS 41-60% 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. You have indicated that you are not a control person (Policy-maker, director or 10% shareholder) of a publicly traded corporation. 4 4 EFTA00271103  Account Information BSA Ltd Liability Company Your Account Please review the information Account Number about each of your accounts and notify your Financial Account Title Pot & Kettle, LLC Advisor immediately if jou have any changes or Account Address corrections. City, State zip Miami Beach, FL 33139.1043 For more information, Aktase • refer to the UBS Deposit Account Sweep Prog✓am Cards and Checks for this account, if requested, will Disclosure Statement. be mailed to this address: Miami Beach, FL 33139-1043 Pleasenote the account risk Primary Account Holder Ghislaine Maxwell MEN profile and investment otsective below are specific only Additional Account Relationships to this account other accounts may have thfferent account Mk Dish F80 Account Owner Auth U profiles and investment Power of Attorney • otrerrves. UBS will not disclose your name, address and security your Account Risk Profile for this particular account is defined Disclosure of Beneficial Ownership position to issuers of any securities held in your as Account. Moderate: Willing to accept some risk to principal and tolerate Margin Yes some volatility to seek higher returns. You have agreed that the Margin Agreement in the Completing Your Account Opening Process Different accounts may have different risk profiles package governs your use of margin in this account and all other accounts you have now or any accounts that you may open in the future. As described in the Margin Agreement, certain securities Your Investment Objective in your Account may be loaned to UBS or to other persons or entities. Produce a Combination of Income and Capital Appreciation lmestmems Cost Basis Method First In,hrst Out seeking both the generation of income and growth ofprincipal. In accounts with conservatWe Features and Services or moderate risk profiles, Checking investment eligibility Premier- RMA / BSA considerations help us identify whether you maybe eligibk to invest in certain Account Objectives and Risk Profile higher risk securities as a portion of your portfolio. Account Risk Profile Moderate These investments offer your answers to our profiling questions: additional diversification. Risk Tolerance Moderate Risk A seniorpolitical official is Produce a combination of income and capital defined as a President or vice Investment Objective Preskkn4 Cabinet Member, appreciation Supreme Court Justice, Risk/Return Objectives Moderate Fluctuations, Moderate Returns member of the Joint Chiefs Investment Time Horizon 7 - 10 years a Staff, Member of Congress or a Parliament, Chairperson. Head o✓ Senior Leader of a Short-Term Liquidity Needs No major religious organization, or the like. Sweep Account Election Primary Sweep Fund UBS BANK USA BUSINESS ACCOUNT 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. 5 5 EFTA00271104  Source of Funds in the Account You have indicated the following as the source of funds for this account: Other Income Source transfer 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 6 6 EFTA00271105  BSA Ltd Liability Company Your Account Please review the information Account Number Y1 23680 about each of your accounts and notify your Financial Account Title ELLMAX, LLC Advisor immediately if jou have any changes or Account Address corrections. City, State zip Miami Beach, FL 33139-1043 For more information, Aktase • refer to the UBS Deposit Account Sweep Prog✓am Cards and Checks for this account, if requested, will Disclosure Statement. be mailed to this address: Miami Beach, FL 33139-1043 Pleasenote the account risk Primary Account Holder Ghislaine Maxwell MEN profile and investment otsective below are specific only Additional Account Relationships to this account other accounts may have thfferent account Mk Dish F80 Account Owner Auth U profiles and investment Power of Attorney • otreeves. UBS will not disclose your name, address and security your Account Risk Profile for this particular account is defined Disclosure of Beneficial Ownership position to issuers of any securities held in your as Account. Moderate: Willing to accept some risk to principal and tolerate Margin Yes some volatility to seek higher returns. You have agreed that the Margin Agreement in the Completing Your Account Opening Process Different accounts may have different risk profiles package governs your use of margin in this account and all other accounts you have now or any accounts that you may open in the future. As described in the Margin Agreement, certain securities Your Investment Objective in your Account may be loaned to UBS or to other persons or entities. Produce a Combination of Income and Capital First In,First Out Appreciation lmestmems Cost Basis Method seeking both the generation of income and growth ofprincipal. In accounts with conservatWe Features and Services or moderate risk profiles, Checking investment eligibility Premier- RMA / BSA considerations help us identify whether you maybe eligibk to invest in certain Account Objectives and Risk Profile higher risk securities as a portion of your portfolio. Account Risk Profile Moderate These investments offer Your answers to our profiling questions: additional dyers',fkation. Risk Tolerance Moderate Risk A seniorpolitical official is Produce a combination of income and capital defined as a President or vice Investment Objective Preskkn4 Cabinet Member, appreciation Supreme Court Justice, Risk/Return Objectives Moderate Fluctuations, Moderate Returns member of the Joint Chiefs Investment Time Horizon 7 - 10 years a Staff, Member of Congress or a Parliament, Chairperson. Head or Senior Leader of a Short-Term Liquidity Needs No major religious organization, or the like. Sweep Account Election Primary Sweep Fund UBS BANK USA BUSINESS ACCOUNT 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. 7 7 EFTA00271106  Source of Funds in the Account You have indicated the following as the source of funds for this account: Other Income Source transfer 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 8 8 EFTA00271107  UBS Client Relationship Agreement UBS Client Relationship Agreement Introduction At UBS, we understand that we succeed only when our clients succeed. With that in mind, 'Accounts" refers to all securities we provide a customized approach to wealth management, built on your personal accounts, brokerage accounts, relationship with your Financial Advisor and shaped by an understanding of your needs margin accounts, deposit accounts or and aspirations. other accounts you open with us now or in the future. Known as the Client Relationship Agreement, this document outlines the terms and conditions of your relationship with us. By maintaining your Accounts at UBS, you agree to We refer to the Client Relationship these terns and conditions and the other agreements and disclosures we refer to here. If Agreement together with all other signatures are required, please return the signed signature page in the enclosed envelope. agreements and disclosures that we make available to you, and any To confirm that our records are complete, we will send you a record of the information you amendments, as our 'Agreement" give us after you open a new Account. Please review the Client Information and Account with you. Information pages of the Completing Your Account Opening Process package and notify us promptly if there are any updates or corrections. We also refer to the "Completing Please note: this Client Relationship Agreement applies to all of your accounts at UBS, Your Account Opening Process" including any Accounts you may already have with us and Accounts you may open in the package, which includes Signature future. You will not receive another copy of the Client Relationship Agreement or the Pages, optional forms and other Agreements and Disclosures unless there are updates and amendments, or if we require required documents. your signature on this Agreement when you open Accounts in another capacity. Some of the information in this document and the other agreements and disclosures we send you If a Signature Page is included, please may not apply to you now. Please retain these documents for future reference because have all named account holders sign they contain important information if you decide to add services or open new Accounts. the Signature Page and return it to us in the enclosed envelope. The terms and conditions in this Client Relationship Agreement apply to all Accounts you This column contains important open with UBS Financial Services Inc. or UBS Financial Services Incorporated of Puerto Rico definitions applicable to our or any other introducing broker-dealer that has a clearing agreement with UBS Financial Agreement with you. Services Inc. In addition, we will send you other agreements and disclosures for the UBS accounts and services you choose when you open your account, as well as features you may add in the future. We refer to all these documents, including any amendments, as the Agreements and Disclosures booklet. Your acceptance of your initial Client Relationship Agreement will serve as your agreement 'You," "your" and "yours" refer to to the terms and conditions governing any new Accounts, features or services. Deposits of you as a client of UBS. cash or securities and your continued use of your UBS Accounts constitute your agreement to all of the terms and conditions applicable to your Accounts. If you do not agree to the "UBS," "we," us," "our" and "ours" terms and conditions, you may cancel a feature or service or close your account. refer to UBS Financial Services Inc. and unless we indicate otherwise, its As a UBS client, you may decide to open additional Accounts or take advantage of services successor firms, subsidiaries, and account features in the future. With some exceptions, you will be able to do so correspondents and Affiliates,