EFTA01278281.pdf

U8$ FMancial Services tic. Retirement Account UBS Private Wealth Management 299 Park Avenue 26th Floor UBS Strategic Advisor New York NY 10171.0002 February 2019 CNv70056082510719>i Y1 0 GHISLAINE MAXWELL IRA Account name: GHISLANE MAXVVEll. IRA Friendly account name: Indio: IRA Account type: Indrodual Retirement Account Account number Your Nnandal Advisor. SCOTT STACK MAN/LYLE CASRIEL Phone: Questions about your statement? Value of your account Call your Financial Advisor or the on January 31 (1) on February 28 (t) AMA Resourceline at 800-RMA-I000, Your assets 58,260 54 58,378.57 account - Your liabilities 0.00 0.00 Malt our website: Value of your account S58280.54 $58,378.57 wwwobscomifinanciarervices Items for your attention Help protect yourself from fraud and review bank, credit card, and brokerage Sources of your account growth statements regularly. Also, get your free credit report amtelly from www.annuakreditreport.com. Tracking the value of your account dudag 2019 Value of your account S Thousands at year end 2018 558.125.23 Net deposits aid 570 57.0 572 57.7 933 593 58.4 vathdraaals 4107.49 Your rvestment return. DiWdend and interest income 126907 Change in market value $91.76 Value of your extant on rib 28. 2019 $517378.57 Dec 2014 Dec 2015 Dec 2016 Oec20I7 Dec 2018 tan ?me Feb zoie SONY GM 00026754 Member SIPC Page 1 of 8 CONFIDENTIAL EFTA_00137374 EFTA01278281 SUBS UBS Strategic Advisor February 2019 Account name: GHISLAINE MAXVVEU. IRA Friendly account name:Indiv IRA Account type: Account number. Individual Retirement Account Your IIasocial Advisor- SCOTT STACK MANLYLE CASRIEL Your account balance sheet Summary of your assets Value on Percentage of February 28 a) your account Cash and money balances 1,197.71 2.05% • Cash and money balances may include A Your current asset allocation available cash balances. UBS Bank VSA deposit B Cash alternatives 000 a00% account. UBS roc Insured Deposit Program Bank accounts, UBS AG Stamford Branch deposit C Equities 0.00 0.00% account balances and money market mutual fund sweep balances See the important information D Fixed income 57,180.86 97.95% about your statement on the last two pages of this statement for data is about those balances. E Non-traditional 0.00 000% F Commodities 0.00 000% G Other 0.00 000% Total assets $58,378.57 100.00% D Value of your account f58,378.57 Eye on the markets Percentage change Index February 2019 Year to date 58,8 500 3.21% 11.48% Russell 3000 3.52% 12.40% MSC I - Europe, Australia & Far East 2.56% 9.32% Barclays Capital U.S. Aggregate Bond Index -0.06% 1.00% Interest rates on February 28, 2019 3-month Treasury bills: 2.40% One-month LIBOR: 2.49% Y_GM_0002872ae 2 of 8 CONFIDENTIAL EFTA_00137375 EFTA01278282  UBS Strategic Advisor Account name: GHISLAINE MAXVVEU. IRA Your /9nandal Advisor: 412, UBS February 2019 Friendly account name:Indiv IRA Account type: Account number Induadual Retirement Account SCOTT STACK MANLYLE CASRIEL Change in the value of your account Summary of gains and losses values reported below exclude products for which gam and losses ale not classified. February 2019 (11 Year to date (5) Realized gains and losses Unrealized Opening account value $58,260.54 $58,125.23 February 2019($) Year to date (4) gains and losses (4) Withcfrawals and fees, including investments transferred Short term 0.00 0.00 3.52 out 0.00 -107.49 Long term 0.00 0.00 -839.70 Dividend and interest income 1 35.52 269.07 Total $0.00 $0.00 -$836.18 Change in market value -17.49 91.76 Closing account value $58,378.57 $58,378.57 Cash activity summary See ACCOUld act...Ay the MOlgilfor dela Is. Bdances in your Sweep CIA Ord are Ind uded n the cpenng and Dividend and interest income earned closing balances wire. FDIC Insurance epodes to deposits at UBS Bank USA and tl banks pankipaUng in the UBS FDIC insured Deposit rrcqa-n. R does not fp* to deposits at UBS AG, Starricnd &arch. SIPC Potation *plies to money modal sweep Paid hddirgs but rot bark deposits. Set Important intorno:On For outposts of Ms statement, tad:My of inkiest and cladend Income has been dettimined lion a US about your statement on the last two pages ri this document for details. to reporting PersPrettee. Said upon the residence of the account hoider account type, or product type, some Inlefed anon dvdend PaYments mar not be subject to United States (US) &MX Puerto Rico (PR) February. 2019 (5) Year to date (4) Income Laces. The dent monthly statement is not Intended to be used and cams be need upon for to purposes. Clients should aim to the wattle tar reporting tons they recast Fran UBS annualy, sub as Opening balances $1,197.41 $1,304.58 the Fomis 1099 and the Fan 480, foe to reporting infornabort It Is the prance of U85 to tilt the Additions apt:Bradt ta repotting forms with the u5 intern' Revenue SeMCe and PR Tieasury Depanment. aid in such four,, accurately dainty dondends andlor Interest as tax exempt or ?arable incane. Heat consult your Dividend and interest income 135.52 269.07 Inladual tar prepare,. Total additions 3135.52 3269.07 February 2019(1) Year to date 14) Subtractions Dividends 135.22 171.42 Professional management fees and Interest 0.30 0.37 related services 0.00 -107.49 Total current year $135.52 $171.79 Funds withdrawn for investments bought -135.22 -268.45 Prior year adjustment 0.00 97.28 Total subtractions -$135.22 -$375.94 Total dividend & interest $135.52 $269.07 Net cash flow 30,30 -$106.87 Closing balances 51,197.71 41,197.71 SDNY GI.7 00028758 Pegs 3 of 8 CONFIDENTIAL EFTA_00137376 EFTA01278283  GHISLAINE MAXWELL IRA UBS UBS Strategic Advisor February 2019 Account name: Friendly account nama:Indiv IRA Account type: Individual Retirement Account Your financial Advisor: SCOTT STACKMAIN:LYLE CASRIEL Account number. UBS Bank USA Deposit Account APY Interest period Ian 8 - Feb 6 Opening UBS Bank USA Deposit balance Jan 8 $1,304.90 Closing UBS Bank USA Deposit balance Feb 6 $1,197.71 Number of days in interest period 30 Average daily balance S1,254.74 Interest earned $0.30 Annual percentage yield earnec 0.29% Your investment objectives: You have identified the following investment objectives for this account If you have questions about these objectives, disagree with them, or wish to change them, please contact your Franco' Advisor or Branch Manager. You can find a ful description of the altemaove investment objectives in important information about your sratemenrat the end of this document. Your return objective: Current income &capital appreciation Your risk profile: Primary Moderate investment eligibility conssferatnn None selected Your account instructions • UBS Financial Services Inc is your IRA custodian • You account cost basis default closing method is FIFO, First In, First Out. Y_GM_000267tilge 4 of "3 CONFIDENTIAL EFTA_00 I 37377 EFTA01278284  UBS Strategic Advisor Account name: GHISLAINE MAXWELL IRA Your Financial Advisor: *UBS February 2019 Friendly account name:Indiv IRA Account type: Account number: Indiudual Retirement Account scou STACK MAN' LYLE CASHEL Your assets Some pnces, income and current vdues Shoem may be fpfarOxervale. AS a its uti. gdlns and losses not be &moiety reflected. See Aporunt info:moon Stour your getement a the end of the ducumem to, more Infornalion. Cash Cash and money balances Casbanct money balances ma/ yid avalaile cash balances, UBS Bent USA depoot account balances, US$ Bea USA and al UPS FDIC Mixed Pregame-fink deposit account boraxes are insured by the f DIC within UBS FDIC insured Rogan Ectinti Balances. UBS AG Stamford Branch deposit account balances and money applicable Intl, but ale not protected by 9FC. UBS AG Stanford Branch deposit accoure balances are not insured market mutual fund sweep balances. by MX and are not protected by 51K. Money market sweep balances are protected by 9PC but are not insured by the FDIC See the Important information about 'our statement at the endof this document for details about those balances. cipenng bdance Closing belaxe PrIct per share Average DrriOend interest Dais n Hddng on Feb I ft/ on Fd)213(S) on Feb 28 (t) rate belied period Cep amount (S) UBS BANK USA DEP ACCT 1,197 41 1,197.71 250,000.00 Fixed income Mutual funds Total reinvested is the told ol al reinvested dedends II does not include any cash dUcfends. It is not a Unreake4 (ta)gain or las is the dfference between the current value and the cost basis and would tar lot for the purposes Of delerminng hdding periods or cost tees. The Share you receive each time yer generally be your Meet/edam or loss rf the security was sold 'miens dale. The unrealised Wigan Cr loss may reinvest CI vdendS become 8separate tax Pt. need to to agusterd for return of Waal PayMents in order to detemtine the merged pan or loss for tar reporting purposes. Cost bases is the total purchase cost of the security. Inducing mrwested dMena The cost basis may need to be agusted for return d cacital payments in order to determine the Oustedcod bass tot tat Investment return is the current whip mous the amount you invested t does not Include shares that are not reporting or MOSel. reflected on you statement, inductnoshed-5 that hart been referred AS either a gain o atm It 5S0 nd include cash dudends that were not reinvested Pure haw Dreg Number Avner price Client Cost Price cer 'hat Value on unrealizedUm) imestment Hddng Hddng of shares per shale ft) investment ff) basis (t) on Feb 28(1) Feb 28 es) gWn or loss (5) return (5) Period GOODIE LINE TOTAL RETURN FUND INS% Symbol: DBLTX Trade date: Mar 31, 17 1,693.321 10.629 18,000.00 18,000 00 10.420 17,644.4,0 -355.60 LT Total reinvested 117169 10.515 1236.34 10.420 1225.07 -11.27 EAI: 1706 Current yield 374% Security total 1,810.890 10.623 18,000.00 19236.34 18,869.47 -366.87 869.47 1P MORGAN SHORT DURATION BOND FUND CLASS i continued next page SOW GM 00026758 ►age S of 8 CONFIDENTIAL EFTA_00 B7378 EFTA01278285 *UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL IRA Friendly account norm:Indiv IRA Your IR Banda Advisor. SCOTT STACK MAI/ LYLE CASRIEL February 2019 Account type: Individual Retirement Account Account number: Your assets . Fixed income . Mutual funds (continued) Purchase pica' Nuerbee Average price Client Cost Price per Share Value on Unrealized Free investment Holeing Hddng of shares per (I) investment CS) basis (1) on Feb 28 (I) Feb 29 (1) gain of loss (5) return (5) period Symbol: HLLVX Total reinvested 1,833.973 I0.%5 20,147.77 10.740 19,656.87 -450.90 19,696.87 EAI: 4361 Current yield 1.83% PUTNAM SHORT DURATION INCOME FUND Y Symbol: PSDYX Trade date: Mar 31, 17 1,789.264 10.060 18.009.00 18.000.00 10.050 17,982.09 -17.91 LT Total reinvested 62.928 10.058 632.93 10.050 632.43 -0.50 EAI: 1426 Current yield 2.29% Security total 1,852.192 10.060 18,000.00 18,632.93 18,614.52 •18.41 614.52 Total $36,000.00 $58,017.04 657,180.86 -$836.18 621,18026 Total estimated annual income: $1493 Your total assets Percentage of Cost Estimated unrealized Value on Feb 28 CP your count bases (1) annual incort (Si gain or loss (5) Cash Cash and money balances 1,197.71 2.05% 1,197.71 Fixed income Mutual funds 57,180.86 97.95% 58,017.04 1,493.00 -836.18 Total $58,378.57 100.00% $59,214.75 $1,493.00 -$836.18 Account activity this month Dale ACISty DeSCAPIrOn Amount If) Dividend and interest income Dividends Feb 1 Dividend DOUBLE UNE TOTAL RETURN FIND leen. AS OF 01131119 56.51 SYMBOL DBLTX Feb 1 Cavidend PUTNAM SHORT DURATION INCOME FUNDY AS OF 01/31/19 43.30 SYMBOL PSDYX Feb 27 Dividend JP MORGAN SHDRT DURATION BOND FUND CLASS I 35.41 SYMBOL: HLLVX Total dividends $135.22 GM 000267!W 6 of 8 CONFIDENTIAL EFTA_00137379 EFTA01278286  Account name: GHISLAINE MAXWELL IRA UBS Strategic Advisor Your Fl sandal Advisor: *UBS February 2019 Friendly account name: Indiv. IRA Account type: Account number: Indnedual Retirement Account SCOTT STACK MANLYLE CASRIEL Account activity this month (continUed) Date Acthity Description Amount LS) Dividend and interestincome (continued) Interest Feb 7 Interest UBS BANK USA DEPOSIT ACCOUNT AS OF 02fC619 0.30 Total interest $0.30 Total dividend and interest income S135.52 Investment transactions For more information about the ',Mei value shown for restricted securities, see important information about your statement at the end of this Oxunent. Proceeds from Funds investment withdrawn for Accrued Cute Admity Desception Ouamity value (S) Prue (rS) transactions (S) investments bought (S) interest (S) Feb 1 Reinvestment DOUBLE LINE TOTAL RETURN FUND INSTL 5.408 -56.51 DVIDEND REINVESTED AT 10.45 NAV ON 01/31/19 ASCf01/31f19 SYMBOL: DBLTX Feb 1 Reinvestment PUTNAM SHORT DURATION INCOME FUND Y 4.313 -43.30 CWIDEND REINVESTED AT 10.04 NAV ON 01/31/19 AS OF 01/31/19 SYMBOL: PSDYX Feb27 Reinvestment JP MORGAN SHORT DURATION BOND FUND 3.297 -35.41 CLASS I DVIDEND REINVESTED AT 10.74 NAV ON 02/2919 SYMBOL: HLLVX Total 413922 Dale Activity Deurtotion Amount CS) Money balance activities San 31 Balance forward S1,197.41 Feb? Deposit LIDS BANK USA DEPOSIT ACCOUNT AS OF 02/0609 0.30 Feb 2I1 Closing UBS Bank USA Deposit Account $1,197.71 The UBS Bart USA Deposit Account is your primary sweep colon SDNY GM 00028760 Page 7 of .3 CONFIDENTIAL EFTA_00I37380 EFTA01278287 *UBS Yournotes CONFIDENTIAL EFTA,B738I EFTA01278288  Important information about your statement U26 Froncial Services hc. (the Firma UBS FnsKias hex Iran you to leer than 60 dap after the Frm capacity. A ha copy of the poky *warp 6 avail ale nano a returns and may me keep pace with Servies), is a mentor of all pricipal steurhy, canreodity sent you the fht statement on which the error or won request. inflation. and optint puha-on. UBS Financial Senices ridIRS Problem appeared. • Moderato. Wigan to accept WOW rids to princoal and Bark USA an ...deice sttsidaries of UBS AG and - Donde yeti name a-4 axon number Of any) Nether theSIPC acculionnor the swpkernental tolerate sane vale% to seek hither returns. affiliates of WS Durkin LLC. The F inn's li-orkial — Descent the error or the transfer you are unsure protection appey ID: • Aggyessibt! Wiling to accept high risk to pancpal ani statement is /nibble upon request. The Firths neon. toad, an! retain ao <kerb as you can whyyou • Certain anemia assets controlled by (and exbokicl n high volatility to seek high texas over offices an at: believe a is anmix a way you need moo your mount oaks) but hike awayIran 185 Financial • imenteier2 fatherkey Consideration: I selected, a ifformalkek Services. For turtle certain (i) Moraine extorts. portion of the poi tholo for that account may OPP IA35 Fioncial *vies Ix. — Rothe the dal:remote of the suspected error. including nubble a-nuities. arid (ID does of mutual toroth serapes, linked liquidity and greater 1200 Hater Boulevard funds registered n the mane of the accord holder on Wethathen N.I 07096 The Finn or Card Muer wil investigate you tit/plant the books of the bauer or transfer art), and WA correct ary error porptly. For alleged errors • tenement romans ce iniesiment infenesIs loot, Stetunant inowaholdne Ths statement :WOW% the only official record of you inoking UBS Chsa•dent cad transaction if we lake linked pannthlips and pirate placements) to an We nuyconsoldate as related account statement with LeS Fruncol Services 'Mont. Ocher walk tiCePt mire than 10 business days to do this, we will credit not registered under the Seornes AO of 1933; the we* address in the urnt envelope. e g because olio ol lac Moments. contanng coriliang data shouki pas accum la the anoint you Ihnk sin tam, so that • Cornothits contracts (e.g, foreign exclutte and they have owners who also maintain nrit accord not be relied upon II youbedew there is an WV a you well have the use el the money dreg the ekes* it precazmetal contracts), including futures commas refationtrips wah other Ores X the same ackkess. omission. please report n irentaately in whip to the tan us to complete or Meg:nation. and commodity eolith Contract and you peter to mere indiolual statements mailed rt Branch Manager of the office wing you account. • Deposit becomes Incept calificates of deposit) at LBS rrinarrte ennkriet. you may Saline Inousthoklinn by Please make all checks payable to the Fina to Bark USA, UM AG U.S. branches and bans el the calling your Financial Advisor Although el lapies shown me ntended to be accurate, thinCJI nsteuten ideated on the ban of this FDIC bared Deposit Program. statement &lashould not be wed for tar purposes Rik statement In addition to reg4ar accuse lees mounts The SIPC protection and the implemental Protector' do Friendly meow% name soak on yovend la( forms, (i.e.Foram 1099. 5198, essay be abject to mantonance ten charges for bite not apply to those assets even el they *theorise appear The Friendly account name is a othernathle 'in:trunk' 1042S. etc ) when prepamg your tax return. The Pon is payment for securgin purchases and charges for urpaid on yCV statements. The WC protection rd the chosen by you to assist you whhyos roccedleepo3 mowed by low to report to he RS as tmable diadem's amouris n cash accounts. Accounts that are Ventured apple rental protection do not protect aganse changes has ro legal effect on your account is not intended to reportable nonthecable dividends and taxable interest to other institutions may be subject to a transfer fee. n the market vane of vas inwsbnents (whether as a reflect *ay strategy, prodxt reciremendaWn. caned on woke., held it you account, net proceeds mut of motet movement issuer bankruptcy a intsthnent objective or rte profile associated wrth your • n UM transactine. ad cog bask once:eta-mowed UBS Sweep Options relsmoist) meant and is not aplomb* or gamete that walk sect diet 1735 offers potion for %wept-encash balances to ban a any financial trolls can cie will be achieved. All depose arsons at non-affiliated banks and affiliated Dividend Reinverenwit Program (DRth) ineornents insight the risk of Ins, including the risk of Othwethications with Mathew banks admono maker maul lunch (Money Funds). The price reflected is an average pot You may obtain loss of the entie irreestment. You canMange your • Pleaserem-firm any coil careruncatiom n wait Deposit accords at MS Bark USA and nonaffiliated the actual peke Iron wor Financial Advisor. Onag whole Menai your' names throughOnline Services a by tofurther protect your rights. inclilko your nits barks partkipaing in the UBS FPC-rsurod Depotit than re purchased take DU, panial Woos wiltbe contacting you Fiuncial Mow utter the Seosities hxestor Protector Act Rink- Pogrom are FDIC-insured n acaniaxe rah SOK rules sold ard the cash wit be deposited in yOuf /Muni The • If the financial initiation on the top left of the front For more infarnation, please vise wwwfde.9)Y. Dep054 dividend rernestment ace anted by the Arnaud overview mar of this statement is not LES Fnaxiel Serwes,UBS mounts at LAS AG Stardted Branch aid shies of cater horn the market pr ice at Vfinh the partial share, • Veen or par arroontgorttofo. Net of assets and Financial Services caries year acca.nt as during Money Finds are not nosed by the FIX. we sold liabdaiei locker by arvangernent both the nekated incaution • Assers Includes available cash balances, clan for we Wowed you of this rffaborithb 'Mon you Bark deposits at not protected by WC. Money Find opened this accuse. Is this cast yem kends and shares are protected by SIK. See -1.859 nancol Sante, restricted mourn' fed), and Global Tina Deposits, Only whole ungs maybe held n you account. If you are inroand mats to market andCertain assets not held secures a* hated al 1.11S fnancol Servos and rot Atcnnt Protection- below. dialed to marls wit as result Glades:Send payment the itociliobroket and youmug make a mewl by the Fie. Don not loathe nsteel recutpeso a O.114Wne. the km we ether sell partial ma at at the end of the Woe and arrent atement penods, or of ay error or omission to both finis UPcn your repast, balances in the bark deposits may be maid price a accept an morn determined by • pow/ ilY00114.11; invested stock optiom and • AS descrbed n the account agreements, you must wandown, and shays of a Money Fred may be renegued Marina agency. and credit tar arcane kuolated and the proceeds retuned to you a your Cron sod options notifyusof amens or fraud irwohirg checks • tiara* Ircithes debit Waxes, outstared-rip margin reflected onyore statement within 30 days after a was securities account Inverlanent objectives loan. credit Inc short aware balances. mailed a male available. The inewnere objectives and risk profile av work to • Please died customer complains et Polies to the Funtw inkernation about available sweep options, • Casblrooneybalarxes Total ulineelled available each account and may way between you mecum cats balances, plus depose balances at affili