EFTA01597213.pdf

U0! E.W.I0JUI Wall) Client Information Ghislaine Maxwell Personal Information U.S. Federallaw requires us Name Ghislaine Maxwell ro obtain, venly 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 keens se or other Residential Address 116 E 65th Street 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 E-mail Address you have changes corrections or adthrions, notify your Financial Advisor as soon as possible. Employment Information Employment Status Employed If you share assets with another person, the net Occupation Other worth figure here shows Occupation Industry Other your portion only, based upon instructions you Employer Name The TerraMar Project provided. Business Address 116 E 65th Street InvesbnentInformatintr City, State, Zip Code New York, NY 10065 - 7007 -W 1 This section reflects answers you woodedrelated to your investment experience. Net Worth Information market kncnvledge and other assets and is used to Annual Income Range from $200,000 - $499,999 ensure our investment recommendations are Liquid Assets (cash and marketable securities) Range from $10,000,000 AND ABOVE 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 69Z08Z6PZES Bonds None Futures None Options-Buy None 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. SDNY_GM_00009523 1 Package ID, 0115324928 CONFIDENTIAL 1 EFTA01597213 1.1011PWil0jUI luaq) uoletumjui wag) 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. SONY_GM_00009524 2 CONFIDENTIAL 2 EFTA01597214  Account Information RMA Domestic Sole Owner Your Account Please review the inkmarion Account Number about each of your accounts and nobly your Financial Account Title Ghislaine Maxwell Advisor immediately if jou have any changes or Account Address 116 E 65th Street corrections. City, State zip New York, NY 10065-7007 Fo✓ more information, please refer to the UBS Deposit Cards and Checks for this account, if requested, will 116 E 65th Street Account Sweep Prog✓am be mailed to this address: New York, NY 10065-7007 ii Disclosure Statement. Primary Account Holder Ghislaine Maxwell Pleasenote the account ask profile and investment UBS will not disclose your name, address and security objective 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 thfferent 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 Aggressive. Wilting to accept high risk to principal andhigh accounts you have now or may open in the future. volatility 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 rF Produce a Combination of Online Services (OLS) Premier- RMA / BSA Income and Capital Appreciation Investments seeking both the generation of Account Objectives and Risk Profile income and growth ofprincipal. Account Risk Profile Aggressive/Speculative A senior political official is Your answers to our profiling questions: defined as a President or Vice President Cabinet Member, Risk Tolerance High Risk Supreme Court Justice, member of the Joint Chiefs Produce a combination of income and capital Investment Objective appreciation Staff, Member of Congress or a Parliament Chairperson. Risk/Return Objectives Higher Fluctuations, Higher Returns Head o✓ Senior Leader of a major religious organization, Investment Time Horizon 7- 10 years or the like. Short-Term Liquidity Needs No Sweep Account Election Primary Sweep Fund UBS BANK USA DEPOSIT ACCOUNT Sweep Cap Election Yes 'NE 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: a Other Income Source transfer SONY G11_00009525 3 CONFIDENTIAL 3 EFTA01597215  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_00009526 4 CONFIDENTIAL 4 EFTA01597216  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, This column contains important we provide a customized approach to wealth management, built on your personal definitions applicable to our relationship with your Financial Advisor and shaped by an understanding of your needs Agreement with you and aspirations. 'Accounts" refers to all securities Known as the Client Relationship Agreement, this document outlines the terms and accounts, brokerage accounts, conditions of your relationship with us. By maintaining your Accounts at UBS, you agree to margin accounts, deposit accounts, these terns and conditions and the other agreements and disclosures we refer to here. If or other accounts you open with UBS signatures are required, please return the signed signature page in the enclosed envelope. Financial Services Inc. or UBS Financial Services Incorporated of To confirm that our records are complete, we will send you a record of the information you Puerto Rico now or in the future. give us after you open a new Account. Please review the Client Information and Account Information pages of the Completing Your Account Opening Process package and notify us promptly if there are any updates or corrections. We refer to the Client Relationship Agreement together with all other Please note: this Client Relationship Agreement applies to all of your Accounts at UBS, agreements and disclosures that we including any Accounts you may already have with us and Accounts you may open in the make available to you, and any future. You will not receive another copy of the Client Relationship Agreement or the amendments, as our 'Agreement" Agreements and Disclosures unless there are updates and amendments, or if we require with you for your Accounts. 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 We also refer to the "Completing may not apply to you now. Please retain these documents for future reference because Your Account Opening Process" they contain important information if you decide to add services or open new Accounts. package, which includes Signature Pages, optional forms and other The terms and conditions in this Client Relationship Agreement apply to all Accounts you required documents. open with UBS Financial Services Inc. or UBS Financial Services Incorporated of Puerto Rico or any other introducing broker-dealer that has a clearing agreement with UBS Financial If a Signature Page is included, please Services Inc. In addition, we will send you other agreements and disclosures for the services have all named account holders sign you choose when you open your account, as well as features you may add in the future. the Signature Page and return it to We refer to all these documents, including any amendments, as the Agreements and us in the enclosed envelope. 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 NUBS," "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 in As a UBS client, you may decide to open additional Accounts or take advantage of services this Agreement its successor firms, and account features in the future. With some exceptions, you will be able to do so subsidiaries, correspondents and without signing additional documents or agreements. Upon approval of your accounts and Affiliates, induding its parent services, we will confirm your requests in writing and provide any relevant agreements and company, UBS AG. disclosures you have not already received. Any authorization of features and services you give us will remain in effect until a reasonable time after you notify us to terminate the 'Affiliates" refers to UBS Financial feature or service. Services Incorporated of Puerto Rico It is important to note that when we act as your broker-dealer, we do not enter into a (which clears through UBS Financial fiduciary relationship with you, regardless of the fee structure you select. Except in special Services Inc.), UBS Bank USA, UBS circumstances, we are not held to the same legal standards that apply when we have a Credit Corp., UBS Trust Company, fiduciary relationship with you, as we do when providing investment advisory services. We N.A. and their insurance agency will effect transactions for your brokerage Accounts only as instructed by you, and neither affiliates and subsidiaries and all de 0269 4026 805109/29/2014 UBS Financial Services Inc. nor your Financial Advisor will have any discretion over your other subsidiaries and affiliates. Accounts. SDNY_GM_00009527 CONFIDENTIAL 5 EFTA01597217 UBS Client Relationship Agreement Representations By signing a Client Relationship Agreement, you make the following representations: Please review and verify the information about you and your • You are at least 18 years old or have reached the age of majority according to the laws Accounts in the "Completing Your of the state in which you reside and the laws of the State of New York. Account Opening Process" package. If you have questions, changes or • You have notified us if you, your spouse or any beneficial owner of the Account(s) are corrections, call your Financial or become employed by any of the following: a member firm of FINRA or other Advisor. exchange (including broker/dealer subsidiary of a bank, insurance company or other financial institution), or securities or commodities exchange or self-regulatory organization or any of their affiliated organizations or UBS's independent auditor. You agree to notify us promptly of any changes. • No one other than you, and the individuals identified to UBS in connection with the opening of the Account, has or will have an interest in your Account unless you notify us in writing and UBS Financial Services Inc. agrees to continue to carry the Account. • All of the personal and financial information you have supplied to UBS is true and accurate, and you will notify UBS promptly of any material changes, particularly the information regarding your residence, financial situation, investment objectives or tax status. • You understand that UBS provides financial and investment services only and does not provide legal or tax advice. • You represent that all reporting and tax associated obligations have been and will continue to be fulfilled with respect to any assets deposited in your Account. • If you are acting as executor, trustee, conservator, guardian or custodian: — You understand that you are a fiduciary on behalf of the beneficial owners of the Account and that you have a duty to use the services and features provided through the Account for the benefit of the beneficial owners of the Account and not for your own benefit. — You acknowledge that you will make an independent determination that any activity in the Account is suitable, complies with any investment restrictions or guidelines under applicable law and is appropriate for the beneficial owners and that the compensation we receive is reasonable. — You understand and agree that this determination is solely your responsibility and not ours. Fees and Charges de 0269 4026 8052 09/29/2014 As a client of UBS, you agree to pay all fees and charges relating to your accounts for any Please refer to the Fees and Charges transactions or services you receive from us, such as annual service fees, brokerage fees for section of the Agreements and securities transactions, fees for specific services you request and fees or charges by a third Disclosures booklet or more party that we incur in the course of providing services to you. information about fees and charges. if you have questions, please contact All fees and charges are subject to change at any time. Fees and charges will be charged to your Financial Advisor. your accounts and may be satisfied, along with any other amounts you owe us, from free credit balances, margin and other assets in any of your accounts. We may sell assets in your Account to satisfy debit balances for any amounts due, including those resulting from unpaid fees and charges. SDNY_GM_00009528 6 CONFIDENTIAL EFTA01597218  UBS Client Relationship Agreement Individual Retirement Accounts The Agreements and Disclosures booklet contains the UBS IRA Custodial Agreements and The features and fees of your IRA are the IRA Disclosure Statements that apply to any Traditional, Roth, SEP or SIMPLE Individual fully described in the Agreements Retirement Accounts (IRAs) you open with us now or in the future. If we make changes to and Disclosures booklet. the UBS IRA Custodial Agreement and the IRA Disclosure Statement we will send you updated documents, and you agree to be subject to those updated terms and conditions. Please note: UBS does not extend margin for Individual Retirement According to the UBS IRA Custodial Agreements, UBS Financial Services Inc. is named as Accounts. the custodian of your IRA when we accept the Account. At your death, the beneficiary or beneficiaries whose name(s) are shown on the Account Information pages of the Employers with a SEP IRA or SIMPLE Completing Your New Account Process package will become entitled to your IRA. UM plan for their businesses must sign a separate plan document. We Beneficiaries must be named in writing. Your written designation may apply to future accept any approved plan accounts, and in that case, we will confirm your designation in the Completing Your documents, known as prototypes, Account Opening Process package. if you do not designate beneficiaries, or your beneficiary designation does not effectively dispose of the assets, your beneficiary with whether they were produced by UBS, respect to the IRA or any part of the IRA not effectively disposed of, will be your surviving an IRS model or a document from spouse, or your estate if you do not have a surviving spouse. another provider. If you would like to use a UBS prototype, please ask for a You may be charged a Custodial Account fee in connection with this IRA. copy of the SEP IRA Plan or SIMPLE UM Man prototype document from If this IRA account is funded via transfer from another financial institution, you represent your UBS Financial Advisor. that all transfers to this account originate from (1) an IRA in the same name and of the same type (e.g. traditional, Roth), (2) an inherited IRA in the same name and of the same type, or (3) a qualified plan account which you were entitled to rollover to an IRA. You agree that if you roll over assets of a qualified plan to a UBS IRA now or in the future, you are responsible for reviewing the options available and evaluating the investment and non-investment considerations described in the enclosed IRA Rollover Disclosure. You are responsible for reviewing, understanding and making an independent decision with respect to the fees and costs associated with a UBS IRA. You also understand that none of the information provided to you by UBS or its employees about rolling over to an IRA is provided as part of any existing fiduciary relationship to your employer's plan under ERISA and that neither UBS nor its employees act as an ERISA fiduciary in supplying such information. Accounts with Cash Management Features The Agreements and Disclosures booklet contains the terms and conditions that apply to UBS offers a variety of accounts with the cash management features you may select. All requests to enroll in cash management cash management features, including features are subject to approval. We consider your continued use of your Account as your the Resource Management acceptance of the applicable terms and conditions. Account® (AMA), Business Services Account BSA® (BSA) and There are important differences in the cash management features and other services that International Resource Management are available to U.S. residents through UBS accounts and those that are available to clients Account® (IRMA®). who reside outside the US. For example, we have different sweep programs for uninvested cash and different Card programs for these accounts. This agreement and the Agreements and Disclosures booklet describe which programs apply to which types of accounts. Verbal Authorization to Upgrade or Add Cash Management Features to an Account For any account you have with us now or may open in the future, we may accept verbal Cash management features available requests to upgrade or add cash management features to your Account. Generally, we for eligible accounts include: permit any authorized person to provide verbal instructions to upgrade or add services to • Check writing your Account unless you instruct us otherwise. In some circumstances, we may ask you or • Debit cards another person who is named on the account to sign additional documents or provide • Credit cards de 0269 4027 8053 09.29/2014 additional information for those additional features. We will provide you updated terms • Rewards programs and conditions for the services you request if we have not already sent them to you or • Bill Payment another owner of the Account. We consider your use of the Account as your acceptance of • Electronic Funds Transfer the applicable terms and conditions. • Margin loans Our Sweep Options and Your Sweep Election Sweep Options' refers to the options made available by 1185 for the As a service to you, we offer options for the automatic investment or deposit of available automatic investment or deposit cash balances ("sweep") in your Accounts. Current Sweep Options include the UBS Bank ("sweep) of available cash balances SDNY_GM_00009529 CONFIDENTIAL 7 EFTA01597219 UBS Client Relationship Agreement Sweep Programs and the Sweep Funds. The available Sweep Options and their features, in your Account. Sweep Options and the eligibility of an Account for a specific Sweep Option varies by the type of Account include the UBS Bank Sweep you open, the services you select, the type of entity you are and your country of residence. Programs, the Sweep Funds, the Puerto Rico Short Term Investment We may change or discontinue our sweep service at any time, including changing the Fund, the International Deposit terms and conditions of the sweep service and adding or discontinuing specific Sweep Account Sweep Program and any Options. We may establish criteria for Sweep Options offered to different clients, including, other sweep investments we may but not limited to, establishing minimum asset requirements for clients to qualify for make available from time to time for specific Sweep Options. eligible Accounts. By signing this Client Relationship Agreement you authorize and direct us to deposit or 'Sweep Funds" refers to one or more invest your available cash balances on each business day in your Sweep Option and to of the UBS money market funds withdraw your funds from, or liquidate your shares in your Sweep Option, as described in made available as a Sweep Option. this section and in the General Terms and Conditions in the Agreements and Disclosures booklet, and any amendments. As set forth in the Introduction above, such authorization Sweep Funds are described in the applies to all of your Accounts at UBS, including any Accounts you may open in the future. respective prospectuses for the UBS RMA Funds, UBS Cashfund, UBS If we have not received such authorization from you, under applicable law we may not be Retirement Money Market Funds and permitted to begin sweeping your available cash balances into your Sweep Option or, if we the UBS Select Capital Money Market have begun sweeping your available cash balances, we may be required to stop. If Funds. available cash balances in your Account are not swept for any reason, available cash balances will not be invested, and we are not required to pay you interest on cash balances in your Account. Please refer to the UBS Bank Sweep Programs Disclosure Statement for a description of the The 'UBS Bank Sweep Programs' eligibility requirements for the UBS Bank Sweep Programs. If your Account is not eligible collectively refers to the UBS Deposit for the UBS Bank Sweep Programs, you may select an available Sweep Fund as the Sweep Account Sweep Program (the Option for your Account. 'Deposit Program') and the UBS Business Account Sweep Program For Accounts eligible for one of the UBS Bank Sweep Programs, unless you are eligible for (the 'Business Program') as more and select an available tax-advantaged Sweep Fund, your Sweep Option will be one of the fully described in the UBS Bank UBS Bank Sweep Programs. Sweep Programs Disclosure Statement. In general, most clients with a Resource Management Account® (RMA®), Individual Retirement Account (IRA), Basic Investment Account, Business Services Account® (BSA®), UBS Bank USA (Member FDIC) ('Bank Coverdell Education Savings Account and certain Investment Advisory Accounts will be eligible for one of the UBS Bank Sweep Programs. Eligibility is based primarily upon the USA,,is an FDIC-member bank type of client. Most non-business clients and employee benefit plans qualified under affiliate of UBS. Section 401(a) or Section 403(bX7) of the Internal Revenue Code of 1986, as amended, or under any other employee retirement or welfare plan subject to the Employee Retirement UBSAG, Stamford Branch ("AG Income Security Act of 1974, as amended (ERISA) (Plans) are eligible for the Deposit Stamford Branch") is a US branch of Program. In cases where a participant in a Plan has established a Securities Account for UBSAG, a Swiss Bank that is the purposes of participation in the Plan (each a Plan Participant), the Plan Participant will be parent of UBS Financial Services Inc. eligible for the Deposit Program. Most business clients are eligible for the Business and UBS Financial Services Program. Incorporated of Puerto Rico. de 0269 4027 8054 09/29/2014 The UBS Bank Sweep Programs For clients other than Plans and Plan