EFTA01274015.pdf

UBS UBS Financial Senrices tic 299 Park Avenue 25th Floor UBS Strategic Advisor New York NY 10171.0002 October 2015 C7P70057752631015 Y1 0 GHISLANE MAXWELL NEW YORK NY 10065.7007 Account name: GHISLANE MAXWELL Friendly account name: Account number: Your Financial Advisor: SCOTT STACK MANILYLE CASRIEL Phone. 2 12.821.700D/ 800-308-3140 Questions about your statement? Call your Fir-tan:G. Advisor or the Value of your account RMA ResourCeline at 800-RMA- I 000, on September 30 (f) on October 30 (1) account 029373570 Your assets 953,860.43 961,394.81 Visltourwebsite: Your liabilities 0.00 0.00 envw.ubscomIlinancialsetwes Value of your account 3953,860.43 $961,394.81 Sources of your account growth Tracking the value of your account during 2015 Value of your account 1 Thousands at year end 2014 S967.050.04 967.1 961.4 Net deposits and 9539 vathdrarvals -35,507.15 Your flues lent return Dividend and interest income 519299.64 Chance in market value .519.447 72 Value of your secant on Oct 30, 2015 8961394.81 Dec 2014 Sep 2015 act 2015 SDNY GM 00021188 Member 51k 0010003005725263NP1000189496 00003 10I 0305 J00000 Pap 1 of 10 CONFIDENTIAL EFTA_00131808 EFTA01274015 SUBS UBS Strategic Advisor October 2015 Account name: Friendly account name Account number: GHISLAINE MAXWELL Your n sandal Advisor. SCOTT STACK MANLYLE CASRIEL 212-821.7030/800-308-3140 Your account balance sheet Summary of your assets Value on Percentage of October 30 ($) your account • Cash and money balances may include A Cash and money balances 126.78 001% Your current asset allocation available cash balances. VEIS Bank USA deposit B Cash alternatives 0.00 0 00% account balances, VBS AG Stamford Branch deposit account balances and money market C Equities 0.00 0 00% mutual fund sweep balances See the Important information about your statement on the last D Fixed income 961,268.03 9999% two pages of this statement for details about those balances E Non-traditional 0.00 000% F Commodities 0.C0 000% G Other a00 000% Total assets $961,394.81 100.00% D Value of your account $961,394.81 Eye on the markets Percentage change Index October 2015 Year to date S&P 500 8.44% 2.70% Russell 3000 7.90% 2.02% MSC I - Europe, Australia & 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% CNP700000$725264 NPT0C0169496 C0033 MIS 030579004 afty_Gm_ 000219no 2 of to CONFIDENTIAL EFTA_00131809 EFTA01274016  UBS Strategic Advisor Account name: Your Finandal Advisor: UBS c,!.,,..r, Friendly account name Account number. SCOTT STACK MAN/ LYLE CASFOEL 212-821-7OOO18OO-3O8-314O Change in the value of your account Summary of gains and losses Values reported below exclude pooduds for which gars and tosses are root &stifled. October 2015 (V Year to date (S) Realized gain and losses Unrealized Opening account value $953,860.43 $967,050.04 October 2015 (5) Year to date ($) gains and bsses (5) Deposits, including investments transferred in 1,300.00 2,600.00 Short term 0.00 0.00 -486.26 Withckawals and fees, Long term 0.00 0.00 -39,065.66 including investments transferred Total $0.00 $0.00 -$39,551.92 out -1,202.12 -8,107.15 Dividend and interest income 1,762.21 19,299.64 Change in market value 5,674.29 -19,447.72 Cash activity summary See Account scarify Ma month for dela Is. Balances on your Sweep Options are includedin the opening and Closing account value $961,394.81 $961,394.81 closing balances weir. PDC Insurance apples only to deposits a UBS Balk USA, not to deposits a urn AG. Stamford Ranch or bank deposits paced through the was internecond Depose Account pogrom SIPC protection *Om to money market sweep find holdings but rot baud deposits. Se•Important inbanation Dividend and interest income earned about your statement on the tat two pars d this document for ate's. October 2015 (5) Year to date (S) For purposes or tin statement, taatoty of interest ano drnu:Sena income has been determined from a US Opening balances $0.00 $5,184.25 tar reporting perspective. Bored upon the residence of the account horded actuate type, or product ton, some interest ands dvidend payments may not be subject to United States (US) ardor Puerto Rico (FR) AcIdkions Income MOS. the dent moat*/ statement is riot intended 10 be used and tempt be died ut0n for tar purposes. Clients should refer to the apical, tar reporting foam they recent ficm UBS smugly, such as Deposits and other funds credited 1,300.00 2,600.00 the Forms 1099 and the Fan en for tax reporting Information_ It Is the practice of u85 to file the applicode ten reporting forms with the u5 mterna Revenue Service and PR Treasury Depanrrent and in Dividend aid interest income 1,762.21 19,299.64 such farm accurately clarify thicket& ardor Interest mum tempt a tante encore. nerve consult yea inchadual tar prepare,. Total additions $3,062.21 $21,899.64 October 2015 (51 Year to date (5) Subtractions Taxable dividends 1,762.21 17,894.70 Professional management fees and related services -1,202.12 -4,831.62 Taxable interest 0.00 0.48 Other funds debited 0.00 -3,275.53 Total current year $1,762.21 $17,895.18 Funds withdrawn for investments Prior year adjustment 0.00 1,404.46 bought -1,733.31 -18,849.96 Total dividend & interest $1,762.21 $19,299.64 Total subtractions 4Z935.43 -$26,957.11 Net cash flow $126.78 -$5,057.47 Closing balances $126.78 $126.78 SONY GM 00021190 O/F7O0O3OO572526S NPTOCOI69496 C0C03 1015 O3O5790O4 000000 Peg 10 CONFIDENTIAL EFTA 00131810 EFTA01274017  Account name: G41,1 h1AYv,En *UBS UBS Strategic Advisor October 2015 friendly account name: Account number. Your 14 nenciel Advisor SCOTT STACK MANLYLE CASRIEL 212 821.7000/800 308 3140 UBS Bank USA Deposit Account APY Interest Period Sep 8 - Oct 6 Opening UBS Bank USA Deposit balance Sep 8 80.00 Closing UBS Bank USA Deposit balance Oct 6 1.28.90 Number of days an interest period 29 Average daily balance 84.98 Interest earned $0.00 Annual percentage yield earned 000% Your investment objectives: You have identified the following investment objectives for this account If you have questions about these objectwes, disagree with them, or wish to change them, please contact your financial Advisor or Branch Manager. You can find a full description of the alternative investment objectives in important information about your srarementat the end of this document Your return objective: Current income & capital appreciation Your risk profile: Primary - moderate InveStment consderat,on None selected Your account instructions • Vote account cost basis default closing method is FIFO, First In, First Out CNP7C002)305725266NP70C0169496 C0033 1015 03057500e N ‘i_0002illsge 4 of 10 CONFIDENTIAL EFTA_00131811 EFTA01274018  T UBS Strategic Advisor October 2015 Account name: Friendly account name: Account number. reamsWELL Your Pi sandal Advisor: SCOTT STACKMANLYLE CASILEL 212-821-7000/800-308-3140 Your assets Some aloes, income and current vaues ShOren may be EpproxiMale. AS a tout gam and losses may not be accurately refkcled. See Assonant intouttabon about your statement a the end of this dxumeM for more information. Cash Cash and money balances Cast, and money balances may include. avalaole cash balances, UBS Bar* USA deport account balances, UBS AG Stallard Branch deposit account balances and money market mutual fund sweep balances. UBS Bank USA deposit account balances are insured by the WC vAlhn applicable limits, but are not protected by StPC UBS AG Stanford Branchdeposit account balances an not insured by FDIC and are not protected by 9PC Money market sweep balances are protected by SPC but are not insured by the FDIC. See the rmportant information about your statement at the end of this document for details about those balances. °oven; blame Cloung Wax, enterer share Average [addend merest Days n ricking on Od (t.) on Oct 30 (I) on Oct 30(0 rate period period capmount (S) UBS BANK USA CEP ACCT 0.00 126.78 250.000 00 Fixed income Mutual funds Totat remyested n the rota of al remvested dew:ends. n does rot include any cash dace rods. it is not a times tied (far) gam or loss is the dfference between the current value and the cost tem and wooed tat lot for the purposes of determinng hddng periods or cost bass. The shares you receive each time you ger*ray be your taxa:de gam a loss if the security was sold on this date. toe unreal's Oar/gin a loss may reinvest dudends become a separate tax lot. need to be a:lusted for return of captal payments in Ceder to determine the realized gun or loss for tax reporting purposes Cost basis is the iota purchase cost of the security, indudng renvesteddodends The cost basis may need to be alusted for return d caotal payments in order to idetennne the alwedcost bass for tax investment return rSIteCurrent in% ue innus the amount you invested a *XS na MCI wit shares that are not reporting purposes. reflected on you statement, indudng shares that hat been ttaited as either a gain or a MS 11 Modes not include cash dmidends that were not reinvested PurchaSe DMV learner Average ace Client COSI PriCe Per Share Value on Unrealized(tro) toestment Radix; HdOng of shares PeI Shale (1) investment 0/ basis (S) on Oct 30 (1) Oct 30 0) gain or loss (1) return (1) Period 81ACKROCK STRATEGIC INCOME I Symbol*. BSIIX Trade date: Sep 26, 14 15,825.243 10.299 163,000.00 163,000 00 9.970 157,777.67 -5,222.33 LT Total reinvested 627359 10.134 6360.02 9.970 6256.76 -103.26 EAI: 43.587 Current yield. 2 t9% Security tote/ 16,452.802 10.294 163.00000 169,360.02 164,034.43 -5,325.59 1,034.43 continued next page SDNY GM 00021192 C HP700(0305775767 NP7003t$9496 00033 1015 030579004 03000 Page 5 ot 10 CONFIDENTIAL EFTA 00131812 EFTA01274019 *U BS U BS Strategic Advisor Account name: '3HIRAINE Nikl1A EtL Your Acanthi Advisor. Friendly account name SCOTT STACK MANLYLE CASRIEL October 2015 Account number. 212.82l-7000!800.308.3140 Your assets . Fixed income . Mutual funds (continued) Purchase price' Number Average pce Client Cost Price per share Value on Unmake:I064 Imestment Holding Huang of shares per sham (5) investment (5) bath(!) on Oct 30(S) Oct 30 (S) eon or loss(!) mturn (I) period DOUBLE UNE TOTAL RETURN FUND INSTL Symbol. DOLTX Trade date, /an 29, 13 4,490.660 11.379 51,103.71 51,10331 10.880 48,85838 -224533 LT Total reinvested 343.638 10.967 3,76830 10.880 3,738.78 -29.92 EAI: 42,190 Current yield: 4.16% Security total 4.834.298 11.351 51,103.71 54,872.41 52,597.16 -2,275.25 1,493.4$ EATON VANCE FLOATING RATE FUND I Symbol. EIBV Trade date: /an 29, 13 5,463.943 9.180 50,159.00 50,159.00 8.680 47,427.03 -2,731.97 LT Trade date: /an 21, 14 2.727.687 9.210 25,122.00 25,122.00 8.680 23,676.32 -1,44538 LT Total reinvested 544.248 9.000 4,898.31 a680 4,724.07 -174.24 EAI: 43,136 Current yield: 4.14% Security total 8,735.878 9.178 75281.00 8017931 75,82742 4,351.89 546.42 GOLDMAN SACHS STRATEGIC INCOME CL I Symbol: GSZIX Trade date: lun 24, 13 4,731.710 10.469 49,541.00 49,54 I .00 9.920 46,938.56 -2,602.44 LT Trade date: Sep 3, 13 1,874.976 10.470 19,631.00 19,631.00 9.920 18,599.76 -1,031.24 LT Trade date: on 2, 13 2,068.768 10.469 21,660.00 21,660.00 9.920 20,522.18 -1,137.82 LT Trade date: Ain 21, 14 4,790.169 10.679 51,159.00 51.159.00 9.920 47,518.47 -3,640.53 LT Total reinvested 715.908 10.293 7,369.33 9.920 7,101.81 -267.52 EAI: 44368 Current yield: 3.03% Security total 14,181.531 10.532 141,991.00 149,360.33 140,680.78 .8,679.55 •I,310.22 FISBC TOTAL RETURN FUND CLASS I Symbol: BIRD( Trade date: /an 29, 13 4,824.198 10.290 49,641.00 49,641.00 10.220 49303.30 -337.70 LT Trade date: Bun 27, 13 955.868 9.969 9,530.00 9,530.00 10.220 9,768.97 23&97 LT EAI: 41,087 Current yield: 1.84% ogetinved next page CNP70009005725268 NP7000189496 00003 10I 5 03057600eY_GM_00021%e 6 Of 10 CONFIDENTIAL EFTA_001131813 EFTA01274020  UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Finandal Advisor: T sober 2015 Friendly account nome:1 SCOTT STACK MAN LYLE CASRIEL Account number. 212-821-7000/800-308-3140 Your assets a Fixed income a Mutual funds (corionueD Purchase pow Number Average price Client Cost Price per share value on Unrealized CM investment NolcIng Wiring of sharesper share (I) inaeStmern basis 01 on Oct 3001 Oct 30 (1) gain or loss (I) return 01 Period Security total 5,780.066 10.237 59,171.00 59,171.00 59,072.27 -98.73 68.73 JP MORGAN STRATEGIC INCOME OPPORTUNITIES FUND CLASS S Symbol. )SOSX Trade date: Jan 29, 13 10,517.975 11.949 125.689.80 125,689.80 11.420 120,115.26 -5,574.54 LT Total reinvested 431348 11.701 5047.21 11.420 4,925.99 -121.22 (Al: $3,624 Current yield: 2.90% Security total 10,949.323 11.940 125,689.80 130,737.01 125,041.26 -5,69536 -648.55 JPMORGAN UNCONSTRAINED CEBT FUNDCLASS SELECT Symbol' JSISX Trade date: Jan 29, 13 9,651.542 10.260 99,024.83 99,024.83 9.790 94,488.60 -4,53623 LT Total reinvested 696.825 10.072 7,018.88 9.790 6,821.92 -196% EAI: $5,122 Current yield: 5.06% Security total 10,348.367 10.247 99,024.83 106,043.71 101,310.51 -4,733.19 2285.69 PRUDENTIAL ABSOLUTE RETURN BOND FUND 2 Symbol: PADZX Trade date: Jan 29, 13 7,400.957 10.046 74,351.21 74,351.21 9.520 70,457.11 -3,694.10 LT Trade date: Oct 2. 13 2209.898 9.799 21,656.11 21,656.11 9.520 21,038.23 -617.88 LT Total reinvested 483.450 9.781 4,729.01 9.520 4,602.44 -12657 EAI: 12,372 Current yield: 2.47% Security total 10,094.305 9.%0 96,007.32 100,736.33 96,097.78 -4,63855 90.46 R8C BWEBAY ABSOLUTE RETURN FUNDCLASS I Symbol. RBARX Trade date. Jan 29, 13 12,911.799 10.164 131239.70 131239.70 9.910 127,955.92 -3,283.78 LT Trade date: Sep 24, 13 1,881.988 10.159 19,120.13 19,120.13 9.910 18,650.50 -469.63 LT EAI: 1429 Current yield 0.29% Security total 14,793.787 10.164 150,35%83 150,35983 146,606.42 -3,753,41 -3,753.41 continued next page DNY GM 00021194 CNP70003005775269NP7000169496000:0 1015 0305 Page 7 of 10 CONFIDENTIAL EFTA_001 3 1814 EFTA01274021 SUBS UBS Strategic Advisor October 2015 Account name: Friendly account naml Account number: GHISLAINE MAXWELL Your A sandal Advisor: SCOTT STACK MANLYLE CASRIEL 212.82l.7000/800-308.3140 Moir asse:s Fixed income . Mutual funds (continued) Purchase price' Number Angara price Client Cost Price per sham value on unrealized044 irnesiment HolcIng of shares anthem (D mnstrnen1 Oath (1) on Oct 30(1) Oct go (3) coin or loss (S) return (I) Paned Total $961.628.49 61,000,81995 6961,260.03 439,551.92 4360.46 Total e:timat ad annual income: 525.815 Your total assets Percentage d Cost Estimated Unrealized Value on Oct 30(S/ your account basis ($1 annual income ID clan or loss (5) Cash Cash and money balances 126.23 0.01% 126.73 Axed income Mutual funds 961268.03 9919% 1,000119.95 25,815.00 -39551.92 Total $961,394.81 100.00% 61,000,946.73 225,815.00 439,551.92 Account activity this month Date Whiny Description Amount Deposits end other funds audited Oct 20 Transfer FM Y1 23575 0100 1,300.00 Total deposits and other funds credited $1,300.00 Date Actlety DeX eralen AnOunt Dividend and interestbiome Taxable dmclends Oct I Dvidend EATON VANCE FLOATING RATE FUND I AS OF 0930115 258.36 Oct 1 Dvidend 8LACKROO: STRATEGIC INCOME I AS Of Cling15 250.38 Oct 1 Dvidend DOUBLE UNE TOTAL RETURN FUND INSTL AS OF 0930'15 176.41 Oct 1 Dvidend GOLDMAN SACHS STRATEGIC INCOME CL I AS OF 0930/15 312.58 Oct 1 Dvidend PRUDENTIAL ABSOLUTE RETURN BOND FUND Z AS OF 0930115 188.79 Oct 1 Dvidend HS8C TOTAL RETURN FUND CLASS I 28.90 Oct 29 Dvidend JP MORGAN STRATEGIC INCOME OPPORTUNITIES FUND CLASS S 371.17 Oct 29 Dvidend JPMORGAN UNCONSTRAINED CCU FUND CLASS SELECT 175.62 Total taxable dividends $1.76231 Total dividend and interest income 61.76231 Dare ACIlaty oescrotion Amount a) Fees Oct 23 Fee Charged QUARTERLY FEE .1,202.12 Total professional management fees 41.202.12 CNP70009005725270NP7CC0103496 00003 1015 030575004 eightlYGM00021,118 8 of 10 CONFIDENTIAL EFTA_0013 ISIS EFTA01274022  UBS Strategic Advisor Account name: GH1SLAINE MAXWELL Your Maandal Advisor: (SUBS October 2015 Friendly account na7 Account number. SCOTT STACKMANLYLE CASRIEL 212-821-7030/ 800-308-3140 Account activity this month (contrived) Investment transactions For iron I nformalon &OA roe price/Wm shown for rendoed securities, see important Informaion about your tram/rent at the end of this document. Proceeds Iran Funds investment nfthdrawn fa Accrued Cute Actnite Desolation Ouamity Vi..(t) Price CP Han/actions (I) investments 60001(9 intoned CO Oct I Reinvestment EATON VANCE FLOATING RATE FUN) I 29.697 -258.36 DIVIDEND REINVESTED AT 8.70 NAY ON 09/ 3i3f 15 AS OF 0930fI5 Oct 1 Reinvestment BLACKROCK STRATEGIC NCOME I DIVIDEND 25.215 -250.38 REINVESTED AT 993 NAV ON 091301S AS OF 09015 Oct 1 Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL 16.125 -176.41 DIVIDEND REINVESTED AT 10.94 NAV ON 0930,15 AS OF 0930115 Oct 1 Reinvestment GOLDMAN SACHS STRATEGIC INCOME CL I 31.638 -312.58 DIVIDEND REINVESTED AT 9.88 NAV ON 093015 AS OF 0930'15 Oct 1 Reinvestment PRUDENTIAL ABSOLUTE RETURN BOND FUND 2 19.978 -188.79 DVIDEND REINVESTED AT 9.45 NAV ON 09 30,15 AS OF 0930'15 Oct 29 Reinvestment .IP MORGAN STRATEGIC INCOME 32.502 -371.17 OPPORTUNMES FUK) CLASS S DIVIDEND REINVESTED AT 11.42 NAV ON 10128i IS Oct 29 Reinvestment WMORGAN UNCONSTRAINED DEBT FUND 17.920 •175.62 CLASS SELECT DIVIDEND REINVESTED AT 9.80 NAV ON 10/2E/15 Total -S1.733.31 Date Activity Descopton Amount (S) Money balance activities Sap 30 Balance forward 80.00 Oct 2 Deposit UBS BANK USA DEPOSIT ACCOUNT 28.90 Oct 21 Deposit UBS RANK USA DEPOSIT ACCOUNT I 3C0.00 Oct 26 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 10,23115 -1202.12 0a30 Closing UBS Bank USA Depont Account 8126.78 The URS Rant USA Depont Account is your primary sweep Anion SONY GM 00021196 CNP70003005725271 NM000189496 ODOM 1015 0305750d =000000 Page 9 of t0 CONFIDENTIAL EFTA 00131816 EFTA01274023 *UBS Your notes Entl of suremmt for account number Y1 335 CONFIDENTIAL EFTA,I31817 EFTA01274024  Important information about your statement UBS Fora Sent; Inc (Pa Fa or Un uncial Seam/ The Firn or Cad Mar sal nstrigatts vetoes:a-plant and hotia on thebrats and records of tie agolcable ins a ervatem —you nay dant households,' bye:erg your Is a rater of al prnmalsecunty. CalthOdsty aid Woos cortect any era protoptly troth( nen°. Enema Adroor odurges UBSF newel Sauces and UK Bank I.PM, se indeed subpar:Hof urn AG and Milian of LEIS Sagan Plea woke al decks payee to the Furor the finale • Cowin wentenew contra or northern thorns to 6. Primal/ mount ream u.0 %Ora fnantia fl an it eatable iron repass nuenen ndcaed on te from of this shiseme