EFTA01278351.pdf

UBS Financial Services Inc Retirement Account Private Wealth Management *UBS 299 Park Avenue 25th Floor UBS Strategic Advisor New York NY 10171.0002 June 2017 0470065845870617 X1245 Y1 0 HIS AN MAXWELL RA Account namC GHIELANE MAXWELL IRA Friendly account name: Incliv: IRA Account type: Individual Retirement Account Account number. Your linandal Advisor. SCOTT STACKMAN/LYLE CASRIEL Phone: Questions about your statement? Value of your account Call your Financial Advisor or the on May 31 (S) on lune 30 ($) RMA ResourceUne at 800-RMA-1000, Your assets 57,51472 57,507.24 account 02%23697. Your liabilities 0.00 0.00 lAsit our website: Value of your account 557,514.72 557,507.24 v••wwobscomtfinancialseivices Items for your attention For information about our fees, charges and compensation, please see Sources of your conunt growth ubscom/guidetofees and atis.comfaccoasildisclosures Tracking the value of your account during 2017 Value of your account S 75c Lr,30CS at year end 2016 $57,165,97 Net deposits and 57 0 570 572 57.5 57.5 withdrawals -$173.89 f i • • • Your nvestrnent return Dividendan:I interest income 5360.33 Change in market vat* $15493 Value of year arcane imam 30, 2017 07507.24 Dec 2014 Dec 2015 Dec 2016 may 2017 tun 2017 SONY GM 00028824 Member SIPC 0010000306584587 Nn7000306478 00004 0617 030575004 110110 Page 1 of 8 CONFIDENTIAL EFTA_00137444 EFTA01278351  Account name: GHISLAINE MAXWELL IRA *UBS UBS Strategic Advisor lune 2017 Friendly account nome:Indiv IRA Account type: Individual Retirement Account Your 14 asocial Advisor. SCOTT STACK MANLYLE CASRIEL Account number: Your account balance sheet Summary of your assets Value on Percentage of lune 30181 your account • Cash and money balances may include A Cash and money balances 1,949.11 3.39% Your current asset allocation available cash balances. UBS Bank VSA deposit B Cash alternatives 0.00 0.00% account. UBS NYC insured Deposit Program Bank A 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 55,558.13 96 61% about mu statement on the last two pages of this statement for deals about those balances: E Non-traditional 0.00 000% F Commodities 0.00 000% G Other 000% Total assets 157,507.24 100.00% D Value of your account $57,507.24 Eye on the markets Percentage change Index lune 2017 Year to date S&P 500 0.62% 9.34% Russell 3000 0.90% 8.93% MSC I - Europe, Australia & Far East -0.15% 14.23% Barclays Capital U.S. Aggregate Bond Index -0.10% 2.27% Interest rates on June 30, 2017 3-month Treasury bills: 1.00% One-month LIBOR: 1.22% CUP700C6006594588NP70003054213 00004 0617 030575004 11tORIYGM000268fte 2 of 8 CONFIDENTIAL EFTA_00137445 EFTA01278352  GHISLAINE MAXWELL IRA UBS Strategic Advisor Account name: Your Financial Advisor: (SUBS June 2017 Friendly account nairete:Indie IRA Account type: Account number. Indistdual Retirement Account SCOTT STACK MAN LYLE CASRIEL Change in the value of your account Summary of gains and losses Year to date (S) Values reported below exclude products for which gam and losses are not classified. lore 2017 (S) Realized gains and losses Unrealized Opening account value $57,514.72 $57,165.97 June 2017 (5) Year to date IS) gains and losses (3) Withckawals and fees, including investments transferred Short term 000 0.00 83.81 out 0.00 -173.89 Long term 0.00 -667.75 -290.98 Dividend and interest income 95.54 360.33 Total $0.00 -$667.75 -$207.17 Change in market value -103.02 154.83 Closing account value $57,507.24 $57,507.24 Cash activity summary See Account acMiry the; month for detaIs &James In your Sweep Options are ind udedIn the openng and Dividend and interest income earned closing bdances wive. FDIC insurance apples to deposits at UBS Bank USA and all bards pstripaling in the UBS FDIC insured Deposit Program. it duet not nopty to deposits at 1185 AG. SI anford parch or bank &posits placed !Novo the ur3S internaiona Deposit Account program sec protection apple to money For outposts of iris statement, tastlfity of inkiest and dnidend Income has been determined Iran a US nano sweep fund holdngs tail not bank deposils Sit important information about your statement on the tax reporting perpeclive. Bawd upon the residence of the account holder, account type, or product type, last two pages of INS Caumenl for details some interest angry dvicend payments may not be subject to United States (US) ardor Puerto Rico (PR) income tines The (tent monthly statement is not intended to De used and caroot be reSed upon for talc June 2017 IS) Year 10 date (5) purposes. Clients should refer to the applkade lap reporting forms they receive from 035 annualy, such as Opening balances $1,949.11 598.00 the Forms 1099 and the RCM 493, 10 MX reporting information It is the woke of UBS to file the aophcaUe 10 reporting forms vAth the US Mterni Revenue Service and PR Treasury Crepartreent, and in suchforms accurately classify dwdends and or Interest as tat eLerept or tacit* income. pease cumuli your Additions indwdual lax preparer. Dividend and interest income 95.54 360.33 June 2017 (3) Year to date (S) Proceeds from investment transactions 0.00 38,025.00 Dividends 95.54 360.33 Total additions 595.54 $38,385.33 Total current year 595.54 $360.33 Subtractions Total dividend & interest $95.54 $360.33 Professional management fees and related services 000 -173.89 Funds wthdrawn for investments bought -95 54 -36,360.33 Total subtractions -595.54 -$36,534.22 Net cash flow $0.00 41,851.11 Closing balances 51,949.11 41,949.11 SDNY GM 00026826 OW 71:009305584989 NV7003305428 00034 0617 030575004 110110 ►aye 3 of 8 CONFIDENTIAL EFTA_00137446 EFTA01278353  Account name: GHISLAINE MAXWELL IRA UBS UBS Strategic Advisor lune 2017 Friendly account name:Indio IRA Account type: Indiwdual Retirement Account Your lq sandal Advisor: SCOTT STACK MAMLYLE CASRIEL Account number. UBS Bank USA Deposit Account APY Retirement services information Interest Period May 5 - Jun 6 Beneficiaries you've named for this account Opening UBS Bank USA Deposit balance May 5 $1,949.11 Inc oenetcones idled below reflect the information in our records as of the end of this statement period if this information is not correct. or you wish to change you beneficiarieS, Closing UBS Bank USA Deposit balance tun 6 $1,949.11 please contact your financial Advisor Beneficiary changes are not effective unless you give Number of days in interest period 33 them to us in writing and we accept them if you live in a community property state, your beneficiary designation may be subject to community property laws. Average daily balance $1,949.11 Percentage Beneficiary Contingent beneficiaries Interest earned $0.00 100.00% (100.00%) Annual percentage yield earned 0.00% Your investment objectives: You have identified the following investment objectives for this account IF you have questions about these objectives, disagree with them, or wish to change them, please contact your France' Advisor or Branch Manager. You can find a full description of the alternative investment objectives in Important information about your sratemenrat the end of this document. Your return objective: Current income &capital appreciation Your risk profile: Primary moderate investment eligibility conederation None selected Your account instructions • UBS Financial Services Inc is your IRA custodian • Your account cost basis default closing method is FIFO, First In, First Out. CNP7000B006584590 NP7000306a2$ COON 06il 7 03025004 I I CkliLYGM000268P/f9e 4 of 8 CONFIDENTIAL EFTA_00I 37447 EFTA01278354  GHISLA1NE MAXWELL IRA SUBS UBS Strategic Advisor Account name: Your Pi amide' Advisor: Friendly account name:Indiv IRA SCOTT STACK MAINYLYLE CASRIEL June 2017 Account type: Indimdual Retirement Account Account number. Your assets Some prices, income and current 'raves shorn may be Eppinkkevale. AS a MUM. gam at losses ma/ mat be &widely refkaed. Set rmporunt intosenefron Stour your statement a the end of this dxurnem for more infornsion. Cash Cash and money balances Cash and money balances may include avatar& cash balances, UBS Bant USA deposit account balances, tin Balk USA and 81 U85 FDIC insured Pregame-kik depOSit account eclat-KO are injured by the FDIC within UBS FDIC Insured Rogan Sank Balances, UBS AG Stamford Branch deposit account balances and money applicabse lints, but ale not protected by 51K. LISS AG Stanford Brant n deposit account bclances me not insured market mut ud fund sweep balances. by FCC and are not protected by 51K. Money market sweep balances are protected by SIPC but me not Insured by the FDIC See the important information about nor statement at the end of this document for details about those balances. coenngbaance ciosing baaxe Price per share Average Dradend Interest Dall on Hddng on Jun 1(S) on Jun 30(S) on Jun 30(1) rare period period cep amount (1) U8S BANK USA DEP ACCT 1,949 1 1 1,949.11 250,000.00 Fixed income Mutual funds Total reinvested is the iota d al reinvested &Mends II does rot include any cash dividends. It is not a Unreake0 (fmggain or las is the dfference between the current vaue and the cost bail and would tax lot for the purposes of determinng hddrng weds or cost Nos. The shares you receive each time you generally be >Our legatee gara IOSS rf the security war sold en INS date The urrearzed (tax) gan Cr loss may reinvest clvdenCt beCOMe 8separate tax 101. need 10 be adusted for return of capita payments in order to detemv ne the realized gain or loss fa tar Cost baso is the total purchase cost of the Security. irkludng wnested eked:lends The cost basis may reporting purposes need to be adusted for return id capital payments in order to detemine the ak tnted cost basis for tax investment return is the current vaue (nous the amount you invested. K does net Incl We shares that are not reporting purposes. reflected on your statement, inducing shares then hare been realized 46 either a gain or a 1055 it also does me include cash dudends that were not reinvested Purchase Sancti Water Average peke Client Cost Price per shak Value on Unrealized dad trnestmed Hcidn; Hddng of shares per share (4) investment (1) basis (4) on Jun 30(4) Jun 30(S) gain or loss (S) return (5) period DOUBLE LINE TOTAL RETURN FUND INSTL Symbol" DOLTX Trade date: Mar 31, 17 1,693.321 10.629 18,000.00 18,000.00 10.680 18,084.67 84.67 57 Total reinvested 10.40) 10.70$ 111.34 10.680 111.07 -0.27 EM: $681 Current yield 3.74% Security total 1,703.721 10.630 18,000.00 18,11134 18,195.74 84.40 195.74 JP MORGAN SHORT DURATION BOND FUND CLASS i contmed next page SDNY GM 00026828 OW70003006584591 NP7003305428 00004 C6l 7 030575004 110110 Pap S of 8 CONFIDENTIAL EFTA_00137448 EFTA01278355 SUBS UBS Strategic Advisor lune 2017 Account name: OHISLAINE MAXWELL IRA Friendly account name:Indiv IRA Account type: Account number: Individual Retirement Account Your Ignandel Advisor: SCOTT STACK MAMLYLE CASRIEL Your assets . Fixed income . Mutual funds (continued) Purchase DOW Writer Average price Client Cost Price per share value on Unrealized Rae imestment lioldng Hddng of shares pat sham (1) investment d) bask (1) on Jun 30(1) km 30 (S) spinorion (1) return (5) period Symbol: KLUX Total reinvested 1,784.671 10.993 19,619.54 10.830 19,327.98 .291.56 19,327.98 EAI: 1193 Current yield 1.00% PUTNAM SHORT DURATION INCOME FUND Y Symbol: PSDYX Trade date: Mar 31, 17 1,789.264 10.060 18,060.00 18,000.00 10.060 17,999.99 -0.01 ST Total reinvested 3.421 10.061 34.42 10.060 34.42 EAI: 4177 Current yield 098% Security total 1,792.685 10.060 18,000.00 18,034.42 18,034.41 -0.01 34.41 Total $36,000.00 $55,76530 $55,558.13 -$207.17 $19,558.13 Total estimated annual income: $1.051 Your total asset rekemege or Colt Estimated unrealized Value on /on 30 (S) your account b31,5 (S) annual income (51 on or loss (S) Cash Cash and money balances 1,949.11 339% 1,949.11 Fixed income Mutual funds 55,558.13 96.61% 55,765.30 1,051.00 -207.17 Total $57,507.24 100.00% 557,714.41 51,051.00 -$207.17 Account activity this month Dale Acthity Desert/lion Amount a) Dividend and interest income DRodyrde Jun I Dividend DOUBLE UNE TOTAL RETURN FIND INSTL AS OF 0931/17 57.55 SYMBOL DBLTX Jun 1 Dividend PUTNAM SNORT DURATION INCOME FUNDY AS OF 0931/17 18.41 SYMBOL PSDYX Jun 29 Dividend JP MORGAN SHORT DURATION BOND FUND CLASS I 19.58 SYMBOL HILVX Total dividends $9534 Total dividend and interest income $9534 CNP700030OS594592NP7003305428 00004 0617 030675004 I ItIlliY_GM_0002682Vie 6 of 8 CONFIDENTIAL EFTA_00137449 EFTA01278356  Account name: GHISLAINE MAXWELL IRA UBS Strategic Advisor Your Pi sandal Advisor: *UBS June 2017 Friendly account new*:Indiy. IRA Account type: Account number. Indivbdual Retirement Account SCOTT STACK MAN/LYLE CASRIEL Account activity this month (ontinued) Investment transactions for mate Information stout tne priced value shown or restricted securities, see ttoportant Informaion gout your freemen: a the end of inn Oscunent noceeds Iron Funds investment withdrawn Ice Accrued Date Activity Description °vanity who (0 Price CO transaction (s) inveserwms bouteM Moron CU Jun 1 Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL 5.363 -57.55 DVIDEND REINVESTED AT 10.73 NAV ON 0931/17 AS OF 05/31/17 WIVF3OL: DBLIX Jun I Reinwstment PUTNAM SHORT DURATION INCOME FUND 'I 1,830 -18.41 DIVIDEND REINVESTED AT 10.06 NAV ON 0931/I7 AS0;05(31117 SYMBOL: PSDYX Jun 29 Reinvestment JP MORGAN SHORT DURATION 80ND FUND 1.808 -19.58 CLASS I DIVIDEND REINVESTED AT 10.83 NAV ON 092817 SYMBOL: HLLVX Total -695.54 SONY GM 00028830 CNP70009306584593NP70C0306428 00004 0617 030575004 110110 Pop 7 of 8 CONFIDENTIAL EFTA_00137450 EFTA01278357 *UBS Your notes 08, 000..X.,48,, ,000305.000. 08, 030,),.. .1 ,04,mono260119. 8 8, 8 End of statement for account numb.... CONFIDENTIAL EFT,00137451 EFTA01278358  Important information about your statement U3S Financial Services Pc. (the km or UPS French her troMyOu no later then 60 days alter the fern dam for call. Ethbnatay brioche* rabble upon • Aortae Combination of Income and Capital SerirMs), is a member of all principal washy, centenary um you the list it atalialt on Mich the erns or reasest or at may six.org The SIC asset prolate:et Appreciation Investments Seekeg both the generation and cotions exchanges. UB5 Financial Seniors and 1.8$ Problem athered. limit apply to all accosts tart you hold in a oracular of income ;ad growth of pi-cite'. Bank USA re i-died subsistent, of UPS AG and - noted, yotr ram rd accost Matter Of any) capxth. *lathes of UBS Scarabs LI.C. The Finns menial - Camila to error or the transfer ow ireinure the FM, together nth certain affiliates, ha also Overallrisk profiles statement • available upon reacest. The Funs entwine about, rd beam as clearly as you can why you Purchased applanentalinexact The maimum • Comervata. Seeks to manUin nital pit pa, with offices ere at believe a is en On a why yw need more amount payable to al elaffie client,, what're& under low rite ad Marley to the award °mall even dormanon this protection is 1500 million as of December 10, 2016. that men ee account does not generate signifies/a UBSFina-cal Sexes Ix. - hoed. the doles arrant of the suspected era. Skeet to the par/anal:am at Imitations, cash a income a imam and may not keep pace with 1200 Harbor Boulevard the Firm is further protected for up total million n the inflatith Weehawken, RI 07086 The Firm a Card Issuer w1Meagre your complaint aggregate tor all you accounts head n a parlitulat • Moderate. 'lolling to accept sane Mc to pinbpal at and MI coned ry enor pramtly. For alleged errors warty. A IA copy of the poky wordeg is mark tolerate erne volaffity to seek hirer returns. This statement represents the only official record of you' enolvith UBS debil ca-cl named:am if we take mon request. • Aggressive: Wiling to accent high irk to longue end LBS Fhancial Services account. Other wads, tempt more than 10 bs bets days to MOW, we MOcredit high volatility to seek high returns over time. official task clamant. contanng confliangdaa should year /card for the anoints, trot 6 in error, so that The SIPC protection end the Supplerthethl protection not be relied ram II youbathe there 6 an era or ycu wR have the use of the money dunng the ence it both do not apply to • ftwestment nobikly Consdention I selected a omission please report it immediately n writing to the takes us to complete our iwestiption. • Certain thancial then controlled by (and incleitd ii nOttiOn of the portlolo fee tat account may include Branch Manage of the office wvrg your account. your account value) kut hell away from UBS Financial carpet strategies, tented hosicky and geaw Please mice all checks payabb to the Finn or the volatiffy. Senates (e 9. certainft/deposits a affihaed and ray Allhoup al limits sown re Minded to be accurate, Wawa' instant) endcated on the front of the aft dated bats 00 nsurroce products, naming statement data's,aki not be wed Ice tar purposes Rely statement In addition to roods ICCarit Ink accouter variable aerates, and (an shares of mutual funds Stertmentehouleholdise coley on yerand tax kerns, (Le , Form 1099. 5498. ma/ be abject to mantena-ce lees, chines for late inheee such skims are registered deny in the name We may consoldate a related account statements with 10425, etc ) when prepamg your tax return. The Pith parrent tee securities purchases and charges toe unpaid of the account hoiden:tithe books ad records of the the same address in the mire errata* eg. because required by law toram to he IRS all treble deadens, imams n cash accounts. Accounts that are tansferred they have maths who afro maintain joint accent issuer or trawler agent report/kb norwarabk anima and tarok Merest to other instartens may be subject to a Vander fee. • hiregimntocntracts or nun-linen, Merests (e.g., rebtionthisn web other dents a the same address. If owned an acuities held er oar accark net proceeds Iimitd partnerships and private placemeres)that are you prefer to receive indinidual statements mailed in as sale tramactire, rd cost basis ancertain covered UBS Sweep Options not registered under the Socuntres Act of 1933; and separate metopes, yo may decline householding by searaies. LES offers options tee sweepeg cash balances to bat • Commodities contacts fag. foreign e'xchrge and calbg your Fiunctal Admor. depose accounts al non-affiliated bats ad affiliated precoas metal contracts), inducingMures contracts Cavermilmekma with the Firm beat realty market mutual fon& (Money find)and Friendly accoint nom, and cormodth option contracts. The Friendly account name is a wykrnathke 'Mann' • Fleas* aeon(rim any oral ormuncatms in writ g the 1-a•matknalDepoca Accost (CA) fa curtanon the SIPC protection and dal suppntmental poach:nolo tofurther protect your rills, indudrg your rites wits as International Fasothe Management Accord. chosen by you to assist you with your recordkeepig. not apply to these amen ewes d they oll-ervehe Amer ha no legal effect an yOUr account Ycu can chancy utter the Seosfies Imestor Protection Act (SPAT Deposit account al UB5 Birk USA and non-ablated on you stsements. The Si7C protection at the banks panicipatng n the UPS FDICrinscred Deposit your Friendly secant names, through Online Solaces a • If the financial battalion m the top left of dal Morn scpplemental protection do not protect against changes of this athwart snot LBS furze' Seethes, UBS Program are FD1C.imured in accordance with IDIC rtes. by contacting yas Fe-antral Achiscr. in the mantel vela of yos investments (Meath as s Fiannal Sonless carries you =ant as clearing For cram iffaminkin, please visit *wry fdic.gw.Deposk man of market movement, issuer batruptcy a broker by arra-gement win the edcated insieuton accounts at UBS AG Stanford Branch and shires of Award overview othrwein • Valet of you acoontoruntio. Net of assets and We informal ow of this relarionshio whenyou MoreyFads are not brand by the FCC. opened this accost h this cast your 1u-a and Dividend Reiwestment Proprern (DPW) 'abates smarties a* boated a LOS financial Seneca and rot Through tie DA, cash balances ere swept to deposit The price reflected 6 an average price. You may obtan • Asses Includes avolsble cash balances. wean for the imedregbraer, and younut make a copal accounts at UBS AG New Yon Brad, and UBS AG the Ktual price Iran you. Palencia Adescr. Orly vihok restricted security (est ), and Global Tim Deposits, of rip error or omission to both firms. Cayman Branch. These deposits are not inured by the sham re purchasedunder DRIP; partial *Ins will be unrealized marks to make, andcertain assets not held • As detated in the account agreements, yw rust FIX. Balances held at tie LES AG Cayman Branch are sold ad the cash veff be deposited ''a your account. The by the FM. Does rot include unpnced secuntieriassets roily us of any enors or fraud earring decks tenwany erposed tote sovereign roc of the Cayman (bricked reiwesbnent price applied by the Mar may at the end of the pool and anent statement periods, a retlecled pct your statement within 30 days after t was • rd there is no grantee or abet obigaron of drile from the make price at which the partial shares pinata hurstmerrh, untested stock options and mailed or made rabble. UM AG to repay the balances while on the UBS Cayman re sold emerasal• cock options • Mem died *sower complaints or imrries to tie Branch's books. • Liablioes hacks debt balances, outstanding maga Finbs C fent Relatins Department a 201.352.1699 Cash-belieu tom tied' lint short accent balances. or tolUree at 8C0-354-9103, 8: