EFTA01274073.pdf

U85 Emanuel Semites hc Resource Management Account
*UBS 299 Park Avenue
25th Floor
New YOrk. NY 10171.0002 February 2014
CPZ6CO2254939 0214 Y1 0
Your It nandal Advisor.
SCOTT STACKMANILYLE CASMEL
Phone 212 821-70CCV800-308-3140
Account name: GHISLA1NE MAXWELL
Friendly account name: indw V49935006
Questions about your statement?
Call your Financial Advisor or the Account number: Y1 23571 55
RMA Resourceline at 800-RMA-1000
account 029023571
1fisitour website:
www.ubscomainanciatservices
Your investment objectives: Value of your account Your account in struclio ns
You have identified the fdlowing
• Your account cost basis default closing
investment objectives for this account if on January 31(S) on February 28 (5) method is FIFO, First n, First Out
you have questions about these
objectives. disagree with them, or wish to Your assets 0 00 1,033.286 11
change them, please contact your
Your habitues 0 00 0.00
Financial Advisor or Branch Manager. You
can hind a full description of the Value of your account $0.00 $1,033,286.11
alternative investment obiecoves in
Important information about your
statement at the end of this document
Your return objective: Change in the value of your account
Current income & capital appreciation
Your risk profile: February 2014 (1) Year to date (1)
Primary - Moderate
Opening account value $0.00 $0.00
investment eligibility consderation - None
selected Deposits, including investments
transferred in 1,031,614 80 1,031,614 SO
Change in market statue 1,671 31 1,671 31
Closing account value $1,033,286.11 $1,033,286.11
SDNY GM 00021246
Member SIPC C PZ60004C072 54939 P26000144229 00004 0214 030575004 Y173571550 COD:00 Page 21 of 48
CONFIDENTIAL
EFTA_00131866
EFTA01274073

SUBS
Resource Management Account Account name: GHISLAINE MAXWELL Your 15 nodal Advisor:
Friendly account name:Indiv V49939;06 SCOTT STACK MANY LYLE CASFUEL
February 2014
Account number: Y1 23571 55 212-821.7000f 800-308.3140
Cash activity summary
See Account 4Ctivityttus month lot decals Baances in your Sweep Options are induded n the opening and
closing [glances vane. WIC insurance apples only to deposits at UBS Bank USA, not to depo9ts at UBS AG,
Starifoxt &arch of bank deposits placed t hrougb the UBS Intemationd Deposit ACI0Unt plo7am. SIPC
protedion applies to money market sweep fund hddings but rot bank deposits. See important inkotmation
about youf statement pi the faSt MO pages c( this document for detals
February 2014 (1) Year to date (S)
Opening balances $0.00 $0.00
Additions
Deposits and other funds credited 49,546 11 49,546.11
Total additions $49,546.11 $49,546.11
Net cash flow $49,546.11 $49,546.11
Closing balances $49,546.11 $49,546.11
CP360004002254940 F26000144229 00004 0213 030575004 Y123571550 COC yGm0002,St 22 of 48
CONFIDENTIAL
EFTA 00131867
EFTA01274074

Resource Management Account Account name: GHISLA1NE MAXWELL Your II nandal Advisor-
(*) UBS
Friendly account name: Indiv VA9939C06 SCOTT STACKMANLYLE CASILEL
February 2014 Account number, Y1 23571 55 212-821-7000800-308-3140
Your assets
Some priC es, income and current bra ueS shoem may be apprOximale. MartiLS, gains and losses may not
be accurately reflected. See imponantinSarntabon about yaw statement alba end of this Occurrent for
more Informalon.
Cash
Cash and money balances
Cash ant money balances may indtde avalable cah balances, UBS Bank USA depost account blames.
UBS AG Stanford Branch deposit account balances and money market mutual fund sweep oatances
UBS Bank USA deposit account balances are insured by the FDIC sNINn applicable limits, but are not
protected by SIPC. U85 AG Stanford Brae h deposit =cum balances are not insured by FDIC and are not
protected by SIPC Money market sweep balances are protected by SIPC but are not insured by the FDIC.
Sire the important information about your statement at the end of this dacurnmt for detain about those
balances
Openng bviance Cloung baaxe Price per mare Average Dniciend Interest Days in
Hddng on Feb 1(S) on Feb (S) on Feb 28 (1) rate period period Cep mount (1)
WS BANK USA DEP ACCT 0.00 49,545.11 250.000.00
Equities
Mutual funds
Total reinvested n the iota Cl al reinvested checlends II does rot include any cash chidends. It is rot a tar if:weak:el (Far) gain or loss is the dfference between the current value and the cost bads and would
lot toe the purposes of determining holing periods or cost basis. The shares you recewe eah one you genet,* be your tactic gin or loss if the sec urny was sold on ten date. The unreat2ed (tan gan or loss
(bluest cluckinas ttCOrne a separate tax h)1. may need 10 be arijusted for rct urn of opted payrnems In Order to determine the reined gam 01 toss lot tax
reporting purposes.
Cost basis is the told purchase cost of the security. indudno reinvestedclwiends The COO basis May need
to be lusted for return Cl tepid payments in order to deterrrine the adlusted cost bars ter far rep:wing Afestmem teRun is the current value minus the aMOunt you (Nested does not include shares that are not
purposes. /alerts on your statement, includngstares that have been reinedas either a 93n or a loss it also does
not nclucle cash dvaends INA were nos reinvested
Purchase once
forGer Average pace Client Cost PnCe Per Shaft value on unrealized nar) investment Hddng
Hddng of shares pershare (S) investment 0) bals(S) on Feb 28(S) Fib 28 (5) gain or loss (S) return (S) Period
ClEARBRIDGE
EQUITY INCOME FUND
CLASS I
Symbol. SOFYX
2339.801 ---This information was unavailable--- 18.680 43,707.45
EAI: 3741 Current yield 1 70%
COLUMBIA CONVERTIBLE
continued next page
SDNY GM 00021248
CPZ60C04CO2254941 PZ6000144229 00004 0214 030575034 Yt 23571550 cO:coo Page 23 of 48
CONFIDENTIAL
EFTA_00131868
EFTA01274075

SUBS
Resource Management Account Account name: GHISLA1NE MAXWELL Your A nancial Advisor
Friendly account name: Indiv VA993$006 SCOTT STACKMN/LAE CASRIEL
February 2014 Account number. YI 23571 55 212-82 1.7000800-3083 14 0
Your assets Equities . Mutual funds (continued)
Purchase oncost
Nuntne Avetaw peke Client Cost Pete per Sham Value on Unrealized Gat) irwt1IrlItill Heating
Hddng of shares per sham (5) investment CS) basis (I) on Feb 28(1) Fee 28 CD On or loss (S) telum (S) period
SECURITIES FUNDCLASSZ
Symbol: HOAX
1,987.557 information was unavailable-- 19.250 38260.47
EAI: 1844 Current yield 2 2 1%
HARBOR CONVERTIBLE
SECURITIES FUND CLASS I
Symbol: HACSX
2,833.314 —This information was unavailable-- 11.360 32,186.44
EAI: 4589 Current yield 1.83%
JP MORGAN INTREPID
EUROPEAN INST
Symbol: JFEIX
875.283 •••This information was unavailable--• 28.380 24,840.53
EAI: 475 Current yield: 030%
MATTHEWS ASIA DIVIDEND
RIND INSTL
Symbol: MIPIX
2,638.382 ---The informabon wed unavailable-- 15.220 40,156,17
EAI: 41,646 Current yield: 4.10%
SIT DIVIDEND GROWTH FUND
0.ASS I
Symbol: SINGX
2.958.635 ---This information was unavailable--- 17.600 52,071.97
EAI: 4760 Current yield 1.46%
TORTOISE MEP & PIPELLIE
RIND CLASS INSTL
Symbol: TORO(
2296.774 information was unavailable--- 16.400 37,667.09
Total $0.00 6268290.15 $0.00
Total estimated Income: MASS
CP260:040322 54942 P26000144229 00004 0214 0305750•34 iri23571ss0 000SoNVGM0002oltag 24 of 48
CONFIDENTIAL
EFTA_00131869
EFTA01274076

Resource Management Account Account name: GHISLAINE MAXWELL Your Finandal Advisor:
*UBS Friendly account narne:Indiv. V49935006 SCOTT STACKMANLYLE CASRIEL
February 2014 Account number Y1 23571 55 212-821-70001800-308-3140
Your assets (continued)
Fixed income
Mutual funds
Total reinvested 4 lee tota d al reinvested &Addends does not include any cash Outten:Is is not a unrealged (ray) gas or loss is the dIference between the current vaue and the cost basis and world
tar lot for the purposes of determinng hdOng pers:OS a (Oft bans. The Shares you receive each time you genertay be your lase gan or loss if the security was sold CA INS date. The unreSiZed (tax) ganef loss may
tomest dirdends become a separate tax lot. need lobe °dusted for return of (spiel payments in order to determine the realized gran or loss for lax
Cost Oases is the Iola purchase cost of the Security. inducing reinveStedciudenOS She cost basis may report 1n0 pugposes
need to be a:lustedtor return d captor payments in order to cUtetmne the &A ustea cost bass (or a( tnvestment tecum is Iht current vaue anus the amount you Invested. a does not include Mares that se not
reporting purposes reflected on your statement, oldtying shares than hae been realized as either a gain a a loss It also does not
include cash d‘idends that wen not reinvested
Purchase pica
Number Average pace Client Cost Price per share Value on unrealized Rs.) Inits1rnesst HolcIN
nekton of shares ;el share (i) investment (4) basis (S) on Feb 28(3) Feb 28 (S) On or loss (S) lel urn (S) period
AVENUE CREDIT STRATEGIES
FUND CLASS INSTL
Symbol: ACSBX
1734963 ---This information was unavailable--- 11.690 31,971.71
(Al: 1894 Current yield 2.80%
BLACK ROCK HIGH YIELD
BONDI
Symbol: BHYIX
7292.312 --.This information was unavailable-- 8.370 61,036,65
EAI: 33,661 Current yield 600%
COHEN & STEERS PREFERRED
SEC & INC FUND I
Symbol: CPXIX
4,493.967 --This information was unavailable.-- 13.270 59,634.94
EAI: 13,829 Current yield: 6.42°6
DOUBLE LINE TOTAL RETURN
RIND INSIL
Symbol DBLTX
12.496.155 --This information was unavailable-- 10.960 136,979.77
EAI: 16,986 Current yield: 5.10°6
EATON VANCE FLOATING
RATE ADVANTAGE CL I
SyrnbOl. EIFAX
SDNY Garailit t page
CPZ60004C07254943 n6000144229 00004 0214 030575004 Y123571550000000 Page 25 of 48
CONFIDENTIAL
EFTA_00131870
EFTA01274077

SUBS
Resource Management Account Account name: GHISLAINE MAXWELL Your Pi nodal Advisor
friendly account name: Indiv V49935006 SCOTT STACK MANYLYLE CASRIEL
February 2014 Account number. YI 23571 S5 212.821.70001800-308.3140
Your assets . Fixed income . Mutual funds (Continued)
Purchase pied
Humber Arerap price Client Cost Price per share Value on unrealized0P 'moment Holdng
Hddng of shares pi sham (5) inflame/8 (S) bask (S) on Feb 28(1) Fib 28 (S) pin °Host (S) ratan (S) period
7,524.150 ---This information was unavailable--- 11.190 84,195.23
EAI: 44,003 Current yield: 4.75%
HARBOR HIGH YIELD BD FD
INSTITUTIONAL CL
Symbol: HYFAX
2.660.657 --This information was unavailable--- 11.100 29,533.29
EAI: 41,665 Current yield: 5.64%
HSBC TOTAL RETURN
RIND CLASS I
Symbol: HTRIX
3,858.567 --This information ',vas unavailable— 10.050 38,778.59
EAI: 3741 Current yield 191%
JP MDRGAN MULTI-SECTOR
INCOME FUND SELECT SHS
Symbol: )SISX
4,784.864 information was unavailable-- 10.370 49,619.03
EAI: 41,249 Current yield: 2.52%
METROPOLITAN WEST TOTAL
RETURN BOND FUND CLASS I
Symbol: MWTIX
7,192.344 ---This information was unavailable--- 10.710 77,030.00
EAI: 42,309 Current yield: 3.00%
F4DGEWORTH SEIX FLOATING
RATEHIGH INCOME FUND
CLASS I
Symbol: SAMBX
6502.655 --This information was unavailable-- 9.080 59044.10
EAI: 32,419 Current yield: 4.10%
T ROWE PRICE
INSTITUTIONAL FLOATING
RATE F CLASS
contAnued nert page
CP260004002254944 P26000144229 C0004 0214 033575034 Y123571 SSO C00§6NyGM00021431 26 of 48
CONFIDENTIAL
EFTA_00113 I 87 I
EFTA01274078

SUBS
Resource Management Account Account name: GHISLAIIVE MAXWELL Your Financial Advisor:
Friendly account naine:Indiy Ye9935C06 SCOTT STACK MAP/ Le LE CASRIEL
Account number. Y1 23571 55 212-821-7000/800-308-3140
assets . Fixed income .
Your Mutual funds (continued)
Purchase pow
p.cc Ghent Cost Price per share Value on unrealized na4 investment Ploldng
tithing of srhraerest Ap er apt/, ts) investment (1) basis (t) on Feb 28 (11 Fes 28 (1) gain or toss (4) return (1) period
Symbol. if FR*
5394.060 ---This information was unavailable-- 10.290 55,504.87
EAL 12,226 Current yield 4 I 0%
Total $0.00 3663.328.18 $0.00
Total estimated annual income: $30,032
Non-traditional
Mutual funds
I: !a re rr. estear s she 'die ie a re m.ested dotlends n clots rot nc uce any cash cludends. a Is rota tax Unrealeed (tar,) gam or kiss n the °defence between the current value and Ire cost bass aid would
lot lcr the purposes of determining Pohang periods Of cost taus. The shares you receive each Mr* you generaty be your tenable gen a loss If the sec tally was sold on tan date. The unrealzed dad gen or loss
reinvest dirdend become a separate lax lot. may need to be adjusted for return of caste payments In older to determine the recited gain or toss for last
reporting purposes
Cost basis is the tole purchase con of the security, Intl udng reinvested d sedends Ire cost basis may reed
to be °dustedfor return of raped payments in order to determine the adjusted cost basis for tar reporting Investment return n the current valve minus the amount you r ',rested It does not include shares that are not
purposes. reflected on your statement, includng shares that have been realizedas either a gsn cc a loss it also does
not include cash dvcrends that were not reIrrtested
Purchase Once
Writer Avelair puce Client Cost Price per sistre value on unreal:edam) imestment Hdclrig
Hcldng of shares per snare (s) investment cS1 oasis (S) on Feb 28(3) Feb 28d) gain or IOSS (5) return (I) period
GATEWAY RJNO CLASS Y
Symbol. GTEYX
1,089 208 ---Thar information was unavailable— 28.9.40 31,521.67
EAI: 1489 Current yield 1 55%
Your total assets
Percentage of Cott esti-need Ureezazed
vaue on Ftb28($1 your X COUIII taus (S) annual income (S) oan or lees (5)
Cash Cash and money balances 49,546.11 420% 49,546.11
funds
Equities • Mutual 266,890.15 26.02% 4.65520
fixed income • Mutual funds 683,328.18 66.13% 30,032.00
Non•tradltional • Mutual funds 31521.67 3.05% 489.00
Total $1,033,286.11 100.00% $49,546,11 $35.176.00
• Missing cosi basis infuriation
SDNY GM 00021252
CP360034007254945 PZ600)144229 00004 0214 030575034 vt2352155000:000 Page 27 of 48
CONFIDENTIAL
EFTA_00B1872
EFTA01274079

*UBS Resource Management Account Account name: GHISLAINE MAXWELL Your Ilnandal Advisor:
Friendly account name:Indiv V49935X6 SCOTT STACK MAMLYLE CASRIEL
February 2014
Account nu ntbe r. Y1 23571 55 212821.7000/800-308-3140
Account activity this month
Date Mikity DegoptiOn AerOunt
Deposits and other funds credited Feb26 Deposit CHECK DEPOSIT 49.546 11
Total deposit and other funds credited $49,546.11
Investment transactions
For mare Information tout the po(eivalue shown for restricted securities, see Important inlottnatbn oboot
your statement at the end of this dockment
Proceeds Iran FundS
investment vi(thdoven la Accrued
Date Activity Des( 'lotion Quantity Wawa) Pored) transactions (s) ,nvesvnents becalm CS) interest (5)
Feb26 Receive JP MORGAN INTREPID EUROPEAN INST 875.283 24,507.92
Feb26 Receive GATEWAY FUND CIASS Y 1,089.208 31,456.32
Feb26 Receive METROPOLITAN WEST TOTAL RETURN BOND 7,192.344 76,958.08
FUND CLASS I
Feb26 Receive RiDGEWORTH SEV FLOATING RATEHIGH 6,502 655 58.979 08
INCOME FUND CLASS I
Feb26 Receive HARBOR HIGH YIELD BD FD INSTITUTIONAL CL 2.660.657 29,480.07
Feb26 Receive DOUBLE LINE TOTAL RETURN FUND INSTL 12,498.155 137.604.68
Feb26 Receive COHEN & STEERS PREFERRED SEC & INC FUND I 4,493.957 59,769.76
Feb26 Receive EATON VANCE FLOATING RATE ADVANTAGE CL 7,524.150 84,195.23
Feb26 Receive MATTHEWS ASIA DIVIDEND FUND INSTL 2638.382 39,813.18
Feb26 Receive HARBOR CONVERTIBLE SKURMES FUNDCLASS 2,833 314 32,158.11
Feb 26 Receive .1P MORGAN MULTI SECTOR INCOME FUND 4,784 864 49523 34
SELECT SHS
Feb26 Receive CLEARBROGE EQUITY INCOME FUND CLASS i 2339.801 43309.71
Feb26 Receive T ROWE PRICE INSTITUTIONAL FLOATING RATE F 5,394 C60 55,504.87
CLASS
Feb 26 Receive TORTOISE MLP & PIFEUNE FUND CLASS INSTL 2,295.774 37,593.19
Feb26 Receive AVENUE CREDIT STRATEGIES FUND CLASS INSTL 2,7341.963 31,807.61
Feb26 Receive HSBC TOTAL RETURN R/ND CLASS I 3.858.567 38.662.84
Feb 26 Receive SIT DIVIDEND GROWTH FUND CLASS I 2,958.635 51.628.18
Feb26 Receive COLUMBIA CONVERTIBLE SECURITIES FUND 1,987.557 38220.72
ClA SS Z
Feb26 Receive BLACKROCK HIGH YIELD BOND 1 7,292.312 60.89380
Total
CE260004002254946 P26000144229 000G' 02140057%04 VI 23571 S50 C0Ceitity_G M00028439 28 of 48
CONFIDENTIAL
EFTA 00131873
EFTA01274080

Resource Management Account Account name: GNISLAINE MAXWELL Your !Mandril Advisor:
*UBS Friendly account nun*: Imlay V49935006 SCOTT STACK MANLYLE CASFOEL
February 2014 Account number. 'el 23571 55 212-821-7C00/ 800-308-3140
Account activity this month
(COntaitted)
Date 40mq LVArptice Amount 153
Money balance activities Jan 31 Balance forward $0.00
Feb27 Deposit UBS BANK USA DEPOSIT ACCOUNT 49,546 11
Feb 23 Closing UBS Bank USA Deposit Account $49,546.11
The UBS Bank USA Decout Account it your primary sweep option
SONY GM 00021254
CF2600040072 54947 P260001 44229 03004 0214 030575004 Y123571550033000 Page 29 of 48
CONFIDENTIAL
EFTA 00131874
EFTA01274081

*UBS
Your notes
CP260004002254948 P26000144229 00004 0214 030575004 Y1 23571 . 0 0.461,1Y_GM_0002IIISS 30 of 4,
End of statement for account number Y1 23571 SS
CONFIDENTIAL
EFTA 00131875
EFTA01274082

Important information about your statement
LES Financial Services tic. (the F im or UBS biaxial sent you the fin stsemere on which the armor The Finn, together with certain aftE wes, ha also account held, you choose one of the following
Senakes). is a merrter of all ',Motel scanty, cannodty Problem *Peered. purchasechipplonental protection. The mprirrtrn kneserient objectbes'
and cptbis ethawes. LES Frerkial Services and U2S - bade you- name ad accost starter Of any) amount payable to al ekgible clients cobectety ado • frookke CunentIrcome. h.esb,m es seekng the
Bank USA rre rdrect subskiares of LES AG and - Desabe the *nor or he wanner you ere are this protection is 5500 million as of December 10, 2013. generation of income My.
affiliates of LES Sectritin LIC. The Fists I hondal about and .'clan as cleat as you can why you • Adam Capra!A pprenetion: Investmentsw aking
statement is available upon reoea. The Fun's excite believe a is an error or thy you need more Biota to the poky conditens limitation, cash a growth of prncpal rather than the generation of
off ices at a: isfamation the Firm is further protected kr .m4ato $1.9 million n the income.
— Proud. the dollar amount d the suspected error. aggregate for all your accounts held n a pasioralar • Produce Combinaton oilman. and Capital
LES Finenoul Sermon km capacity A IA copy of tie poky undeg is /nibble Appel:lawn: 'vestments 'Meg both the generation
1200 Harbor Boulevard The Fim or Cad Issuer wi isressigete your complaint Won request. of mane and 'berth of witical.
Weehawken, to 07086 and eel correct any error promptk.
The SIPC protection and the supplementl protection
Dwell ride grog's
Ibis statement represent the any oili cier record of you Please make all rheas payable to the Fain or the both do not apply to.
LES Fe-uncial Stows account. Other wads, except financial intthution eitated on tie front of this • Certain fruitier Asses controlled by (and hided • l C o o w n r . is w k v a a n t d n t v S ol e a e t k ili s t y to to m t a he n t a e c n c M or O d O m p e re w c l t , e th e e w n i it f h
n o om o ff t i i c s b s i e a io t r n e e , s l i p e d l d e o a t -t s a t e a n re u n p n e o t r s t c t it ° o a n b m t e a t i e k n v d in e a g t t h e c e o ly r n e n f l i i s a c a t r e k n d i e n d r g r a o t t e r o a s t h h o e u ld m p st a a a k r i e e b m e n m t s u f t o b h j r e w a ct d a t : o M s m t i e m a s t e t p e o u n r n c a e h n a s c s t e l e e s f ' e a a e n c s d c , c o c h h r a d a r r g f g e e e e s s s f . k o a r r c l c u a o n te u p n a t i s d y L S o E e u r S v r i A c a e G c s c S o (e u ta . n g t n . v . I c c a r e l d u r b d ta r b i a n .: n ( 1 * c h h c e a ( l s 1 d h ) a a i w n l a s U y u B f r S r a o B w m a m U t S c I c $ d b F a c in a S e d . , -c a id t i t n h c a o t m m e e o w r l s r o th a e m ac a c n o d s m t d a o y e n s o n t o k t e g e e p n p e a r c a e te w si i g th n ificant
Ranch Manager ce the odic. sentig your account. a so m o o t u h n e t r s i i n n s c ti a tu s t h io a n c s c m o a s y ts b . e A s c u c b o j u e n ct t s t o th a a t t r w an e s t f r e a r n fe sf e e . r red i f n u c n l d u s d i w n h g e % re e d s i u b c le h M sh a ar l e ta s , a re a re d g i ( s i t n er s e h d a d re i s e o n f l y m n ut e ua lt l • Moderate: Willing to accept some rids to principal and
Athacti al figures shorn T. intended to be accurate. name of the account holder on the books and records tolerate some votathty to seek higher returns,
statement data should not be used for tar purposes Rely UBS Sweep Options of tie applicable issuer or transfer agent); • Aggrezee: Wiling to accept high rids to pnnopal and
sclek craws-end tax lams, 0.e.. Form 1099. Soak UBS offers options for among cash bine; fiances high samara), to seek high returns over time.
10425, etc) whin prewrigyour La return. The Fim to bat deposits at UBS Bat USA and UBS AG Sufficed • Certain mestmert contracts or thestment interest
required by low to report to the IRS all taxabk disident brads (Clank Sweep Progsms), money media trowel (eg., limited partneshim and prime Owen-ants) the Straternent Isouseholdne
reportthe untenable Ma:lends and tat enema h.rds Northr ut) ad the International Deposit we rot registered trder tie Securities Act of 1%3; We may consolidate a1 related account statements with
eared an securities held in gar axant, net proceeds Accent (Okla customers with a ktemetional ad the same elites. n the sane envelue. Accounts may
on sale transactixo, and cost base cn certain covered Resource Management Accost. Through tie Bank be relitei la this purpose beaule they haw owners
onsets. Sweep Fremont, cash balances re swept to UISEret • Commodities contacts (e.g, knew excha-ge and who also maintain pia aaam relationships with other
USA up to an weabrched knit ad then to LES AG prterwamelal ccntradsk ncludtg futures contacts dents at the sane address. This practice's known as
C • o P m le m as u e n re ic - a c t o io n n fir s m w c i r t y h or * a . l F co in rm n s.ncatorts in wring B St a a k n f U o S rd A B a r r a e n F d D t I C o r n e u M re o d ne in y a F c u c n o d r . d a D n e c p e o w si i t t s h a F t D U IC B S ad cormoditY cohort contracts. s • t h a o te u m s e e n h t s s l m in a g i led II i y n o s u e p c re a f n er t t e o n v re e c rc e p iv e e d e — c h yO e: u W m I a y
to funher protect your opts in:IANyour rite rules. For mcre nlamatim please act mimed icgov. fie SIPC protect[.' and he suppremental protection do Oka. houveholdwg by (ing you Francis' Advisor.
under the Starnes Marta Protection Ad (EPA). Deposes at UBS AG Stanford Burch std turn of not apply to these assets event they otherwise appear
Money Funds at rot incised by the FDIC. • gar Maternent. The 9PC protecticn and the Friendly accourt name
• If the finesse' hi:Motion at the top left of the front cuPPlerrientalprotenion do not protect agora changes the FrendY account name reflects alo rmation that you
of this statement is not UBS biaxial Sevbes. U3S Throup the OA, mailable to cash balances we swept to in the market vale of your investments (whether as a entered on the Firm's onlne senores website. h is a
F t W a in c e a k R n e c r im i b al m y S a e e n r d v a i y c r e o g s u e c n d a v r i r t n i h e t i s s w y r a ie o h l u a t n h a i e c a c n i o n te u d s n e t w x a h e s e d d n i e n y a k o n i u e n s g t :en d A th e G e p F o C s I a e X y a m . c B a c n a o l B u a n n u t c s r e c a s h t F U e B T ld S h a e A t w G t h d N e e L e p E w os S Y it s A a a G k r e B C n r a a o y n m t c i h a n n a u n B re d ra d U d b B s y 5 r o e t s h u e lt r o w f i m s) a rket movement. issuer bwkruptcy ce a c w u m i s th to o s m u o i u r z r a Y M b o l C e u C ' c n ir a d i n c d e k c r - h g e o a r g w r g e y e ' t y c h o h o a s s s h e n n i o e b n le y d g y k a o l a u e c t f c f o e c u c a t n u o t k n n s a y y m o o e u u s r ,
opened this accost. h this case. your Std. and are tempera* exposed toted sovereign risk of the More information is amid* lion rechost Vas may through Orem Services or by contactegyourFrancial
seoskin located a LES Anancel Services and rot Caesium glands, and tare is no guantee Cr other obtan more itornation abut SIPC. its:kwthe 5WC Advisor.
the hmacticrig broker. al you must make a rePorl obligalon of UBS AG to repay the fines while co the Broth's., by contacting9PC a 202-371-8300 or by
of ray mar or motion to both linen. UBSCaymares Bradt. books. esitng the UPC **bate ar VAMCSIttag Aegean overview
• Mt carer accooneforethlis Net of assets and
A taunt statementsshall be deemed complete ad Deposth a LES Birk LEA and each UBS AG Branch are Dividend ReiWetabent Program (DRIP)
accurate a not objected ton wring within 60 days. not protected by SIPC. Money Fund shires ere protected n-e rcke reflected is an away Fria You may obtan • Assets_ hulas available cash balances, rates for
by SIPC. See -UBS Financial Services Accost Protection' the actual price Iran yar Financial Advisor. Orly Wok restricted seamy lest 1, and Global tine Deposits,
• PION* divot axone complaints or kuires to he bobs. tired are purchased under MC partial shires will be urrealted marks to market, and cectan oasts not held
Fim'sClkm Watkins Dopaiment X 201.352.1699 sold rd the cash wa be &potted .'your account. The by the Fim. Does rot include unonced WA/Maassets
or toll-free x 800-354-9103, ECO A.M. to 6:00 P.M. Upon yak Rawl, balances in the Bent 5m(0 dviderd reinvestment price applied by the issuer may al the end of the lidsand arum stalerneM periods. or
ET Monday through Frklara a in *Meg to LES Ph:gransor OA mae be Wham" and shares of a differ from the market mice at which the panne shares prorate iwestriwns, awaited stock options and
Financial Senores ex., Client Relations Depalment, Money Fund my be liquidated, ind the proceeds are sold estimable stock anions
P.O. Box 766 Union City, NJ 07087. returned so you or mur soosk et accunt. • Eiathibera Include, debit blI/M•5, °sturdily rrurgn
Cash-thliou loans. credit the, hat account balances.
• f W a i c d a s se W o a f e d r e re r M (W o 1 r O b A i T p Ig u g y e m ab m o o ut r a U n B S el V ec is tr e on d i e c bit F n u c t le te in r g fo u r n m li a t tio . n .. r a e b s ou t t r a a t v e a s i l a a n b d le y sw e e t* e , p a o p s t o io a ns k , le at C en n t B itl e w d h t o o le a u p n a its lu m l a u y n b it e a s h s e m wn o l y t o o t f r a a c d c v o id s e t r . d i f g y a o rm u e a n re t • ca s C h a b s a h l / a re n o ce n s e , y p b l a u l s a UncBeSs.. B T a o k ta U l o S f A u d n e in p v o e s s it t e t d a a am nc ia e b s l 1 e 85
F ca e r e d n V o a a n l t S a e c r t m ior o t n s, I c n a c l „ l 1000 6 H 2 a - r 1 b 0 o 0 r 0 B , lv or d w , 6 i t f h e f t lo o o U r B . S o w r w b w y c t a am llin c g o 8 m 0 r 0 is .7 e 6 e 2 p .1 re 0 k 0 k 0 , from your F nano iral Advisor r a iv o u t l h e e t r a w r is k e . , o t r h e ac F c i e rm pt v a ii n i a e m th o e u r n s t e d l e l p te a r n m e in l a ed n b t y a a t m AG t S u u l r r f a u o n r d d s B w r e a e n p c h S d a ep w os s it , b a a t l a t n ie ce c s a a s n e d o m f h on e e y market
Weehawken N.I 07086. Atn RIANESA Sakes registered cleate agency, and credit tor accost statement period. Noncom-n*6m free credit balances in
WS Financial Service* sawn proem:don your account ire rot segregated from other balances
Cal a write as soon as you cart it mu tilt xis The is a member d tloe Scants Inverter Protection Investment objectives and tie Fern may use any ol these funds in the ordinary
statement or receipt is wrong or if you need more Corporation GIPC), which protect securities account of The smarter, °Daunt and risk profile we speclk to coursed it business. these funds we payable upon
ate elm ixot a ulnae on the statement or its members up to 1500,000 including 5250,000 for each account and may mybetween Please adeise the your Oxnard. This total n included in to anent period
h re e co r W fr t o . T m h y e o F u ir n m s o la r C te a r r t d h a In n t 6 e 0 r d fa a s y s X a P f l t c e i r a t b h l e e F kn im os l a de ll e a m c s c k ou r n c t a t s h h a ) t T y h c e u S h IP o C ld a n ss a e t p p a ro lk t u ec la ti r o c n a ' p m a k o s ly k . :OB to ( F n er e n p x ro ' m si o tu te a , w in n s o u r n m ro a o gm f a a n % y s o ig b n je if c C ti a v n e t s c . h F a a ng e e a i c n h y ou. closi-g value.
SDNY_GM_00021256
CONFIDENTIAL
EFTA 00131876
EFTA01274083

Important information about your statement (con inued)
Lending information you would aclualy reek* n the mallet Prices cue - • Dation as to date may include return of — e, aide& to conmesscro received n connecter.
Fix detatechnformatton an the Finis landing plotters obtained from voious third party sources vied. tee cased. inCOme a both wth the sale or distribUion d a-rusy contracts
and dociassres, refer to yea Client Relatership Delve to be rehash. but we do not garalee their - 'Origetal intsee' represents the initial along and snit investment flat units to our <lents, we
Armoury or Accost Ageomeni at the General accuracy. pee per unit and may not ;elect Will cost basis ands our affiliate marine retina sharing
Terms at Conditions UBS Statement of Credit Practices — We genera, tee the closi-g pricewenn avalabka cormsensoen from many of the intrance
available in Agreements andOixiosureS at the mean of the bid ad ask prices fa lined • Restricted securities Resented secentin general& companies underwritirg the asiity, contracts,
rota corala rconneelmt. bargees and <peers a on& bed prices fa OTC are rot cuerenty eiwble for publk sale. UBSFina-cal *hates d to insurance cargo-en or sponsors of
seostes. Services owes to motet price of the unrestricted stuck tetra imestment mos we Outshine
Yaw assets - Lest actively waded securities may be priced usiw of the sane issuer as an reputed value for en - Cs affiliates also receive trading commatiso and
Your oatement Simian siesta( end other anew held valuation model or the most recent spree we restricted stock for pcepons of this at' torrent on4, To other compensate° from ,rural Eyck and
in the accoent at the end of the steamer* wed. You obtained and may not reflect an actual market rice the eitent that redrined learilion are 'Tube la a nsuance ccmpanin whose MEWS we distribute.
may ask for &Piety & full/ paid senates at rytime. Or vakat the realm rioted may be ssbnantial& less than the - Pitmen, n anal fee from UBS Bale LEA and
You may rests* securities lased as loan collateral after - Certain portico may appear without a peke and inp-ted value town LES AG Stanford flash of up to szs per accost
prying any balance due on hem. k-y securities will tow as *price was rot available' if we an sweeping to the barks under the UBS Bark Sweep
transferredto Me ;ern chtg the statement period are unable to obtain a pnce fo r a wanly • Eat Destirneted) inccene current yields and rates. Programs
listed at market value as of the end of the Waterton - Deposits or secures de-erninated in currencies An 95tinate 01 meal infOr,, is bawd on current
period. ocher thin U.S. dollars are reflected at the eachinge deriders:I at interest rates, assuring tee searitis will Activity
• Cast basis. In determning the cost basis of tie rate as of the statement date. be held for one yea from statement date or unit hbernationregudrigcannissens and *ter charges
males included in he statement, where indicated - Fa cerien *wines radon in non.confo mng maturity This retinal* it ceW age:Salm., accuracy ncurred in connexion with tie giecutcri of wades,
win he numb*. '1,• UPS Weird& Services has relied ciensmnalcris. mice and qua-any (face rake) may ad continued income are not guwanteed ndudng option transactions ha been inducted on
an information obtained from sources other tanI RS have been as:listed to facilitatepro:se vdusere - Estimated anal income ad cement yield for conbrnrons meow& furnished so you, at will be
Financial Senicet including ilforrnsion kern anothe- To obtain current quotatens, whin wattle, coraad certain tapes of swishes could include a return of waded to yOu franptlyatrecpest
tem a that yearnss have provided to you Einar-cal yaw Financial Adescr. prncpalor capeal gags h Maids case the est
Adana. The Finn does not indspendently verify a income Ord current yeldl would be orientated. Short waling
guarantee the aratacy or vadity day Wornwion • Private hvestenente and structured producb. - Estimated astral icane and went yield and the Pau we engaged in short selliw a security, you may
groveled by sons oiler than 1**Siuncial Senices. ?Mate nwOrrem swishes (ixtding drect actual iron e and yield mi;ht be extra higher incur a change the to cerUin barcating costs for that
paticipation reopen and real estate imestment its than the estimated amounts. particular security.
h aicitext although UBS Fina cal Services general& searites) and stand prodsu ale general& highly — An estmate ol aniseed ncome (divdend andor
&don fa Hamann at it e rooked, the firm &add Certain dristared waists have not been interest) deeded by the current market Open &dem
does not provide any astarances that the mammon registered will the Securities and Excha- vatreaverage balance re based on the bet dividend Regarding Wen or • sfx4tilkancefled* orders tat
ender "Cost basis" and "Lhreakzed gar/loss' is Comension a under any slate wallies laws. We Of tannest payment made by the issuer and were not yowledbythe statement date, open buy and
accurate as en the date of this statement. As suck prode estimated vitae for pmate investment wearies she secutegdeposes will be held for one sel stop orders are refixed by the mount of dividends
please do not rely on this nIcgmation to make wait es and structured products for Pacenlatisrul year from the statement date or until mab.rity. rights on an exdividerds Cr berigo date unless
&schwa a Sale decisions keen pupates a purposes only. Acasacy knot giaranteed. :twangy at continued weld at not garmiteed inetruct•d otherwise by you You are resporobk fa
*theme's*. Accounts transferred to to Fim may - These values may differ stbstantiaky from prees. orders that are exeo_ned die coyote 'alum to cancel
reflect gent loss infamaten only for the period of any, at vhch a prorate itiesanent security a • Assets not held by IBS ;rancid Services Certain ensting open orders.
tine they as held the F rm More historical structured &AO may be toAl-a or sold and do assess me rot held by the Fain and not whin the
generali n can be added by you krunchia Advisor. not necessarily represent the vain& may receive fern's possessen or ccrarol. These assets me Privacy
uPOn Equitation. &sawed on yaw statement for rnformational To obtain a cony of as currant Client Fenacy Notice,
• Unedited gains/losses When data is agildolt - Thal paly tsbmates of vale act as of a certain purposes only. Positions aid values presented as please contact your Fnancial Achisor or veit our volatile
eninated untanned gine Imes we ulciAated fa date and are susplied to UBS Fna-cial Services on a Finned& by the issuing inn UBS Financial Services at switaileUDOLOthcaUREIED.
incevilialseasey lots. Re trantictson data for regular bass by in independent vitiation tam. not reversible for to infamation and des not
nabistul 101f may or may not !Oka canniness, - tsar, general partner or sponsor estimated valan, &manure ns accuracy. these assets we rot prattled UBS Financial Services a rot a brie the RMA. Soonest
charges anchor secuityreorgn,:alin events it ary, are wpWied to to by Ow enuer, by SIC or the Finns supplementalSIC coverage. Soviets Account GSA and IRMA we brokerage /exeunt,
Dividend and °tarn,n wstment lots ad systematic general pater or spcncor and may be calculated which provide access so barking services a-idproducts
patios kris are each canbined to display one based as &Decent information from that used by • Revenue shoring and additional compensation. through areangtenwas yet Alined bats at other
averaged lot. The • Trade date • colann presents the thid parties to derive tee estimated values. — In addition to commissions on sales and 12b-t fees thrdpasy banks, and provides access to noura-ce and
ages' transaction trade date. - You can obtan addle's-al rearnaten regrading rewired n correction wan the distnbution of ennsity proista slued by unaffiliated third.paty
he methodology used to determine the "Minato of mutual lend to wardens we anece our fl ab insurance ampules through reurance agency
• Callable securities Ban* and ;referred stock that value and the date of he itermatentha is the 3eceive (write haring Pagranto from distributors subsiiieries of UBS Financial Services Inc.
the span cats for easy recienthan wit be selected basis fate emi rate by contacting your Financial ardor advisers of the mated funds that we sell.
mural& by lot Iran among all seo.reies of tat Advisor. Theseanoints are based on two deferent Iniestment, muerte. ad artily products:
eta held hour name or in nominee nen* lee as - Th id party *stemmed vitas may be reflected as COM:Onentf- ff.* amantol &elm by UBS of a Not VIZ inured • No bank savant.** May Ow vats*
<Bente. Call bats* inkrinatkn is obtained from third •Not pied' n wow I sit stens new n partnaler mutual find I ami& to our clients, and b)
parties and es accuracy snot guaranteed. Other call Pdependent vitiation tint hes not *spied or is the asset weed a palku Le mutual fund family's RYA. Reroute Management Accost Business Senices
featres mate's' which mad affect yetis( complete unable to assign a vatae when we became avare shares held at the larn Account 854, RMA and ntematioral Resource
eacmiaten will be provided upon request that a material event has occured ha may call a — We and as of orate also recewe nemaking and Management Accost me registered service marks of
pram& reported vats it question. or earn a ormtus pessesoing lees in consideration For UBS Francis' Services he
• Certificates of deposit (0D4 CDs are FDIC rouged value would be highlyspeculative due to he nacre Nadir agent woke; that we Fronde to the
hp to 5250,000 ' pristal and accrued interest per on the sanity 3rukal funds. Thew fees generally are pad from Visa *rime is a registered sereice mark of Visa
dross and per depositoryinstituter,. Pe accordance - When neither an sates, general palm( or sponsor insestor assets in the mutual kind and are a heed Intonational. CBS Visa Signature cede cads ard LES
rah POIC rules. *stinted ate nce a Ord./soli estimated eta if Jolla amount based an tie nutter of accounts at yea debit cards are weed by UBS Bark USA with
made the value of the sourly will be &Relent the broker-dealer holdng mewl lin& of that fund of/mission from Yea U.S A Incorporated.
• Prise/value Pros dig:awed fo r securities and oho tan espurchaseprice. fmiy
;seduces may be higher or lower than Meunier that UBS Firiandal Services Inc Pm 204102
SDNY_GM_00021257
CONFIDENTIAL
EFTA 0[)131877
EFTA01274084

(SUBS UBS Enancial Services Inc. Resource Management Account
299 Park Avenue
25th Floor
New York lifY 10171.0002 March 2014
CNP700547978t 0314>cl YI 0
GHISLAINE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065.7007
Account name: GHISLANE MAXWELL
Friendly account name: Indiv.V49935006
Account number. Y I 23571 SS
Your financial Advisor-
SCOTT STACK MANILYLE CASI4EL
Phone: 212-821-70001800-308-3140
Questions aboutyour statemest? Value of your account
Call your Financial Advisor or the
RMA ReSOurCeUne at 800-RMA-1000, on February 28 if1 ) on March 31(3)
account 029323571
Your assets 1,033,286 11 1,054,781.51
Visit our voebsIte: Your liabilities 0.00 0.00
www.ubs.cornIfinancialseMcus
Value of your account $1,033,286.11 31,054,781.51
Items for your attention
. if you use U8S Online Services, consider
changing your User Name and Password
regularly to protect your personal data.
Not enrolled? Go to Sources of your aocouet growth
ubs.cornrcinineservices Tracking the value of your account during 2014
Value of your account
at year end 2013 3000
S lhcusancs
Net deposits end
'CM 3 19548 withdrawn 31,093854.22
• Your nvestment return
• Diedend and
interest income 33297.09
Change in
market value 3890.20
Value of your become
on Mar 31, 2014 81,054781.51
Feb 2014 Mal 2014
SDNY GM 00021258
Member SIPC CW0003006479781 Ne700030040580004 0014 030575004 Y12357155010o0u0 Page 35 of 86
CONFIDENTIAL
EFTA_OOL31878
EFTA01274085

*UBS Resource Management Account Account name: OHISLAINE MAXWEU. Your K Randal Advisor.
Friendly account name:Indiv V49935036 SCOTT STACK MANWLE CASREL
March 2014 Account number: Y1 23571 55 212-32 1•7000/800-308.3 140
Your account balance sheet
Summary of your assets
value on Percentage of
March 31 (1) your account
. Cash and money balances may include
A Cash and money balances 68,604.90 6.50% Your current asset allocation
available cash balances, UBS Bank USA deposit
B Cash alternatives 0.00 0.00% account balances, UBS AG Stamford Branch
E A deposit account balances and money market
C Equities 269,838.62 25.58% mutual fund sweep balances See the Important
information about your statement on the Last
D Fixed income 684,575.89 64.91% two pages of this statement for details about
those balances
E Non-traditional 31,762.10 3.01%
F Corrmodities 0.00 000%
G Other 0.00 000%
Total assets $1,054,781.51 100.00%
Value of your account $1,054,781.51
Eye on the markets
Percentage change
Index March 2014 Year to date
S&P 500 0.84% 1.81%
Russell 3000 0.53% 1.97%
MSC I - Europe, Australia & Far East -0.57% 0.77%
Barclays Capital U.S. Aggregate Bond Index -0.17% 1.84%
Interest rates on March 31, 2014
3-month Treasury bills: 0.04%
One-month LIBOR: 0.15%
CNP70009006479782 NV7003303405130004 0314 030575004 VI23571550 WafilicG rit 00021I%S 36 of 86
CONFIDENTIAL
EFTA_00131879
EFTA01274086

SUBS Resource Management Account Account name: GHISLAINE MAXWELL Your Nsandal Advisor
Friendly account name:Inch,' y44393506 SCOTT STACKMANLYLE CASNEL
March 2014 Account number. Y I 23571 55 212-821-7000800-308-3140
Change in the value of your account Summary of gains and losses
March 2014 (1) Year to date (I) Velues mooned below exclude products for which gam and losses are not decsifinl.
Realized gains and losses Unrealized
Opening account value $1,033,286.11 $0.00
March 2014 (I) Year to date 04 gains and bses(S)
Deposits, including investments
transferred in 126,31190 1,157,928.70 Short term 0.00 0.00 10,307.93
Wittictawals and fees, Long term 0.00 0.00 5,592.05
including investments transferred
Total $0.00 $0.00 $15,899.98
Out -107,274.48 -107,274.48
Dividend aid interest income 3,297.09 3,297.09
Cash activity summary
Change in market value -841.11 83020
See account activity tins month for detals Balances in your Sweep Onions are indudedin the q:enng and
Closing account value $1,054,781.51 $1,054,781.51
closing balances IrSia. FDIC insurance apohes only to deposits a u8S Bank LISA, not to deposits at LOS AG.
Stamford EaanCh Of bank deposits placed throush the LIE'S International Depose Account prcgrarn SIPC
protection applies to money market sweep fund nat.:tiros but not bank deposits. Snimportant inSotmation
Dividend and interest income earned about your sigement on the last two pages cf this document for deists
Math 2014 (S) Year to date (1)
For outposts of IN, statement. temblity of interest and dnidend Income has been determined horn a US Opening balances $49,546.11 $0.00
la 'coating penpective. Based upon the residence of the account hokler, recount type, or product type,
sane interest andor dvidend payments may not be subject to United Stan (US) ardor Plitft0 Rico (PR) Additions
income tares The (lent month); statement i5 not intended to he used and cannot be *Seri upon for tar
purposes. Clients should refer to the apeolicade tar reporting forms they receive fran MS annualy, such as Deposits and other funds credrted 19,039.42 68,585.53
the Forms 1099 and the Semis 480, for las rep3rung information it is the practice of UBS to file the
essocaue tar reporting forms vAth the US Mend RevenLe Service gad PR Tienury (*parent and in Dividend and interest income 3,297.09 3,297.09
such forms accurately classify dudends aid a interest est& exempt or tacabk income. Pleat consult your
indudual in prepare/. Total additions $22,336.51 $71,882.62
March 2014 (5) Year to date (1) Subtractions
Taxable dividends 3,297.01 3,297.01 Funds withdrawn for investments
bought -3,277.72 -3,277.72
Tx..31‘t? .crtet.?... 0.08 0.08
Total subtractions -$3,277.72 -$3,277.72
Total current year $3,297.09 $3,297.09
Net cash flow $19,058.79 $68,604.90
Total dividend & interest $3,297.09 $3,297.09
Closing balances $68,604.90 $68,604.90
SDNY GM 00021260
(HP703010(6479783 NV7003303405 C0004 03I 03057S004 71235715SO100000 Page 37 of 86
CONFIDENTIAL
EFTA_00131880
EFTA01274087

*UBS Resource Management Account Account name: GHISLAJNE MAXWELL Your financial Advisor
Friendly account name:Vichy V49939:106 SCOTT STACK MANLYLE CASRIEL
March 2014 Account number. YI 23571 55 212-821-7000/ 800-308-3140
UBS Bank USA Deposit Account APY
Interest period Feb 7 - Mar 6
Opening UBS Bank USA Deposit balance Feb 7 80. 00
Closing UBS Bank USA Deposit balance Mar 6 /49,565.48
Number of days in interest period 28
Average daily balance $14,158.10
Interest earned 80. 08
Annual percentage yield earned 0 01%
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
Financial Advisor or Branch Manager You can find a ful description of the alternative
investment objectives in important information about your statement at the end of this
document.
Your return objective:
Curient income &capital appreciation
Your risk profile:
Primary - Moderate
Investment eligibihty consideration - None selected
Your account instructions
• Ypt.- a-critrt roc', basr. (iota at cl-i6ng moll. id is FIFO, First In, First Out
CNP7C003306479784 N77080300405 00034 0314 030575004 7123 571 550 101iftfrifGrk0002Fleart 38 of 86
CONFIDENTIAL
EFTA_00 131881
EFTA01274088

Resource Management Account Account name: GHISLAINE MAXWELL Your If sandal Advisor:
*DUBS
Friendly account narne:Indry V49939206 SCOTT STACKMANLYLE CASRIEL
March 2014 Account number Y1 23571 55 212-821-70000300-308-3140
Your assets
Sane pnces, income and current vas UPS Shonn may be apt:M arta*. AS a recut, gated and IOSS.eS may rot
be ,Kcurately reflected. See important intormabon about your statement arm end al this dxurrent for
more Informal on
Cash
Cash and money balances
Cash ant money balances may include avalable cah balances, UBS Bank. USA deposit accent balances.
UBS AG Stafford Branch deposit account balances and money market mutual fund sweep barances
UBS Bank USA deposit account balances are insured by the FOC vitt n applIcebte limits, but are not
potected by 9PC 1)85 AG Stanford Breen h devout =cum basic*: we not insured by FDIC and we not
protected by SIPC Money market sweep balances are protected by SeC but are not insured by the FDIC.
See the important information about your statement at the end of this document for details about those
balances.
Openng beance Closing WI/me fete per then Average Darden, interest D. in
Hddng on Mar I (S) on Mar 31 (5) on Mar 31 (SS rate period period Cap amount (I)
IRS BANK USA DEP ACCT 49.546 11 68,604.90 250,000.00
Equities
Mutual funds
Total reinyestel rs the iota dal reinvested chedends M does rot include any cash diiidends. It is rot a tar tinrealited(tarigain or loss is the dfference between the current value and I he cost bass aid would
lot for the purposes of determining racing periods or cost basis. The shares you receive eah time you generaty be your hatable gain or loss if the sec way was sold co this date. The unreatzedga0 canoe loss
reinvest cludendS become a separate tax 101. may need )0 be fl uffed fOr ret um of <iota parnems In order to determine the recited gain or loss la tax
Cost basis is the told purchase cost of the security. inducing renwesteddwiends The cost basis ref need "Wring purposes.
to be &lusted for return of carnal payments in order to determ ne the adjusted cat bas for tar reporang Iniestment tewn is the current yak* rnnus the aMOunt yOuinreSted It Oa not include snares Ma are not
purposes. reflected on your statement, includngshares MS hale been reined as either a gan or a loss. It also dots
not nducle cash dudends Ilia were not reinrested.
Purchase Dine?
%MOP, Average price GI em Cost Prize per share value on unrealized dad iretarnent Hddng
Hddng of shares per snare (S) Investment 0) bals(1) at mar 31 (S) Ma 31 0) gain or loss (1) return (S) period
CLEARBROGE
EQUITY INCOME FUND
CLASS I
Symbol. SOPY)(
Trade date: kin 26, 13 1,179.249 16.769 19,776.00 19,776.00 18.880 22264.22 2,466.22 ST
Trade date: Ian 14, 14 296.210 18.470 5,471.00 5,471.00 18.880 5.592.44 121,44 ST
Trade date: Ian 15, 14 283.181 18.549 5253.00 5253.00 18.880 5,346.46 53.46 ST
Continued next page
SDNY GM 00021262
C HP70007006479785 NP7003303405 COCOS 0314 030575004 Y123571550 100000 Pa94. 39 of 86
CONFIDENTIAL
EFTA_GOI3 1882
EFTA01274089

UBS Resource Management Account Account name: OHISLAINE MAXWELL Your Ignandal Advisor:
Friendly account name:Indiv V49935006 SCOTT STACK MANLYLE CASRIEL
March 2014 Account number. VI 23571 55 212421-7000f 800-308.3140
Your assets . Equities . Mutual funds (continued)
Purchase puce
Number king. mice Client Cost Price per that Value on uneditedNW imestment Hddng
Hddng of stews per sham (S) investment CS) basis (1) an Mai 31 (I) Mr 31 (1) coin of loss (0 Mum (5) period
ST
Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 18.880 5337.96 9856
ST
Trade date: Jan 17, 14 298.430 18.469 5,512.00 5512.00 18.820 5634.36 12136
Total reinvested 14.767 18.760 277.03 18.880 278.80 1.77
EAI: 3813 Current yield 1.83%
Security total 2354568 17.637 41251.00 41,52803 44,454.24 2,926.21 3203.24
COLUMBIA CONVERTIBLE
SECURMES FUNDCLASS 2
Symbol: NCIAX
Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 18.920 21,704.59 1,181.59 ST
Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,942.00 18.920 15,899.99 -4101 ST
Total reinvested 10.535 19.080 201.01 18.920 199.32 -1.69
EAI: 1839 Current yield 2.35%
Security total 1,998.092 18.351 36,465.00 36,666.01 37,803.90 1,137.89 1,338.90
HARBOR CONVERTIBLE
SECURMES FUNDCLASS I
Symbol: HACSX
Trade date: Jan 29, 13 1,872.780 10.250 19,196.00 19,196.00 11.260 21087.50 1,891.50 LT
Trade date: Am 17, 13 960.534 10.489 10,076.00 10,076.00 11.260 10,815.61 739.61 ST
Total reinvested 9.397 11.180 105.06 11.260 105.81 0.75
EAI: 4598 Current yield 184%
Security total 2,842.711 10.334 29272.00 29,377.06 32,008.92 2,631.86 2.736.92
JP MORGAN INTREPID
EUROPEAN INST
Symbol: JFEIX
Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 27.720 12,070.73 1,996.73 ST
Trade date: Aug 6. 13 439.831 23.286 10242.00 10242.00 27.720 12,192.11 1,950.11 ST
EAI: 475 Current yield: 0.31%
Security total 875.283 23.211 20,316.00 20,316.00 24262.84 3,946.84 3,946.84
MATTHEWS ASIA DIVIDEND
FUND INSTL
Symbol: MIPIX
continued next page
CNP70303006479786 NP70033C0405 00004 0314 030575004 VI 23571 550 103IltkyGRA0002/itts 40 of 86
CONFIDENTIAL
EFTA_00 1 3 18 83
EFTA01274090

Resource Management Account Amount name: GHISLAINE MAXVVEU. Your Fl sandal Advisor:
;It UBS Friendly account name: Incliv. V49935006 SCOTT STACKMANLYLE CAMEL
March 2014 Account number YI 23571 55 212-821-7000/800-308-3140
assets . Equities
Your Mutual funds (continued)
Purchase pied
Hurter Averay price client Cost Price per share Value on Unrealized Rae) investment Haring
Hddng of shuts per share (S) investment d) basis (t) on Mar 31 CO Mar 31 (S) gain or loss (0) return (5) period
Trade date: fan 29, 13 2,156.431 14.849 32,023.00 32,023.00 15.260 32,907.13 834.13 LT
Trade date: Feb 1.13 481.951 15.069 7263.00 7,263.00 16260 7,354.57 91.57 LT
Total reinvested 5.404 14.739 79.65 15.260 82.47 2.82
EAI: 11,356 Current yield: 3 36%
Security total 2,643.786 14.890 39286.00 39,365 65 40,344.17 97652 1,058 17
SIT DIVIDEND GROWTH FUND
CLASS I
Symbol. SOVGX
2,958.635 --This entormabOn waS unavailable-- 17.890 52,929.98
(Al: 1760 Current yield 1 44%
TORTOISE MLR & PIPELPIE
FUND CLASS INSTL
SymbOl: TORIX
Trade date: Jan 29, 13 2296.774 13.330 30,616.00 30.61600 16.560 38,034.57 7,418.57 7A18.57 LT
(Al: 1367 Current yield 0.96%
Total $197,206.00 $197,868.75 6269,838.62 91%03929 $19,702.64
Total estimated annual income: $4,848
Fixed income
Mutual funds
Toter reinvested is the tow al at reinvested dvdends n does not include wry cash dedends Is not a timeafged 00 gaol of las is the dlference between the current vague and the cost basis and would
tar lot for the purposes of delerminng hdckng periods or cost basil. The shares you receive each time you generally be >our 'arable wen or loss 4 the security was sold on dale The unrealized MO glan or loss may
reinvest d admit become a separate tax lot. need to be acluded for return dcarcli payments in order to deterrine the reaped gen or loss for tar
Cost toys o the total purchase cog of the security. Inducing reinvested d wends The cost basis may
need to be adusted for return dr capital payments in order to detertnine the al tater/ ost basis for laic itnePewntriianaCniPrrurtursnesis the current value alma the amount you invested e don not include shares that are not
reportirg ptrposes reflected as sour statement, inducing shares that hare been red eed a either a gain or a loss It also does rut
include (ash chidends that were not reinvested
Purchase pricer
Number Average rtKe Client Cost Pnce per share Value on Unrealized Rae) investment Holding
Hddng of shares per share (Si investment (S) basis (S) cn Mar 31 (I) Mar 311 gain or loss (St return (0 period
AVENUE CREDIT STRATEGIES
FUND CLASS INSTL
Symbol. ACSBX
contoped next page
SDNY GM 00021264
Ci1P7C0CM306479787 Ne7003303405 00004 0314 030575004 Y123571550 100003 Page 41 of 26
CONFIDENTIAL
EFTA_00131884
EFTA01274091

SUBS
Resource Management Account Account name: GHISLAINE MAXWELL Your A nenciel Advisor
Friendly account name: Indiv V49935006 SCOTT STACK MANLYLE CASRIEL
March 2014
Account number. Y I 23571 SS 212-821.7000/800-3083140
Your assets . Fixed income . Mutual funds (continued)
Purchase prier
Rumen( Average peke Client Cost Price per thee Value C41 Unrealized 044 Imestment Hddng
Hddng of shares per sham (I) inmate-rot (S) basil (S) an Mar 31 di Mr 31 (I) coin orlon (1) return (1) period
Trade date: Nov 12, 13 910.736 11.270 10,264.00 10,264.00 11.580 10,546.32 282.32 ST
Trade date: Nov 18, 13 912.566 11.300 10,312.00 10312.00 11.580 10,567.51 25551 ST
Trade date: Nov 25, 13 911.661 11.319 10,320.00 10,320.00 11.580 10,557.03 237.03 ST
Total reinvested 29.126 11.550 336.41 11.580 337.28 0.87
EAI: $1,033 Current yield: 3.23%
Security total 2,764.089 11.299 30,896.00 31,232.41 32,008.15 77573 1,112.14
BtACKROCK HIGH YIELD
BONDI
Symbol: BHYIX
Trade date: /an 29, 13 4,811.156 8.200 39,451.48 39,451.48 8.340 40,125.04 673.56 LT
Trade date: kin 27, 13 2,481.156 7.959 19,750.00 19,750.00 8.340 20,692.84 942.84 ST
Total reinvested 33.947 8.370 2&1.14 8340 283.12 -1.02
EAI: $3,692 Current yield:6.04%
Security total 7326.259 8.120 59201.48 59,485.62 61,101.00 1,615.38 1,899.52
COHEN & STEERS PREFERRED
SEC & INC FUND I
Symbol: CPXLX
Trade date: /an 29, 13 3,002.068 13.487 40,490.57 40,490.57 13.380 40,167.66 -322.91 LT
Trade date: Feb 6, 13 740.625 13.391 9,91840 9,918.40 13.380 9,909.56 -&84 LT
ST
Trade date: lun 14, 13 751.274 13.309 9,999.02 9,999.02 13.380 10.052.04 5302
Total reinvested 24.044 13.269 319.C6 13.380 321.71 2.65
(Al: $3,849 Current yield: 6 37%
Security total 4,518.011 13.441 60,407.99 60,727.05 60,450.95 -27608 42.98
DOUBLE LINE TOTAL RETURN
FUND INSTL
Symbol: DOLTS(
Trade date: /an 29, 13 12,498.155 11.379 142229.00 142,229.00 10.900 136,229.88 -5,999.12 LT
Total reinvested 51.566 10.959 565.16 10.900 562.07 -3.09
EAI: 47,027 Current yield: 5.14%
Security total 12,549.721 11.378 142229.00 142,794.16 136,791.95 6,002.21 -5,437.05
EATON VANCE FLOATING
continued next page
CNP7C009006479788NP70003C0405 00004 0314 030575004 Y123571550 10MgyGm0002/Ins 42 of 86
CONFIDENTIAL
EFTA_001131885
EFTA01274092

Resource Management Account Account name: GHISLAINE MAXWELL Your Mnandal Advisor:
UBS Friendly account name: lndiv V49935006 SCOTT STACKMANLYLE CASR1EL
March 2014 Account number VI 23571 55 212-821-7C00/800-308-3140
Your assets . Fixed income . Mutual funds (continued)
Purchase met
Number Average pace Client Cost Price per that Value on tinges:Ned gad Investment Hddng
Hddng of shares per share (0 Investment(1) basis (I) al Mar 31 (1) Mar 31 (I) gain or loss (b return (a) period
RATE ADVANTAGE CL I
Symbol: EIFAX
Trade date: ran 29, 13 7,524.150 11.180 84,120.00 84,120.00 11.160 83,969.51 •150.49 LT
Total reinvested 25.712 11.190 287.72 11.160 286.95 -0.77
EAI: 33,963 Current yield: 4.70%
Security total 7,549.862 11.180 84,120.00 84,407.72 84256.45 -151.26 136.46
HARBOR HIGH YIELD BD FD
INSTITUTIONAL CL
Symbol: HYFAX
Trade data: /an 29, 13 2,660.657 11.239 29,905.78 29,905.78 11.000 29267.23 •63855 LT
Total reinvested 30.093 10.989 330.72 11.000 331.02 0.30
EAI: 41.687 Current yield: 5.70%
Stagily total 2,690.750 11.237 29,905.78 30236.50 29,598.25 -63&25 -307.53
HSBC TOTAL RETURN
FUND CLASS I
Symbol: HTRIX
Trade date: Mn 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.140 39,125.86 .571379 -578.79 LT
EAI: $741 Current yield 1.89%
JP MORGAN MULTI-SECTOR
INCOME FUND SELECT SHS
Symbol: JSISX
Trade date: Mn 29, 13 4,784.864 10.260 49,092.71 49,092.71 10.390 49,714.73 622.02 622.02 LT
EAI: 11,139 Caren( yield: 2.29%
METROPOLITAN WEST TOTAL
RETURN BOND FUND CLASS I
Symbol: MWTIX
Trade date: Oct 24, 13 7,192344 10.709 77,030.00 77,030.00 10.680 76,81413 -21577 ST
Total reinvested 14.410 10.709 15433 10.680 153.90 -0.43
EAI: 12,263 Current yield: 2.94%
Security total 7206.754 10.710 77,030.00 77,164.33 76,968.13 •21620 .61.87
F4DGEWORTH SEIX FLOATING
continued nest page
SDNY GM 00021288
0070403006479789m7OCOX040500004 0314 030575004 VI 23571$5010000) Page 43 of 86
CONFIDENTIAL
EFTA_001131886
EFTA01274093

SUBS
Resource Management Account Account name: GHISLAINE MAXWELL Your 14 nancial Advisor.
Friendly account name:Indw V49935B06 SCOTT STACKMAI/LYLE CASRIEL
March 2014 Account number. VI 23571 S5 212-821.7000/800-308-3140
Your assets Fixed income .
Mutual funds (contmued)
Purchase price/
taunter Aveldge puce Client Cost Prise per share Value on unmannedOM imestrnent Hddng
Hcidng or shares per share (I) investment (S) Owls CS) on Mar 31 (S) Mat 31 (5) gain or loss CS) return (5) Penad
RATEHIGH INCOME FUND
CATS I
Symbol. SAMBX
Trade date: Jan 29, 13 6,502.655 9.039 58,784.00 58,784 DO 9.060 58,914.05 130.05 LT
Total reinvested 21,568 9.060 195.84 9.060 195,41 .0 43
EAI: 32,420 °Arent yield: 4.09%
&acuity total 6524 223 9.040 58,7&1.00 58.979 84 59,109.46 129.62 325.46
T ROWE PRICE
INSTITUTIONAL FLOATING
RATE F CLASS
Symbol. PFFRX
5394.060 --This information was unavailable.-- 10.280 55,450 93
EAT 12,255 Ofirent yield: 4.07%
Total $631371.61 $633,844.99 $684,575.89 -$4,720.04 -$2,246.66
Total estimated annual income: $30,069
Non-traditional
Mutual funds
Mal reinvested is the ima ri al reinvested diedene6 n dots not include ary Cain dedends. it is not al& unrealizedMY/vino, loss is the difference between the current vane and the cost bags andwould
lot for the purposes of determninp bold rig pe reds or cost basis. The shares you /cow each titre you ;totally be your taxable gin or loss it the sectety was sad on Its dale. The unreavied(tax1sen m loss
reinvest dwaieds become a separate tax vol. may need so be adjusted tor return of captal payments in order to determine the realized gain or las for tax
reporting purposes.
Cost trans ii the LOIS purchase lost of the StCurity. indudrg fPnveStedriviclench The cost basis may need
to De aquae° kr return d cedar padnents in dart to onetime the adjusted cost beers to tax reponng ffideStIlleat leRM1 is the current value onus the amount yOulMeSted It data not include shares ma are not
braises. reflected on your statement, inducing AVIS. INS( have been Ma:lief:UK either a grin or a le% It also dues
not include cash dui:feeds that were nor reinvested.
Purchase pincer
Number averagi pnce Client Cost Price per share Value on UnrealizedGar) Investment Hddng
Hddng of shares per share (S) investenenf basis CI) cn Mai 31 (5) Mar 31 ($) gain or loss (S) return (5) period
GATEWAY FUND CLASS Y
Symbol. GTEvx
Trade date: Ian 29, 13 1,089.208 27.580 30,040.36 30,040.36 29.030 31,61931 1379.35 LT
Total reinvested 4.905 28.870 141.61 29.030 142,39 0.78
(Al: 1517 Current yield 163%
Security total 1,094.113 27.586 30,040.36 30,181.97 31,762.10 1,580.13 1,721.74
CNP7C0C93C6:179790NP70C0303405 C0004 0314 030575004 VI23571550 10 j Y GM 000211!!944 of 86
CONFIDENTIAL
EFTA_00131887
EFTA01274094

SUBS
Resource Management Account Account name: GHI5LAINE MAXWELL Your 'Mandel Advisor:
Friendly account name: Indiv V49935006 SCOTT STACKMANLYIE CASRIEL
Account number. Y I 23571 55 212-821-7C00/800-308-3140
Your assets
Your total assets
PeKentage 01 Cost Stmate0 unearned
Value cal Mc 3' (I your tC(Ounl DO54 0) onnud Income 01 gedn or loss (S)
Cash Cash and money balances 68,604 90 6.50% 68.604.90
Equities • Mutual funds 269,838.62 25.58% 197,868.75 4,848.00 19.039.89
Fixed income • Mutual funds 684.575.89 64.91% 633,844.99 30,069.00 -4,720.04
Non-traditional Mutual funds 31.762.10 3.01% 30,181.97 517.00 1,580.13
Total $1,054,781.51 100.00% 8930,500.61 $35,434.00 $15,899.98
• Missing cost basIS inkernaticn
Account activity this month
Date Actirity Description Arnaunt (5)
Deposits and other fends credited Mar 10 Deposit CHECK DEPOSIT 19,039.42
Total deposits and other funds credited $19,039.42
Date Acthaty De1001100 Amount IS)
Dividend and interest income
Taxable dividends Mar 3 Dividend METROPOUTAN WEST TOTAL RETURN BOND FUND CLASS IAS OF 0212814 154.33
Mar 3 Dividend RIDGEWORTH SEIX FLOATING RATEH1GH INCOME FUND CLASS] AS Of 195.84
02i213 Id
Mar 3 Dividend DOUBLE UNE TOTAL RETURN FUND INS% AS OF 0152914 565.16
Mar 3 Dividend COHEN & STEERS PREFERRED SEC & INC FUND 1AS OF 02/28,14 319.07
Mar 3 Dividend EATON VANCE FLOATING RATE ADVANTAGE CL I AS OF 02128114 287.72
Mar 3 Dividend BLACK ROCK HIGH VELD BOND I AS OF 0212914 284.14
Mar 3 Dividend HS8C TOTAL RETURN FUND CLASS I 19.29
Mar 21 Dividend GATEWAY FUND CLASSY 141.60
Mar 21 Dividend MATTHEWS ASIA DIVIDEND FUND INSTL AS Of 0312014 79.65
Mar 24 Dividend COLUMBIA CONVERTIBLE SECLAIMES FUND CLASS 2 AS CIF 03121/14 201.00
Mar 28 Dividend HARBOR MGM YIELD RD FDINSTITUTIONAL CL AS OF 03127/14 330.72
Mar 28 Dividend HARBOR CONVERTIBLE SECURITIES FUND CLASS I AS OF 0327114 105.06
Mar 31 Dividend CLEARMIDGE EQUITY INCOME FUNDCLASS I AS OF 0312E214 277.03
Mar 31 Dividend AVENUE CREDIT STRATEGIES FUND CLASS INSTL 336.40
Total taxable dividends $3,297.01
SDNY GM 00021268
Cm170001006479791 NPT0003C040500004 0314 030575004 VI 23571550100000 ►aye 45 of 86
CONFIDENTIAL
EFTA_00131888
EFTA01274095

SUBS
Resource Management Account Account name: GHISLAINE MAXWELL Your A vandal Advisor
Friendly account name:Indiv V49935::06 SCOTT STACK MAI/LYLE CASRIEL
March 2014 Account number: Y1 23571 55 212-821.70001800-308.3140
Account activity this month (commis)
Date Activity Dexnption Amount (S)
Dividend end interestiacorne (continteRd)
Taxable interest Mar 7 Interest UBS BANK USA DEPOSIT ACCOUNT AS OF 030E/14 0.08
Total taxable interest $0.08
Total dividend and interest income $3297.09
investment transactions
For note int0M1$1011 anent the Drgereerat shown nar restricted SNOOPS. we important intormetion afoot
your Statement I the en0 01 Ind 03C anent
Proceeds ncrn Funds
invenrrlen1 withdrawn rer Accrued
Date Actinty Descoptron Quantity 1naue (I) Pnce (1) transactions (5) cm*strnentsbougit (1) interest (5)
Mar 3 Remwstment METROPOLITAN WEST TOTAL RETURN BOND 14.410 -154.33
FUND CLASS I DIVIDEND REINVESTED AT 10.71
NAV ON 02/28/14 AS OF 0212/314
Mar 3 Remwstment RIDGEWORTH SED( FLOATING RATEH1GH 21.568 -195.84
INCOME FUND CLASS I DIVIDEND REINVESTED
AT 3.08 NAV ON 02/28114 AS OF 02/26/14
Mar 3 Reinvestment DOUBLE LINE TOTAL RETURN FUND INSTL 51.566 -565 16
CtVIDEND REINVESTED AT 10.96 NAV ON
02/28114 AS OF 02/28114
Mar 3 Reimestment COHEN & STEERS PREFERRED SEC & INC FUND I 24.044 -319.07
DIVIDEND REINVESTED AT 13.27 NAV ON
02/2+3;14 AS OF 02/28/14
Mar 3 Remwstment EATON VANCE FLOATING RATE ADVANTAGE CL 25.712 -287.72
I DIVIDEND REINVESTED AT 11 19 NAV ON
02/ 2P/14 AS OF 02/28/14
Mar 3 Reinvestment BLACKRCCK HIGH YIELD BOND I DIVIDEND 33.947 -28.4 14
REINVESTED AT 837 NAV ON 0028(14 AS OF
02/28/14
Mar 13 Receive T ROWE PRICE INSTITUTIONAL FLOATING RATE F 5,394.000 55,450.32
CLASS
Mar 13 Dete. T ROWE PRICE INSTITUTIONAL FLOATING RATE F -5,3%1.000 -55,450.32
CLASS
Mar 13 Receive T ROWE PRICE INSTITUTIONAL FLOATING RATE F 0.060
CLASS
Mar 13 DeSver T ROWE PRICE INSTITUTIONAL FLOATING RATE F .0.060
CLASS
Mar 13 Receive SIT DIVIDEND GROWTH FUND CLASS I 2,958.000 51,824.16
motioned next page
CNP7C009006479792 Ne7OCO3C0405 00004 0314 030575004 Y123571550 lOigt&YGht00021pAta 46 of 86
CONFIDENTIAL
EFTA_00131889
EFTA01274096

Resource Management Account Account name: GHISLAINE MAXWELL Your Finandal Advisor:
*UBS Friendly account name:Indw V49939X6 SCOTT STACK MANILYLE CASRIEL
March 2014 Account number: Y1 23571 55 212-821-70001800-308-3140
Account activity this month icontroeffl
Investment Uansactions (continued)
Protect tron Funds
investment tatthdravenkr Accrued
Date 44bisly oescdpt.on Quantity Yaw (S) Price (5) immaciipos ($) inveslre*M5 0C9V interest
Mar 13 Detwer SIT DIVIDEND GROWTH FUND CLASS I -2.958.000 -51824.16
Mar 13 Receive SIT DIVIDEND GROWTH FUND CLASS I 0.635
sir
Mar 13 Deaver DIVIDEND GROWTH FUND CLASS I -0.635
Mar 21 Renveslrilell MATTHEWS ASIA DIVIDEND FUND INSTL 5.404 -79.65
DIVIDEND REINVESTED AT 14.74 NM/ ON
03120,14 AS OF 03/20/14
Mar 21 Reinvestment GATEWAY FUND CLASS Y DIVIDEND 4.905 -141.60
REINVESTED AT 28.87 NAV ON 0312014
Mar 24 Reinvestment COLUMBIA CONVERTIBLE SECURMES FUND 10.535 -201.00
CLASS3 DIVIDEND REINVESTED AT 19.08 NAV
ON 03/21/14 AS OF 03721/14
Mar 28 Reinvestment HARBOR HIGH YIELD BD FD INSTITUTIONAL CL 30.093 -330.72
DIVIDEND REINVESTED AT 10.99 NAV ON
03/27/14 AS OF 03/27114
Mar 28 Remvestment HARBOR CONVERTIBLE SECURITIES FUNDCLASS 9.397 -105.06
I DIVIDEND REINVESTED AT 11.18 NAV ON
03/27/14 AS OF 03/27/14
Mar 31 Reinvestment CLEARBRCGE EQUITY INCOME FUND CLASS I 14.767 -277.03
DIVIDEND REINVESTED AT 18.76 NAV ON
03/zen 4 AS OF 03/2&14
Mar 31 Reinvestment AVENUE CREDIT STRATEGIES FUND CLASS INSTL 29.126 -336.40
DVIDEND REINVESTED AT 11.55 NAV ON
03/28/14
Total -$3277.72
Securities transferred in $107,274.48
Securities transferred out 4107,274.48
Dale Activity asoption Arrounl
Money balance activities feb 28 Balance forward $49.546.11
Mar 4 Deposit UBS BANK USA DEPOSIT ACCOUNT 1929
Mar 7 Deposit UBS BANK USA DEPOSIT ACCOUNT AS OF 03/06114 0.08
Mar 11 Deposit UBS BANK USA DEPOSIT ACCOUNT 19.039.42
Mar 31 Closing UBS Bank USA Deposit Account $68,604.90
Toe UBS Bank USA DepOs4 ACCOurit is your primary sweep, option
SDNY GM 00021270
Cfle7COOF005479793 Ny7003303405 00004 0314 030579304 Y1235715501013000 Page 47 of 86
CONFIDENTIAL
EFTA_00 I 3 I 890
EFTA01274097

*UBS
Your notes
CNP70003005479754 NP7003303405 00004 0314 030575004 VI 23571550 1p,MY_GM_00021i491 48 of 86
End of statement for account number Y1 23571 SS
CONFIDENTIAL
EFTA_00113 I 89 I
EFTA01274098

Important information about your statement
LEIS Financial Services ix. (the F im or UBS Anoxia' sera you the len stamen on whit the error or The Fim, togeeher with certain atlEates, ha also mount held, you choose one of We following
Senites). is a merrter of all ',Motel Nosily, cow** problem *Peered. purchased onplaTental protection. The magnum Men:r ent objectint
and optins exchaves. LES Fe-ercial Selects and LBS - Bowie you- name ad accost number 6f any) amount payable to al eligible there, collect's& rider • Endue CunentIrcome. Menne. es seekng the
Bank USA n rdrect sutodares of LES AG and — Desoto the once or the wander you are mon this protection is 5500 million as of December 10, 2013. generation of income crib.
affiliaies of LES Secultin U.C. Ti. Fim's I kende' about, and melon as clear& as mu can why you • Achim Cepdaf Appeenetion: Investments waging
statement is available upon mgrs. The Fir* excite* believe t is an error a Win* need more Woad to the pokyconditions ard limitation, cads X growth of pence:sal rather than the generation 01
off ices are a: eicrmanori the firm is further protected kr iso to $1.9 million n the income.
— Prowde thedollar arro.nt of the suspected error. aggregate for all you accounts held n a pasioalar • Produce Combinaton of income and Caatol
UBSFinanuol Strums Ix. capacity A ftull copy of We poky wiring n available Appreciatcot Mesements seekkg both the generation
1200 Harbor Boulevard The Fim or Cad Issuer Ma insestigate your complaint upon request. of mane and gowthof precjoal.
Weehawken, to 07066 and eel correct anyerrorjammed/.
The SIPC protection and the supplemenUI protection
Oreriall rids profiles
Ibis statement represent the any official record of yas Please mate all disks payable to the Fern or tie both do not apply to.
LBS Financial Memos account. Other records, mapt financial institution Skirted on fro front of this • Ceruin &ncial asses controlled by (and imboted • Conservarre Seeks to mantain Paha pri-cloaL with
R n o om f o a fi t n i c s b i c s a e h i l o r t n M e a , l r a i p e n d l d e a o a L g c s y e u e r o m r o n e f e p I t o n f h r y t e t o c i o t u o f i n f r b i r c t e m a e f i n e e s i d w e n a r g v t t h c e il e o e ly r r s e d n o l i i u s c * r t a M i n a n g c i e n c d r o g r a o u t t e r n o c t s . t r h h o e u ld m p s a t m a a a t o r e i e u b m n e n e t t s s n u f i t n o b h j r c e s a c a e s t c d h t o r z m t l m i e t a e s a n n i e t p l o e u s r r n . c e h A r g a c c u s e c l e a o s r f u e a a n e n c t s s d c , t c o c h h h s a a t t a r f a g e r t e e s e s s t f . I r o c a a e r n c l c u s a o f n t e e u p r n r a e t i s d d y L i S n o E e c u r S l v u r i A c d a e i G c n s c g S o ( e v u ta a . n g r t n i . a . v l o b a c l r l e e u d r e e t b a ) n r b in a m u n i t t c i h e a h e s s ( l , d I h a ) a n a i w n d t a s U f y i u B e f r S r a s o B h m m ir a e m U s t c B o I d S d f X F m 1 c i a n S u d a , t n u -c a a o l t l l i i t n n o h c f w a l o a t m S t m io e c e n o a . a n r n s r d e t h t v u e o r l n a a s ti w l s ity t n d to " m t d a h o y e e r s r o o n t o a k t e m g e e p n m p e a e r c a s e t c e a w s l, i i s g th n e if n ic d an t
to other institutions may be subject to a wands sm. find' who* such thanes are registered diedly n tot • Moderate Willrig to accept sane rig to principal and
AtInach al figures shown We intended to be accurate. name of the account holler on to backs and wads tolerate some weir* to 'seek hirer returns.
statement data toxili not be used for tar purposes Rely UBS Sweep Options of to applicable issuer a transfer agent); • Aggress*: Wiling to accept high Sc to pinopal and
sae& on yea-end tax forms, Form 1008 Salk UBS offers options for sesepng cash biomes, balances high salsa* to seek hgh returns one time.
10425, etc.) whin prepregyour tar return. The Finn it to bfl deposits a UBS Bak USA and UBS AG Sufficed • Crain ruminate contracts or imesement interest
required by law to report to ty IRS all taxabk Evidence. March (Bank Sweep Preganns), money market mewl fir.g., limited partnership' and gime placements) tat Statement leouseholdne
report*le rcntamble ditizknds and taxable Merest fixds (Mori.F ends) and the InternationalDeposit are rot regrind is-derPe Securities Act of I S03; We may consoldm at related account statements with
eared on wounties held in gar amont, net proceeds Ascent 00Alfor customers withal International ad the same slices. n the sate exam*. Accounts may
an safe transactore, and con base on certain covered Reyoune Management Account. Through to Bank be related Ice this purpose berate they have owners
mantes. Sweep Fvogane, cash balances re swept to U16 Sisk • Commodities contacts (e.o, Moron exchange and who also makaain pia mom relationships wit olive
USA up to n radakhod Fed ad then to LES AG pm iota metal centred°. nduding futures contacts clients at the sane address. This practice's known as
Communications with the Finn Stanford Branch or a Money Fund. Deposits at UBS ad cormoditanzofion contracts. • householing • If you prefer to recebe Pdiedual
. Please re-confirm any oral cormnricatorts in wring Bat USA are FDIC nuked in accordsce with FCC statements masted in separate envetcpts — yOu May
to funher protect your rights. incbdrig your rcht rules. For mere raormation please mit mwrldicgov. The SIPC protects:nand do suppkmental protection do dries householding by (Ong sou F rennet Acker.
order the Semites Manor Protection Act (SWAT Deposes at UBS AG Stanford Brach ad tares of not apply to these assets even 4 they otherwise appear
Money kinds aro rot incised by the FCC. on you Maternal" 1Fe SK proteden and the Friendly amount name
• If thefinancial nstitution on the top left of the front sollokrientalprotenion Mr not protect mare changes The Frendb amine name reflects alo rmation that you
of this statement is not WS Anatol SeMes. CBS Throup the OA, atailable Moan balances are swept to en the maks vale of you investments (whether a a wetted on the lirMs online whites webote. h e a
Brenda' Sereces carries you account as cleanng deposit accounts at UBS AG New Yak Branch and UBS result of market monement, issuer birkruptCy Cr customizable 'nick-urn? drown by you to aria you
locker by anargenent wih the indcated &Mahon AG Carron Bunch Thew deposits are not insured by otherwise} &eh ypr recordkeeping It has m legal effect on your
We Wormed you of tie relationship whin you to FDC. Balances Feld at the LES AG Carnal Brads account. You can dirge yos hiendb account names,
opened this roost. h this case. your birds and are tempera* exposed to the sorreign Sc of the More information is amid* "pm req.et You may through Online Services or by contact-9 murFinancial
sectsnesa-e boated a LBS financial Services and rot Casten elands, and Were is no gmantee or other obtan more Bacanation tote SEC noising the SIK Adesor.
the krodocng broker. al you must make a neon obligation of LBS AG to repay ex Saxes while on the &ochre, by contacting5'PC a 202-371-8300 or by
of ray era or Main to both bums. UBSC grans Brad's books. %nano the SIM **Wee ar wientappoE Aegean overview
• YAM (dreg accoontipordob Net of assets and
A Ilaccornt statements shall be deemed complete ad Deposes at LES Bat LEA and each UBS AG Bench are Dividend Reiweebibent Program (DAP) liabilities.
accurate f not objected to ii swan; within 60 days. not protected by SIPC. Money Fund shires ae protected The prke reflected is an average price. You may obtan • Asset 'Atlas available cash balances, vain for
by SIPC. See 116 F hernial Services Amami Promotion' the acb.el price Iran tots Financial Advisor. Only Mole restricted searey lest 1, and Global tine Deposits,
• Plate diect customer emplanes or ggpiies to he bobw tares se purchased under DM; partial shires will be urrealied marks to market, and caftan insets not held
Fen'sClkm Relations Dtpanment a 201.352.1699 cold rd tot cats wa be deposited b your account. The byte Fem. Does rot induct* unonced SeCuttiell assets
cr tollf ree a 800-354-9103, 8:CO A.M. to 6:CO P.M. Upon you reg.est, bale-ices in the Bank Sweep 6videni reiwearnere price applied by to Mier ma/ at the end of the prior and one statement periods, or
ET Monday through Fred* a in mei* to LEE Program or OA may be withdraw' and shares of a 6ffe from the make( pte at which Wepanel shires protest imestrients, invested stock options aid
Financial Stinnes Ix., Client Relations Depalment, Money And may be liquidated, end the proceed ae sold evercoabie stock anions
P.O. Box 766 Union City, NJ 07087. returned to you or sour secirkin mane. • Eialubbes Includes debt betimes, onmardirg rrurgn
loan credit fix, tort octant balances.
• h k r i c d a s se W o a f n e ne r r n (W Or i t W b e i n p g u g y e m ab m o o ut r a U n B S el V ec is tr e on d i e c bit F in u h rt e e r r in i g n a fo n rm en at t i o m n e a r b e o s u t t r a a t v e a s i l a a n b d le y sw e e t e ., p a o p m ti a o i n la s b , le at C en M tn , e w d h M ole a u im rn - s le m l a in y n be a s h e a a n d n in u Y li O o U f ' a a c d c v o id s e t r . d I f P y a o r u e a n -e t • ca s C h a b s a b la /N n o ce n s e , r p b lu eh s e U ir B e S s . B T a o k ta L l I o S f A u d n e im po e s s i t t e IM d a a m nc ia e b fi l e U BS
card tranuctsore. call 62-1000, or vane to UBS www.ds comfiseepyiekt, from your Financial Miser or armee, the Firm an either sell penal Lnla at AG Starrdotd Branch deposn balances and money market
Frenoal Services tic„ MOO Harbor Blvd, 6th floor. or by calling 800.762.1000. mein peke a accept an arnaunt &ambled by a mmul fund sweep Sate,, at the cbse of the
Weammeen W 07086. Aim RMNESA Senees regiaered clewing agency, and credit you' accare. stamen period. Normormlocity bee credit balances in
UM Financial Services account protection your *court ae rot segregated from other balances
Cal or write as soon as you cart if you tilt yes Melia, is a member el the Secretes Avesta Protection Investment objectives and Ix Film may use any ol these funds in the ordinary
staerrent or receipt is men; or if you need more Corporation COPC), *nkh protect seriatim account. of The nehmen object* rd risk profile Me speolk to Caine of ib business. these funds ae payable Loon
Whomation stoat a on* on the statement or its members up 1500,C00 Cncluding S283,000 for each account and my mybetween Please edam the your darned. This total is included sn to cement period
h m e a r i n fr . o T m h y e o F u ir n m o o la r C te a r r t d h a h n e 6 a 0 r d a a s y s * P ah lk e a r b fi lX e F m im uf f < al e l a lm cc k ou r n b t a W sh e ). t T y h o e u S h IP o C ld a n ss a e t p p a r r o ti t c e u c la ti r o c n a Im p e e s * X . PV to M Cu a m x p i r e om si o tu te a , t i i n on m or e im n; m o u f n a e n % y s o ig b n je ', c C ti a v n e t s c . h F a i n x g e e a i c n h y ou. closing who.
SDNY_GM_00021272
CONFIDENTIAL
EFTA_00131892
EFTA01274099

Important information about your statement (coninued)
Undies Horatian you would scarify recte n the market Pries are — •Dalriat cm to dace may include mkt of — h atle on to otemoscni received n connection
Fa detailinformation cn the f its tending practices obtained from vaious third party sources whifi use (meal. incomecc both wth Me sale or danbinon o1 a-rury contracts
and &causes, refer to year Cleat Relatorthip Delve to be retitle. but we do not gavakee their — Ongnal int see • represeas the initial aterng and the investment mat units to our <lents, we
Age-taunt or Accuse Agreement end the General accuracy. price per unt and may not reflect your con basis andor our athlete nate retina sharng
Terms at Conditions UBS Statement of Credit fraction - We gently eat the closi-g price when avalabba airrpensaan tram many of the inosance
available in agreements andD iackwres at the mean of Me bid and ask prices fa fined • Restricted nowitios Ratted seurnin gently companies merman9 the amity contracts,
meguaksramirsauctIflotoses mantles and <pions ex on& bid prices fa OTC are rot currently Prole fps publk sale. UBSFinrcel athletes d to Murat extant or sponsors of
seotties. Services as to matel price of the unrestricted slock theta. imestment rusts we disirbute
Vas testi - Less achey waded sea:ties may be priced using of the same issuer as an mputed value for do - Cur affiliates ako newt wading cancnetkru and
Your stesMent kaftans soCurities ad other asset; held valuation model or the most recent per we restricted stock for prepuces of this areaway* oa4r To other correpercatan from reknual kids and
in the mart at the end of the sterner* period. You obtained and may not nett an actual maget rice the relent that red:rifled smithies are elgbh la sae, nsurance companies whose protects we distribute.
may ark forage/ay of hay paid secretes at anytime. a Vat* the vats maned may be silonantialy less than the - Mermen, an anal fee from US$ Bark OA and
You mayreceive securities used as loan collateral after - Certain position may appear without a price and inp_ted value tnown LES AG Stanford Brant of up to szs per acts,
owing any bairns due on tem. My securities will Mow as *price was rot available' if we are sweepng to the barks under the UBS Bark Sweep
Sanelenvd to the Firm dri-g tke statert penod are untie to obtain a pnce for a warty • EM. retimatsd) inccene rang yield' and ratas. Fr gram,
listedat market value as of the end of the statecraft - Deposits or sectrfin dericnnaeed n currencies An 9:finale of anal incorre is based co current
period. ocher thin U.S. dollars are related at the &Aching& dividend at interest rates, assuning to salsifies will Activity
• Can basis. In detemning the cost basis of the rate as of the statement date. be held for one yea from statement date or until hbrenabon terming commissars and Otte, charges
stories included in this statement, where indicated - Fa cabin securities wading in non.conf otmng Matinty. This retinae ken& a gadelne, accuracy nand n COlint<110" wash ter oecutcrt of wades,
win the rumba. 'I,' UPS Fiera& Services has relied clerannacea mice and qua-UN0am vale) may rd continued income are not gueenteed Muting option transactions ha beerancluded
cninForwetion <braid from sources other than LES have been edits-Led to facilitateprat titan. — Estimated a-ntal ?came and curet yield la calfirritits petits& furroNd to you, and wall be
Frencial Semites. including nfornwirm Iran another To obtain current quotations, when stailible, contad certain roes of salsifies could include a retun of prowded to you wavily ash recpest.
him a that gooey have provided to you Finaxial your Financial Adlux. pmcgal or capital gars in whit case the est
Adam The Finn does not itlependently verify a income Ordcurrent yeti would be overstated. Shaft galling
parent.* the acaracy or ieklity day irforemtion • Private MoMmeng and structured prudish. — Estimated arial Scone and curet yield and the F you are engaged in short selling a Wu* yOu may
provided by sours other tan 1**Siuncial Senates. Bite nwstrrem savors (rchding drect actual item a-alyield might be laver a higher nos a char the to cergin taros/iv costs for that
paticipation acqarn and real estate imestment trust than the estimated amounts. particular smutty.
aiatirs although UBS FintiCel Services general& seurites) and tared patois are gently highly — An entate of a-ruaeced income (divdend ants
pines this Huainan as it k received, the firm Aispid. Certain amused proists have not been interest) divded by the uncut market Open arta
does not provide any isorances that fie information registered with the Securities and Eachrr valetweregre balance is based on the tat dividend Regarding Wen or •goaatilkancaecr adors fiat
vow 'Cost basis- and threakzed gar/loss' it (omission o- under any state sautes laws. We or interest payment made by the issuer and were not awaited by the statement date, open buy and
accurate as a tee date of this statement. As such prode ranted mares for pane investment antes the seositieldeposts will be held for ore tel stop orders are refixed by the anoure of dividends
phase do not way on this Horatian to make leashes and structured products for informatkrul year from the statement date or until manly. or rights on an ex-dividends a berets dee unless
puchice a sale decisions. fermi papaws or purposes only Aroma snot guaranteed. Accuracy at continued weld me not warmed intruded otherwise by you. You are responsble for
*theme's*. Accounts tranderred to to fim may - These values may differ abstantiaby from aces. a orders that are mauled the to your lila. to cancel
reflect girl loss rannatifi on& fo r the period of any, at tech a rote tesanent security a • Pants riot held by U3S 'rancid Sayan. Certain Vining open orders.
tine they at held at to F rm More higorical structured modest may be barrel or sold and do assets are rot held by the fern and not viten the
Hama in tribe stied by yon Finance' Advisor. not necessarilyrepresent the vats you may receive Fern's possession or cawol. These assets are Primes
Won Illuidation. dsphyed on you statement for informational To obtain a copy of at current Client (Macy Naito.
• Urroalised ganstlormes When data is fl ied:4k ▪ Thal pat), esanatesd vale ore as of a certain purposes orb. Positions ad values presented a please contact your France* Athisor or visit ar website
estimated uveafized gang buses ore ciniated ter date ad are spited to US$ Feria-Pa Services on a riveted by the awry fern UBS Financial Services is at SMISMIROXIMMEAUgast,
inavaleal seosty lots. Re transaction data for regukt bass by in independere vitiation tem. not resparible for the ilaination and ekes not
matte( lob may or may not reelect commissions, - .war, generalpartner or sponsor estimated vales, guarantee es accuracy. These assets we rot preened UBS anemia Services a rot a bit the RIK Busts
turges ander security moraine:al i:n rents ry, are supplied to therein by Ow Muer, by Silt or the Finrs omplementalSIPC coverage. Services Account GSA and IRMA are bitterer accounts
Dividend and oterre mesh-mai lots ad systematic genteel panne or sponsor and may be tabulated which provide access so barking services a-idproducts
perches+ lots are each combined to display one based on different information Iran tat used by • Revenue sharing and additional compensation. though arnagenwits wall Staged barks at other
aver agedlot The • Trade date • [almaresentsthe tadparties Midst tar estinated values. — In addition to commissions on sales and 12b-I fees thrdgavy banks, rod provides access to retrace and
original transaction wade date. - You can obtain Steam/ recansit regarding received n correction Mtn the destitution of smut, protect tad by unaffiliated third-paw
the methodology used to determine the retinae of mutual finds to of we Backe our fl aw insurance compa-nis through Youra-ce agency
• Callable securities Ban* and ;referred stock that value and The date of to Hamel'," that is the mitt revenue Sharing Payments fr0llideoributors subsilksies of UBS financial Services Inc.
the kat cats for eabr redemption wit be selected basis for fie enm ate by contactrg your fa-uncial ardor advisors of the maul funds that we sell.
morel& by lot Iran among all seo.rties of fiat Advisor. These amounts are based on two darn Imestment, nsura-ce. at a-ruttyproducts:
isst held hour name or in nominee name la as - Thrd piety *stinted %Mrs my be reflected as cormorants amantol sales by UBS of a Not IDIC inured • No bank guarantee* May bse valet
clients. Call halm rannatan c dote:led from third •Not prked* n wee I sit *km wfe n particular MAYA fund family to our clam, and 4)
parties and es accuracy snot guaranteed. Other tall Ydependent %elision tern has not suppled or is the asset value of &partner mutual fund I amiyi RIM. Renate Management Account, Business Semites
leases maybes' *Nth cold affect weld complete tide to assign a the. when we become avare shares held at the 1mi Account BA RMA and alternation& Resource
egcmiaton sill be provided upon request. that a materialevent has °coated that may call a — We and as afldiate also recte nett king and Management Accost are registered service marks of
poets* reported vela ita question. or when a amber processing lees in consideration For UBS Fete's! Services Inc
• Certificates of derma (CDs) CDs are FDIC inured value would be highly speoArtne due to fie nesse transfer agent servies that we Provide to the
& sp c t o o s 5 t 2 a 5 a 0 n ,0 d 0 p 0 e h r d p e r p ia o j s o it a o l r y a n in d s a tit c u c t r i u o e n d , 6 int / e a r c e c s e t d p e e n r c e - a W h th en e n s e tu it r h d e y r . a n suer, general pane err sponsor i m ns u e tu st a o l r k a r w t n . s i T n h t e h w e m h u e t , u c a l l e f n u r n a d ll Y a n a d re a p re a a d f f r r i o e m d I V n i t a o n S a p ti u on m al e C is B a S r V eg ia is t S e i r g e n d e s ts a e l t c * e m d e e e c k a o rd f s V a isa t LES
rah POIC rules. estinated vale ma a thrd-pany estimated vale if dam amount based a tie number of accounts at yea debt cards are iskied by UBS Bank USA with
road. the value of the secirrty wit be clamed the broker-dealer holdng ensued lords of that fund Fotffrn7liOri from Vs* U.S A Incorporated.
• Pricakalua Pets dial/wedfa securities and ogler haw itspurchaseprice.
products may be higher or lower than the price that UBS Financial Services he Pm 201402
SDNY_GM_00021273
CONFIDENTIAL
EFTA_00131893
EFTA01274100

SUBS U8S Financial Services inc Resource Management Account
299 Park Avenue
25th Floor
New York NY 10171.0002 April 2014
CNP7005608657041/ VI 0
GHISLAINE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065.7007
Account Frame: GHISLANE MAXWELL
Friendly account name: Indiv.V499350C6
Account number: _3571 SS
Your Financial Advisor:
SCOTT STACK MANILYLE CASRIEL
Phone. 212.821.700Y800.308-3140
Questions about your statement? Value of your account
Call your Financial Advisor or the
RMA ResourceUne at 800-RMA-1000, on March 31 (S) on April 30 (5)
account 029723571
Your assets 1,054,781 51 1,061,175.35
16sIt our websIte: Your liabilities 0.00 000
www.ubscomainancialservices
Value of your account $1,054,781.51 51,061,175.35
Items for your attention
• If you use LIBS Online Services, consider
changing your User Name and Password
regularly to protect your personal data.
Not enrolled? Go to Sou roes of your account growth
ubs.cornionlmeservices Tracking the value of your account duriag 2014
Value of your account
S Thousands at yea. end 2013 10.00
Net deposits and
1,054.8 1,061.2 v‘Mndramals 31,097,654.22
Your investment return:
Dividend and
interest income 35,561.65
Change in
market value 14,999.48
Value of yew accoun
on Apr 30, 2014 $1,061,17535
Mel 2014 Am 2014
SDNY GM 00021274
Member SIPC CNP70009)09338657 Ne7000191745 COCO. Otte 030579704 vi23571350000000 Page 35 of 98
CONFIDENTIAL
EFTA_00 3 1894
EFTA01274101

SUBS
Resource Management Account Account name: GHISLAPIE MAXWELL Your financial Advisor.
Friendly account name:Indiv VA9935006 SCOTT STACK MANLYLE CASRIEL
April 2014 Account number: rt 23571 55 212421.7000800-308-3140
Your account balance sheet
Summary of your assets
Value on Percentage of
April 30 ($) your xcount
A Cash and money balances 68,798.69 6.48% Your current asset allocation . Cash and money balances may include
available cash balances, UBS Bank USA deposit
B Cash alternatives 0.00 0.00% account balances, U85 AG Stamford Branch
E A deposit account balances and money market
C Equities 272,234.94 25.65% mutual fund sweep balances See the Imponant
information about your statement on the last
D Fixed income 688,270.21 64.87% two pages of this statement for details about
those balances
E Non-traditional 31,871.51 3.00%
F Commodities 0.00 000%
G Other 0.00 0.00%
Total assets $1,061,175.35 100.00%
Value of your account S1,061,175.35
Eye on the markets
Percentage change
Index April 2014 Year to date
S&P 500 0.74% 2.56%
Russell 3000 0.12% 2.10%
MSC I - Europe, Australia & Far East 1.53% 2.31%
Barclays Capital U.S. Aggregate Bond Index 0.84% 2.70%
Interest rates on April 30, 2014
3-month Treasury bills: 0.02%
One-month LIBOR: 0.15%
CNP70X00050386S8 NP700019t 745 00304 0414 0305793N VI 23 571 SSOCOMy_Git000pas 36 of 98
CONFIDENTIAL
EFTA 00131895
EFTA01274102

Resource Management Account Account name: GHISLAINE MAXWELL Your financial Advisor:
*UBS Friendly account narne:Indiv v49935006 SCOTT STACKMACSLYLE CASRIEL
1.:
Account number. Y1 23571 55 212-821-7000800-303-3140
Change in the value of your account Summary of gains and losses
April 2014 (SI Year to date CO vSues reported below exclude products for which gain and losses ate not decsifitcl.
Realized gains and losses Unrealized
Opening account value $1,054,781.51 $0.00
Aptd 2014 (1) year to date (1.) gains and losses (3)
Deposits, including investments
transferred in 0.00 1,157,928.70 Short term 0.00 0.00 12,799.22
Withatawals and fees, long term 0.00 0.00 13,919.94
including investmentstransferred
Total $0.00 $0.00 $26,719.16
cut 0.00 -107,274.48
Dividend and interest income 2,264 56 5,561.65
Cash activity summary
Change in market value 4,129.28 4,959.48
See Account activity this month for detals Balances in your Sweep Options are indudedin the opening and
Closing account value $1,061,175.35 $1,061,175.35 closing balances ira Le. FDIC Insurance applies only to deposits at UBS (Pack USA, not to deposits at UBS AG,
Stamford Branch or bank deposits placedthrough the UBS Internat.:on, Depose Account program SIPC
protection applies to money market sweep find holdings but not bent depOtili impottint inSormadon
Dividend and interest income earned oboe/two( statement on the last two pages cf this document for deists
Apnl 2014 (3) year to date (I)
For purposes of tNs statement, tenability of interest and dividend income has been determined from a US Opening balances $68,604.90 $0.00
tm mooning penpectivo. Based upon the residence of the account holder, =count type. or product type,
some interest anaor dvidend payments may not be subject to United Slats (UP, enact Plitft0 Rico (PR) Additions
Income tarts The dent months; statement is not intended to be used and cannot be reSed upon for tar
purposes. Clients should refer to the ;plead, tar reporting forms they receive from Le35 annualy, such as Deposits and other funds credited 0.00 68,585.53
the ions 1099 and the FOrMS 480, for tar reporting information It is the practice of UBS to file the
rocticatte tar reporting forms with the US interna rievente Serillfe aid PR Treaury Depattrrent, and in Dividend and interest income 2,264.56 5,561.65
such forms accurately classify dvidenct anlia interest as tar exerrpt or tacit)* income. Pleat consult your
in:Sudsier tar prepater Total additions $2,264.56 $74,147.18
April 2014 (8) Year to date (I) Subtractions
Taxable dividends 2,262.78 5,559.79 Funds withdrawn for investments
bought -2,070.77 -5,348.49
Taxable interest 1.78 1.86
Total subtractions -$2,070.77 -$5,348.49
Total current year $2,264.56 $5,561.65
Net cash flow $193.79 468,798.69
Total dividend & interest $2,264.56 $5,561.65
Closing balances 468,798.69 $68,798.69
SDNY GM 00021276
Cli1P7C008305668659NP70cOlgt 74580004 0414 030579004 YI23571550 008000 Pegs 37 of 98
CONFIDENTIAL
EFTA_00131896
EFTA01274103

*UBS Resource Management Account Account name: GHSLAINE MAXWELL Your financial Advisor
Friendly account name:Incliv V49935;06 SCOTT STACK MANLYLE CASRIEL
April 2(14 Account number. Y1 23571 55 212 -821. 7030/800-308-3140
UBS Bank USA Deposit Account APY
interest period Mar 7 - Apr 6
Opening UBS Bank USA Deposit balance Mar 7 $49,565 48
Closing UBS Bank USA Deposit balance Apr 6 868,625.90
Number of days in interest period 31
Average daily babnce $66,151.30
Interest earned 81. 78
Annual percentage yield earned 0.03%
Your investment objectives:
You have identified the following investment objectives for this account If you have questions
about these obtectiws, 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 inbaanation about your statement at the end of this
document.
Your return objective:
Current income & capital appreciation
Your risk profile:
Primary - Moderate
Investment eligibility ccnsderation - None selected
Your account instructions
• tr t rnc' base dofa tit dv.rg rout! id is FIFO, First In, First Out
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CONFIDENTIAL
EFTA_00131897
EFTA01274104

Resource Management Account Account name: GHISLAINE MAXWELL Your Nsandd Advisor:
*UBS
friendly account no:be:Indio V49935006 SCOTT STACKMANTLYLE CASILEL
April 2014 Account number: Y1 23571 55 212-821-70001800-308-3140
Your assets
Sane prices, income and current WI WS ShOnn may be approximate. As a result, gam and IOSIS may rial
be acurately refkded. See unportant We/matron about your statement a the endol this Occurrent for
!Mole Informal on.
Cash
Cash and money balances
Cash and money balances may include avalable cah balances, USS Cant USA *Tout account baances.
UBS AG Stanford Branch deposit account balances and money market mutual fund sweep balances.
UBS Bank USA deposit account balances are insured by the FDIC Minn appliccble limits, but are not
protected by SIPC. UBS AG Stanford Bram h deposit acoum balances am not minuted by FDIC aid we not
proleded by SIPC Money market sweep balances are protected by SIC but are not insured by the FDIC.
Sine the important information about yaw statement at the end of this document for details about those
balances.
Openng baance Gips/nobane Price per :Nee Average Dntdeno Interest Days in
etddng on Apr 1 (SS on Apr 30 (S) on Apr 30 (S) rate period period Cep =cunt CS)
LOS BANK USA CEP ACCT 68.604 90 68,798.69 250,000.00
Equities
Mutual funds
Totat renwestel is the Iola dal reinvested dvedends It does rot include any cash dedends. II is not a ta trnrealited(fax)gain or loss is the dfference between the current value and the cost bats aid would
lot fot the purposes of determining bold ng pe nods or cost basis. The shares you receive ea h trre you genial), be your taable Ono, loss if the sec urrty was sold on ten date. The unrealoed gar) gan or loss
reinvest d %Wends bt(Orne a separate tax al. may need 10 be fl usted lot rct um Of Captor payments In Older to determine toe reigned gain or lots for tax
Purposes,
reporting
Cost bases is the Iota purchase cost of the security. Ind udno reinvested of Wends The cost basis may need
to be ad usted for return of carnal payments in order to deterrn ne the adlusted cat bass tar la< rep:rang frwestment tom is the Current value Minus the arn3unt yOurriveSted n does not include snares that a'e not
popases. reflected on your statement, includngstsares MS have been realized as either a gam or a loss. It also does
not Indus& cash dedends Thai were not teirwested
Purchase pride'
haJrrber Averace PnCe Client Cost P&P Der share value on Unrealized (tad investment NciOng
Hd ng of shares per spare (S) investrnent CS) basis 01 en API 30 (I) Apr A) ($) gain or loss (1) return 01 period
CLEARBROGE
EQUITY INCOME FUND
CLASS I
Symbol. SOPYX
Trade date: AM 26, 13 1,179.249 16.769 19,776.00 19,776.00 19.190 22,629.78 2853.78 ST
Trade date: Jan 14, 14 296.210 18.470 5,471.00 SA7100 19,190 5.684.27 213.27 ST
Trade date Jan IS, 14 283.181 18.549 5253.00 5253.00 19.190 5,434.24 181.24 ST
continued next page
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CONFIDENTIAL
EFTA_00131898
EFTA01274105

SUBS
Resource Management Account Account name: GHISLAINE MAXWELL Your 15 sandal Advisor:
Friendly account nem,: Indiv V49935006 SCOTT STACK MANY LYLE CASRIEL
April 2014 Account number VI 23571 55 212-821-7000/ 800-308.3 140
Your assets . Equities . Mutual funds (continued)
Purchase pied
Humber Meld? peke Client Cent Price per Share Value On unrealized One ImeStment Hddng
Melting of stares petalled (5) investment CS) basis (S) on apr 30(1) Apr 30(5) gein atlas (1) return (5) period
Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 19.190 5,425.61 18261 ST
Trade date: Jan 17, 14 298.430 18.469 5,512.00 5.512.00 19.190 5,726.87 214.87 ST
Total reinvested 14.767 18.760 277.03 19.190 283.38 6.35
(Al: 1812 Current yield 1.80%
Sect-city total 2,354.568 17.637 41251.00 41,52803 45,184.15 3,656.12 3,933.15
COLUMBIA CONVERTIBLE
SECURITIES FUND CLASS 2
Symbol: NCIAX
Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 18.920 21,704.59 1,181.59 ST
Trade date: Feb 19, 14 840.380 18.959 15,942.00 15,942.00 18.920 15,899.99 -4201 ST
Total reinvested 10.535 19.080 201.01 18.920 199.32 -1.69
(Al: 1889 Current yield 2.35%
Security total 1,998.092 18.351 36,465.00 36,666.01 37,803.90 1,137.89 1,338.90
HARBOR CONVERTIBLE
SECURITIES FUND CLASS I
Symbol: HACSX
Trade date: lien 29, 13 1,872.780 10.250 19,196.00 19,196.00 11.270 21,106.23 1,910.23 LT
Trade date: ken 17, 13 960.534 10.489 10076.00 10,076.00 11.270 10225.22 74922 ST
Total reinvested 9.397 11.180 105.06 11.270 105.90 0.84
(Al: 4538 Current yield 184%
Security total 2,842.711 10.334 29272.00 29,377.06 32,037.35 2,660.29 2,765.35
JP MORGAN INTREPID
EUROPEAN INST
Symbol: JFEIX
Trade date: Aug 1, 13 435.452 23.134 10074.00 10,074.00 27.650 12,040.25 1,96625 ST
Trade date: Aug 6, 13 439.831 23.286 10242.00 10242.00 27.650 12,161.32 1,919.32 ST
(Al: 475 Current yield: 0.31%
Security total 875.283 23.211 20,316.00 20,316.00 24201.57 3,885.57 3,885.57
MATTHEWS ASIA DIVIDEND
FUND INSTL
Symbol: MIPIX
continued next page
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CONFIDENTIAL
EFTA_00 I 3 1899
EFTA01274106

Resource Management Account Account name: GHISLAINE MAXWELL Your Mnandd Advisor.
*UBS Friendly account name:Incas V49935006 SCOTT STACKMANLYLE CASRIEL
April 2014 Account number. VI 23571 55 212421-7000/800-308-3140
Your assets a Equities v Mutual funds
(continued)
Purchase piked
Nurrbee Cost PIK! per share Value on unrealized (ta4 investment HolcIng
Hddnq of shares Apveerrageme de) investment (1) Oasis (I) on Apt 30(1) Apr 30(1) coin or loss (0 return CO period
Trade date: Mn 29, 13 2,156.431 14.849 32,023.00 32,023.00 15.250 32,885.57 862.57 LT
Trade date: Feb 1, 13 481.951 15.069 7263.00 7,263.00 15.250 7,349.75 86.75 LT
Total reinvested 5.404 14.739 79.65 15.250 82.41 2.76
(Al: $1,356 Current yield: 3.36%
Security tots 2,643.786 14.890 39286.00 39,365.65 40,317.73 952.08 1,031.73
SIT DIVIDEND GROWTH FUND
CLASS i
Symbol. SOVGX
Trade date: /an 29, 13 2333.831 15.400 35.941.00 35941.00 17.860 41,682.22 5,741.22 LT
ST
Trade date: Jun II, 13 624.804 16.569 10353.00 10353.00 17.860 11,159.00 80600
EAI: $751 Current yield 1.42%
Security total 2.958.635 15.647 46294.00 46294.00 52,841.22 6,547.22 6.547.22
TORTOISE MLP & PIPEttlE
FUND CLASS INSTL
Symbol. TORIX
Trade date: Mn 29, 13 2296.774 13.330 30,616.00 30,616.00 17.350 39,849.02 9,233.02 9233.02 LT
EAI: $367 Current yield 092%
Total 3243.500.00 4244,162.75 1272.23434 423.072.19 428.734.94
Total estimated annual income: $4,838
SDNY GM 00021280
CNPT0303005838663 NPT000191 745 00004 0414 030575004 Y123571550000000 Pap 4t o£ ce
CONFIDENTIAL
EFTA_00131900
EFTA01274107

cat UBS Resource Management Account Account name: GNISLAINE MAXWELL Your Amodal Advisor:
friendly account name: Indiv V49935006 SCOTT STACK MANL YLE CASRIEL
April 2014 Account number. YI 23571 55 212-821-7000/800-308.3140
Your assets (continued)
Axed income
Mutual funds
rout reawested is me tots d a reinvested dvdends it does not mdudt any <ash Mideast. It is not a limeated (Nal gang a tour is the dfference between the current dime and the cost basis and wooed
tar lot for the purposes of determinng hchingpenods or cost bans. The sham you receive etch time you genera), be yOur Weak gin or loss 4 the security was sold on ties date. The unreenzed Oa0 On a foss may
earnest dedench become a separate tax lot. need to be &gusted for return olcamal parnents in order to detemi ne the realized gain or bas for Is
tenoning purposes
Cost INN is the tots purchase cost of the security. Ind udng reinvesteddie:lends: The cost bedsrev/
need tow adusted for return cf cerAtal payments in order toattennne the al tested cost beds for oar revertneent return is the current value anus the amount you invested a does not Include shares that we not
repaving purposes. reflected on you statement, Ind Ong shares that have been reedited as either a gain os a teL It also Wes not
include cash dedends that van not reinvested
PurCh3Se pricer
Mertes Averacy pace Client cost Price per share Value on Unrealized gad investment Hddng
Hddng of spores per share (S) investment (S) oasis (s) en Apr 30(S) Apr 30 (1) In orloSS (S) return (1) period
AVENUE CREDIT STRATEGIES
FUND CLASS INSTL
Symbol: AC S8X
Sr
Trade date: Nov 12, 13 910.736 11.270 10264.00 10264.00 11.750 10,701.15 437.15
Trade date: Nov 18, 13 912.566 11.300 10,312.00 10312.00 11.750 10,722.65 410.65 ST
Trade date: Nov 25, 13 911.661 11.319 10320.00 10320.00 11.750 10,712.01 392.01 ST
Total reinvested 29.126 11.550 336.41 11.750 342.23 5.82
EAL 51,034 Current yield: 3.18%
Security total 2,764089 11.299 30,8%.00 31232 41 32,478.04 1,245 63 1582.04
ETACKROCK HIGH YIELD
80ND I
Symbol: BHY1X
Trade date: Ian 29, 13 4,811.156 8.200 39,451.48 39,451 48 8.330 40,076.93 625.45 LT
Trade date: fun 27, 13 2,481.156 7.959 19,750.00 19,750 00 8330 20,668.03 918.03 ST
Total reinvested 70.352 8354 587.76 8.330 586.03 -1.73
EAI: $3,696 Current yield:6 03%
Security total 7,362.664 8.121 59201.48 59,789.24 61,330.99 1,541.75 2,129.51
COHEN & STEERS PREFERRED
SEC & INC FUND I
Symbol: CP)0X
Trade date: Jan 29, 13 3.002.068 13.487 40,49) 57 40,490 57 13.540 40,647.99 157.42 LT
Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.540 10,028.06 10966 LT
Trade date: kin 14, 13 751.274 13.309 9,999.02 9,999.02 13.540 10,172.25 173.23 ST
Continued neat page
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CONFIDENTIAL
EFTA_00 131901
EFTA01274108

Resource Management Account Account name: GHISLAINE MAXWELL Your Mnandal Advisor:
UBS Friendly account name: Indiv V49935006 SCOTT STACKMANLYLE CASRIEL
April 2014 Account number. VI 23571 55 212-821-7600/800-308-3140
Your assets . Fixed income . Mutual funds (continued)
Purchase plket
Weber Average price Client cost Price per share value on Unrealized Dad investment Holdng
Nddng of shares per share ($) investment (5) basis CD en Apr 30(5) AN 30 (s) gain or loss (b return (S) period
Total reinvested 46.668 13.323 621.77 13.540 63168 10.11
(Al: 43,851 anent yield. 6.2690
Security total 4,540.635 13.441 60,407.99 61,029.76 6IA80.19 450.42 1,072.19
DOUBLE LINE TOTAL RETURN
FUND INSTL
Symbol: DEILTX
Trade date: /an 29, 13 12,498.155 11.379 142229.00 142229.00 10.930 136,604.82 -5,624.18 LT
Total reinvested 103.220 10.929 1,128.19 10.930 1,128.19
EAI: 47,094 Current yield: 5.15%
Security total 12,601.375 11.376 142,229.00 143,357.19 137'33.02 6,624.18 .4,495.99
EATON VANCE FLOATING
RATE ADVANTAGE CL 1
Symbol: DFAX
Trade date: lin 29, 13 7524.150 11.180 84,120.00 84,120.00 11.120 83,668.54 -451.46 LT
Total reinvested 55.072 11.174 615.38 11.120 612.40 -2.98
EAI: 33,964 Current yield: 4.70%
Security total 7.579.222 11.180 84.120.00 84'35.38 84280.94 -454.44 160.94
HARBOR HIGH VELD 80 FD
INSTITUTIONAL Cl
Symbol: NYFAX
Trade date: Ian 29, 13 2,660.657 11.239 29,905.78 29,905.78 11.050 29,400.25 -505.53 LT
Total reinvested 30.093 10.969 330.72 11.050 332.53 1.81
EAI: 11,687 Current yield: 5.67%
Security total 2,690.750 11.237 29,905.78 30236.50 29,732.78 -503'2 -173.00
HSBC TOTAL RETURN
FUND CLASS I
Symbol: HTRIX
Trade date: /an 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.190 39318.79 -385.86 -385.86 LT
EAI: $741 Current yield 1.88%
114 MORGAN MULTI-SECTOR
INCOME FUND SELKT SHS
continued nest page
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CONFIDENTIAL
EFTA 00131902
EFTA01274109

SUBS
Resource Management Account Account name: GHISLAINE MAXWELL Your 15 nodal Advisor.
Friendly account name:Insley W9935006 SCOTT STACK MANLYLE CASRIEL
April 2014 Account number: YI 23571 SS 212.821.7000f 800-3088 140
Your assets . Fixed income . Mutual funds (continued)
Purchase pncef
Number Average peke Client Cost Price per that Value on unrealized NO Imestmeet Holding
Melting of shares per share (S) investment (S) Oasis (1) en Apr 30(1) Ape 30(1) gain or loss (S) return (S) period
Symbol: JSISX
Trade date: Jan 29, 13 4,784.864 10.260 49092.71 49.092.71 10.370 49,619.04 52633 LT
Total reinvested 0.921 10.390 9.57 10.370 9.55 -0.02
EAI: $1,268 Caren yield: 2.55%
Security total 4,785.785 10.260 49092.71 49,102.28 49,628.59 52631 535.88
METROPOLITAN WEST TOTAL
RETURN BOND FUND CLASS I
Symbol: MWTIX
Trade date: Oct 24, 13 7,192.344 10.709 77,030.00 77.030.00 10.740 77245.77 215.77 ST
Total reinvested 30.268 10.694 323.69 10740 325.08 1.39
EAI: $2,239 Oxen( yield: 2.89%
Security total 7222.612 10.710 77,030.00 77,353.69 77,570.85 217.16 540.85
RIDGEWORTH SEIX FLOATING
RATEHIGH INCOME FUND
CLASS I
Symbol: SAMBX
Trade date: Jan 29, 13 6,502.655 9.039 58,784.00 58,784.00 9.040 58,784.00 LT
Total reinvested 45.248 9.069 41038 9.040 409.04 -1.34
EAI: $2,416 Current yield: 4.08%
Security total 6,547.903 9.040 58,784.00 59,19438 59,193.04 •1.34 409.04
T ROWE PRICE
INSTITUTIONAL FLOATING
RATE F CLASS
Symbol: PFFRX
Trade date: Jan 29, 13 5,394.060 10.270 55397.00 55,397.00 10.260 55,343.05 -53.95 LT
Total reinvested 17.537 10.279 18028 10.260 179.93 -0.35
EAI: $2,251 Current yield: 4.05%
Security total 5,411.597 10.270 55397.00 55,57728 55,522.98 -54.30 125.98
Total $686,768.61 $691,312.76 5688,270.21 43,042.57 51,50140
Total estimated annual income: 530,241
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CONFIDENTIAL
EFTA_00131903
EFTA01274110

SUBS Resource Management Account Account name: GHISLA1NE MAXWELL Your Eisend/II Advisor:
Friendly account name: Indry v49935(X)6 SCOTT STACKMANYLYLE CASRiEL
• . 2,, 1 . Account number: Y1 23571 55 212-821-7000/800-308-3140
Your assets ri•m•-,
Non-traditional
Mutual funds
1.:za rn.e;tc-4 -)1.3 cr a re n,,,szeo jv yrix n does not sncluCe any (aSh deCends It Is rot eta( rink:woe° crag gale or loss is the Ofference between the current value and the cost bees aldwOuld
lot to the purposes of determining fold ng pencils Or con basis. The shares you reeve thxh time you generaly be your taiatie gam or loss If the sec urn), was sad Cel Its date. The unreal/eft (tag gan or lOis
reinvest d %Klemm become a separate tax lot. may need to be ac)usted for return of capta pee-news In order to determine Use reszed gain or ices for tax
fel:wing purposes.
Cost basis is the told purchase cost of the security. indudng reinvested ciedends The cost basis may need
lobe adusted ice return of capita pa)Ments in ofeer boCettanne the a(iuSted COSt bans 10r la< repOring /miasmata teara is the oarent value rrinus the amount you invested. It does not include shares that are not
purposes. reflected co yai r statement, Includ no; shares that haw been realized as either a gin or a loss. It also does
not include cash dvdends that were not reinvested.
Purchase pace'
Mittel Average price Client Cost Price per share value on unreatiredgae InieTtmerit Hotting
Hddng of shares per share (S) tnvestrnent CS) bans (1) co sex 30($) Apr 30 (5) gain or toss (S) return (S) period
GATEWAY FUND CLASS
Symbol. GTEYX
Trade date: Jan 29, 13 1.089.208 27.580 30,04b 36 30,040.36 29.130 31,728.63 1,688.27 LT
Total reinvested 4.905 28.870 141.61 29.130 142.28 1 27
EAL 1517 Current yield. 162%
Security total 1,094.113 27.586 30,040.36 30,181.97 31,871.51 1,689 54 1,831.15
Your total assets
Percentage ot Cost EsImiated unreaszed
\Wire on Apr 30 (1) your account bass (5) annual income 01 gain or loss
Cash Cash and money balances 68,798.69 6.48% 68,798.69
Equities Mutual funds 272,234.94 25.65% 244,162.75 4.838.00 28,072.19
Need income Mutual funds 688270.21 6437% 691,312.76 30,241.00 -3,042.57
Non-traditional Mutual funds 31,871.51 3.00% 30,181.7 517.00 1,689.54
Total $1,061,175.35 100.00% $1,034,456.17 U5596= $26,719.16
Account activity this month
ewe Aclibrity OfiCrOtiOn AMOUCII (1)
Dividend and internstincomo
Taxable dividends Apr I Owdend METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS 1 AS OF 03731114 169.36
continued next page
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CONFIDENTIAL
EFTA 0[)131904
EFTA01274111

SUBS
Resource Management Account Account name: GHISLAINE MAXWELL Your K nodal Advisor.
Friendly account name:Indiv V49939;06 SCOTT STACK MANY LYLE CASRIEL
April 2014 Account nuntber. VI 23571 55 212-821-7000/800-3C6.3140
Account activity this month (contnueth
Date Adnity Desorption Amount ID
Dividend and interestiacorne (continued)
Taxable dividends (continued) Apr I Dividend RIDGEWORTH SEIX FLOATING RATEHIGH INCOME FUNDCLASS I AS OF 214.54
03/31/14
Apr I Dividend DOUBLE UNE TOTAL RETURN FUND INSTL AS OF 0331/14 563.03
Apr 1 Dividend COHEN & STEERS PREFERRED SEC & INC FUND I AS OF 03/31/14 302.71
Apt I Dividend EATON VANCE FLOATING RATE ADVANTAGE CLIAS OF 03/31/14 327.66
Apr I Dvidend P MORGAN MULTI-SECTOR INCOME RAND SELECT SHS 9.57
Apr I Dividend T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS AS OF 03/31114 180.28
Apr I Dvidend BLACKROCK HIGH YIELD BOND I AS OF 0331/14 303.62
Apr I Dividend HSBC TOTAL RETURN FUND CLASS I 19.22
Apr I I Dividend SIT DIVIDEND GROWTH FUNDCLASS I AS Of 04/10'14 172.79
Total taxable dividends 52.262.78
Taxable interest Apr 7 Interest UBS BANK USA DEPOSIT ACCOUNT AS Of 04/04/14 I 78
Total taxable interest 51.78
Total dividend and interest income $2.264.56
Investment transactions
For more informaion about tne once/ vaue shown for restricted securities, see Important mtormatiorr about
your statement a the end Of thls Oocunent
Proceed: fran Funds
investment withdrawn for Accrued
DSe Actlety Desorption Ouamity vale (5) rime (1) transactions (5) investments beret ID 'merest (5)
Apr I Reinvestment METROPOLITAN WEST TOTAL RETURN BOND 15,858 .169 36
FUND CLASS I DMDEND REINVESTED AT 10 68
NAV ON 03/31/14 AS OF 0331/14
Apr I Reinvestment NOGEWORTH SEIX FLOATING RATEHIGH 23.680 -214.54
INCOME FUNDCLASS I DIVIDEND REINVESTED
AT 9.06 NAV ON 0331/14 AS OF 0331/14
Apr I Reinvestment DOUBLE LINE TOTAL RETURN FUND INSTL SI 654 •563.03
DIVIDEND REINVESTED AT 10.90 NAV ON
03/31/14 ASOF 03/31/14
Apr I Reinvestment COHEN & STEERS PREFERRED SEC & INC FUND I 22.624 -302.71
DIVIDEND REINVESTED AT 13.38 NAV ON
0331/14 AS OF 03/31114
Apr 1 Remwstment EATON VANCE FLOATING RATE ADVANTAGE CL 29.360 -327.66
I DIVIDEND REINVESTED AT 11.16 NAV ON
03/31114 AS OF 03/31114
contrnued next page
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CONFIDENTIAL
EFTA_00131905
EFTA01274112

Resource Management Account Account name: GHISLAINE MAXWELL Your Pinandal Advisor:
taUBS Friendly account name:India V49935006 SCOTT STACKMANLYLE CASRIEL
Apra201.:
Account number. VI 23571 55 212-821-7800/800-308-3140
Account activity this month (contrwed)
lovestment tionsoctions (continued)
Prcseeds Iran Funds
inkestment Wthatlenti to Accrued
Date Acuaty Description lilgentity vtlue (S) Price (1) transactions (1) imeSttnefilt DOugen (I) imerest 01
Apr I Reinvestment 1P MORGAN MULTI-SECTOR INCOME FUND 0.921 -9.57
SELECT 5445 DIVIDEND RENVESTED AT 1039
NAV ON 03131/14
Apr I Reinvestment T ROVVE PRICE INSTITUTIONAL FLOATING RATE F 17.537 -180.28
CLASS DIVIDEND REINVESTED AT 10.28 NAV ON
03/3814 ASOF 03131/14
Apr I Reinvestment BLACK ROCK HIGH YIELD BOND I DIVIDEND 36.405 -303.62
REINVESTED AT 834 NAV ON 03/31114 AS OF
03/31/14
Total -32,070.77
Date ACtivity Delcoplicn amount (5)
Money balance activities Mar 31 Balance forward $68,604.90
Apr 2 DePOSIt UBS BANK USA DEPOSIT ACCOUNT 19.22
Apr 7 Deposit 085 BANK USA DEPOSIT ACCOUNT AS OF 0804114 1.78
Apr I4 Deposit 085 BANK USA DEPOSIT ACCOUNT 172.79
Apr 30 Closing UBS Bank USA Deposit Account $68,798.69
The u85 Bank USA Dep09tACCOunt Is yew primary sweep cpt.on
SONY GM 00021288
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CONFIDENTIAL
EFTA 00131906
EFTA01274113

4tUBS
Your notes
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End of statement for account numb.' Y1 23571 SS
CONFIDENTIAL
EFTA_00131907
EFTA01274114

Important information about your statement
LEIS Fiuncial Services tic. (the F im or UBS biaxial sent you the fin stamens on whiin the error or The Finn, together Mitt certain affiliates, ha also accent held, you choose one of Ihe following
Sykes} is a merrter of all prince:el Nosily, ammo* problem *Pared. purchased stpploriental protection. The madmen Meters* objeclher
and melons exchwges. LES Fe-erxial Mertes and U3S - howde jots name ad accost maker Of and amount payable to al ekgible there, tokeneak wok, • Prodwe Cunentlrcome. bomb im es seekng the
Bank USA are rdrect 'Wisdoms of LES AG and - Desobe the *nor or he wander you me won this protection is 5500 million as of December 10, 2013. generation of income cab..
atlases of LES Seosein LIC. Tr Finis I henna' about and .'clan as chat as you can why you • AcAPabe GapedA ppreoeboo Investmentsw aking
statement is available upon comas!. The Firrnk excite* believe a is an error or Wino° need more klo*ct to the poky condiliwn Baldimitation, cash a growth of prncjaal rather than the generation of
off ices we a: information the firm is further protected kr in to $1.9 million n the norm.
— Proud. the dollar amount el die suspected error. aggregate for all Sou accounts held n a poicular • Produce Combinaton oilman. and Capital
LE5Finwoul Sermon to capacity A IA ccpy of he poky waxing is maileble Ahem:lawn: 'vestments seeki-g both tie generation
1200 Harbor Boulevard The Fim or Cad Issuer wit negate your complaint upon request. of wane and 'meth of prit011.
Weehawken, rU 07086 and MI correct any error prompt/y.
The SIPC protection and the hoplemenUe protection
Orwell risk precise
L T E hi S s * F d in e sm m c e ia n l M t re im pr e es s e a n c ts c o th u e n a t n O y th o e f r f i m ci o a o l r d e s co , n rd a o p f e yo u' P fin le a a n s c e i m al a in t i e ti t a u ll t i c o h n e c i k n s : k pa it y e e d b o k n to ti t e h e fr F o e n r t n o o f r t h ti i e s • b o C th e d rt o a i n n o T t r a a p m pl i y e l t o w . o rt controlled by (and incbded • l C o o w n r . i w sk v a a t n h d e . v S ol e a e t k ili s t y to to m t a he n t a e c l" c r o a rd id o p ve ri r - a c l l , o e a v t e w n i it f h
M n o om f o f a i t i c n s b i s a d e i l o l e r n M e s , e l a i p e n d l d e a o a L g c s o u e e m r o r o n e e f p n l t e o t h s r y e . t o c i o t u o f i n f r b i r c t m e a e i e n e s n i c n a i , g a n t t h o e g e x ly r m h e n i 6 u d a e t a r - k a n e c i e n c c r l o g r a o u t t r n o ; c t s . t r h h o e u ld p m s a e n a a a y y r : k r e b m a e n n e t t s s n u f t in o b h j r c e s a a c e s d t c h t : u o P & r h m i c ti o e a a n s s e e p t e e ° u s n r r . c a e h A n g a c c s d c e e o . s f , u e o a n e n c t s s d , t t a c c h h n h a i a g t t r o f w g e e e e e s s s t f . k r o a a r r n c l c u s a o f n t e e u p r n r a e t i s d d y L i S n o E e c u n S lu r a A d t a e i G c n s c g S o ( e v u ta a . n g r t n i . a . v I c b a c l r l e e u d r e e b t ) a n r b i a m n u n ( i t * t c i h e h ca e s ( s , 1 l h l a ) a n a i w n d t s a U (h u y B r r f ) S a r s o x B h m e i a r e p r U k s ri B x o ( 4 S i$ f X F m c 1 i a r S u i s w , t h u o a a o l t l i i t n n h c f e l o a . m t m io e e n o w . r s re th tu e rn a s c a co d s m t d a o y e r s o r t o k t e g e e p n p e a r c a e te w si i g th n if cant
to other hettutions may be subject to a wander tee. finds where such shares are registered diectly in the • Moderate: Wiling to accept some rids to pincPal and
Athargh al figures shorn T9 Wended to be accurate. name of the account holder on to backs ad recede tolerate some totality to seek higher returns,
statement data should not be used for tae purposes Rely UBS Sweep Option of the applied* issuer or trader agent); • Aggressire: Wiling to accept high ridsto pnnopal and
meek on wmend tax forms, 0.e.. Form 1099. 5438. UBS offers optics for sweepng cash bine; biances high solzeility to seek high returns OW( time.
10425, etc.) whin prewrimyour mx return. The Fim to bank deposits at UBS Bale USA and U35 AG Manta' • Certain contain-a contracts or Mestment interest
required by law to report to t* IRS all taxabk dividend. branch (frank Sweep Progame), money mato mewl (eg., Pinked partneshix and prime placements) that Statement Imuseholdre
report** rontaxable MA:kinds and tadak Mena* krds NormFut) ad the Intonational Depose we rot registered trder tie Securities Act of 1983; We may consolidate al related account statements with
eared on acuities held in you axant, net proceeds Accotnt (OA)for customers with a-i nternational the same bairns n the same envetsge. Accounts may
an sale transactor% and cost tests on certain covered Resource Mmagemeni Accost. Through tie Bank be related Ice this purpose bet &At they AMA owners
margin. Sweep Pregan% cash balances re swept to UIS Berk • Commodities contacts (el, Weir excha-ge and who also maintain pea aware relationshps wan other
UM up to an ratabkhod knit ad Memo LES AG mai:usenet.' calrads), ndudivg futures contacts clients at the sane address. This practice's known as
C . o P m le m as u e n re ic - a c t o io n n fir s m w a i n t y h o * ra * l F co ir r m m -functions in wring B St a a k n f U o S rd A B a r r a e n F d D } IC o r m e i M re o d ne in y a F c u c n o d r . d a D n e c p e o w si i t t s h a F t D U IC B S ad torm944CanTI contact. s • t M ate u m th en :k ts i n m g ai l ' e d II i y n o s u e p pa re ra fe te r r to e n re a c l e :c in m e I — -d i y v O a U :k m at a y
to further protect youtrotas. including your rote oaks. For more rat:mato-I please set memidicgov. fine SIPC protects:a and tie supplemental protection do dales householdwg by Ealing your Premier Advisor.
order the Sea-nein Inciter Protection Ace (SEA} Deposes at UBS AG StamfordB inh and tares of not apply to these Mtlet even el theyotherwise appear
Money Funds at rot inured by the FIX. on gas seaternent. Ow SEC pietweion and the Friendly accourt name
• If Me finakd nslitution cn the top left of t& hart 74-*Olerreentalprotedion do not protect agave changes the Frendk octant name reflects information that you
of this statement is not UBS biaxial SenMes. U3S %romp the OA, araileble teat, balances we swept to in the market vale of gar investments (whether as a mewed on the firm's onlne *woes webste. II e a
Feencial Services carries you accost as deanng depose accounts al UBS AG New Yak Branch and UB5 result of market mosement, issuer bankruptcy or customizable rniclrern? &wen by you to mkt you
taker by sr/argument web the niched &Mahon AG Cayman Bunch Thew deposits ate not rowed by otherwise} with your recordkeepim. It has no legal effect on your
We iriormed you of Ihie NI/a:ankh when you der FIX. Balances Fold at to LES AG Carman Brads accotra. Yea can charge your hiendk account names,
opened this amount. h the case. your lads and are tempera* exposed to the so. ..reign risk of the More information is awed* rpm reopen You may through Otte Services or by contact-9 murFiencial
sectraina-e kcated a UB5 financial Strikes and rot Carnal elands, and dire is no 'man*e or other obtan more racanaion abou SIPC. noticing the 58C Adthor.
4-* iwoctong broke.. al you nut make afar obligation of UBS AG to .way the bin es while cn the Broth's., by coreaningSIPC a 302-371-8300 or by
of arty *nor or *Tinian to both NITS. UBSC grans Brach's books. ositng the MK *Ohm ar YAW/.140‘041 • A C M C O OM M n o o in v W er e v r i a e c w co onelporofgan Net of assets and
ADoctant statements shall be deemed complete ad Deposes a 135 Bat LEA and each UBS AG french are Dividend ReiWetblbent Program (DPP)
accurate f not objected ton wring within 60 days. not protected by SIPC. Money Fund shares we wotected n-e rcke reflected is an away Fria. You may obtain • Assets_ Inclas avertable cad, balances, vases for
by SIPC. See 1J3S Financial Services Mecum Protection' the actual price Iromp.r Financial Advisor. Orey Wok restricted scatty lest ), and Global Tine Def:03in,
• Ilene died customer complaints or iNUiin to he bobw tire are purchased under DIRT; partial shires will be urrealied mats to market, and cattail stets not held
Fivn's C lent Relations Dna-ma* at 201.352.1699 won rd the cash neS be deposited in your secure The by the Fim. Does rot inducer unonced secuttietl assets
crtollfree as 800454-9103, 8:00 A.M. to 6:00 P.M. Upon yaw mount bale-cgs n tie Bank Sweep deeding reinvestment price applied by tie issuer may al the end of the prior and curent statement periods, or
ET Monday through Friim a in *Meg to LES Program or OA mat be seek:trams and shares of a Offer from the mate( price at which the partial shires peva* iwesenwits, divested stock options and
Financial Services ix., Client Relations Depalment, Money Fund my be liquidated, and the proceed at sold vendable stock options
P.O. Box 766 Union City, NJ 07087. returned to you ormur sensei n scare, • Erattrties Include, debit bileran manardirg moron
Caelenelieu loans. credit the, dirt auctrit balances.
• f t u i n c d a s se tr o a f n e s r le ro r r ( s W O 1 r W b e i d p C u m y ; m ab m o o ut r a U n B S el V ec is tr e on d i e c bit F n i c r t l- e t i e n g fo a rm ne a n ti t o m n e a r b e o s u t t r a a t v e a s i l a a n b d le y sw e e t* e , p a o p s t o io a ns k , k at I e : n M ti e tle M d a to le a u p n a it p s a m l a m y u b t e a s h a e m ld. u ' g ll a o r f a a c d c v o i u d n e t r . d I f P y o o r u te r n e t • ca s C h a b s a b l / a r n ro c n e e s. y p b l a u l s a U nc B e S s . B T a ot t a L l I o S f A u d n e in p v o e s s it t e b d a m tr a ic il e a s b . l e U BS
F ca e r e d n t o ra a n l S ti e c n to e r c t a s , h c e a . ll , MOO 6 H 3 e - r 1 b 0 e 0 r 0 B , lv or d w , 6 i t l h e f t lo o o U r B , S o w r w by w c . a tb lli a n c g a 11 r/ 0 c 8 w 76 e 2 p . y 1 , 0 e 0 l 0 t, . from your F hanc ial Advisor r o i r v o u t l h e e t r p w i i k s e e, o t r h e ac F c i e rm pt v a o n l a e m th o e u r n s t e d l e l p te a r n m e in l e w d e b b y a a t m AG e S w ta l r f r u e n or d d s f w re o n p ch S d a ep t o e s , e , b a a t l a th n e ce c s l a a w nd o m f o S n he e y market
Wahaween NI 07086. Men RIVINESA Serkes registered clewing agency, rid credit your account statement period. Noncom-rocky free credit balances in
UPS Financial Sonica sawn protection your accourt ere rot segregated from other balances
Cal or write as soon as you cart mu thilc yaw the Fan is a member of the Sear lies inveTOF Protection Investment objectives and tie Pim may use any of these funds in the ordinary
statement or receipt is awn; or if you need more Corporation (IPC), whhh protect sororities account, of the nemmert Minutes and risk profile we magic to came of it business. these funds we payabk upon
info-mai On about a twofer on the stemmed or its members up 10 1500.0:0 incising S28),000 for each account and may vary between Please Seise the your darned. This total 6 includedr i to anent period
h r9 e 9 r 9 0 fr . o T m h y e o F u ir a m n o la r C te a r r t d h I i s n s u 6 e 0 r d a a s y s 4 o a t l h tk e a r b to lek F n im us t a d l a l a rt c s c k ou r n c t a t s h h a ). t T y h o e u S h IP o C ld a n ss a e t p p a ro li t z e u ct k io i w n k a n r it t s y a . PV to M Fer a n k pr e or s re it p u t a k t i o n n m or e m n a ; o tr f o a n n % y s o ig b n je if c t t e iv n e t s d . k en r t e e a i c n h y ou. close"; value.
SDNY_G M_0002 1288
CONFIDENTIAL
EFTA_00131908
EFTA01274115

Important information about your statement (coninued)
tandem, tfomeation you would anualy rece . in the minket Prices are - • Dsl•ko cm to date may inch)* returned — h wide a to covimescni received n connector
For detated information on the Fires lending practices obtaned from vaious third party sources which we capital. income cr both wth the sale or dolnbacon of array contracts
and dociastres, refer to you Clint Relate: robin beim* to be retitle. but we do not gwratee tem - 'Chu/nalins see • represent the totted Otero; and, M immanent tat units toots <lents, we
Agreement or Accan Agreement aid the General accuracy. price per unt and may not (elect Will COO basis senor our affiliate mat pans sharing
Terns rd Conditions UBS Statement of Credit Practices — We genet* seethe closhg pricewhen ankle a compensation fr om many of the inesance
available in Agreements andDixtosures at the mean of to bid and ask prices fatted • Restricted securities Restated wardi n orrnralY companies underveriti-g the amity contracts,
muratassaggaguaggainass. swathes and cptcro a on& bd prices fa OTC are rot coma& table tor public sale. UBS Finical Atte of to turat corpanes or sponsors of
motes. Services toes the matt price of the unrestricted stock tetra inwarnent tests we tett
Yowietera - Less ache& waded securities may be priced ushg a cd the sane issuer as an mputed value fade - 0.11 Alu te. also neat trading cornrnotkro and
Your netromint Remit acute( endother awes held valuation model or the moa recent rte we matted stock for moon; of this statement on. To other comperwairon from mutual finds and
is the iodate at the end ot the statement period. You obtaned and may not reflect an actual matt rice the tent that rearined learition are elQble la a neto(e Companies whose product we datn1OUte•
may ask for delve of tiny paid sallies at ay time. or vote the vale reeked may be saraantial& less than the — We mat an anal fee from UBS Bait LOA and
You may receive securities used as loan collateral after - Certain posits may appear withcul a price aid ittp-ted value gnash_ U36 AG Stanford Blanch of up to szs per accost
prying any balance due on tem. Any securities will show as 'price was rot available' if we re swephg to the barks under the UBS Bait Sweep
transient tote Fin clsig the shrterent polled are untie to obtain a pnce for a worry • Est Betirnated) in.:cent and yields and rates. Frogman
lilted at maket value as of the end of the statement - Deposits or senates dendninated 6 currencies An estimate of area income is bawd am current
Period. other tin U.S. dollars are reflected at the ewhinge added and interest rates, assuring tie stakes will Activity
• Cost basis. in (*limning the cost basis of to rate as of the statement date. be held for Cow year from statement date or until hbrinationregadrigoannissars and otter chart
wanes included in this statement teem indicated - Fa cerian states twang 6 noniron(o rmrey man-city This eddied hoc* a gakealne, accuracy homed n connectco with the *munch of vat,
wen the numb.. •I , • UBS FinancialServices It relied cienomaccis. pica and quatery (face mkt may rd continued moony are not guvranteed Hata option transactions ha been included cn
aninformation Planed from sources other than UBS have teen adisted to facilitatebra:et vSusion. - Estimated anal tome al current yield fa anfirmaions revousty furnished to you. ad well be
Fhanoal Services, including information Iran another To obtain current quotalians, when serattle, contact certain types of stakes could include a rerun of prowled to you promptly co retired.
firm a that you may Abe provided to you Filarial par Financial Adam,. pnemPal or capital gat in %frith case the est
Adieu. The Finn does not itloperclontly verify a income Ordamen, yeti would be overstated. Sheet selling
pagan*e the actuary or vaklity d ay information • Private irrestmeme and rtructured products. - Fainted areal tome awl current yeld and the f rat are engaged in shat selling a security, yOLI may
provided by sates otter tan LEGAmoral Senrces. hit to meninx,* states (ncbdig drect actual item ad yield milt be kwer a higher nor a charoe the to certain bartering costs for that
participation crcqam and real estate investment its than the estimated amounts. particular secunty.
addlixt although LIDS Financial Services general& searites) and structred podxts ale general& highly - An eatate ol trusteed name (divdend ands
ipcletes this itamotion as kende:red, the firm Akpict Certain stn-chred peoicts have not been interest) divded by the cement market Open order
dies not provide any amerances that the informatim registered with the Securities and Each vattaverage balance it based on the last dividend Regarding Pm or • sixdtillecancelled* crdas tit
vow "Cost basis" and Tairealded gar/loss's Copt o- under any slate securties laws. We or interest payment made by the issuer and were not emptied by the statement date, open buy ad
accurate as ot the date of his statement. As such vote estimated vibes for private investment manes the seositieddeposts will be held for one sill stop orders are redxed by the mount of dividends
please do not rety on his nIcemation to make wait is and structured palate for hdormatibrul year from the statement date or IAN manly. or rigas on an emdividerds Cr maitits date unless
puchane a sale decisions, forme prpotee purports only tatty knot guaranteed. Accuracy ad contnued weld we not gained besotted otherwise by Ira" You are reparable fa
otherwise. Accounts Wandered to the Fim may - These values may differ abstain*/ from prices. a orders that are weaned Be tour failure to caxel
reflect girl loss itmatim on& for the period of any, at which a ante nvesament security a • Assets not held by UBS 'rancid Services. Certain eating open orders.
tine they aw held a the Frm More historical structured ratan may be taAtil or sold and do assets we rot held by the Fain and not nth the
ihamatcn can be allied by you. amnia Advisor. not necessarilyrepresent the veinal may receive fens possessim or contol. These assets are Privacy
upon liquidation. (*played on yos statement for Informational To obtain a copy of ax current Client Aiwa Naito
• thredized painglostes When data is availtle. ▪ Thad pat), esbmates of nale cue as of a renan purposes only. Position, aid values presented me please contact your Francis' Achisor or visit our website
eslinated tweaked gang lases we calculated fa dread are supled to UBS Fma-cial Services on a Footed by the issui-g tan UBS Fivmcial Services is at wwwwIRDWafiticaOsugla
retdat seas*/ lots. The transaction data for regalia' bass by in independent satiation tim. not rest:ramble for to ?formation and des not
ndviial lot may or maynot Pitt ammissems, - Mum general partner or Mentor estimated yaks', guarantee is accuracy. These assets an rot protected UBS Anemia Services a rot a lurk the RMA, Basta
charges at washy narwhalOn events it ry, are toppled to thereto by the mar, by SIK or the finis acplementalSIPC coverage. Services Account RSA and IRMA are brokerage accounts
Dividend and oterrenwammi lots ad systematic general panne or periatr and may be calculated which provide access to baking services and products
paitne bts are each combined to display ale based on e emel information Iran that used by • Revenue sharing and additional compensation. through arrangement wath affiliated bat and other
averagedlot. The • Trade dale • coast pesents the tit parties to derive tea estimated values. — In addition to commissions on sales and 12b-1 fees thrdmary banks, and provides access to nsura-ce and
((grid transaction trade date. - You can obtain additrul Hamann regrading received in correction with the attribution of annuty prodstt hated by unaffiliated third-paw
the methodology used to determine the ratite of inset Burin to Ourdents we nuke our Wit insurance compares through reurat agency
• Callable securities Bat and ;referred stock that value and Ine date of the itrmalintha is the 3eceive r.Vgnua Sharing Perna from distributor subsidiaries of UBS Financial Services Inc.
the issuer cats for eat rectenrobon wig be selected basis forte want by contactig your Financial ads advisors of the mat funds that we sell.
metal& by lot ten among all seoseies of that Advisor. These anowts are based on two diligent Internment nsura-ce. and ruttyproducts:
ista held hour mere or in nornhee II:melee as - mid party *sawed stay may be reflected as COMP:nentt- amant ol aim by UBS of a Not MAC Mimed • No bank guarantee* May rose vale
clients. Call feat i-dcnnatnn a dataned from third •Not prned* nave I sit firm. cote n partirobi mutual fund family to ow clients; and Cs)
parties and is accuracy isnot guranteed. Other <all ?dependent wilstion tim has not awl:Seder is the asset robed a prelim LT mutual fend I amilis RYA. Resource Management Accard Business Semites
knives manna which cat affect weld <mote aide to assign a vale, when we become aware shares held at tie Inn Account BA BMA and alternation& Resource
iroomatir matte provided upon request that a material event has amend tut may call a — We and 0.1" afliate abo recewe nem:eking and Management Accost are registered service marks of
poets& reported vale it question, or kken a ormtus protesting lees h contlemtion for UBS Fruncial Services he
• Cartificates of depot (tsarCDs are FDIC Mist value would be highly speottive due to the nave transfer agent ante that we prate to the
W to 82'93,000 in prianal and accrued interest per the security 3oad fads. Thew lees generally are pad from Via Sipatue is a resonated senice mak of visa
&costa aid per deposity instituter, inaccordance - When neither al suer, general part or sponsor investor me* in the metal fund and are a fried Intonational CBS Via Sartre aerie cards and LES
vet POIC rules. (Iterated vale nor a thrtrany estimated vale is draw amount based an the number of accounts at Vita debt cards are isped by UBS Bank USA with
mad, the valued the wary will be &Keane the brokedeale holdngm aul lads of that fund prinession from Vew U.S A Incorporated,
• Pitehalue Prot, dipbspd for securities and other km itspurchaseprice. fmiy
products may be higher or lower than the price that UBS Financial Services Inc Pt 204102
SDNY_GM_00021289
CONFIDENTIAL
EFTA_00131909
EFTA01274116

SUBS UBS Financial Services Inc Resource Management Account
299 Park Avenue
25th Floor
New York IV 10171.0002 May 2014
CNP70056.316790514 VI 0
GHISLAINE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065.7007
Account name: GHISLANE MAXWELL
Friendly account name: a-dry:W*935006
Account number: _3571 SS
Your Financial Advisor:
SCOTT STACK MAW LYLE CASRIEL
Phone 2 12.821 -7003/ 800-308-3140
Questions about your statement? Value of your account
Call your Finarog Advisor or the
RMA ReSOUrCeline at 800-RMA- 1000, on April 30 (1) on May 30 (1)
account 029323571
Your assets 1,061,175 35 I ,073,774.63
lAsit our webslte: Your liabilities 0.00 0.00
www.ubtcomtlinancialservices
Value of your account $1,061,175.35 $1,073,774.63
Sou roes of your acoarmt growth
Tracking the value of your account during 2014
Value of your account
at year end 2013 1000
S Thousands
Net deposits and
1,061.2 1,0738 withdrawals $1,050,654.22
S Your nvestmentreturn
Dividend and
interest income 47)342.08
Change in
market value $15,278.33
Value of your areoutt
on May 30. 2014 S1,073.77463
AOr 2014 May 2014
SDNY GM 00021290
Member SIPC CW70001005631679 NP7000193246 C0004 1:614 030575004 Y123571550 000000 Pogo 35 of 98
CONFIDENTIAL
EFTA 00131910
EFTA01274117

*UBS Resource Management Account Account name: GHISLAINE MAXWEU. Your n sandal Advisor.
Friendly account name:InchvV49939X6 SCOTT STACK MANLYLE CASRIEL
May 2014 Account number: YI 23571 SS 212-821.7030/800-308-3140
Your account balance sheet
Summary of your assets
Value on Percentage of
May 30111 your account
Cash and money balances may include
A Cash and money balances 68,819.78 641% Your current asset allocation available cash balances, UBS Bank USA deposit
B Cash alternatives 0.00 a00% account balances, U85 AG Stamford Branch
I A deposit account balances and money market
C Equities 278,156.67 25.90% mutual fund sweep balances See the Important
information about your statement on the last
D Fixed income 694,642.20 64 70% two pages of this statement for details about
those balances
E Non-traditional 32,155.98 299%
F Commodities 0.00 0.00%
G Other 0.00 0.00%
Total assets $1,073,774.63 100.00%
Value of your account Si ,073,774.63
Eye on the markets
Percentage change
Index Ma 2014 Year to date
S&P S00 2.35% 4.97%
Russell 3000 2.18% 4.32%
MSC I - Europe, Australia Be Far East 1.76% 4.11%
Barclays Capital U.S. Aggregate Bond Index 1.14% 3.87%
Interest rates on May 30, 2014
3-month Treasury bills: 0.04%
One-month LIBOR: 0.15%
CNP70003005631680NP70C0197246 00004 0514 030575004 Y12357ISS00:PsofyyGm000211tri 36 of 98
CONFIDENTIAL
EFTA_00131911
EFTA01274118

SUBS Resource Management Account Account name: GHISLAINE MAXWELL Your Ilaandal advisor:
Friendly account name:Indw ve69350D6 SCOTT STACKMANLYLE CASNEL
May 2014 Account number. Y1 23571 55 212-821-70001800-308-3140
Change in the value of your account Summary of gains and losses
May 2014 (1) Year to date (1) Yams reported belay exclude products for which gain andlosses are not dectifitd.
Realized gains and losses Unrealized
Opening account value $1,061,175.35 $0.00
May 2014 (1) Year to date (14 gains and loses (1)
Deposits, including investments
transferred in 0.00 1,157,928.70 Short term 0.00 0.00 16,201.73
Withdrawals and fees, Long term 0.00 0.00 20,836.32
including investments transferred
Total $0.00 $0.00 $37,038.05
out 0.00 -107,274.48
Dividend and interest income 2,280.43 7,842 08
Cash activity summary
Change in market value 10,318.85 15,278.33
Closing account value $1,073,774.63 $1,073,774.63 See Account actraty this month lot deta Is Balances in your Sweep Options are inductdin the cpenng and
closing balances vane. FDIC insurance applies only to deposits at U8S Bank USA, not to deposits at LOS AG,
Stamford Winch or bank deposits pa«dthroush the LIErSInternetiond deposo Account pro7arn SIPC
rioter tion *popes to money Marinet sweep find hordirgs but rot bast deposits. Snimportentinbonabon
Dividend and interest income earned about your statement on the last two pages et' this document for caws
May 2014 (1) year to date (I)
rot purposes of INS statement toobity of interest and dividend Income has been determined from a US Opening balances $68,798.69 $0.00
tai reporting penpectior. Bad upon the residence of the account hokler, =count type, or product type,
some Interest ands dvidend payments mey not be subject to United States (US) area Plitn0 Rico (PR) Additions
Income trees The (rent mont* statement is not intended to be used and canto: be feted upon for to
purposes. Clients should refer to the applicable tae reporting forms they receive from UgS annual'', such as Deposits and other funds credrted 0.00 68,585.53
the Forms 1099 and the Semis 480, (cc Ise reporting information It is the practice of US$ to file the
applicant tar reporting forms vAth the US Interna RevenLe SeMf e and PR Treasury otoarvrent and in Dividend and interest income 2,280.43 7,842.08
such forms accurately classify dor:lends and' a interest as tax exempt or tat* uxorne. Plea consult your
indbidual tae prepare,. Total additions $2,280.43 $76,427.61
May 2014 (3) Year to date (1) Subtractions
Taxable dividends 2,278.63 7,838.42 Funds withdrawn for investments
bought -2,259 34 -7,607.83
M.312;:n!,:q.'ne 1.80 3.66
Total subtractions -$2,259.34 -$7,607.83
Total current year $2,280.43 $7,842.08
Net cash flow $21.09 368,819.78
Total dividend & interest 32280.43 $7,842.08
Closing balances 468,819.78 $68,819.78
SDNY GM 00021292
CelP7C009305631691 NP7003150246C0C04 05Ia 03057900I Y123S7ISS0000000 Pegs 37 of 98
CONFIDENTIAL
EFTA 00131912
EFTA01274119

*UBS Resource Management Account Account name: GHISLAINE MAXWELL Your Masud.' Advisor:
Friendly account name:Indiv V49935006 scorr STACK MANLYLE CASRIEL
May 2014 Account number: VI 23571 S5 212-82I•7000/800-308.3140
UBS Bank USA Deposit Account APY
Interest period Apr 7 • May 6
Opening UBS Bank USA Deposit balance Apr 7 868,625 90
Closing UBS Bank USA Deposit balance May 6 1,68,819.78
Number of days in interest period 30
Average daily balance $68,761.59
Interest earned 81. 80
Annual percentage yield earned 0.03%
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
Fnancial Advisor or Branch Manager You can find a ful descripticn of the alternative
investment objectives in important information about your statamant at the end of this
document.
Your return objective:
Current income & capital appreciation
Your risk profile:
Primary - Moderate
Investment eligibility consderat on - None selected
Your account instructions
• Your account cost basis default closing method is FIFO, First in, First Out
CNP7O009005631682 N77000150246 COON OSI4 030575004 7123571 550 cOMYGM00021,1119 38 of 98
CONFIDENTIAL
EFTA_0011319B
EFTA01274120

Resource Management Account Account name: GOII5LAINE MAXWELL Your financial Adviser:
*UBS Friendly account name:Indio vAgs35036 SCOTT STACKMANLYLE CASPJEL
May 2014 Account number. Y I 23571 55 212-821-7000/800-308-3140
Your assets
Serrne prices, Incur* and current vaues Shona may be approximate. As a result, gym and IOSSel may nal
be accurately reflected. See Important ntoyatabon about your statement a the end of ens dxurrem for
more informaTion
Cash
Cash and money balances
Cash and money balances may Mule avalable cah balances, UBS Cant USA &pont account Waxes.
UBS AG Stardord Branch deport account baances and money market mutua fund sweep balances.
UBS Bank USA del:colt accounl balances are insured by the FDIC vAl hn eon( ask limits, but are not
protected by SasC U135 AG Stanford Brame h deposit acoum Wearier: are not insured by FDIC and we rot
protected by SIPC Money market sweep balances are protected by WC but are not insured by the FDIC.
Soo the rmportant information 'bowf)n:err statement at the end of this doormen' for dot ails stout term*
balances.
Openng Wane Closing Wince Pnce per share Average onidend Interest Days in
Hddng CO Msy I (S) on May 30 (S) on May 30(S) rate period period Cap growl (s)
V85 BANK USA CEP ACCT 68798 69 68,819.78 250,000.00
Equities
Mutual funds
Total reinvested n the Iota dal renvested dwdends M does rot include any cash OTAdends. It is rot ate Unrealited (tar) gain or loss is the dfference between the current value and I he cost bads rid would
lot for the purposes of determining hoed ng pe rods or cost basis. The shares you receive tab hrre you generaty be your taratde gin oar loss if the security was sdd on ten date. The unreatoed (tad gan cr loss
reinvest cludeldS teCOMe a separate tax 101 may need to be sepsted for return Of cerata repents In Older to determine the reined gain or loss lor tax
reporting Purposes.
Cost basis is the told purchase cost of the security. inducing renvesteddwiends Tee cost basis may need
to be ad usted for return of capital payments in order to determne the adlusted cat bars for tar rep:gang "vestment rearm is the Current vat* frInuS The aMOunt yOulmeSted does not include snares that are not
purposes. reflectedon your statement, Includng shares the have been resited as either a gam or a loss. nano does
not include cash dscdends nun were nol reinvested
Purchase price'
Number Average pace Client Cost PriCe per share value on unrealzed inrestrnent KiciOng
Hddn9 Of shares per Shale (I) inxestrrent Desis(s) on WI 30(3) mai 3011) gain or loss (3) return 0) period
CLEARBROGE
EQUTTY INCOME FUND
CLASS I
Symbol. SOPYx
Trade date: Ain 26, 13 1,179.249 16.769 19,77600 19,776.00 19.503 22,995.35 3,219.35 ST
Trade date: Jan IA, 14 296.210 18.470 5,471.00 5,471.00 19.500 5,776.09 305.09 ST
Trade date: )an 15, 14 283.181 l8.549 5253.00 5253.00 19.500 5,522.03 269.03 ST
contoued next page
SONY GM 00021294
CPIPTCCICE005631683 NPTOCOIS0246 00004 0514 030575004 Y123571550000300 Page 39 of 98
CONFIDENTIAL
EFTA_00I31914.
EFTA01274121

UBS Resource Management Account Account name: GHISLA1NE MAXWELL Your Asandal Advisor,
friendly account name: Indiv V49935006 SCOTT STACK MANY LYLE CASRIEL
May 2014 Account number. Y1 23571 S5 212-82 140001800-308a 140
Your assets . Equities . Mutual funds (continued)
Purchase puce
Number Aircrew peke Client Cost Pnce per shire Valve On unreanzed One Imestinert Hddng
Wiring of them posher. (3) investmmt (f) basil (I) on Mpi 3D(3) May 30 (I) coin orlon (S) Mum (f) period
Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 19.500 5,513.25 274.25 ST
Trade date: Jan 17, 14 298.430 18.469 5,512.00 5.512.00 19.500 5,819.38 307.38 ST
Total reinvested 14.767 18.760 277.03 19.500 287.96 10.93
EAI: 1812 Current yield 1.77%
Security total 2,354.568 17.637 41251.00 41,528.03 45,914.07 4,386.03 4,663.06
COLUMBIA CONVERTIBLE
SECURITIES FUNDCLASS 2
Symbol: MAX
Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 19.320 22,163.46 1,640.46 ST
Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,942.00 19.320 16236.14 294.14 ST
Total reinvested 10.535 19.080 201.01 19.320 203.54 2.53
EAI: 1839 Current yield 2.30%
Stagily total 1,998.092 18.351 36,465.00 36,666.01 38,603.13 1,937.13 2,138.14
HARBOR CONVERTIBLE
SECURMES FUNDCLASS I
Symbol: HACSX
Trade date: Jan 29, 13 1,872.780 10.250 19,196.00 19,196.00 11.410 21368.42 2,172,42 LT
Trade date: km 17, 13 960.534 10.489 10,076.00 10,076.00 11.410 1035969 883.69 ST
Total reinvested 9.397 11.180 105.06 11.410 107.22 2.16
EAI: 4538 Current yield 1.81%
Security total 2,842.711 10.334 29272.00 29,377.06 32,435.33 3,058.27 3,163.33
JP MJRGAN INTREPID
EUROPEAN INST
Symbol: JFELX
Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 27.650 12,040.25 1,966.25 ST
Trade date: Aug 6. 13 439.831 23.286 10242.00 10242.00 27.650 12,161.32 1,919.32 ST
EAI: 475 Current yield: 0.31%
Security total 875.283 23.211 20,316.00 20,316.00 24201.57 3,885.57 3,885.57
MATHEWS ASIA DIVIDEND
FUND INSTL
Symbol: MIPIX
continued next page
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CONFIDENTIAL
EFTA_00 I 3 1915
EFTA01274122

Resource Management Account Account name: GHISLAINE MAXWELL Your Pi sandal Advisor.
*UBS Friendly account name: Indiv V49935006 SCOTT STACKMANLYLE CASRIEL
May 2014 Account number. Y1 23571 55 212-821-7030/800-308-3140
Your assets . Equities . Mutual funds
(continued)
PurcheSeDIK41
Number Average price Cost Price per snare on trureallzed Rad investment Nuking
ticking of shares (se) ineestrneantie(7) Oasis (I) on May 30(7) Ma/ 30 (1) 93In or loss (1) return (s) period
Trade date: tan 29, 13 2.156.431 14.849 32,023.00 32,023.00 15.910 34308.81 2,285.81 LT
Trade date: Feb 1, 13 481.951 15.069 7263.00 7,263.03 15.910 7,667.84 404.84 LT
Total reinvested 5.404 14.739 79.65 15.910 85.98 633
EAI: $1,356 Current yield: 3.22%
Security total 2,643.786 14.890 39286.00 39,365.65 42,062.63 2,696.98 2,776.63
SIT DIVIDEND GROWTH FUND
CLASS I
Symbol: SOVGX
Trade date: /an 29, 13 2333.831 15.400 35,941.00 35,941.00 1&240 42,569.08 6,62808 LT
Trade date: Son 11, 13 624.804 16.569 10,353.00 10353.00 18.240 11396.42 1,043.42 ST
EAI: $751 Current yield 1.39%
Security total 2.958.635 15.647 46294.00 46294.00 53,965.50 7,671.50 7,671.50
TORTOISE MLP & PIPEWE
FUND CLASS INSTL
Symbol: TORIX
Trade date: /an 29, 13 2,296.774 13.330 30,616.00 30,616.00 17.840 40,974.44 10,358.44 10,358.44 LT
(Al: $544 Current yield. 1 33%
Total $243.500.00 $244,162.75 $278,156.67 433.993.92 43465647
Total estimated annual income: $5.015
SDNY GM 00021296
CNP20009305631685NP7000193246 000041:614 0305750041123571550000000 Page 41 of 98
CONFIDENTIAL
EFTA_00 I 3 19 16
EFTA01274123

*UBS Resource Management Account Account name: GHISLA1NE MAXWELL Your 15 nancial Advisor.
Friendly account nanwrIndiv V49935006 SCOTT STACK MANYLVLE CASRIEL
May 2014 Account number: VI 23571 55 212-821.7000/800-308-3140
Your assets (continued)
Fixed income
Mutual funds
total eemvotted n me IOW of a reinvested dsedends does not include arty call, drat:ends. R is rot a Unread:el (40 gate of Ices is the dfference between the current vaue and the COSI basis and would
tea lot for the purposes of determinng licking periods or cost bass. The shares you receive each tine you genertAy be your testable on cr loss if tit security was sold °Albs date. The unrearted gan Cr loss may
reinvest clodeoch become a separate tax Sat need lobe &dusted for return of tepid pa/menu in order to determine the reeked gen or loss for Is,
reporting purposes
Cost Doss s the Iota purchase WA of the security. Indudng reinvested d Wends The cost basis may
need to be aclusted tor return c coital payments in order to cietennne the ad usted cost basis for tat lovettraent :acorn is the current Ica ue minus the amount you invested I dyes not include shares that ae not
reporting purposes. reflected co you statement, inducing shares that hare been eta iced ea either a gam ce a loss. It also fides not
include cash dedends that were not reinvested
Purchase PRP'
Number Averacy pace Client Cost Nye per share Value on Unrealized Car) investment Hording
Hddng of shares per Share (S) investment Cs) Deals (S) on Ma) 30 OS May 30 IS) gain or loss (5) return (5) period
AVENUE CREDIT STRATEGIES
FUND CLASS INSTL
Symbol. AC S8X
Trade date: Nov 12, 13 910736 11.270 10264 00 10,264 00 11.890 10,828.65 564.65 ST
Trade date: Nov IS. 13 912.566 11.300 10.312.00 10312.00 11.890 10,850.41 53841 ST
Trade date: Nov 25, 13 911 661 11.319 10.320 00 10,320.00 11.890 10,839.65 519.65 ST
Total reinvested 29.126 11.550 336.41 11.890 346.31 9.90
EAI: $1,034 Curent yield: 3.15%
Security total 2764 089 11.299 30,896.00 31,232 41 32,865 01 1,632.61 1969 02
BLACKRCCK HIGH YIELD
POND I
Symbol. BHYIX
Trade date: Jan 29, 13 4,811.156 8.200 39,451.48 39,451.48 8390 40365.59 914.11 LT
Trade date: Ain 27,13 2,481 156 7.959 19,750.00 19,750.00 8.390 20,816.90 1,0266 90 ST
Total reinvested 101.729 8.346 849.13 8.390 853.51 4.38
EAI: 13.653 Current yield. 5.89%
Security total 7,394.041 8.121 59,201.48 60,050 61 62,035.00 1,985.39 2,834.52
COHEN & STEERS PREFERRED
SEC & INC FUND
Symbol. CPXIX
Trade date. /an 29, 13 3.002 068 13.487 40.490 57 40.490 57 13.710 41,158.35 667.78 IT
Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.710 10,153.97 235.57 LT
Trade date: Jun 14, 13 751.274 13.309 9,999.02 9,999.02 13.710 10299.97 300.95 ST
continued next page
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CONFIDENTIAL
EFTA 00131917
EFTA01274124

Resource Management Account Account name: GHISLAINE MAXWELL Your Mnandea Advisor:
(*) UBS ?stencils; account name: Indiv V49935006 SCOTT STACKMANLYLE CASRIEL
May 2014 Account number. VI 23571 55 212-821-7000/ 800-308-3140
Your assets Fixed income . Mutual funds (continued)
Purchase Plea
Nurrber Average price client Cost Pact per that value on Unrealized Rae Investment Halting
14ddng of shares per share (0 investment (1) basis 01 on May 300/ May 30 (1) 93Inotioss (1) return (9 period
Total reinvested 69.136 13.393 925.99 13.710 947,85 21.86
EAI: 43,851 Current yield. 6 1690
Security total 4,563.103 13.441 60,407.99 61,333.98 62,560.14 1,226.16 2,152.15
DOUBLE LINE TOTAL RETURN
R)ND INSTL
Symbol: DEILTX
Trade date: /an 29, 13 12,498.155 11.379 142229.00 142229.00 11.010 137,604.69 -4,624.31 LT
Total reinvested 155.534 10.929 1,699.98 11.010 1,712.43 12.45
EAI: $7,111 Current yield: 5.10%
Security total 12,653.689 11.374 142229.00 143,928.98 139,317.11 -4,611.86 -2,911.85
EATON VANCE FLOATING
RATE ADVANTAGE CL 1
Symbol: SFAX
Trade date: /an 29, 13 7,524.150 11.180 84,120.00 84,120.00 11.140 83,819.03 -300.97 LT
Total reinvested 83.043 11.155 926.42 11.140 925.10 •1.32
EAI: 33,956 Current yield: 4.67%
Security total 7,607.193 11.180 84,120.00 85.046.42 84,744.13 -302.29 624.13
HARBOR HIGH YIELD 80 FD
INSTITUTIONAL CL
Symbol: I-IYFAX
Trade date: Ian 29, 13 2,660.657 11.239 29,905.78 29,905.78 11.140 29,639.71 -266.07 LT
Total reinvested 30.093 10.989 330.72 11.140 335.24 4.52
EAI: 11,687 Current yield: 5.63%
Stagily total 2,690.750 11.237 29,905.78 30236.50 29,974.95 -261.55 69.17
HS8C TOTAL RETURN
FUND CLASS I
Symbol: I-T IIX
Trade date: /an 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.250 39,550.31 -154.34 -154.34 LT
EAI: $741 Current yield 187%
JP MORGAN MUM-SECTOR
INCOME FUND SELECT 5N5
continued next page
SDNY GM 00021298
CNP703(5005631687NP7000193245 00004 0514030575004Y123571550000000 Page 43 of 98
CONFIDENTIAL
EFTA_00 13 1 918
EFTA01274125

UBS Resource Management Account Account name: GNISLAINE MAXWELL Your rinandd Advisor:
friendly account name:Indiv V49935006 SCOTT STACK MANL YLE CASRIEL
May 2014 Account number. Yt 23571 SS 212-82 1.7000/800.3083140
Your assets . Fixed income . Mutual funds (continued)
Purchase pow
Number Average price Client Cost PnCe per Share Value on unrealized gal InveStment Piddry
Netting of shares per sham (I) investment ft) Oasis (S) on Mai 30(1) May 30 (I) cein calms (S) Mum (S) pniod
Symbol: JSISX
Trade date: Jan 29, 13 4,784.864 10.260 49,092.71 49092.71 10.360 49,571.19 47848 LT
Total reinvested 24.458 10.370 253.65 10.360 253.38 -0.27
EAI: 31.231 Current yield: 2.47%
Security total 4,809.322 10.261 49,092.7! 49,34636 49,824.57 47821 731.86
METROPOLITAN WEST TOTAL
RETURN BOND FUND CASS I
Symbol: MWTIX
Trade date: Oct 24, 13 7,192.344 10.709 77.030.00 77,030.00 10.850 78,036.93 1,006.93 ST
Total reinvested 46.495 10.710 497.97 10.850 504.47 6.50
EAI: 12.150 Current yield: 2.74%
Security total 7238.839 10.710 77,030.00 77,527.97 78,541.40 1,013.43 1,511.40
FaDGEWORTH SOX FLOATING
RATEHIGH INCOME FUND
CLASS I
Symbol: SAMBX
Trade date: Jan 29, 13 6,502.655 9.039 58,784.00 58,784.00 9.050 58,849.03 65.03 LT
Total reinvested 67.469 9.059 61126 9.050 610.59 -0.67
EAI: $2,424 Current yield: 4.08%
Security total 6,570.124 9.040 58,784.00 59,39516 59,459.62 64.36 675.62
T ROWE PRICE
INSTITUTIONAL FLOATING
RATE F CLASS
Symbol: PFFRX
Trade date: Ian 29, 13 5,394.060 10.270 55,397.00 55,39700 10.270 55,396.99 -0.01 LT
Total reinvested 36.219 10.269 371.96 10.270 371.97 0.01
EAI: $2,281 Current yield: 4.09%
Security total 5,430.279 10.270 55,397.00 55,768 96 55,768.96 371.96
Total $686,768.61 8693572.10 $694,642.20 61,070.12 $7,873.59
Total estimated annual income: $30,119
OW70003005631688 NP70:0190246 0000, 0514 030575004 VI 23571540 COMAYGMoodlass 44 of 98
CONFIDENTIAL
EFTA_00131919
EFTA01274126

Resource Management Account Account name: GH1SLAINE MAXWELL Your Nnandal Advisor:
UBS Friendly account name: Indiv V49935006 SCOTT STACKMANLYLE CASRIEL
May 2014 Account number. Y1 23571 55 212-821-7000'800-308-3140
Your assets
(continued)
Non-traditional
Mutual funds
Tcra.'re metal i-.e • )1a it a re re,szeil jv.*ncls ti does not incluCk any cash ClmCienli is rat a tai iiniaahaeo (sat)9asa or loss is the ofference between the current value and tte cost bass and would
lot tee the purposes of dezeimming hold rg periods or cog basn. The shares you receive ear tint you general be yOUr I &able ga n or loss if the sec only was sold on this date. The unrealltd gag gun or IOSS
reinvest dedenct become a separate tax lot. may need to be agusted for retsen of capita paimems in °mei to determine the reautd gain or ices for tax
reporting purposes
Cost basis is the total purchase cost of the security. Ind udng reinvested cl odends The cost basis may need
tote aqusted fa return Cl &Old pasments in order 10 oeternne int acLustect cost Dabs for Lac reoonng iniestmtra telurn is the current value minus the a-rount you invested it does not include shares that are not
purposes. reflecteden your statement. inciudng shares that hate been realizedas either a gin or a loss it also does
not include cash dvidends that were not reinvested.
PorchaSe Wei
Matter Average pace client Cost Price per share value on Unrealized Oa° investment HoldKt
Hddng of shares pet shale (S) investment (S) basis (1) on May 30(1) May 30 (5) gain or losS ($) return (S) period
GATEWAY FUND CLASS
Symbol. GTEYX
Trade date: Jan 29, 13 1:089.208 27.580 30,04036 30,040.36 29.390 32,011.82 1,971.46 LT
Total reinvested 4.905 28.870 141.61 29.390 144.16 2 55
EAI: 1517 Current yield 161%
Security total 1,094.113 27.586 30,04036 30,181 97 32,155.98 1,974.01 2,115 62
Your total assets
Percentage of Cost &Wooled UnfezliztO
vat on May 30 (ft your account (S) annual insane (S) wan or loss (I)
Cash Cash and money balances 68219.71 6A1% 68,819.78
Equities Mutual funds 278.156.67 25.90% 244,162.75 5.015.00 33,993.92
flied income Mutual funds 694.642.20 64.70% 693,572.10 30.119.00 1,070.12
Non-traditional Mutual funds 32,155.98 2.99% 30,181.97 517.00 1,974.01
Total $1,073,774.63 100.00% $1,036,736.60 $35,651.00 $37,038.05
Account activity this month
Date Atlitsty DtSCrOtiOn AffOur11 (I)
Dividend and internstincorne
Taxable dividends May I Dvidend METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I AS OF 04I3CE 14 174.28
contmued next page
SDNY GM 00021300
CNP7C0C0305631669NP7003193246 00001 °Slit 030575004 Y123571550000000 Page 45 of 98
CONFIDENTIAL
EFIA_00131920
EFTA01274127

*UBS Resource Management Account Account name: GHISLAINE MAXWELL Your Kaancial Advisor:
Friendly account name: incliv V49935006 SCOTT STACK MANLYLE CASRIEL
May 2014 Account number: Y1 23571 55 212.821.7000'800'308.3140
Account activity this month (commis)
Dale Activity Descnotion Arnosot (I)
Dividend and interestiscome (continued)
Taxable dividends (continued) May 1 Dividend RIDGEWORTH SEIX FLOATING RATEHIGH INCOME FUNDCLASS I AS OF 200.88
04130114
May I Dividend DOUBLE UNE TOTAL RETURN FWD INSTL AS OF ON 30/ 14 571.79
May I Dividend COHEN & STEERS PREFERRED SEC & INC FUND I As OF 04/30114 304.22
May I Dividend EATON VANCE FLOATING RATE ADVANTAGE CLIAS OF 04/30/14 311.04
May I Dividend P MORGAN MULTI-SECTOR INCOME FWD SELECT 5115 244.08
May I Dividend T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS AS OF 04/30/14 191.68
May I Dividend BLACKROCK HIGH VELD BOND1AS OF 0413014 261.37
May I Dividend HSBC TOTAL RERAN FUND CLASS I 19.29
Total taxable dividends $2.278.63
Taxable interest May 7 Interest UBS BANK USA DEPOSIT ACCOUNT AS OF 090614 1.80
Total taxable interest 31.10
Total dividend and interest income $2.280A3
Investment transactions
For mote Informsion stout the price/value shown for restricted securities, see important information about
your Statement at the end of Inn doc✓nenl
Proceeds Iran Funds
inbestment smthdiavAlcr Accrued
Date Actrely Desolpton Quantity Val* (S) Prise (3) 'remissions (5) 'n*5141041 bola intern (5)
May I Reinvestment METROPOLITAN WEST TOTAL RETURN BOND 16.227 -174 28
FUND CLASS I DIVIDEND REINVESTED AT 10.74
NAV ON 04J30t 14 AS OF 04130 la
May I Reinvestment RIDGEWORTH SEC( FLOATING RATEHIGH 22.221 •200 88
INCOME FUND CLASS I DIVIDEND REINVESTED
AT 9.04 NAV ON ON30,14 AS OF 04130/14
May I Reinvestment DOUBLE LINE TOTAL RETURN FUND INSTL 52.314 -571.79
DIVIDEND REINVESTED AT 10.93 NAV ON
Oat 3O14 AS OF 04131714
May I Reinvestment COHEN & STEERS PREFERRED SEC & INC FUND I 22.468 -304 22
DVIDEND REINVESTED AT 13.54 NAV ON
Oat 3014 AS OF 04130114
May I Reinvestment EATON VANCE FLOATING RATE ADVANTAGE CL 27.971 -311.04
I DIVIDEND REINVESTED AT 11.12 NAV ON
04/ XVI 4 AS OF 04(30114
continued next page
CNP7C0C0305631690NPVCOIS0246 00004 0514 030575004 y123571$50cogakiYGM0002%14 46 of 98
CONFIDENTIAL
EFTA_0013 192 1
EFTA01274128

Resource Management Account Account name: GHISLAINE MAXWELL Your M sandal Advisor:
*UBS Friendly account name: Indiv V49935006 SCOTT STACK MANL YLE CASRIEL
May 2014 Account number. Y1 23571 55 212-821-7000/800-308-3140
Account activity this month
(contrivec)
Investment transactions (continued)
rm<etOs bran Funa
inwstmeM WIN:Hann la Accrued
Date &linty Descilpeon Dignity Witt (I) Price 0) tiansaalons inseSbnenIS beer (5) keno (S)
May 1 Reinwstment JP MORGAN MULTI-SECTOR INCOME FUND 23.537 -244.08
SELECT SHS DIVIDEND REMVESTED AT 1037
NAV ON 0413014
May 1 Reimestment T ROVVE PRICE INSTITUTIONAL FLOATING RATE F 18.682 -191.68
CLASS DIVIDEND RENVESTED AT 1026 NAV ON
04138114 AS OF 04(30'14
May I Reinwstment 8LACKROCK HIGH YIELD BOND I DMDEND 31.377 -261.37
REINVESTED AT 833 NAV ON 043011 4 AS OF
04+ 30(14
Total -$2,259.34
Oate Adrvity Deictebal Amount (I)
Money balance activities Apr30 Balance forward $68,798.69
May 2 Deposit UBS BANK USA DEPOSIT ACCOUNT 19.29
May 7 Deposit UBS BANK USA DEPOSIT ACCOUNT AS OF 05106114 1.80
May 30 Closing UBS Bank USA Deposit Account $68.829.78
The UBS sant USA Exposit ACCOurit Is your primary sweep cphon
SDNY GM 00021302
CNIWO3C0305631691 NP7000193246 00004 C514 030575004 Y123571 SSO 000000 ►egs 47 of 90
CONFIDENTIAL
EFTA_00131922
EFTA01274129

*UBS
Yournotes
rqsrmuy_._oaoAsss...F.
CONFIDENTIAL
EFT,00B1923
EFTA01274130

Important information about your statement
LEIS Firuncial Services tat. Of* F im or UBS Anemia! sent you the fro stamen on which the nor The Finn, together with certain affiliates, ha also wont held, you choose one of tie following
Sakes). is a merrter of all orinobel ammo* problem *Peered. purchased terlarental protection. The madmen .'vestment objectives'
and cptbis exchages. LES Frerxial Services and LBS - Nodeyou- name a-4 acorn number Of any) amount male to al eligible dent, marten& utter • Soda, CunentIrcome. Ii.esbe es seekng the
Bank USA are rdrect substiates of LES AG and - Describe the n or he wander you me anise this mocker is 5500 million as of December 10, 2013. generation of income my.
affiliates of LES S.osein UC. Ti. Fim's f tonna' about, and .'clan as der& as yoa can why you • Juliano °peala pprobation Investments eeking
statement is available upon reqra The Fin's ereoske believe it is an error or why you need more kloSet to the pokyconditions ad limitation, cash X growth of propel rather that the generation ol
off ices re a: limitation the firm is further protected fix Leotette million n the income.
— Provide the dollar amore d de suspected error. aggegate tor all you accounts held n ape-Ocular • Pialoce Combinaton of lrcome and Capital
LIB5 ainencul Snows Ix. capacity A fSleepy of tepoky wring is mailable Appel:lawn Iferesiments seeking both the generation
1200 Harbor Boulevard The Fin or Cad Issuer wi irionsissete your °implant upon request. ol name and 'myth of fatC011.
Weehawken, to 07086 and evil cared any error ',motif.
The SIPC protection and the supplemental protection
°troll risk precise
Ibis Menem represent the any oili cier record of you Please mate all checks payable to the Firm or fie both do not apply to.
LES Friend Samos account. Other wards, inapt liunceal inetitutien ackated on fie front of this ▪ Corbin Tramiel asses controlled by (and nettled it • Consentartve Seeks to mann Sol pectook with
low risk and volatility to the accord metal, even if
official to dray-anent containing conflicting date should itakimmt h acklitim to 'nig' arrant fees accounts your account value) but hell away from US$Fine-col
R n om o a t n i s b c s e h io r n M e , l a i p e n l d e a a L g s y e e r o r o n e f p 8 t o h r y e t o i o t u f i f r b i r c m e e e e s n c e i , w a t t h i e n e g ly r e y n o is u * r a M a n c i e n c r o g ro u t r n o c t. t r h e p m a a n ay r io e b n e n s t s u f in o b j r c e s a c s a t h t u o a t m w e a s a i r i p t e u s n r . c a h A m a c s c e e o s l u e a n e n t s s d , t c c h h h a a t a r w g r e e s s t f i r o c a e r n l u s a f n t e e p r r a e id d L i S n E e c r S l v u i A c d e i G n s g S ( e v ta a .g r n i . a . l o b c r l e e d r e t b a n r i a m n n ( i 0 t c i h e ca s ( s , 1 h a ) n a in d l U ( s i B v u ) S s r B h n a a r p e t s ro o ( s i f $ iX m r 1 a S u i , t n u a a l t i i t n n h c a f o l t a m m ti e r e e o w r l s m th u e m J s o a co d se m d a o y e r s o n t o k t e g e e p n p e a r c a e te w si i g th n ificant
to other hetautions may be subject to a wander fro. fade whore such shares are registered diedly n the • Medea: Willing to accept sone risk to pirtnal and
Athanti al figures shown ate Wended to be accurate. none of the account holder on re boas ad mach tolerate some totality to seek hirer returns,
statement dated-OM not be used for tar purposes Rely UBS Sweep Options of the applied* issuer or transfer agent); • Aggressive: Wiling to accept high rick to principal and
sere& onwaLend tax kerns, 6.e., form 1099. Sae. UBS offers options for among cash bane; balances high volatility to seek hgh returns over time.
10425, etc.) whin prepregyour tu return. The Fim to bank deposits al UBS Bale USA and UBS AG Slanted • Certain morel contracts or Moment interest
required by law to moon to the IRS all Trak dividends. birds (frank Sweep Pregame), moneymedia Indus! (tg., limited partneserix and phut* placements) tot Statement liouseholdne
retortion rantrabb driends and tat tdennt krds Namara.* and the In Deposit we rot registered under tie Securities Act of 1903; We may consolidate al related account strternents with
eared on securities held on ma amort, net proceeds Meant (DATfor customers with an kierretional ad the same sAbess n the wee envelope. Accounts may
on sale transactor-6, ad cost base on certain covered Resource Management Accost Through tie Bank be related la this purpose berate they have canon
worths. Sweep Progarns, cash balances re swept to UISEterk • Commodities corrects (e.g. lotion exchange and who also maintain john acorn relationships wit other
USA up to an intabkhod knit ad then to LES AG mei:us/near resters). nduding futures contacts dents at the sane address. This practice's known as
C • o P m le m as u e n re ic - a c t o io n n fir s m w a i r t t h y o th ra e l F co in r n m ircatorrs in writing B St a am k f U o S rd A B a r r a e n F d D t. IC o r in a s M ur o e n d e in y e Fu c n c d e . n D tr e ic p * o w si i t t s h a F t D U IC B S ad tormodig cation contract. s • t h a o te u m s e e n h t p s l m in a g i l ' e d i y n o s u e p p r a e ra fe te r to reoehe t — di y o e d a u m al a y
to further protect your raids. incladrig your Ned rules. For nut Monti:el please vet mewld ioger. The SIPC potection and the supplemental protection do dklive householfing by Ealing your anoxia Advisor.
..nder the Smarties !nest& Protection Act (SEAT Deposits at 1185 AG Stanford Bind. and fates of not apply so these nitn event they otherwise appear
Money Funds tarot nand by the FIX. on gas statement. Tor SEC proteciiii and the Friendly accourt name
• If the Gnats' nstitution on the tcp left of the horn araPlerriental protection do not protect agave changes The Frendk accord name reflects alo rmation that you
of this statement is ncelE5 Financial Sakes. U3S %mug, the OA available to cash balances we swept to in fie main vats of you' investments (whether as a emend on the Firm's ordne winces webate. II is a
Financial Services carries yam account as clearing depose accounts al U65 AG New York Branch and UB5 rest* of market movement. issuer baicruptcy curb:mixable 'nide-urn? drown by you to auks you
taker by at argerront wah the ticketed institution AG Cayman Bunch Thew deposits are not insund by OthenViit) wah spar record...ring It has no legal effect on your
We irdormed you d this relationship when you she FIX. Balances hold at the LES AG Carat Brand, axiom. You can change you' hiendk acccunt names.
opened this accost. h this case. your lads and are tempera* exposed to the so. ..reign risk of the More information is avalable Ism rapist You may through Crane Services or by contact-9 rurFkancial
searain we located a UB5 hornet Server's and rot Caron elands, and tee is no giarantee or °the obtan more Mansion abort SIPC. noticing the 58C Advisor.
the Madan; broker. a-4 you nut make enrol obligation of UBS AG to tray the betimes while on the Brochure, by contacting9PC a 202371.8300or by
of try weer or *Tuition to both linTS. UBSC grans Bodis books. isitng the UPC websiu at WeWSPICAIEI Aaron overview
• vats of ma accoonabortifin Net of moats ad
A accort "Lotmanshall be deemed complete ad Deposes a 185 Birk LEA and each UBS AG Bench are Dividend ReiWetblbefill Program (Dpi)
accurate a not objected to in wring within 60 days. not protected by SIPC. Money Fund shires we protected The ate reflected is an swage price. You may obtan • Assets_ Steaks wattle cash balances, sepses for
by SIPC. Ste *UBS Financial Seises Award Protection' the acb.el price Iron you- Financial Advisor. Onk Wore restricted searey lest ), and Global tine Deposits,
• Plea% divot customer complaints or iNUSS to he bobw tire, are purchased under Dli; partial shires will be urrealied marts to market and caftan mats not held
Finn's C Relatkns Dna-men X 201.352.1699 wen rd the oath wM be deposited your account. The by the Fim. Does rot include unPrired assets
crtollfree at 800-354-9103, 8:00 A.M. to 6:00 P.M. Upon you regant, balances in tie Bank Sweep 6viderd retirement price applied by tie issuer may al the end of the prior and outwit stalernent periods, on
ET Monday through Fridap a in wing to LES hi:gransa' OA my be withdraw" and shares of a liner from the market plot at which repartial shares pretax iwestmerts, wrested stock options ad
Financial Sereces Ix., Client Relations Depalment, Money Fund my be liquidated, end the proceeds we sold amenable stock options
P.O. Box 766 Union City, NJ 07087. returned to you <flour seostin accord, • Eire Includes debit bilirces, oaturdirg trorgn
Carlekelieu loans. credit the, tot sactrit balances.
• n fu o nd n s e t r o a f n ti d n e t ( s W o 1 r W b e i s p t C u m y ; m ab m o o ut r a U n B S el V ec is tr e on d i e c bit R no a t t h e i r n g fo a rm m a e t n io m n e a r b e o s u t t r a a t v e a s i l a a n b d le y s e w t e is e , p a o p w tio a n l s k . k at C en M tit , l w ed h t o o le a u p n a it n s e m l a u y s b e e as h s e m ld o l y t o o u f ' a a c d c v o i u d n e t r . d I f n y a o im u e ar o e l • ca s C h a b s a b l / a re n o c n es e . y p b l a u l s a UncBeSs.. B T a o k ta L l o IS f A u d n e in p v o e s s it t e b d a l a a v n a c l e a s b . l e U BS
card Vansabort, call 62-1000, or wise to UBS www Lax comreseeprekt, from your F Maria ial editor or °terms., the Firm viii era sell panel met at AG Stanford Branch deposit balances and money market
Faunual Semen tic„ MOO turbo' Blvd, 6th floor. or by calling 800.762.1000. rivulet peke a accept an annum determined by a maws fund sweep balaxes at to case of the
Weehawken NI 07086. Ann RIONESA Snit registered clearing flaky, ailcredit you' accost statement period. Norwormlocity free credit balances in
UM Financial Services actor protection your accourt are rot segregsed from other balances
Cal or write as soon as you can if jou rile yaw The F rrn is a member of the Searees Viveaill Protection Investment objectives ad the Fim may use any of these funds in the ordinary
statement Cr receipt is won; or if you need more Corporaticn (SIPC), *nth protect securities account. of The rimmert triremes and risk profile we specific to course of hexane's. These funds we payabk Loon
infamation about a twofer on the 'tanned or its members up to S500,0:0 including S29),000 for each account and may vary between Please Seise the your darned. This total is includedin to orentpriod
h nn e t r S f t r . o T m h I e m F o ir n m h o la r C te a r r t d h a M n u 6 i 0 r d a a s y s A a lf h k e if r b t l o ek F D im dl t a d l a l m ac s c k ou r n c t a t s h h a / t T y h o e u S h IP o C ld a n ss a e t p p a o lk te u c la tio r c n a " p m e k o s ly X . PV to M aw a n x p ie ro ' w s l i i t n u g a i c n n m or a n i v n e o s f t m an e y rt s o ig bj n e i c k t a iv n e t s c . h F a i n x g e e a i c n h y aw closing who.
SDNY_G M_0002 1304
CONFIDENTIAL
EFTA_00B1924
EFTA01274131

Important information about your statement (Continued)
'taw adoration you would teddy recede in the market Prices we - •D ario as to date may ',Idyl.e returnof — h stern to commisscrs received n connecan
Fix detated at the Finis lending practices obtained from various third party sources tilde to canal. income a both wth the sale or distnbikon of curvy contracts
and &crosses, aler to yam Clem Relator-ship Delve to be retitle, but we do not guerattee their - 'Crignatrnt see • represents the initial Otero; and to 'investment trust units to our <lents, we
Arwood or Account Agnomen' aid the General accuracy. price per unit and may not reflect year cost basis anctor our edit neat noun sharing
Terms ad Conditions UBS Strome of Credit Practices — We generaty upe the closing pricewhen aveadde cr compensation fr om many of the inesance
available in 4camement andD iziosures the mean of the ad ask prices fagged • Resticeed securities Resercled savdgs generally companies underwriting the amittortracts,
gdyw mac romarrooridotas. seaters and <plias a onY bd prices fa OTC are rot curtently eemble son public sale. UBSFinatal debates of to Murat cornets or sponscrs of
stashes. Services as to mate' price of the unrestricted stock Metre investment tots we astrbute
Yaw mete - Less actievb waded securities may be priced ushg a of the same issueras an mputed value for to - On taint also receive trading cornrocars and
Your astament tenon twat endother assets held valuation mad or the moo recent pet we restricted stock for purpons of this flatomont 0.4, To other corteremin from mutat finds and
lathe exeunt at the end of the staterners period. You °blared and may not reflect an actual market price the relent that rearicled sectrities are 'Pith la sae, 'trance commies whose molts we distribute.
may atk fordeivey of f&ty paid seareies at an/ time. or lake the vale retied may be sdonantialh less than the - Nemeth* as anal fee from UBS Bait OA and
You may receive sautes used as loan collateral after - Certain positions may appear without a price and indeed value drown tITS AG Stanford Brandi of up to szs per account
paying eat balance due on them. k-y securities will Pak as 'price was rot available' if we re sweeping to the barks under the UBS Bak Sweep
Iranslened to the Five deist the seater pined are laid* to obtain a pnce for a womb • Est (witirnated) insane. anent yields and rota Frograrro.
heed al market value as of the end of the sidemen - Deposits or strain derannated 6 currencies An (narrate of anal income is based an current
period. otter than U.S. dollars are reflected at the ea:hinge dadird and interest rates, 'sating tee stables will Activity
• Can bas's in determning the cost basis of the rate as of the statement date. be held for me yew from statement date or until hbirnation resuming catenates and other charges
utiles included in this statement, where indicated - Fee cerien octet wading 6 non.conformrag matisity, This taint holy a gain& accuracy tuned ri connector with tie caudalof rade&
wan the number UBS FisarcialSorvices to relied deriannatcris. Pee aH qua-gib(lace rake) may rd continued income are not guaranteed includng option transactions has bora included on
co information obtained from sources other tan1 .8$ have teen 2i:tasted to facilitate piper valuation. - Estimated anal itme at anent yield fa CCellernrOnS preYOUSly filtrated to you. ani tall be
Frencial Seduces, including nformision Iran another To obtain current quotatims, when wattle, camas certain hoes of stakes could include a tin of provided to you camptly on retied.
lam a Matt may haw provided to you Financial dos Financial Atm,. prncitalor capeal gars in whith case the est
Advisor. The Finn does not hdrapetently verify a income ard( went yeti would be overstated. Shit gelling
gaunt the acaracy or vardity day irdorrnation • Private irvestmets and dructured protheeb. - Entreated areal roan and eared yeld and the f anon engaged in that alli-g a stay. you may
provided by sates otter than LEGAuncial Senates. Mire medrrenst secuntin (natty drect actual Voune aid yield mitt be luxes higher hour a change the to certainharming costs for that
participation acqam and real estate investment its than thentinated amounts. particular acuity.
h atlas although UBSFirsatel Services generally se rtes) and strudded pita are gently highly - An essrnate ol trusteed tome (divdend attar
acclotee this Hamann as it is received, the firm Akpid. Cent sen_ctared products how not been interest) divded by the current make' Open onion
dos not provide any assurances tat the iicrmatim registered wit. the Securities and Excha- valtaverage balance is based on the last &trod Regarding Men or • gxcletillecancelhe ceders tit
text "Cost basis" and 1.direalsed gar/loss' is Commenion a under any state acute, laws. We or Merest payment made by the issuer and were not garoded by the tamer( date, open buy at/
accurate as cd to date of the statement. As such provide estimited sates for private investmem assents the stashes/depot will be held for one tel stop orders are redxed by the anoure of dividends
please do not reey on the nlormation to make stashi s and structured products for ntormatibrul year from the statement date or until manly. or rights on an ex-dbaderds a arrtits date unless
pachuse a Tale decision& Biqa praxes cer purposes only tasty knot guaranteed. Accuracy rid continued weld we not wombed intruded otherwise by yaa. You are respond:4 fa
Phenyls*. Accounts transferred to the rim may - These values may differ abstantiaby from prices. a orders that we evetuied dee to your failure to (axe'
reflect girl loss rdamatin ongr for the period of any, at whch a ante Pesten' security a • Assets not held by WS Francis( Service& Certain gosling open orders.
tine they ae held a the Frm More hisanical structured 'malt may be bough or sold and do assets we rot held by the Fern and not viten the
hkanaten canto added by you Fend Advisor. not necessarilyrepresent the vale you may receive Fern's possession or anti These assets de thaw
Won liquidation. dopes/cid on yos statement fa informational To obtain a copy of at currant Client Finery Waite
• thredized gain/loss When data is Jailed& - Bird paly intimates of vale cue as a a tenon purposes only. Positions and values presented re please contact tour Francis' Advisor or yak as timid
eninated turreted suing ban we cictAated fa date ad are &paled to UBS Fna-cial Services on a Voted by to Syr.; Inn U6SFrancial Services is at witatIGEBstagticAGAWIRY.
redvdal saute lots. Re tanacton data for regukr bass by in independent valuation Jim. not resparible for the ?formation and des not
ndvictal be may or may not reflect conn inues. - lout general panne- or sparser narrated vaLes, panto as accuracy. These wets are rot preened UBS Bianca' Services a not a bat its WA. Busied
charges motor security margined en ewnts ary, are supplied to 'herrn by the roue, by SIPC or the Fits undemental SIC coverts?. Seto, Account RSA and IRMA we brokerage accounts
Dividend and otervenwstmeni lots rd systematic gems' pa-traer or sponsor and may be calculated which provide access to barking services a-idproducts
padase lots are each canbined to display one based as r ean irdonhation Iran that used by • Revenue shoring and additional compensation. though arrangements wet) aft Sated bat sod other
averaged lot That • Trade date • [altopresentsthe Mid parties laden.* their estimated values. — In addition to commissions on sales and 12b-1 fees thridpaty banks, rod provides access to made and
crigrul transaction trade date. - You can obean addiand Harnett' regarding received n correction bah the distribution of annutty pratects Awed by untamed thimersity
the methodology wed to determine the estinate of made had to ardent we Niece our AIMS insurance comps-as through turate agency
• Callable securities Bath and ;referred stock that value ad She date of to Hamelin tha is the receive revenue taring Payments from dirribulovs subsklivies of UBSFinircial Services Inc.
the tercets for eat redemption will be selected basis forte want by contactrg your Franca' ads advisors of the medal funds that we sell.
nthmely by lot ban among all seoseies of tat Advisor. These anoints are based on two defence Investment mutat. and ruttyproducts:
lot held now name or in nominee nano lee as - mid party estaded votes my be reflected as cornIfonerAL tbe amant ol sales by UBS of a Not MSC inured • No bank guanine.** May rose vitae
clients. Call bast idamatin s datted from third •Not peed' newer I et alit. saw n particular mutual fund family to our clients; and Cs)
parties and is accuracy isnot guatanteed. Other call idependere valuation tem RS not suppled or is the asset value of apa-Opt mutual hind family& RUA. Respite Management Account, Business Services
feats maprost which cot tea weld complete unable to tip a vale. Mien we become avare shares held at the 1mi Account 85A, IRMA ad ntematioral Resource
idortnatir sill be provided upon request that a materialevent has creamed tug May call a — We and aJ" alMate abo recewe nemaking and Management Accost we registered service marks of
petit, reported vase it question. or ten a tutted lancetn g lees in consideration der UBS Frontal Services he
• Owleficatres of depot (CDs) CDs are FDIC tired value would be highly speottive due to the nave under agent soots that we pray& to the
Lp to 5250,000 n critical and accrued interest per id the searity. treat fads. These lees generally are pad from Visa *passe is a registered service mirk of Visa
&costa and per deposity institution, haccadence - When neither al suer, general panne or sponsor investor abets in the mutual fund and are a had Intonational CBS Visa Signature cede cards and UBS
wt FDIC rules. estimated sake nor a Uttar estimated value is dela amount based on the nutter of accounts at Yea debt cards we eased by UBS Bank USA with
mead the value of the snob Bait be clitoral the brolendealer holdngm aul lads of that fund prmesion from Vim U.S A Incorporated.
• Pre value. Prot, distad for route and other from itspurchasepricer famiy
products may be higher or lower than th wice that UBS FirisrMal Services Inc Fen. 201402
SDNY_G M_0002 1305
CONFIDENTIAL
EFI'A_00131925
EFTA01274132

065 Financial Services enc. UBS Strategic Advisor
UBS 299 Park Avenue
25th Floor
New York NY 10171.0002 June 2014
CNP70064989230614 >023Y1
GHISLAINE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065.7007
Account name: GHIS1.424E MAXWELL
Friendly account name: Indiv.V49Q3S036
Account number: _3571 SS
Your Financial Advisor:
SCOTT STACK MANILYLE CASRIEL
Phone 212.821.7003800.308-3140
Questions about your statement? Value of your account
call your Finan:ig AdviSCe Or the
RMA ReSou1C0U me at 800-RMA-1000, on May 30 (1) on lune 30 (1)
account 029023571
Your assets 1,073,774 63 1,016,759.23
Visit our website: Your liabilities 0.00 0.00
www.ubs.comainancialseneces
Value of your account $1,073,774.63 $1,016,759.23
Items for your attention
r Rerninclei tairt rrutual fund shares
held in select IRS Investment Achisory
Programs will be converted starting in
June. See your statement activity for Sources of your account growth
details. Tracking the value of your account during 2014
Value of your account
at year end 2013 $0.00
S Thousands
Net deposits and
1,073.8 1,0168 withdrawals 5961,519.35
Your ilVeStnent return
NW:lendand
interest income 512,277.21
Chance in
market value 422,932 67
Value of year woman
on An 30, 2014 S1,016.759.23
May 2014 bin 2014
SDNY GM 00021306
Member SIPC OW70301006493973 W000293741 C0034 0614 030575004 Y123571550111000 Pogo 37 of 102
CONFIDENTIAL
EFI'A_00131926
EFTA01274133

*UBS
UBS Strategic Advisor Account name: GH1SLAINE MAXWELL Your A Rancid Advisor.
Friendly account name: Indiy W19935006 SCOTT STACK MANL YLE CASRIEL
June 2014 Account number: VI 23571 55 212.821.7000/800.3083140
Your account balance sheet
Summary of your assets
Value on Percentage of
June 30 (11 yOur account
A Cash and rrxmey balances 0.00 0.00% Your current asset allocation
B Cash alternatives 0.00 0.00%
E
C Equities 286,385.34 28.17%
D Fixed income 698,002.37 68.65%
E Non-traditional 32,371.52 3.18%
0.00 ace%
F Corrmodities
G Other 0.00 0.00%
Total assets $1,016,759.23 100.00%
Value of your account $1,016,759.23
Eye on the markets
Percentage change
Index June 20/4 year to date
S&P 500 2.07% 7.14%
Russell 3000 2.51% 6.94%
MSC I - Europe, Australia & Far East 0.99% 5.14%
Barclays Capital U.S. Aggregate Bond Index 0.05% 3.93%
Interest rates on June 30, 2014
3-month Treasury bills: 0.04%
One-month LIBOR: 0.16%
CNP70003005498924 NP7000299741 C0M 0644 030575004 VI235715501i y_Gm_0001M1 .738 of 102
CONFIDENTIAL
EFTA 00131927
EFTA01274134

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your PI medal Adelson
friendly account nanse:Indiv V49935006 SCOTT STACKMANYLYLE CASRiEL
lune 2014
Account number. 1' I 23571 55 212-821-7000'800-308-3140
Change in the value of your account Summary of gains and losses
Yaws reported telcw exclude products (or which gans and losses are not demilled.
June2014(g) Year to date (1)
Realized gains and losses Unrealized
Opening account value 51,073,774.63 $0.00
June 2014 ($) Year to date (I) gains and losses (g)
Deposits, including investments
transferred in 175.89 1,158,104.59 Short term 0.00 0.00 10,672 65
Withckawals and fees, Long term 0.00 0.00 34,019 67
including investments transferred
Total 50.00 $0.00 $44,692.32
out -69280.76 -176,555.24
Dividend and interest income 4,435.13 12,277.21
Cash activity summary
Change in market value 7,654.34 22,932.67
See Account sternly this month for details. attances in your 5neep Ong cos are inducedin the cpenrg and
dosing account value 51,016,759.23 $1,016,759.23 dcaIng Defences rate. FDIC Insurance apdles only to deposit at U8S Bank USA, not todeposits at U85 AG,
Stamford Branch or barer deposits placed througti the U8S International Depose account program. SIPC
protection applies to money mama sweep hod holdings but rot bag deposits. Sere important inkonnadon
Dividend and interest income earned about your statement cm the asst two pages cif this document for details.
km 2014 (S) Year to date (S)
F01 purposes of its statement, tameability of Inkiest and deldend Income ha been determined from a US Opening balances $68,819.78 $0.00
tar reputing perspective. Based upon the residence of the account tickler, account type, or product type,
sane Interest ardor dell:tend payments may not be subject to united States (UA ardor Puerto Rif° (PR) Addittons
Income tans. The dent months/ datemem 4 not Intended to be used and cannot be *sea upon for tar
purposes. Clients should refer to the apdicade far reporting forms they receive from UBS amualy, such as Deposits and other funds credited 175.89 68,761.42
the Forms 1099 and the Fan 480, for tax reporting infoimabon is the practice Of U85 to file the
lisclicalle tar reporting forms with the US Mterni Revenue Service and PR Treatury Debarment and in Dividend and interest income 4,435.13 12,277.21
such forms accurately wary &clench arilor interest a tax exempt or taubie Incase. Pleat consult your
indedual tat prepanr. Total additions $4,611.02 $81,038.63
lune 2014 (g) Year to date 12) Subtractions
Taxable dividends 4,106.88 11,945.30 Professional management fees and
related services -175.89 -175.89
Long-term capital gains 325.55 325.55
Other funds debited -69,104.87 -6%104.87
Taxable interest 2.70 6.36
Funds withdrawn for investments
Total current year $4,435.13 $12,277.21 bought -4,150.04 -11,757.87
Total dividend & interest S4A35.13 $12,277.21 Total subtractions 473.430.80 -$81,038.63
Net cash flow -$68,819.78 $0.00
dosing balances $0.00 $0.00
SONY GM 00021308
CNP70003006458925NP7000298741 00004 0614 030575001 Y123571550 11I MO Page 30 of 102
CONFIDENTIAL
EFTA_00131928
EFTA01274135

*UBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Mounds' Advisor:
Friendly account name:Indiv V49935:136 scorr STACK MANLYLE CASRIEL
lune 2014 Account number. Y1 23571 55 2I2-821.7000/800-308.3140
UBS Bank USA Deposit Account APY
Interest period May 7 - Jun 5
Opening UBS Bank USA Deposit balance May 7 $68,819.78
Closing UBS Bank USA Deposit balance Jun 5 $69,104.87
Number of days in interest period 30
Average daily ba bnce $68,848.02
Interest earned $2.70
Annual percentage yield earned 0.05%
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
Fni ancial Advisor or Branch Manager You can find a ful description of the alternative
investment objectives in important information about your statement at the end of this
document
Your return objective:
Current income & capital appreciation
Your risk profile:
Pitmary - Moderate
Investment eligibibty consderat,on - None selected
Your account instructions
• Vote account is currently coded for margin.
• You- account cost basis default closing method is FIFO, First In, First Out
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CONFIDENTIAL
EFTA_00131929
EFTA01274136

sUBS UBS Strategic Advisor Account naive: GHISLA1NE MAXWELL Your II sandal Advisor:
Friendly account name:Indiv.V49935006 SCOTT STACKMANLYLE CASRAL
June 2014 Account number. Y1 23571 55 212-821-70001800-308-3140
Your assets
Sae DM es, income and current va uses Shiasil may be approximate. As a inu lt, 94n5 and IOSS45 rot
be iaculately reflected. See important onlounabon about yam statement a the end 01 this dxurrent tot
more WM:summon
Cash
Cash and money balances
Openng ['mance Closing bane Pn et per share average laradenClIntereSt Oafs in
11:10,iy on gun 1 fly coJun30(S) On Jun 300) rate period period Capamount (3)
L65 BAN(: USA CEP ACCT 68,819 78 0.00 250.000.00
Equities
Mutual funds
roar ternveSte n the 1014 d S reinvested &Mends ri aces rot include artycash chaidends. a is not alai tinceakerd (t.s0 gain of bat rs the Ofference between the current value and the cost basis aidwould
lot for the DurDOSeS 01 determining noticing periods or cost basis. The ShaleS you receive each time you centrally be your tagabie ban 00oss If the seculty was sold on this date me unrealized oao 940 or loss
Nimesl digdends become aseparate tax tot may need to be *Med lot return of opts moments In Oder 10determine the rested gain or less for tax
Cost Data is the tots purchase cost of the security. Indudno Ninvesteddvidends The COSI baSiS may need reporting purposes.
to be aduded fix return or capita owners in order to Oetarnne lte aguSte0 COSI bws la tar rep:yang InveaMent return is the Current value rni nus the amount you i wrested it does not include shares that are not
purposes. rHlecte0 on you statement, includ ng shares that have been W1122085 either a gin as loss It also does
not ',dude cash dodends that were not reirrteued.
Purchase pncel
Number Average price Client Cost Price per shoe Value on Unrealizedam) imestrnent Haling
Hddng of shares per share (3) investment d) basis (I) on Jun 30(5) hy, 30 (3) win or loss (S) return (S) period
014898/JOE
EQUITY INCOME FUND
CLASS i
Symbol. SOPYX
Trade date: Jun 26, 13 1.179.249 16.769 19,77600 19,776.00 19.730 3,490.58 IT
Trade date: Jan 14, 14 296.210 18.470 5,471.00 5,471.00 19.730 235A2 6464.. 2528 373.22 sr
Trade date: Mn 15, 14 283.181 18.549 5253.00 5253.00 19.730 5.587.16 334.16 ST
Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 19.730 5578.28 339.28 ST
Trade date: Mn 17, 14 298.430 18.469 5,512.00 5,512.00 19.730 5,888.02 37602 ST
Total reinvested 26354 19.186 505.64 19.730 519.96 14.32
EAI: 1825 Current yield 1 77%
Scanty total 2,366.155 17.647 41251170 41,756.64 46,684.23 4,927.58 5,433.22
COLUMBIA CONWERTGLE
continued next page
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CONFIDENTIAL
EFEA_00131930
EFTA01274137

*U BS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Amends! Advisor,
Friendly account name: Indiv V49935006 SCOTT STACK MANLYLE CASR1EL
June 2014 Account number. YI 23571 SS 212-821-7000/800-3089140
Your assets Equities . Mutual funds (continued)
Purchase pnce'
Number Mem? price Client COst Price per share Value on unrethzed0m3 long:dent Holding
Mang of sharer per (5) investrnmt CS) bails (I) on run 30(S) lin 30 (S) coin of loss (S) return (S) period
SECURITIES FUNDCLASSZ
Symbol: NOM
Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 19.660 22,553.49 2,030.49 ST
Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,942.00 19.660 16,521.87 57987 ST
Total reinvested 38.473 19.399 74636 19.660 75628 10.02
EAI: 4891 Current yield 221%
Security total 2,026.030 18,367 3646500 37,211.36 39,831.74 2,620.38 3366.74
HARBOR CONVERTIBLE
SECURMES FUNDCLASS I
Symbol: HACSX
Trade date: Jan 29, 13 1,872.780 10.250 19,196.00 19,196.00 11.500 21,536.97 2,340.97 LT
Trade date: Jun 17, 13 960.534 10.489 10.076.00 10,076.00 11.500 11)046.14 970.14 LT
Total reinvested 17.433 11.318 197.31 11.500 200.48 3.17
EAI: 4599 Current yield 1.83%
Security total 2,850.747 10.337 29272.00 29,46931 32,783.59 3,314.28 3,511.59
JP MORGAN INTREPID
EUROPEAN INST
Symbol: OEM
Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 27.720 12,070.73 1,99633 ST
Trade date: Aug 6, 13 439.831 23.286 10,242.00 10242.00 27.720 12,192.11 1,950.11 ST
EAI: 375 Current yield: 0.31%
Security total 875.283 23.211 20,316.00 20.316.00 24262.84 3,946.84 3.94684
MATTHEWS ASIA DIVIDEND
FUND INSTL
Symbol: SAIFIX
Trade date: Jan 29, 13 2.156431 14.849 32,023.00 32,023.00 16.280 35,106.69 3,083.69 LT
Trade date: Feb 1, 13 481.951 15.069 7263.00 7263.00 16.280 7,846.16 583.16 LT
Total reinvested 23.543 15.841 372.96 16.280 383.28 10.32
EAI: 41,293 Current yield: 2.9844
Security total 2,661.925 14.899 39286.00 39,658.96 43,336.13 3,677.17 4,05013
SIT DIVIDEND GROWTH FUND
continued next page
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CONFIDENTIAL
EFTA_00131931
EFTA01274138

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Financial Advisor:
Friendly account name:Indiv ve9935006 SCOTT STACKMANLYLE CASkiEL
*UBS June 2014 Account number. Y I 23571 55 212-821-70001800-308-3140
Your assets v Equities . Mutual funds (continued)
Purchase pacer
Nurrom Avetarge pace Client Cost Price per share Value on Unrealized8m) investment Hold ng
Hddng of shares pet shale (S) mvestrotnt basis(S) on run 30(1) Sin 30 (1) gain or ion (S) return (S) period
CLASS
Symbol: SDVGX
Trade date: /an 29, 13 2,333.831 15.400 35,941.00 35,941 00 18.690 43,619.29 7,678.29 LT
Trade date: Jun 11, 13 624.804 16.569 10353.00 10,35300 18.690 11,677.58 1,324.58 LT
EAI: 4751 Current yield I 36%
Security total 2,958.635 15.647 46294.00 46294.00 55,296.88 9,002.87 9002.87
TORTOISE MLP & PIPELNE
FUND CLASS INSTL
Symbol: TORIX
Trade date: Jan 29, 13 2296.774 13.330 30,616.00 30,616.00 19.240 44,189.93 13,573.93 13,573.93 LT
EA': 4544 Current yield I.23°4
Total 3243500.00 4245.32227 $216,385.34 3•41.063.05 44208534
Total estimated annual income: $4.968
Fixed income
Mutual funds
Yotai Jemmied is the total d al reinvested Onvdends n does not include any cash I:Nana n is not a veuesked frax)parn ot loss is the onterence between the current vatie and the cost basis and world
tar lot for the purposes of determinng hddng pencds m cost bans. the shoes you receive each time you genertAy be >our !Sable gin orlon if the security was sold on INS date the unedited nag gang loss may
reinvest d wrench become a separate tax Sol need to be alutted foe return at espial payments in :der to determine the married gan or boss for Is
reportingdooms
Cost base IS the told purchase cost of the security, inducing arnveSteddvdenclis T re cost basis may
need to be ridustedfol return d 0001 payments in order to cetermne the :lusted cost trays for tar investment sewn is It,. current value (gnus the amount you invested. It does not include shares that are not
reporting purposes. reflected on your statement, indudrg shares that hare been real iced 'neither a gen or alms it alto does net
include cash duclends that were not reinvested
Purchase puce'
Number Averace pace Client Cost PrKe Per Shit Value on Unrealized Oar) investment Hddng
Hddng of shares per share (p) investment 01 basis(S) on Jun 30(S) her 300/ gain or 1035 (1) teturn(S) period
AVENUE CREDIT STRATEGIES
FUND CLASS INSTL
Symbol. AC S8X
Trade date: Nov 12.13 910.736 11.270 10264 00 10,264 00 11.900 10,837.76 573 76 ST
Trade date: Nov 18, 13 912.566 11.300 10,312.00 10,312.00 11.900 10,859.53 547.53 ST
Trade date: Nov 25, 13 911.661 11.319 10320.00 10320.00 1.900 10,848.76 528.76 ST
Total reinvested 57.231 11.721 670.86 11.900 681.05 10.19
continued next page
SONY GM 00021312
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CONFIDENTIAL
EFTA_00131932
EFTA01274139

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your 15 nodal Advisor,
Friendly account name: Indiv V49935006 SCOTT STACK MANYLYLE CASRIEL
lure 2014 Account number v1 23571 55 212.821.7000'800'308.3140
Your assets . Fixed income . mutual funds (continued)
Purchase price
Number Arrow pre Client Cost Price per share Value on thirernied Rai Investment Making
Irking of shares pet thaw (S) investmmt (1) Oath (S) on Ion 30(1) Jul 30 a) spin or loss (S) Mum (S) potion
EAI: 11,044 Current yield: 3.14%
Security total 2.792.19,1 11.305 30,896.00 31,566.86 33227.10 1,660.24 2,331.10
8LACKROCK HIGH YIELD
BONDI
Symbol: BHYIX
Trade date: Jan 29, 13 4,811.156 8.200 39,451.48 39,451.48 8.440 40,606.15 1,154.67 LT
Trade date: kin 27, 13 2.481.156 7.959 19,750.00 19,750.00 8440 20,940.95 1,190.95 LT
Total reinvested 133.978 8.357 1,119.70 8.440 1,130.77 11.07
EAI: 43.609 Current yield: 5.76%
Security total 7,426.290 8.123 59201.48 60,321.18 62,677.88 2356.69 3,476.39
COHEN & STEERS PREFERRED
SEC & INC FUND I
Symbol: CPX1X
Trade date: Jan 29, 13 3,002.068 13.487 40,490.57 40.490.57 13.760 41308.45 817.88 LT
Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.760 10,191.00 272.60 LT
Trade date: Jun 14, 13 751.274 13.309 9,999.02 9,999.02 13.760 10,337.53 33831 LT
Total reinvested 91.436 13.470 1,231.72 13.760 1,258.16 26.44
EAI: 13,851 Current yield:6.10%
Security total 4,583403 13.443 60,407.99 61,639.71 63,095.14 1,455.43 2,687.15
COUBIE UNE TOTAL RETURN
FUND 1NSTL
Symbol: DBLTX
Trade date: Jan 29, 13 12,4%.155 11.379 142229.00 142229.00 10.990 137,354.71 4,874.29 LT
Total reinvested 206.057 10.949 2256.24 10.990 2264.57 8.33
EAI: 47,127 Current yield: 5.10%
Security total 12,704.212 11.373 142229.00 144,485.24 139,619.28 -4,865.96 -2.609.72
EATON VANCE FLOATING
RATE ADVANTAGE CL I
Symbol: EIFAX
Trade date: /an 29, 13 7,524.150 11.180 84,120.00 84,120.00 11.150 83,894.26 .225.74 LT
Total reinvested 112.240 11.151 1251.67 11.150 1251.48 -0.19
continued next page
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CONFIDENTIAL
EFTA_00 131933
EFTA01274140

UBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Pi/sandal Advisor:
S Friendly account name:Incliv V49935006 SCOTT STACKMANLYLE CASR1EL
4 Account number Y1 23571 55 212-821-7000/800-308-3140
Your assets . Fixed income . Mutual funds (cononued)
Putchttse PIKE
dumber Average price client Cost PrKe per share Value on Unrealized OM investment Holdng
Wiring of shares per shale (I) investment ft) basis(1) on tun 30(5) h., 30 (1) gain or loss (I) return CP Period
EAI: 33,955 Current yield: 4.64%
Security total 7,636.390 11.180 84,120.00 85371.67 85,145.74 -225.93 1.025.74
HARBOR HIGH YIELD BD FD
INSTITUTIONAL CL
Symbol ItYFAX
Trade date: Jan 29, 13 2.660.657 11.239 29,905.78 29,905.78 11.070 29,453.47 -452.31 LT
Total reinvested 67.076 11.039 740.49 11.070 742.53 2.04
EAL 11,721 Current yield: 5.70%
Security total 2,727.733 11.235 29.905.78 30.64627 30,196.00 -450.27 290.22
HSBC TOTAL RETURN
Ft/ND CLASS I
Symbol: HTRD(
Trade date: Jan 29, 13 3,858.567 10.289 39.704.65 39,704.65 10.230 39,473.14 -231.51 -231.51 LT
EAI: 4741 Current yield 1.88%
JP MORGAN MUL11-SECTOR
INCOME FUND SELECT SHS
Symbol: JSISX
Trade date: Jan 29, 13 4,784.864 10.260 49,092.71 49,092.71 10.390 49,714.73 622.02 LT
Total reinvested 32.814 10.368 340.22 10.390 340.94 0.72
EAI: 41,233 Current yield: 2.46%
Security total 4,817.678 10.261 49,092.71 49,432.93 50,055.67 622.74 962.96
METROPOLITAN WEST TOTAL
RETURN BOND FUND CLASS I
Symbol: MWT1X
Trade date: Oct 24, 13 7,192.344 10.709 77,030.00 77,030.00 10.640 77,965.01 935.01 ST
Total reinvested 62.349 10.745 669.99 10.840 675.86 5.87
EAI: 42,104 Current yield: 2.68%
Security total 7254.693 10.710 77,030.00 77,699.99 78,640.87 940.88 1,610.87
RIDGEWORThISEIX FLOATING
RATEFIGH INCOME FUND
CLASS I
contnued nest page
SONY GM 00021314
CNP7000300640931NP700O298741 C0004 0614 030575004 Y12357I 550111000 Page 45 of 102
CONFIDENTIAL
EFTA 00131934
EFTA01274141

*UBS
UBS Strategic Advisor Account name: GI-IISLAINE MAXWELL Your II sandal Advisor:
Friendly account namelndiv V49939;06 SCOTT STACKMAMLVLE CASRIEL
lune 2014 Account number: v1 23571 55 212-821-7000/800-308.3140
Your assets Fixed income . Mutual funds
(continued)
Purchase pricer
MOTO!, Averagi pxe Client Cost Pte per share Value on unrealized044 investment Heating
Hddng of shares per share(!) investment (S) Oasis el) on run 30 (Si tim 30 (1) gain or loss CS/ return (5) period
Symbol: SAMBX
Trade date: Jan 29, 13 6.502.655 9.039 58,784.00 58.784 00 9.070 58,979.08 195.08 IT
Total reinvested 90.226 9.057 81721 9.070 818.35 1.14
EAI: 32,432 ardent yield: 407%
Security total 6,592.881 9.040 58,784.00 59,601.21 59,797.43 196.22 1,013.43
T ROWE PRICE
INSTITUTIONAL FLOATING
RATE F CLASS
Symbol: PFFRX
Trade date: Jan 29, 13 5,394.060 10.270 55.397.00 55,397.00 10.290 55,504.88 107.88 LT
Total reinvested 55.320 10.269 568.13 10.290 569.24 1.11
EAI: 32,278 anent yield 4 06%
Security total 5.449.380 10.270 55397.00 55,965.13 56,074.12 108.99 677.12
Total 5686.768.61 $696A34.84 $698,002.37 $1,567.52 $11233.76
Total estimated annual income: 530,095
Non-traditional
Mutual funds
Teat re.rwestef is the total d at *needed diadends ti does not include any cash awards. n IS natal& tinteolized (WO via or loss rS the differente between the current value and I to cost pass slaws*:
lot for the OtaPOSes of determning kiting periods or cost basis. The shares you receive eaCh time you 9eneisty be your tamable bran a loss it the sec Laity was sad cc1 thrs date. The unreaalect (tax) cyan d loss
reinvest OWCIOIC/S become a separate tax lot. may need lobe acEtrsted for return of capita payments In order to determine the rented gain or loss for tax
reporting purposes.
Cost Pasts is the Iota purchase cost of the security. inducing '<investeddo:lends The cost basis May need
tO be aquae° fix return or capital payments in order to Cetermne the singed COS( Oasis lor tam reoonng IlVegthear 1*W( 11 IS the current value minus the amount yOulfrveSteCt R CIOtS nOt include Shares that are nOt
purposes. reflected on your statement, inciudng SAWS that htne been realized as either a cum cc a loss it also does
not include cash Ow:tench that were not reinvested.
Purchase puce
Norton Average price Chem Cost Pnce per shin Value on UnrealizedOM imestmern Hddng
Hddng of shares per share (S) investment CP basis CS/ on HA 30(1) itti 30 01 gain or toss (SI return(!) period
GATEWAY FUND CLASS Y
Symbol. GTEYX
Trade date: Jan 29, 13 1,089.208 27.580 30,040.36 30.04036 29.470 32,098.95 2,058.59 LT
Total reinvested 9.249 29.128 269.41 29.470 272.57 3.16
CAI. 3514 Current yield 1.59%
Security total 1.098.457 27.593 30,040.36 30309 77 32371 52 2,061 75 2.331 16
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CONFIDENTIAL
EFTA 00131935
EFTA01274142

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your ft nandal Advisor:
*UBS Friendly account name: Indiv V49935006 SCOTT STACKMANLYLE CASRIEL
June 2014 Account number. VI 23571 55 212-821-7000800-308-3140
Your aSSetS(contfivece
Your total assets
PeKentaged Cost Bimated Unrethted
Vifue o'u it. YJ (1) your &count CS) *mutt income ($1 on of loss (I)
Equities Mutual funds 286385.34 28.17% 245,322 27 4,968.00 41,063.05
need income Mutual funds 698,002.37 68.65% 696.434.84 30,095.00 1,567.52
Non-traditional Mutual funds 32,371.52 3.18% 30.309.77 514.00 2,061.75
Total $1,016,759.23 100.00% $972,066.88 $35,577.00 $44,692.32
Account activity this month
Date Aclibity Description Mount (I)
Deposits and other funds credited Jun 27 Transfer FM Y1 23575 0700 175.89
Total deposits and other funds credited $175.89
Date Actiwty DeKnption Amount ($)
Dividend and interest income
Taxable dividends Jun 2 Cividend METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I AS OF 093014 172.02
Jun 2 Dvidend RIDGEW ORTH SEIX FLOATING RATEHIGH INCOME FUND CLASS I AS OF 205.95
05,3*14
Jun 2 Cividend DOUBLE UNE TOTAL RETURN FUND INSTL AS OF 0930'14 556.26
Jun 2 Cividend COHEN & STEERS PREFERRED SEC & INC FUND I AS OF 093014 305.73
Jun 2 Dvidend EATON VANCE FLOATING RATE ADVANTAGE CL I AS OF 0930114 325.26
Jun 2 Cividend JP MORGAN MULTI-SECTOR INCOME FUND SELECT SHS 86.57
Jun 2 Dvidend T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS AS Of 05,30/14 196.17
Jun 2 Dvidend TORTOISE MID & PIPELINE FUND CLASS INSTIL AS OF 0929'14 263.10
Jun 2 Cividend BLACKROCK HIGH YELD BOND I AS OF 093014 270.57
Jun 2 Dvidend HS8C TOTAL RETURN FUND CLASS I 19.29
Jun20 Cividend GATEWAY FUND CLASSY 127.79
Jun20 Cividend MATTHEWS ASIA CIVICEND FUND INSTL AS OF 0919,14 293.30
Jun 25 Dvidend COLUMBIA CONVERTIBLE SECURMES FUND CLASS Z AS OF 06124/14 219.79
Jun 27 Dvidend HARBOR ICH VIEW BD FDINSITTUTIONAL CL AS OF 092614 409.77
Jun 27 Dvidend HARBOR CONVERTIBLE SECURITIES FUND CLASS I AS OF 06126,14 92.25
Jun 30 Cividend CLEARBRIDGE EQUITY INCOME FUND CLASS I AS OF 092W 1A 228.61
continued next page
SONY GM 00021316
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CONFIDENTIAL
EFTA_00 1 31936
EFTA01274143

4tUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Pi sandal Advisor:
Friendly account name: Indiv V49935006 SCOTT STACK MANLYLE CASRIEL
lune 2014 Account number: Y1 23571 55 212.821.70001800-3083140
Account activity this month «oninued
Date Adak), Descrption Amount (I)
Dividend end interestinconte (continued)
Taxable dividends (continued) Jun 30 Dvidend AVENUE CREDIT STRATEGIES FUNDCLASS INSTL 334.45
Total taxable dividends 14.10688
tong-term caplet germ Jun 25 Lt Cap Gain COLUMBIA CONVERTIBLE SKURMES RIND CLASS Z LONG TERM CAPITAL 325.55
GAIN AS OF 06124114
Total bag-tens capital gains 32555
Taxable interest Jun 6 Interest UBS BANK USA DEPOSIT ACCOUNT AS OF O6r0914 2.70
Total taxable interest 1.2.70
Total dividend and interest income 34,435.13
Dole Aaisty DeKroptiOA Amount (S)
hes nun 26 Re Charged INITIAL FEE .175.89
Total professional management fees -S175.89
Dao 4;tooly lea(-PI OP Amount (1)
Other funds debited Jun 6 Transfer TO VI 235750100 -69,102.17
Jun 9 Transfer TO 111 235750100 -2.70
Total other funds debited -S69.10427
Invesbnent transactions
FOI more infornation about the pike value shown for resukted stcuitles, see important informatbn toot
your dimmer* x the endor Dos doCiment.
PA:keels Iron FunC IS
Investment 34 tearoom Ice Accrued
Date 4ClaDy DescIptron Ouaulty vette (0 Puce (1) ttansacticns (S) invesimentsecugln (5) i merest (3)
Jun 2 Reinvestment METROPOLITAN WEST TOTAL RETURN BOND 15.854 -172.02
FUND C LASSI DIVIDEND REINVESTED AT 10.85
NAV CN 05/3014 AS OF 0930114
Jun 2 Reinvestment ROGEWORTH SEC( FLOATING RATEHIGH 22.757 -205.95
INCOME FUND CLASS I DIVIDEND REINVESTED
AT 9.05 NAV ON 093014 AS OF 09381;4
Jun 2 Resnwstment DOUBLE UNE TOTAL RETURN FUND INSTL 50.523 -556.26
DIVIDEND REINVESTED AT 11.01 NAV ON
0930(14 AS OF 093014
Jun 2 Reinvestment COHEN & STEERS PREFERRED SEC & INC FUND I 22.300 .305.73
DIVIDEND REINVESTED AT 13.71 NAV ON
0930,14 ASCII 0930/14
continued next page
01P7COM06449934NP70CO293741 00034 CO 4 030575004 Y123571550 11 glypteGht0 00114r7413 of 102
CONFIDENTIAL
EFTA 00)319;7
EFTA01274144

(SUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your PI nan da l Advisor:
Friendly account no/me:Imlay V49935006 SCOTT STACKMANLYLE CASRIEL
June 2014 Account number. Y1 23571 55 212-821-7000/800-308-3140
Account activity this month
(contrived)
Investment ttinsections (continued)
meeds Iran Funds
imestment Wthddrom to Accrued
Date *cunt/ DesolpUon OwnBy vdue (0 price (s) transactions (V initS1MenIt bOu001(5) intereS1 (S)
Jun 2 Reinvestment EATON VANCE FLOATING RATE ADVANTAGE CL 29.197 -325.26
I DIVIDEND REINVESTED AT 11.14 NAV ON
093014 AS OF 093014
Jun 2 Reinvestment JP MORGAN MULTI-SECTOR INCOME RIND 8.356 -86-57
SELECT 915 DIVIDEND REINVESTED AT 1036
NAV ON 05/30114
Jun 2 Reinvestment T ROWE PRICE INSTITUTIONAL FLOATING RATE F 19.101 -196.17
CLASS DIVIDEND REINVESTED AT 10.27 NAV ON
093014 AS OF 0930/14
Jun 2 Reinvestment BLACK ROCK HIGH YIELD BOND I DIVIDEND 32.249 .270.57
REINVESTED AT 839 NAV ON 093014 AS OF
093014
Jun 20 Reinvestment GATEWAY FUND CLASSY DIVIDEND 4.344 -127.79
REINVESTED AT 29.42 NAV ON 091914
Jun 20 Reinvestment MATTHEWS ASIA DIVIDE ND FUND INSTL 18.139 -293.30
DIVIDEND REINVESTED AT 16.17 NAV ON
06/1914 ASOF0919/14
COLUMBIA
Jun 25 Reinvestment CONVERTIBLE SECURMES FUND 11.260 -219.79
CLASS Z DIVIDEND REINVESTED AT 19.52 NAV
ON 0924 t 4 AS OF 06f 24Y
Jun 25 Reinwstmtnt COLUMBIA CONVERTIBLE SECURITIES FUND 16.678 -325.55
CIASSZ LT CAP GAINS REINVESTED AT 19.52
NAV ON 06/24114 AS OF 0924114
Jun 27 Reinvestment HARBOR HIGH YIELD BD FD INSTITUTIONAL CL 36.983 -409.77
DIVIDEND REINVESTED AT 11.08 NAV ON
06126/14 AS OF 092814
Jun 27 Reinvestment HARBOR CONVERTIBLE SECURITIES FUND CLASS 8.036 -92 25
I DIVIDEND REINVESTED AT 11 48 NAV ON
082914 AS OF 092914
Jun 30 ReinwStment CLF-ARBRIDGE EQUITY INCOME FUND CLASS I 11.587 -228.61
DIVIDEND REINVESTED AT 19.73 NAV ON
0827114 AS OF 0827114
Jun 30 Reinvestment AVENUE CREDIT STRATEGIES FUND CLASS INSTIL 28.105 -334.45
DVIDEND REINVESTED AT 11.90 NAV ON
0927/14
Total -84.150.04
SDNY GM 00021318
CNP70303006498935 Ny7000293741 00004 0614 030575004 VI 23 571 550 11 1000 Page 40 of 102
CONFIDENTIAL
EFTA_00131938
EFTA01274145

4tUBS
UBS Strategic Advisor Account name: GI-IISLAINE MAXWELL Your lq sandal Advisor:
Friendly account nama:Indiy Ve9935006 SCOTT STACK MANLYLE CASRIEL
rune
2014 Account number: YI 23571 S5 212.821.7000/800.308.3140
Account activity this month COntnVedl
Oate Actmty Deicignica Amount (5)
Money balance *divines May 30 Balance forward 368.81938
Deposit
Jun 3 UBS BANK USA DEPOSIT ACCOUNT 282.39
Jun 6 Deposit U85 BANK USA DEPOSIT ACCOUNT AS OF 06/05/14 2.70
Jun 9 Withdraws UBS BANK USA DEPOSIT ACCOUNT ASOF 06/06114 -69.102.17
Jun 10 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 06/09/ 14 -2.70
Ma 30 Closing UBS Bank USA Deposit Account $0.00
The UBS Bank USA DePaut Account IS primary sweep Colon
CNP70003:505498936NP7000293741 00004 OM 4 030575004 '1 23 571 550 1 11 ky_Gpitocollggerg50 of 102
End of statement for account number Y1 23571 55
CONFIDENTIAL
EFTA 00131939
EFTA01274146

Important information about your statement
LEIS Financial Services Pc. (the F im or UBS Financial sent you the fin staernera on Meth the nor The Finn, together's*, certain affiliates, ha also mart held, you choose one of the following
Services} is a merger of all princisel mosey, canon:dry problem *Peered. purchasechtpplonental protection. The madmen inestrrent objecther
and cptcre exchanges. LES Ft-encial Semites and U3S - Prowde you- name ad accost minter Of any) amount payable to al &gide there, cobectoreg trim • Soda, CumentIrcome. l,.esbe es seekng the
Bank USA an rdrect sutradares of LES AG and - Desabe the taw or he transfer you me anise this protection is 5500 million at of December 10, 2013. generation of income cr4.
affiliates of LES Sectritin UC. The Fine's Threada l about and nolon an cleat as you can why you • Achim CapdalA ppreciation: Investment waking
statement is available upon rimiest The Fin* erectile* believe t is an error or why sou need more kloOrt to the pokyconditions ad lineations, cash X growth of pirricpal rather than the eversion of
off ices re a: infonnation the Firm is further protected fa intette million n the income.
— Proud. the dollar arrant d to suspected error. aggregate for all your accounts held n apse:Ocular • Produce Combinatcan oilman. and Capital
LES Finacol Semen M. capacity A IsA copy of to poky wiring is inedible Appreciative,: Mesiments seeking both the generation
1200 Harbor Boulevard The Fim or Cad Issuer wil imestigate your complain upon requ•st. of wane and 'myth of peit011.
Weehawken, rU 07086 and MI correct any error promptly.
The SIPC protector, and the supplemental protection
Derail risk profd es
I L b E i S s s Fe ta -u te n m ci e a n l S t r e e m pre e s n e a n c ts c o th u e n t a . n O y th o e f r f i w cia o l r r d e s c , o r rd a o p f y t as P fin le a a n s c e i m al o in l s e t i a tu ll t c io h n e c i k n s t p a a t y e a d bl o e n to th t e h e fr F o e n i t n o o f r t h th is e • b o C th e d rt o a i n n o fr t a ap c p i l a y l t o as . ses controlled by (and needed • l C o o w n s ri e sk a r a a n fi d re v S oL ee a k il s it y to to m t a he n t a a c n c e M s O s O t h p e e ca c l, i n ev t e w n i it f h
B n o om o f e f t n i i s c b c s i e a h io r t n M e o , l r a i p e n d l d e a o a L g m s o e e r o i r n o n e f a p 8 t n o h r a t e t c c i o t o t f i n f m b ic t e a m e li i e n e c v i d n e e i g a r t i h t c s e e o e ly r r m e n h i i u s o c t a c i n a n k g c i e n c d r o g r a o u t t a r n o o t s . t r h h o e u ld i p m a ta m a a k y o r m e u b n e n e t n t s s u t f in o b h j r c e s a a c e s t d c h t : u o M a r m i s t i i m c e a e s r e n t p e o t u s n r n . c a e h A n a e c c s d c e e o . s f , u e a a n e n c t s s d o , t c m c h h h a a e a t r r g f w g e e e e e s s s t f . k r o a a r r n c l c u s a o f n t e e u p r n r a e t i s d d y L i S n o E c a u S l k u r A d e a i G c s n c g S o ( e w u ta . n e g t n i . e . v f a o b c l e b r u d r e e t b ) a n b u i m n u n ( i t c * t i h e h ca e s ( s , l i h l a ) a n a i w n d l a U k s y B g u f S r s o r B h n m a a r p e U t s r S o o ( $ i$ t f F o m c in t a s u e s , t - h u M a a O l t i i t n n h c f a l o a t m m te e e n o a . r l s r o th a e a n c a co d s m t d y oe n s o r t o k t e g e e p n p e a r c a e te w si i g th n ificant
to other institutions may be subject to a tinder tee. finds where such shores are reentered dreg in the • Moderate: Willing to accept sane rids to pinceol and
Athakin al figures shown T. Mended to be accurate. none of the account holier on the boas a-4 math tolerate some votatety to 'seek t4er returns,
statement data shoili not be used for to purposes Rely MS Sweep Options of the applicable issuer a transfer agent); • Aggress*: Wiling to accept high fa to prempal and
scleg on wmend tax forms, 0.e.. Form 1099. SW& UBS offers opens for among cash basket balances high volatility to seek high returns OW( time.
10425, etc.) whin prepargyour to return. The Fin, a to bait deposits at UBS Bark USA and LES AG Stamford • Certain nwslmert contracts or inestment inteesto
required by law to report to to IRS all taxabk &foam& branch Etank Sweep Pregame moneymg/km mutual (og., limited partnershix and plum plemments) the State-no-it Itousoholdite
reportage rantambh MA:lends and tat Merest leads (Morey Fund) and the IntenationalDeposit we rot registered underthe Secunkies Act of 1983; We may consolidate al related account statements with
eared an acuities held in you accent net proceeds Accant (0Affor customers with n Inethational ad the same slices. n the sate eaveixe. Accounts may
on sale unactcro, and cost base a certain covered Remake Management Account. Through the Bank be related la this purpose beaule they haw owners
margin. Sweep Progamt cash balances re swept to UISEak • Commodities contacts (e.g, keep ercha-ge and who also maintain pint accost relationships with other
USA up to an egabkhod knI ad then to LES AG red:usenet.' corevedse ndudi-g futures meads dents at the sane address. This practice's known as
C • o P m le m as u e n re ic - a c t o io n n fir s m w a h rt i y s o t r l a e l F co in rm n -orcatons in wring B St a a k n f U o S rd A B a r r a e n F d D t I C o r n a w M e o d ne in y a F c u c n o d r . d a D n e c p e o w si i t t s h a F t D U IC B S ad tOrrn044 COM contracts. s • t h a o te u m s e e n h t o s l m in a g t ' e e d m u se p pe re ra fe te r t e o n r v e e c k e p iv e e s r — di e yO d U u T a a l y
to funher protect your rafts, incbdrig your rite mks. For mcre Hamner, pease keit werwidicgov. the SIPC protection and et sometime:nal protection do Moline householding by offingmut F fluvial Advisor.
order the Scarifies Inagua Protection Ace (StA). Deposes at UBS AG SleekedB ra*. ad tam of not apply to these assets event theyotherwise appear
Money Funds ane rot inured by the FCC. on as Materna*. Ow SEC piotecien and the Friendly accaurt name
• If thefinance' nsteution cn the top left of the kern saMerrental protection do not protect apace changes the Fnendk account nine reflects information that you
of this statement is not 1)85 biaxial Sauces. U3S %rotor the OA, arvailebk toad, balances we swept to in the make vale of your investments (whether as a emend on the FieMs onlne services webste. R o a
F ta in k a e nc r i b al y S a e n rv a ic r e g s e c rn a e ri n e t s w y t o h u t h a e cc i o n u it n ia t a te d M & a M ng a im d A e G p o C s a e y a m c a c n o B un ra ts n a c t h U B T S h e A w G d N e e p w os Y its a a k t e B n ra o n t c r h o a u n n d d L E b S y r o e th s e if r t w o i f s m e} a rket mosemenl issuer bankruptcy or c w u i s th to t m a iz r a r b e le c o *n rd ic .. l . r m ur in n g y ' I t c h h o a s s e n n o b le y g y a o l u e t ff o e c a t r t o is n t y y o o u u r
We Rimmed you of this relagionthijo when you the FIX. Balm* Feld at the LES AG Comm Brant, account. You can change yos hiendg account names,
opened this accost. h this case. your Ards and are tempera* exposed to the sovereign risk of the More information is avalable titer request You may through Online Services of by contacti-gmurFeancial
searethae located a UBS financial Services and rot Caron blonds, and there is no 'grantee or otter obtan mate infongion abaft Sit. Mixing the 5WC Atha,.
the heocisng broke.. ad you must make recoil obligation of UBS AG to .way the boraces while cn the Brochure, by contacting9PC a 202371.8300a by
of ray ever or *Tuition to both limn. UBSC frank Bradt. books. wring the Sift webtim sr YAW/.140‘041 ACCO‘Olt overview
• veto ofm a accoontrpornbee Net of assets ad
AOoctant gaternrits shall be deemed corrolete ad Deposes a LES Bark LEA and each UBS AG Branch are Dividend ROIWOtblbefie Program (DPP) fiabildies.
accurate if not objected to in wen; within 60 days. not protected by SIPC. Money Fund shires ate protected The pee reflected is an swage price. You may obtan • Assets_ Incases available cash balances, rates for
by SIPC. Ste -U3S Fruncial SelviteS Accent Protection' the acttel price Iran yar Financial Advisor. Orty Wok restricted seamy km I, and Global tine Deposits,
• Mean divot customer complaints or iNUiieS to he bobw tire, at punched under Dli; partial shires wil be urrealied maks to market and cectan mats nal held
Fiver; Client Relatenc Dna-Meat a 201.352.1699 won rd tlw cash wM be depotited in your account. The by the Fine. Dom not induct* unwired Stfluitiell assets
atollfree a 800-391-9103, 81:0 A.M. to 6:CO P.M. Upon gas regast balms in the Bank Sweep 6viderd reiwnment price applied by the issuer may al the end of the prior and curent stalernent periods, or
ET Monday through Files a in voting to LES Programsa OA may be wilts" and shares of a ale from the make price at which the partial shares private nrestrnents, arrested stock options and
Financial Sawn lx., Client Relations Depatnent, Money Fund my be liquidated, ad the proceeds ae sold memeabie stock anions
P.O. Box 766 Union City, NJ 07087. returned so you or your sent 5 accent. • Entokries Includes debt barges, offn ardig margin
Cadeletiou loan credit the, Pal =cant balances.
• I fu n n c d a s se tr o a f n e sf r e te r ( n W O 1 r W b e i s p tia u r y s m ab m o o ut r • U - B • S el V ec is tr e on d i e c bit F n u a th d e in r g fo a rm ne a n ti t o a n t a te b s ou t t r a a t v e a s i l a a n b d le m sw k e t> e , p a o p a t o io r n t s a , k at C en M t , a w d h t o o le a u p r a n n s e m l a u y n b t e a h e a l r d e i s n u y lt e o n f a a c d c v o i u d n e t r . d i f P y a o rt u n e a n m t • ca s C h a b s a h la k n ro c n e e s, y p b l a u l s a U nc B e S s . B T a o k ta L l I o S f A u d n e in p v o e s s it t e b d a e te v n a c d e a s b l U e BS
card transaction, call 62-1000, or wise to UBS www dm conliseeprekk from your Franc ial Maar or otherwise, the Firm viii either sell anal ant at AG Surrroid Branch depose balances and money market
Fromm' Sermon hc„ 1000 baba Blvd, 6th floor. or by calling 800.762.1000. rivulet peke or accept an amount datamined by a mutual fund sweep Sate,, at the case of the
Weehawken NI 07086. Atm RIVINESA Server regktered Mai* agency, 24 credit you' accost statement period. Nonce-mot* kee credit balances in
UPS Financial Services inn prate:Ikon your acorn are rot segregated from other balances
Cal a write as soon as you cart it you thiic xis The Frm is a molter et the Sea-tabs meter Protection Investment objectives and the Fire may use any of these funds in the ordinary
statement or receipt is wag or if you need more Corporation (SIPC), wheh protect securities account of the rammer* objectives end risk profile we specie to course of entwine's. these funds ae payable isson
Hammier *cut a twofer on the otaternert or its members up 10 5500,000 including 5250,000 for each account and rug wry between. Phase /Mee the your darned. This total n included in the anent pried
h rp e ee r O fr t o . T m h y e o F u ir n m o o la r C te a r r t d h a Is n s u 6 e 0 r d a a s y s a a fk he a r e th lX e F m im uf f a de ll a a n c s c k ou r n c t a t s h h a ) t T y h o e u S h IP o C ld a n ss a e t p p a ro lk te u c M tio c n a I p m a e ci s ty a . pply to M Fe a rn x p i r & o m si p tu ff a y t i io n n t O w r i t m rg e o o f m an e y g * o H bje e c a tiv r e t s c . h F a o n r g e e a i c n h y ou closi-g make.
SDNY_GM_00021320
CONFIDENTIAL
EFTA_00131940
EFTA01274147

Important information about your statement (con inued)
Lending information you would aclualy reek* n the mallet Prices cue - • Dstriss as to date may include return of — e, aide& to conmesscro received n connecter.
Fix detatechnformatton an the Finis landing plotters obtained from voious third party sources vaniti tee cased. inCOme a both wth the sale or distribUion d a-rusy contracts
and dociassres, refer to yea Client Relatership Delve to be rehash. but we do not garalee their - 'Origetal snitsee' represents the initial along and snit investment flat units to our <lents, we
Armoury or Accost Ageomeni at the General accuracy. pee per unit and may not ;elect Will cost basis ands our affiliate marine retina sharing
Terms at Conditions UBS Statement of Credit Practices — We genera, tee the closi-g pricewenn avalabka cormsensoen from many of the intrance
available in Agreements andOixiosureS at the mean of the bid ad ask prices fa lined • Restricted securities Resented secentin general& companies underwritirg the asiity, contracts,
rota corala rconneelmt. bargees and <peers a on& bed prices fa OTC are rot cuerenty eiwble for publk sale. UBSFina-cal *hates d to insurance cargo-en or sponsors of
seostes. Services owes to motet price of the unrestricted stuck tetra imestment mos we Outshine
Yaw assets - Lest actively waded securities may be priced usiw of the sane issuer as an reputed value for en - Cs affiliates also receive trading commatiso and
Your oatement Simian siesta( end other anew held valuation model or the most recent spree we restricted stock for pcepons of this at' torrent on4, To other compensate° from ,rural Eyck and
in the accoent at the end of the steamer* wed. You obtained and may not reflect an actual market rice the eitent that redrined learilion are 'Tube la a nsuance ccmpanin whose MEWS we distribute.
may ask for &Piety & full/ paid senates at rytime. Or vakat the realm rioted may be ssbnantial& less than the - Pitmen, n anal fee from UBS Bale LEA and
You may rests* securities lased as loan collateral after - Certain portico may appear without a peke and inp-ted value town LES AG Stanford flash of up to szs per accost
prying any balance due on hem. k-y securities will tow as *price was rot available' if we an sweeping to the barks under the UBS Bark Sweep
transferredto Me ;ern chtg the statement period are unable to obtain a pnce fo r a wanly • Eat Destirneted) inccene current yields and rates. Programs
listed at market value as of the end of the Waterton - Deposits or secures de-erninated in currencies An 91tinate 01 meal infOr,, is bawd on current
period. ocher thin U.S. dollars are reflected at the eachinge deriders:I at interest rates, assuring tee searitis will Activity
• Cast basis. In determning the cost basis of tie rate as of the statement date. be held for one yea from statement date or unit hbernationregudrigcannissens and *ter charges
males included in he statement, where indicated - Fa cerien *wines radon in non.confo mng maturity This retinal* it ceW age:Salm., accuracy ncurred in connexion with tie giecutcri of wades,
win he numb*. '1,• UPS Weird& Services has relied ciensmnalcris. mice and qua-any (face rake) may ad continued income are not guwanteed ndudng option transactions ha been inducted on
an information obtained from sources other tanI RS have been as:listed to facilitatepro:se vdusere - Estimated anal income ad cement yield for conbrnrons meow& furnished so you, at will be
Financial Senicet including ilforrnsion kern anothe- To obtain current quotatens, whin wattle, coraad certain tapes of swishes could include a return of waded to yOu franptlyatrecpest
tem a that yearnss have provided to you Einar-cal yaw Financial Adescr. prncpalor capeal gags h raids case the est
Adana. The Finn does not indspendently verify a income Ord current yeldl would be orientated. Short waling
guarantee the aratacy or vadity day Wornwion • Private hvestenente and structured producb. - Estimated astral icane and went yield and the Pau we engaged in short selliw a security, you may
groveled by sons oiler than 1**Siuncial Senices. ?Mate nwOrrem swishes (ixtding drect actual iron e and yield mi;ht be extra higher incur a change the to cerUin barcating costs for that
paticipation reopen and real estate imestment its than the estimated amounts. particular security.
h aicitext although UBS Fina cal Services general& searites) and stand prodsu ale general& highly — An estmate ol aniseed ncome (divdend andor
&don fa Hamann at it e rooked, the firm &add Certain dristared waists have not been interest) deeded by the current market Open &dem
does not provide any astarances that the mammon registered will the Securities and Excha- vatreaverage balance re based on the bet dividend Regarding Wen or • sfx4tilkancefled* orders tat
ender "Cost basis" and "Lhreakzed gar/loss' is Comension a under any slate wallies laws. We Of tannest payment made by the issuer and were not yowledbythe statement date, open buy and
accurate as en the date of this statement. As suck prode estimated vitae for pmate investment wearies she secuitiegdeposes will be held for one sel stop orders are refixed by the mount of dividends
please do not rely on this nIcgmation to make wait es and structured products for Pacenlatisrul year from the statement date or until mab.rity. rights on an exdividerds Cr berigo date unless
&schwa a Sale decisions, keen pupates a purposes only. Acasacy knot giaranteed. :twangy at continued weld at not garmiteed inetruct•d otherwise by you You are resporobk fa
*theme's*. Accounts transferred to to Fim may - These values may differ stbstantiaky from pre'r a orders that are exeo_ned die coyote 'alum to cancel
reflect gent loss infamaten only for the period of any, at vhch a prorate itiesanent security a • Assets not held by IBS ;rancid Services Certain ensting open orders.
tine they as held the F rm More historical structured &AO may be toAl-a or sold and do assess me rot held by the Fain and not whin the
generali n can be added by you Peunchia Advisor. not necessarily represent the vain& may receive fern's possessen or ccrarol. These assets me Privacy
uPOn Equitation. &sawed on yaw statement for rnformational To obtain a cony of as currant Client Fenacy Notice,
• Unedited gains/losses When data is agildolt - Thal paly tsbmates of vale act as of a certain purposes only. Positions aid values presented as please contact your Fnancial Achisor or veit our volatile
eninated untanned gine Imes we ulciAated fa date and are susplied to UBS Fna-cial Services on a Finned& by the issuing inn UBS Financial Services at switaileUDOLOthcaUREIED.
incevilialseasey lots. Re trantictson data for regular bass by in independent vitiation tam. not reversible for to infamation and des not
nabistul 101f may or may not !Oka canniness, - tsar, general partner or sponsor estimated valan, &manure ns accuracy. these assets we rot prattled UBS Financial Services a rot a brie the RMA. Soonest
charges anchor secuityreorgn,:alin events it ary, are wpWied to to by Ow enuer, by SIC or the Finns supplementalSIC coverage. Soviets Account GSA and IRMA we brokerage /exeunt,
Dividend and °tarn,n wstment lots ad systematic general pater or stator and may be calculated which provide access so barking services a-idproducts
patios kris are each canbined to display one based as &Decent information from that used by • Revenue shoring and additional compensation. through areangtenwas yet Alined bats at other
averaged lot. The • Trade date • colann presents the thid parties to derive tee estimated values. — In addition to commissions on sales and 12b-t fees thrdpasy banks, and provides access to noura-ce and
ages' transaction trade date. - You can obtan addle's-al rearnaten regrading rewired n correction wan the distnbution of ennsity proista slued by unaffiliated third.paty
he methodology used to determine the "Minato of mutual lend to wardens we anece our fl ab insurance ampules through reurance agency
• Callable securities Ban* and ;referred stock that value and the date of he itermatentha is the 3eceive (write haring Pagranto from distributors subsiiieries of UBS Financial Services Inc.
the span cats for easy recienthan wit be selected basis fate est wane by contacting your Financial ardor advisers of the mated funds that we sell.
mural& by lot Iran among all seo.reies of tat Advisor. Theseanoints are based on two deferent Iniestment, muerte. and artily products:
eta held hour name or in nominee nen* lee as - Th id party *stemmed vitas may be reflected as COM:Onentf- ff.* amantol &elm by UBS of a Not VIZ inured • No bank savant.** May Ow vats*
<Bente. Call bats* inkrinatkn is obtained from third •Not pied' n wow I sit stens new n partnaler mutual find I ami& to our clients, and b)
parties and es accuracy snot guaranteed. Other call Pdependent vitiation tint hes not *spied or is the asset weed a palku Le mutual fund family's RYA. Reroute Management Accost Business Senices
featres mate's' which mad affect yetis( complete unable to assign a vatae when we became avare shares held at the larn Account 854, RMA and ntematioral Resource
eacmiaten will be provided upon request that a material event has occured ha may call a — We and as of orate also recewe nemaking and Management Accost me registered service marks of
pram& reported vats it question. or earn a ormtus pessesoing lees in consideration For UBS Francis' Services he
• Certificates of deposit (0D4 CDs are FDIC rouged value would be highlyspeculative due to he nacre Nadir agent woke; that we Fronde to the
hp to 5293,000 ' pristal and accrued interest per on the sanity 3rukal funds. Thew fees generally are pad from Visa *rime is a registered sereice mark of Visa
dross and per depositoryinstituter,. Pe accordance - When neither an sates, general palm( or sponsor insestor assets in the mutual kind and are a heed Intonational. CBS Visa Signature cede cads ard LES
rah POIC rules. *stinted ate nce a Ord./soli estimated eta if Jolla amount based an tie nutter of accounts at yea debit cards are weed by UBS Bark USA with
made the value of the sourly will be &Relent the broker-dealer holdng mewl lin& of that fund of/mission from Yea U.S A Incorporated.
• Prise/value Pros dig:awed fo r securities and oho tan espurchaseprice. fmiy
;seduces may be higher or lower than Meunier that UBS Firiandal Services Inc Pi.v. 201402
SDNY_GM_00021321
CONFIDENTIAL
EFTA_001 3 194 1
EFTA01274148

SUBS UBS Financial Services Inc UBS Strategic Advisor•
299 Park Avenue
25th Roor
New York NY 10171.0002 July 2014
CW700578941530714 >2 Y1 0
GHISLAINE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065.7007
Account name•- GHISLANE MAXWELL
Friendly account name: Indiv.V49935006
Account number: _3571 SS
Your Financial Advisor:
SCOTT STACKMANILYLE CASRIEL
Phone 212.821 -700D/800-308-3140
Questions about your statement? Value of your account
Call yOur FinarKig AdviSO, Or the
RMA ResourCeline at 800-RMA-1000, on June 30 (1) on July 31 (9)
account 029323571
Your assets 1,016,759.23 I ,009,265.73
Visit our websIte: Your liabilities 0.00 0.00
syrow.ubs.cornainantialservices
Value of your account $1,016,759.23 31,009265.73
Sources of your account growth
Tracking the value of your account during 7014
Value of your account
S Thousands at year end 2013 9000
Net deposits and
withdrawals 1931,340.65
1,016 1009.3
Your owstment return
Dividend and
interest income 114589.01
Change in
market value 913,336 07
Value of year meow&
on 31, 2014 3%009.265.73
run 2014 1J 2014
SDNY GM 00021322
Ill•mb•r SIPC 0010:03005769453 Ne1000193665 C0004 0714 030575004 Y123571550 010000 Pig* 37 of 100
CONFIDENTIAL
EFTA_00131942
EFTA01274149

*DUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your K Randal Advisor.
Friendly account name: Indiy VA993S0C6 SCOTT STACK MANL YLE CASRIEL
July 2014
Account number: VI 23571 55 212.821.7000/800.308.3140
Your account balance sheet
Summary of your assets
Value on Percentage of
July 31 ($) your account
A Cash and money balances 0.00 0.00% Your current asset allocation
B Cash alternatives 0.00 0.00%
C Equities 281,077.05 27.85%
D Fixed income 696,058.82 68.97%
E Non-traditional 32,129.86 3.18%
F Commodities 0.00 000%
G Other rl 000%
Total assets $1,009,265.73 100.00%
Value of your account $1,009,265.73
Eye on the markets
Percentage change
Index July 2014 Year to date
S&P 500 -1.38% 5.66%
Russell 3000 -1.97% 4.83%
MSC I - Europe, Australia & Far East -1.96% 3.08%
Barclays Capital U.S. Aggregate Bond Index -0.25% 3.66%
Interest rates on July 31, 2014
3-month Treasury bills: 0.03%
One-month LIBOR: 0.16%
Cele7000,7005789454 NP700318366500C04 0714 0305750N Y12 357155001MgyGm0001M2338 of 100
CONFIDENTIAL
EFTA 00131943
EFTA01274150

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your financial Advisor:
Friendly account name: Indiv V49935006 SCOTT STACK MAN LYLE CASRIEL
. ;
Account number. VI 23571 55 212-821-7000/800-308-3140
Change in the value of your account Summary of gains and losses
values reported beton exclude products for which gore and tosses are not classified.
July2014 (3) Year to date (I)
Realized gains and losses Unrealized
Opening account value 31,018,759.23 50.00
July 2014 (5) Year to date ($) gains and losses (5)
Deposits, including investments
transferred in 2,701.07 1,160,805.66 Short term 0.00 0.00 7,961.29
Withcfrawals and fees, Long term 0.00 0.00 27,134.42
including investments transferred
Total $0.00 $0.00 $35,095.71
out -2,909.77 479,465.01
Dividend and interest income 2,311.80 14,589.01 Cash activity summary
Change in market value -9,596.60 13,336.07
See ACCOUM adenly the month for decals. Balances in your Sweep Options are induadI n the opening and
Closing account value 51,009,265.73 $1,009,265.73
dosing balances vela. SDK Insurance apes only to deposits at UBS Bank USA, rot to deposits at UBS AG,
Starreced Ranch or bank deposits pieced I luouctr the UBS Internahonal Deposal Account peogarn SIPC
prole< tion applies to money market sweep fund lidding: but not bank deposits. SeeImportant intonation
Dividend and interest income earned about your statement on the last two pages of this document for Stab.
July 2014 (5) Year to date (S)
For purposes of ths statement, taiatIsty of interest and 6 ad/Ad income has been determined horn a US Opening balances $0.00 $0.00
la reporting perspedno. Based upon the residence ce rho *count holder. *count type, or product type,
scene interest and,* dvidend payments may not be subject to United Slates (US) ardor Puerto Rico (PR) Addkions
Income tarn. The dent momhy statement is not Intended tote used and (amen be Reed mon to tar
purposes. Clients should refer to the mica, tat reporting forms they receive from UBS smugly, such as Deposits and other funds credited 2,701.07 71,462.49
the Forms 1099 and the ROMS 493, for tar reporting Imoimaion R is the practice 01 U85 to file the
splicer* tar mooning loans Wth the US Interred Revenue Service and PR rieasury Department and In Dividend and interest income 2,311.80 14,589.01
such forrns accurately classify chfclends andece Interest Jetta tempt or tan! Incur*. Please consult your
inchadual tar prepare,. Total additions $5,012.87 $86,051.50
July 2014 (1) Year to date (S) Subtractions
Taxable dividends 2,311.80 1 4,2 57.10 Professional management fees and
related services -1,281.39 -1,457.28
Long-term capital gains 0.00 32555
Other funds debited -1,628.38 -70,733.25
Taxable interest 0.00 6.36
Funds withdrawn for investments
Total current year $2,311.80 $14,589.01 bought -2,103.10 -13,860.97
Total dividend & interest 32,311.80 $14,589.01 Total subtractions -$5,012.87 -388,051.50
Closing balances $0.00 $0.00
SDNY GM 00021324
0/P70307005789455 NV7003191%65 00034 0714 030575004 Y573571550010000 Pug* 30 of 100
CONFIDENTIAL
EFTA_00131944
EFTA01274151

UBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your financial Advisor
Friendly account name:Pithy V49935:106 SCOTT STACK MANLYLE CASRIEL
July 2014 Account number Yl 23571 55 212-821.70001800-308-3140
UBS Bank USA Deposit Account APY
Interest Period Jun 6 - Jur 7
Opening UBS Bank USA Deposit balance Jun 6 $69,104.87
Closing UBS Bank USA Deposit balance Jul 7 $0.00
Number of days in interest period 32
Average daily balance $0.86
Interest earned $0.00
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 with to change them, please contact you
Franco' 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 Nigibi5ty consderabon None selected
Your account instructions
• Your account cost basis default closing method is FIFO, First In, First Out.
CNP7C009001089456NP7OCOI88665 COCO* 07I4 030575004 vl2357ISSOOI igtkiywc000llil3250 of I CO
CONFIDENTIAL
EFTA_00131945
EFTA01274152

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Sisandal Advisor:
*UBS
Friendly account name:Inch', V49935006 SCOTT STACKMANLYLE CASRIEL
July 2014 Account number. Y1 23571 55 212-821-7000/800-308-3140
Your assets
Some pnces, income and current vaues shown may be compliment. As a *Sue. gains dndlosses may nol
be accuralely refkcled. See rmporunt inlosenabon about your statement a the end of ths docurnem for
more informs:ion.
Equities
Mutual funds
Iota! remvested is the told d at renvestecidwdends II does not induce any cash dividends. rI is not a tat unreakzed (fax)gain or loss is the difference between the currenlv.alue and tit cost bass aid would
lot for the purposes of determining hold no periods or cost basis. The shares you receive each come you generaty be your tagbie gan a loss it the sec cony was sold co ths date. The unreaszed gag gan or loss
reinvest d %Wench becomes separate tax lot. may need to be Austed tor return of <apt% parems in older to determine the realized gain or loss for tax
r purposes.
Cost bass is the told purchase cost of the security, inducing renvesteddvdends The cost basis may need
tote adusted for return Cl capta payments in order to deterrrene the alusted cost bars for tae reporting nveMerst:geo te the current value ml nos the amount you imeged It does not include shares that ark not
purports. reflected on your statement, Inoue/ ng Shares that have been realized as either a gin et a loss. It also does
not iidude cash dadencts that were not reinvested.
Purchase DOW
tinter AVelect pace Client Cost PnCe per Share Value on Unrealized (ar) imestment Hddng
Hddng or shaves per share (S) investment (S) Wait (S) Onful 31(S) Jul 31 (1) 9414 or loss (5) return (5) period
CLEARBRIDGE
EQUITY INCOME FUND
CLASS I
Symbol. SOPYX
Trade date: Jun 26, 13 1,179.249 16.769 19,776.00 19,776.00 19.390 22,865.64 3,089.64 LT
Trade date: tan 14, 14 296.210 18.470 5A71.00 5.471.00 19.390 5,743.51 272.51 ST
Trade date: Jan 15, 14 283.181 18.549 5,253.00 5,253.00 19.390 5A9066 237.88 ST
Trade date: /an 16, 14 282.731 18.529 5239.00 5239.00 19.390 5,482.15 243.15 ST
Trade date: Jan 17, 14 298.430 18.469 5,512.00 5,512.00 19.390 5,786.% 274.56 ST
Total reinvested 26.354 19.186 505.64 19.390 511.00 5.36
EA': 1826 Current yield 1 800/0
Security total 2.366.155 17.647 41251.00 41,756.64 45,879.74 4,123.10 4,628.74
COLUMBIA CONVERTIBLE
SECURITIES FUND CLASS Z
Symbol. NCIAX
Trade date: Dec 19,13 1,10.177 17.890 20523.00 20523.00 19.310 22,151.98 1,628 98 Sr
Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,942.00 19.310 16227.73 285.73 ST
Total reinvested 38.473 19.399 746.36 19.310 742,91 -3.45
EA/ 1881 Current yield 2.25%
continued next page
SDNY GM 00021326
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CONFIDENTIAL
EFTA 00131946
EFTA01274153

T
UBS Strategic Advisor Account name: GNISLA1NE MAXWELL Your Asandal Advisor:
Friendly account neme:Indiv V49935006 SCOTT STACK MANLYLE CASRIEL
July 2014 Account number: Y I 23571 55 212-821.7000/800-308.3140
Your assets Equities Mutual funds (continued)
Purchase puce
Number Mei.ge peke Client Cost Price per shore Value on Unreallred Gee Investineut Haldng
Hddrlg of aharet per sham (S) investment bask (I) on lul 31 (I) Jul 3I (S) gain ad= (1) Mum (I) weed
Security total 2,026.030 18.367 36,465.00 3721136 39,122.63 1,911.26 2,657.62
HARBOR CONVERTIBLE
SECURMES FUNDCLASS I
Symbol: HACSX
Trade date: Jan 29, 13 1,872.780 10.250 19,196.00 19,196.60 11.390 21,330.96 2,134.96 LT
Trade date: Jun 17, 13 960.534 10.489 10,076.00 10,076.00 11.390 10,940.48 864.48 LT
Total reinvested 17.433 11.318 19731 11.390 198.56 1.25
EAI: 3599 Current yield 1.84%
Security total 2,850.747 10.337 29272.00 29,469.31 32,070.00 3,603.69 3,198.00
JP MORGAN INTREPID
EUROPEAN INST
Symbol: JFETX
Trade date: Aug 1. 13 435.452 23.134 10,074.00 10,074.00 26.640 11,600.44 1,52644 ST
Trade date: Aug 6. 13 439.831 23.286 10242.00 10242.00 26.640 11,717.09 1,475.09 ST
(Al: 475 Current yield: 0.32%
Security total 875.283 23.211 20,316.00 20,316.00 23,317.53 3,001.53 3,001.53
MATTHEWS ASIA DIVIDEND
RJND INSTL
Symbol: MIP(X
Trade date: Jan 29, 13 2,156.431 14.849 32,023.00 32,023.00 16.440 35,451.72 3,428.72 LT
Trade date: Feb 1, 13 481.951 15.069 7263.00 7263.60 16.440 7,923.27 660.27 LT
Total reinvested 23.543 15.841 372.96 16.440 387.05 14.09
EAI: 11,293 Current yield: 2.95%
Security total 2.661.925 14.899 3921%.00 39.658.96 43,762.04 4,103.08 4.476.04
SIT DIVIDEND GROWTH FUND
CLASS I
Symbol: SOVGX
Trade date: /an 29, 13 2,333.831 15.400 35,941.00 35,941.00 18.310 42,732.44 6,791.44 LT
Trade date: MD 11, 13 624.804 16.569 10353.00 10,353.00 18310 11,440.16 1,087.16 LT
(Al: 3769 Current yield 1.42%
Security total 1958.635 15.647 46294.00 46294.00 54,172.60 7,878.60 7,87860
contsoued net pogo
CNP7C003005789458 NP7000189565 00004 0714 030575004 VI 23 571 550 Oligthlywc000tils2742 Of 100
CONFIDENTIAL
EFTA_00131947
EFTA01274154

(SUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your /I nandal Advisor:
Friendly account name: Indiv V499350D6 SCOTT STACKMAtaLYLE CASRIEL
Lily 2014 Account number. Y1 23571 55 212-821-7000'800-308-3140
Your assets e Equities . Mutual funds (continued)
Purchase puce
%moo Averary race Client Cost Price per she/. value on unrealized 0a.) investment Hold ng
Wiring of shares ter share (S) mvestrntn1 CS) basis (I) on lul 3t (1) lul 31 (1) coin 01 1°T) !elan ft) period
TORTOISE MLP & PIPELNE
CLASS INSTL
FUND
Symbol. TOM
Trade date Jan 29, 13 2296.774 11330 30,616.00 30.61600 18.440 42152.51 11,736.51 11 ,736.51 LT
EAI: 3544 Current yield 1 28°/0
Total 5243.500.00 5245,32227 $211977.05 $35,754.77 $37.577.05
Total estimated annual income: 54.987
Fixed income
Mutual funds
Total reinvested d the told dal reinvested dodench n does no include any cash chic:ends. it is not a UnreaVed (rad gam cfrt loss is the dfference between the current ;rave and the cost basis and world
tav lot for the purposes of determin op hcidnig periods or cost baffs. The shares yOu receive each time you generally be )our taxable gam a loss if the security was sold altos date. The retreaded Rind gar or loss may
reinvest dedench becane a separate tax need lo be ad usted for return of cap ti parnents in order to deterrrine the realised gan or loss for tar
Cost Ana n the told purchase cost of the security. indudng reinvested dvdends The cost basis mai repelling ambits
need to be aciusted for rearm d opts payments in order to determne the nulledCOSI basis for tar imAntnent return is the current ydue minus the anount you invested, t does not include shares that ae not
reporting purposes. reflected on your statement, indudng shares that hare been reined as either a gain a a loss It also does not
include fah ChldendS that were not reinvested
Purchase pricer
Number Average price Client Cost Price per share value on unreSized(ta4 investment Had mg
mddng of shares per share (S) investment (S) basis (1) onto 3i (0 Jul 31 (s) gainOr1M (1) return (1) Mord
AVENUE CREDIT STRATEGIES
FUND CLASS INSTL
Symbol: ACS8X
Trade date: Nov 12, 13 910.736 11.270 10,264.00 10264 00 11.770 10,719.36 455.36 ST
Trade date: Nov 18, 13 912.566 11 300 10,312 00 10112 00 11.770 10,740 90 42690 ST
Trade date: Nov 25, 13 911.661 11.319 10,320.00 10,320 00 11.770 10,730.25 410.25 ST
Total reinvested 57.231 11.721 670.86 11.770 673.61 2.75
EAI: 11,2% Current yield 3 82%
Security total 2,792.194 11.305 30,896.00 31$66.86 32,864.12 1,297.26 1,968.12
BLACKROCK HIGH YIELD
BOND I
Symbol: BHYIX
Trade date: fan 29, 13 4,811 156 8.200 39,451.48 39,451 48 8.300 39,932.59 481.11 LT
continued next page
SONY GM 00021328
CONFID C E hIPT03 N 033057 T 1394 I 59h A whoc0 L 1096 6500Cot 0714 0305790o4 Y123S7i s5001o000 Pug* 43 of 100
EFTA_00131948
EFTA01274155

SUBS
UBS Strategic Advisor Account name: GNISLAINE MAXWELL Your Anuncio! Advisor
friendly account name: Indiv V49936006 SCOTT STACK MANLYLE CASRIEL
July 2014
Account number. YI 23571 55 212-821.7000'800-308.3140
Your assets . Fixed income . Mutual funds (continued)
Purchase puce'
Number Ave,age peke Client Cost Price per share value on unedited Ran investment Hddng
Hulling of shares petals', (5) invettinfot (f) basil (S) onI d 31 (1) Jul 31 (S) coin orlon (1) Winn (5) period
Trade date: kin 27, 13 2.481.156 7.959 19,750.00 19,750.00 8300 20,593.59 843.59 LT
Total reinvested 167.258 8373 1,400.58 8300 1,388.24 -12.34
EAI: 13,580 Current yield: 5.78%
Security total 7.459.570 8.124 59201.48 60,602E6 61,91443 1,31136 2,712.94
COHEN & STEERS PREFERRED
SEC & INC FUND I
Symbol: CP>IX
Trade date: Jan 29, 13 3,002.068 13.487 40,49D.57 40,490.57 13.670 41,038.26 547.69 LT
Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.670 10,124.34 20594 LT
Trade date: Jun 14, 13 751.274 13.309 9,999.02 9,999.02 13.670 10,269.91 270.89 LT
Total reinvested 113.763 13.527 1,538.94 13.670 1,555.14 1620
EAI: 43,852 Current yield:6.12%
Security total 4,607.730 13.444 60,407.99 61,946.93 62,987.66 1,040.72 2,579.66
DOUBLE LINE TOTAL RETURN
FUND INSTL
Symbol: DBLTX
Trade date: Jan 29, 13 12A93.I55 11.379 142229.00 142.229.00 10.940 136,729.80 -5,499.20 LT
Total reinvested 256.068 10.957 2,805.86 10.940 2,801.38 -4.48
EAI: 47,168 Current yield: 5.14%
Security total 12,754.223 11.372 142229.00 145,034.86 139,531.19 -5,503.68 -2,697.82
EATON VANCE FLOATING
RATE ADVANTAGE CL I
Symbol: DFAX
Trade date: )an 29, 13 7,524.150 11.180 84,120.00 84,120.00 11.120 83,668.54 -451.46 LT
Total reinvested 141.347 11.151 1,576.21 11.120 1,571.78 -4.43
EAI: 43.963 Current yield: 4.65%
Security total 7,665.497 11.179 84,120.00 85,69621 85,240.32 •45589 1,120.32
HARBOR HIGH YIELD BD FD
INSTITUTIONAL CL
Symbol. KYFAX
Trade date: Jan 29, 13 2.660.657 11.239 29,905.78 29,905.78 10.920 29,054.37 -851.41 LT
contnued net page
CNP7000900S769460NP7003189665 00001 0714 03057SOClit Y123571S5001ligtfficsmoccaas2944 of I CO
CONFIDENTIAL
EFTA_00B1949
EFTA01274156

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Financial Advisor:
Friendly account nun*: Indiv.V49935006 SCOTT STACK MAN LYLE CASRIEL
*UBS JUly 2014 Account number. `el 23571 55 212-821-7000/800-308-3140
assets Fixed income .
Your Mutual funds (continued)
Purchase cad
Number Average price client Cost Price per share Value on Unrealized0M investment Hddng
Hddng of owes per share (I) investment (1) basis) on lul 31(5) Jul 31 (S) gain orIoss (6 return (6 period
Total reinvested 67.076 11.039 740.49 10.920 732.47 4.02
EAI: $1.721 Current yield: 5.78%
Security total 2,727.733 11.235 29,905.78 30,646.27 29,786.84 .859.43 -118.94
FISBC TOTAL RETURN
FUND CLASS I
Symbol: HTRIX
Trade date: /an 29, 13 3.858.567 10.289 39,704.65 39,704.65 10.260 39,588.89 -115.76 -115.76 LT
(Al: $745 Current yield 1.88%
JP MORGAN MULTI-SECTOR
INCOME FUND SELECT SHS
Symbol: /5ISX
Trade date: Ian 29, 13 4.784.864 10.260 49,092.71 49,092.71 10.340 49,475.48 382.77 LT
Total reinvested 43.015 10.373 446.21 10.340 444.78 -1.43
EAI: $1,178 Current yield: 2.36%
Security total 4,827.879 10.261 49,092.71 49,538.92 49,920.26 381.34 827.55
METROPOUTAN WEST TOTAL
RETURN BOND FUND CLASS I
Symbol. MWTIX
Trade date: Oct 24, 13 7,192.344 10.709 77,030.00 77,030.00 10.810 77,749.23 71923 ST
Total reinvested 77.270 10.763 831.73 10.810 835.29 3.56
EAI: $2,093 Current yield: 2.66%
Security total 7269.614 10.711 77,030.00 77,861.73 78,584.52 722.79 1,554.52
RIDGEWORTH SEIX FLOATING
RATEHIGH INCOME FUND
CLASS I
Symbol: SAMBX
Trade date: Jan 29, 13 6,502.655 9.039 58,784.00 58,784.00 9.020 58,653.94 -130.06 LT
Total reinvested 112.152 9.059 1,016.08 9.020 1,011.61 -4.47
EAI: 42.4.11 Current yield: 4.09%
Security total 6,614.807 9.040 58,784.00 59,800.08 59,665.55 •134.53 881.55
T ROVE PRICE
continued next page
SDNY GM 00021330
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CONFIDENTIAL
EFTA 00131950
EFTA01274157

4tUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your 15 sandal Advisor:
Friendly account name:Indiv V49939;06 SCOTT STACK MANFLYLE CASRIEL
July 2014 Account number: Y1 2357 1 55 212-821.7000/800-308-3140
Your assets . Fixed income . Mutual funds (continued)
Purchase puce
hturroes Average pxe Client Cost Price per Share Value on unrealizedOar/ tmestrnent Horsing
Hddng of shares per share (S) investment (I) Omit (5) on's/ 31 (S) Jul 31 (5) 93inorlos'. (5) return (I) Period
INSTITUTIONAL FLOATING
RATE F CLASS
Symbol. FCFRX
Trade date: Jan 29, 13 5394.060 10.270 55397.00 55397.00 10.240 55235.17 •161.83 LT
Total reinvested 72.253 10.274 74237 10.240 739.87 -2.50
EAI: 32,285 °Arent yield: 4.08%
Security total 5.466.313 10.270 55397.00 56,139.37 55,975.04 -164.33 578.04
Total 5686,768.61 6698,537.94 5696,058.82 42,479.15 69,290.21
Total estimated annual income: 530.282
Non-traditional
Mutual funds
r.la ee ",bre:f '.014 cr a. re nvested dinclends it does not moues any cash dsadench is notate( Unrealized NO gain or loss is the cillerence between the current value and the cost basis aid would
lot for the outpours of determining Stoking periods or cost bast; The shares you receive each time you general/ be your tacit ban or loss if the stc pity was sdd m tHs date. The unman() ga0 On or las
revuest cludends become a separate fax tit. may need to be fated for return of capital payments In order to determine the reisazed gain or ices for tax
Cost bases 6 the total purchase cost of the security. Ind udng ronvesteddudends Ire cost basis may need Waling purposes.
to be °dusted for return of capita payments in order to determine the adlusted cost baps fa tat repsOng Irpeettrnera resurn is the current valve minus the amount you invested It does not include shares that we not
purposes reflected on your slaternent, tncludng shares that have been realized as either a con a a loss It also does
not allude cash dvdends that were not reinvested.
Purchase Pried
Hunter Average price Client Cost Price per share Value on Unreatind(tai) imetuneot Holdrig
Hddng of shares per share ($) rilveStrnent (5) basic (i) on Iii 31 (1) Jul 31 (S) gain or loss (5) return (s) Period
GATEWAY FUND CLASS Y
Symbol: GTEYX
Trade date: Jan 29, 13 3,089.208 27,580 30,040.36 30,04036 29.250 31,859.33 1,818.97 LT
Total reinvested 9.249 29.128 269.41 29.250 270.53 1.12
EAI: 1514 Current yield 1 60%
SePrity total 1,095.457 27.593 30,040.36 30,309.77 32,129.86 1,820.09 408980
CNP7C003005789462NP70C0188665 00034 0714 030575004 Y123511 S50 0l lictliWGM000§4303146 of ICO
CONFIDENTIAL
EFTA_001 3 195 1
EFTA01274158

* UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Mnandd Advlsor:
UBS Frie nd ly occount name: Indiv.V49935006 SCOTT STACK MARIL YLE CASRIEL
2014
lUly Account nurober. Yl 23571 55 212-821-7030(800-308-3140
YOGI.
$35.50.5(contnued)
Your total assets
PeKenta9ea COSI Estmated UrgedatO
'icke on Jd 31(S) your accouni -1( I) smutt incorre on or Im (1)
[guides Mutual funds 281,077.05 27.85% 245,322.27 4,987.00 35,754.77
Mad innern* Mutual funds 696,058.82 68.97% 698.537.94 30.282.00 -2,479.15
Non-traditional Mutual funds 32,129.86 3.18% 30.309.77 514.00 1220.09
Total 51,009,265.73 100.00% 5974,169.98 135,783.00 535,095.71
Account activity this month
Dele Ac11Jry DescrIallon Arrounl IS)
Deposita and other binds credited Jul 2 Transfer FM VI 23568 7100 1.41968
Jul 14 Transfer FM VI 23575 0100 1281 39
Total deposits and other funds credited 12,701.07
Ode Aclitily De:aj:ann Ammat (S)
Dividend and interestinoome
Taxable dividends Jul I Dividend METROPOUTAN WEST TOTAL RETURN BOND FUNDCLASS I AS OF oe 3tY 14 161.74
Jul 1 Dvdend RIDGEWORTH SEIX FLOAT1NG RATEHGH INCOME FUNDCLASS I AS OF 198.87
06131714
Jul I Dividend DOUBLE UNE TOTAL RETURN FUND INSTL AS OF 0613014 549.62
Jul 1 Dvdend COHEN & STEERS FnEFERRED SEC & INC FUND 1AS OF 0930114 307.22
Jul i Cividend EATCN VANCE FLOAT1NG RATE A DVANTAGE CL I AS OF C6/30/14 324.54
Jul i Ctvidend 1P MORGAN MULT-SECTOR INCOME FUND SELECT SI-IS 105.99
Jul I Dividend T ROWE PRICE INS11TUT1ONAL FLOATING RATE F CLASS ASOF 0030/14 174.24
Jul I Dividend KLACKROCK HIGH YELD BOND I AS OF 093014 280.88
Jul 1 Dvdend MSK TOTAL RETURN FUND CLASS I 19.29
Jul Il Dividend SIT DRIDEND GROWTH FUNDCLASS I AS OF 07/10,14 189.41
Total taxable dividends $2.31130
Total dividend and bittrast income $2311.80
Die Achwy Descryption Arrearit (1)
Fem Jul 24 Fee C ha rg ed QUARTERLY FEE -1,28139
Total professional management feet 41.28139
SDNY GM 00021332
CNP700C5005769463 NP7003199665 00004 0714 0305750C4 Y123571550010000 Page 47 of 100
CONFIDENTIAL
EFTA_00131952
EFTA01274159

SUBS
UK Strategic Advisor Account name: GHISLAINE MAXWELL Your It Bendel Advisor.
Friendly account name: Indiv W9935006 SCOTT STACK MANY LYLE CASRIEL
)u&2014 Account number. Y1 23571 SS 212-82 I-70001800-308-3140
Account activity this month
(antilvec0
Cate Actiety Descopoon Amount IS)
Other hada debited Jul 2 Transfer TO Y1235750100 -19.29
Jul 3 Transfer TO Y1 235750100 -1,419.68
Jul 25 Transfer TO Y1235750100 -189.41
Total other funds debited -$1.628.38
Investment transactions
For malt information about the wird4w shown for restricted securities, see Important informatbn about
your statement at the end of this document.
Proceeds from Funds
inwstment withdrawn fa Accrued
Ode acthity Desciption Ouantity Vaue (5) Price (S) transactions(!) nwestmentsbourht (S) dewed (3)
Jul 1 Reinvestment METROPOLITAN WEST TOTAL RETURN BOND 14.921 .161.74
FUND CLASS I DIVIDEND REINVESTED AT 10.84
NAV ON 06/3044 AS OF 093014
Jul Reinvestment RIDGEWORTH SED( FLOATING RATEHIGH 21.926 -198.87
INCOME FUND CLASS I DIVIDENDREINVESTED
AT 9.07 NAV ON 093011 4 AS OF 0630/14
Jul 1 Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL 50.011 •549.62
DVIDEND REINVESTED AT 10.99 NAV ON
06/ 30a 4 AS OF 06/30114
Jul Reinvestment COHEN & STEERS PREFERRED SEC & INC FUND I 22.327 -307.22
DIVIDEND REINVESTED AT 13.76 NAV ON
06134 I 4 AS OF 06,3914
Jul Reinvestment EATON VANCE FLOATING RATE ADVANTAGE CL 29.107 -324.54
!DIVIDEND REINVESTED AT 11.15 NAV ON
05/ 30II4 AS OF 0E/30114
Jul I Reinvestment JP MORGAN MULTI-SECTOR INCOME FUND 10.201 -105.99
SELECT SHS DIVIDEND REINVESTED AT 1039
NAY ON 06130114
Jul 1 Reinvestment T ROWE PRICE INSTITUTIONAL FLOATING RATE F 16.933 -174.24
CLASS DIVIDEND REINVESTED AT 10.29 NAV ON
CO 3C1I4 AS Of 0613014
Jul 1 Reinvestment BLACK ROCK HIGH YIELD BOND I DIVIDEND 33.280 -280.88
REINVESTED AT &44 NAV ON 0930'14 AS OF
06,3914
Total -$2,103.10
CNP70009005789464 NP7000189665 00001 0714 0305750dt Y12357155001WiyGmcoolins348 of I CO
CONFIDENTIAL
EFTA_D0131953
EFTA01274160

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your PIsandal Advisor:
*UBS Friendly account nairte:Indiv V49935006 SCOTT STACKMANLYLE CASRIEL
July 2014 Account number. VI 23571 55 212-821-7000/800-308-3140
Account activity this month (continued)
Date AChnly Description Arn3unt ft/
Money balance activities bin 30 Balance forward $0.00
Jul 2 Deposit UBS BANK USA DEPOSIT ACCOUNT 19.29
Jul 3 Deposit UBS BANK USA DEPOSIT ACCOUNT 1,400.39
Jul 7 Withdrawal UBS BANK USA DEPOSIT ACCOUNT ASOF 07103114 •1,419.68
Jul 14 Deposit UBS BANK USA DEPOSIT ACCOUNT 189.41
Jul 15 Deposit UBS BANK USA DEPOSIT ACCOUNT 1281.39
Jul 25 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 07/24/14 • 1281.39
Jul 28 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 07/2514 -1ES.41
Jul 31 Closing UBS Bank USA Deposit Account IOAO
the UBS Bea USA CepCnt ACCOunt Is your primary Sweep coton
SONY GM 00021334
CHP70001005769465NP701:0183665C0001 0714 030S75004 Y123571550010300 Page 49 of 100
CONFIDENTIAL
EFTA 00131954
EFTA01274161

*UBS
Your notes
CNP71X109005709466NP7000189665 WON 0714 0305750N 7.57 1%°°1904YGM000E‘t4S550 01 100
Et,0 , statement for account numb.. Y1 23571 SS
CONFIDENTIAL
EFTA_00 131955
EFTA01274162

Important information about your statement
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• 0 t t S t r h i 7 a o r 0 c n e . a w 8 s a s i 6 d e t s . . t o ' A o ( f h 7 o n e o 1 s n r t , r 1 o c I I O a b r N s l C i l W t a O 8 p I 0 S H W a 6 S r a 7 A n H r 6 b m S o O 2 r a t . M 1 v c 0 o e a 0 i u e b 0 . s 6 u o t ! r Y h a v n I e o b t t e a e d k t t a o o W t o a U m e c 3 €h a S c a d E v b k n o a a a e n s , C a N l ) < m n a T u l a h p a l e e l N p y l l o f ) i : O a n a e t n r W a h t c t h s e o t o i c t S o c f a a P u ' D t C n v n t i t e t e n , a a r n c e p p s d o t w r t a e a a e e x l e - c t l e b t t o O e , r n . T o c 2 a h e t g 0 e a n x u 1 r l t t 3 a I e u t I n o * a t d u n y a M t u t e a m i s ; m . p = h r ) o , a G t s I e d a u c l a i s y o l o l n p m p a 6 o y o r a S d w b S u l W e p s s t o 1 • O s t C 9 r w h is r e k o o a l m a n a t m i s r h d i e o s d v k n u n a t p p . t x , a r d n n l S o i o l e i y e P c s 1 t a s n 0 s l o t t t h o g e % e = n w e a r r e n a a t t t e h i g i o n n t p i i f m a a l u n . l t t P i m 4 it 1 o 0 % i ) f ( r m W *O a h f m lo e w an s o o f W T n r t h r a t m e a e a y F i r r a i d r M l t m a y a n o S n a d u t o w U m v t M S s a a a S i n y t d a e s o e n h . t n y a e n n n t o d e a a f u i i f p s n i d r i t o t v n y e m S o d g e i t e s t e r o n n o r d u O t l r l a r m t y S c o r e n w a s y a e o o i l u t n t o h y r n e p l O r a r I r o t w r v h g a i a u n f d n u e r w d 1 a l n 0 b A e t 5 y d t n e s o l n h u a I r o c d e s s
returnsal eta/nokeep p.xe with it 1010
C T n s in t O h a a t e l w o t i a F n n e e a e t w n t h m i o a i e n o n e r C L a W 6 a s o r 0 d s u e o O t M p o a A n t o t 6 a b w a s r a l ( o t p t a e O f s r a c r t a r h c g t o a O e O r n f l t e O e t d d h m b e ? y l o e m w u u ) r n h o n i i e u u y s e g r o k d n u h m s y t e h o o o e r u r r r e f I ' , r is a a t n p t s ou a P A W n o f n u e a l g r l i s f m a u e t a n o y h h f o o e f e r r t a p p h l r l o e o y k p t o e y o u c r a k t e a r y d x d * f o o O o t r u n r u d r i p s n h g t a o e n 6 U S d N I f n 9 r a i a t r m a a p t d . e o k n u i n n t p n o t c y n a h , n c e t a 9 a p a t a s h ta t e y • • A t A v o a i l b n e n W r r e a i S t t r e y I a O v 1 i . 0 i , r l W r A w in il e l c a n n l h a a ; l i t l ' o t i o t a y r a c a m c x g e e s / p a d t o g o t h r m e h g i e h g e h b n ti e r l * a r t e M t t o O u a ;r l m n ti o : p 0 a l a a d t hgh o i b u p t r f p a o a d t l v h d a l i i t ' d d s e e t a e s i a e a t n h w te i ' s n I S a d a w y h n o : u o r t o i m u t A r o t e a s s d x s L u n O g h c S h a a a s F n p c i t l i v h e t e e a t t d s v w n e a f d e i l t s S o t o a t e n e m : o n d a a t c d t r t t h s e o u l e g y % a W o c r l n i o d m e t d h r d l i V ' o y s C e * o s d s r t i a e t
- s - - ta D e R F a te r r e d r m e o o v n a e r e i d n d l o o e e t r y l o s t a a h o n h u n e w e r d a e M y r s a i u o d n t O u a n e . n t t i a O h e t a r y e e r d u d t o a h m m s r e a s s c w i o r c d u e o i o n r O e t w p t h e l n r e a r n o n M s p u b t ) m n u l y , e p b i o m r p e o e c r n u t e ( o w I d I C w a a a r e g m t d e e a 4 b i e s d a . l n • T o h ( ( t e a e e S S r g n r I p a C . a l n c i r p t t a o ° r v n o o a t a n e lu i c e a ( ti ) l l o b o n u t a a h t x t h e a a s d f i U c e N o P n s a S u tr y B p o f p l a r l l r e o e k d m m U W e T n t a c a n a l p d t r a h a t a w U u 3 n l S e ° d S A e b G n r o m t r h o o n d t o h W s S pe a e t n e a n t t t e m h e n i m a a s o y r e w c r c n o e n t t n n o l s l o r w e n e li u l d b t a c h a i e t c e o e a h s n a d w o s l h k W e o l t e h i P t r e e . a M y . r . h l h o Z a W p e t e c u O w A n d r t c e e S e n n t : a t s t s e e t a h f u i t o l r f t d t h a i y l i e i m s c t a a u m n n r e e a t t t h t a e e i d n C m m t W im a a o o l y e o r b r m t t e e h e f * e a l d e y d i c o a d a t n e y g d o t i o h t n b i e r n e y l u r o d y r l s e a i e s e w n c t n h F o f A i e o r n o r P c a l m c r i l U m a c a u s a n ' n l a M n b A o U o t d a n r n e d l e y s h a e f t i o a e n t r d o e m s r d c o e e t l p o s H . a t r l h a e a e m d f t e o a a f n t n n
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SDNY_GM_00021336
CONFIDENTIAL
EFTA 00131956
EFTA01274163

Important information about your statement (continued)
iirvidiallormity kits The tazarion data for iniimbal - 11,k0 parry eslinated vibe; may be reflected as 'Net runt. of =ants at the troker-deaer holckE mutual ACCOLftt ao registered serene mats of UBS .,arch Services
Ian mayor may not ref ea cc mifsems Chages ardor Feted' n seater 'Wawa whin an OlepenSent I rads el Mai had Imiy Vic
Stormy worgincateen mews DIASend and other valuation firm An nOt stippled eta untie to assign a - In ea:Ilion to cormssionS 'Moved n ornection wen
rerworewn kits and **miff padre kin re rods vibe when we boson* awl. that a rtmerr wort hoc the sale or darbution of arnurymrnracz ad unit ilea S5031100 is a inhered smite mak of visa
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<Maim 'resents the veinal Croatia, baledate rows*.'. Ce Wren aver* Would be hghly speculatote aft reCee* rm ere* doing OrrptelSiatrn from debts tads are issued byU(358ml USA tech mewerstion from
duo to the mire of the seamy maga( The romance companies inclemenired de ca u S A imorperaird
• GUNN workies bends and crefortd stork that the - Men witlm n Mua general banner a manor anmey ccenracts aeifros of the notance cornea-nil
Mar calt foe ealyrwlerptionml be selected nmaliary (*mated vAre nOr 3trdpay ell Mated war if Or SpOnSMS Of the Lind dvedMell mists we drubs. UK Financial Servioes Inc Rev 201407
by lot torn emceed 8A secretes of that owe WI:Inoue petwdel the waited re marry wit Indifferent ton - Ov an elan also recerretradirG comensocrisaM other
flanea n wenn* nave for as dents Cat Notre ns poshest dna conmenution horn menial finds aid amerce
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rs not guramed Orne call learn Wryeast slosh .cane a both - Wereceiveas mina fee train LBSBask USA ail UBS
could ilea WE Campine informal:in we bepeoulded • Oftwi iris we' rereSents. the glINdlollwing pine ibg gardord Bralch of up to 125 pet a:Count
Lipp. (Pal per ialk rid may not Sloe sow sot bath werepng to to hanks ink, the LOS Baal Sweep
Program
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12993.000 n pampa and salad Wire/ pa depositor not arrentry WOE for pa* sale IRS indexer reran ASA,
and per deposno-y institution n accord-ma with Wel the mat* price of to tormaidod stock of rho sane Informatim regardng corevniWen and other throe
rubs Muir a an Muted YEE Ice the rewitsed nods br ironed n annection win the (volition 01 Rafe& naking
purposes of mssznexent on* TO the erten Sim cption ramactons has been nclElen cis ardonrons
• pricenrokie Pncescroplemar Wanes anSothr testiMed wailer it WO* for sale. Me vela reCeried remote* lunthod to you. aid yell be I:milord to you
produce, inar be hiller a Ewer than the prior that you nay be manumit, less man the imputed yaw Mows reornpiir on reCuell
would Kluane reohve in the market ewes are °Maned
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nibble but we do not gamine tea away tillMatt of fraud mome is based on amen, caoRind el you at engaged in theft Wile nosed you mai rasa
- Wo nary use der doing prize who, aralabb sr the and Wren ram. awing ew smarties will be held for diagedueso cenan berrowng costs for that palsula
mean or rebid aid ask aces Ice Isted WIPE and ale year from Pawner date or snel ITUttely This 'softy
*proms 01 on y fed peas for OTC smelts estimate is ong a guideline. accuracy and Oxnard
- fez ammo/ traded stashes maybe priced usnga Wane se not sairrieed Open widen
cabmen model a them, roam pia we obtained - :dated Maul mons and anent WV ler cerlan 492409 *Den "gocideiliCanCelled • orders that Wife not
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- Chan position may smo ata mbar ()Ana and will CMIul ganS n Minh Ore the en Wane Wed amen ceders se mixed by the amount of dwdendsa reps on
show a'price was not mailable' if we are ruble to yell) wool! be overtired cmdlidndsor eynnlos date unless mewled otherwise
*bran a ace Sr a security - Earnated Maui worm aid anent Wel aid dal by you YOu at remOrnble I or orders lha are executed due
- Deposes a Searles denominated n oaderides other data boort and Wed night be Immor hgher thre to ysur faits. tO cancel exdirg open orders
tan USOolbrs are rep Wed a the en:Purge/se as of the whored amoans
the zaterrunt date - An mediate of incualged income (dvidr4 mace Tax witholdiw en Enrbutions from UK Pinola,'
- For certan 'entities vadeg noreccatirmin Waist dulled by the °were make, valxiagraft SWAMI IRAS
dernmriatali. pct and gurney daceWire) mat hale belriCe a tired Co the laSt dieziend or mews Feder tar law retires LES .mica Salvias to YANA
been Mewed,' Imitate proper vaison pagrew nude byte issuer aid assesses the exam tar from yor stable RA dlorlbut sm. W t you may
To obtain CUM17 WAN." Wan 'alarm mama yew sena imidepoir s MI be hind f cr one wur Wen the dem riot Iona. nom. Sr. wehhell or instead. you may
Fesancial ktecOr statement dale or trod =trey Amer" aid acct a have lee withheld a brae a n a lead anoint at
Confound wrld ae not guaranteed you loose Mer Sion ea ratan n efr eCt untl reveled
• Meade liweetmems and strummer producm Omani by you You nuy revoke your election a syt Me by many
Mostrwre secure* anotedng direct paskpaion • AveM• not held ley WS Enemata Sentima Certan anew amen If sou dal not haw meat room.? tar
woman aid realmut+ ninftem tam Mint** aid MEM ale sot heldbyteBret awl not calm the Inn's torten, Iron 'OUT dattutiOAS. yOU maybe velment,* tot
sincived preload are §40traly hghli ilia (erteln posseSsm or anttol Thee Erb re mplawd m yam the payment of rimmedtan you may nor pnxamA the
nructrol pfediCIS taw het been returned with the statement foe Wonnarronal pommel onb Position aid moans wtherd and yew Minted law ye/minis at not
Seanss and &Mane Canmssisn a under any Rate ears presented am prosEed byte eying lion LES eguar to bar we:4100os
SeCuriteS tem We provide ellmaed caws fa private lnancia Stems n not remonsble for this nformaim
mestrriere stances ors] stinted prodims br and does net gunge is =tory niese assets are nee Privacy
Wein enalpubows only Amnayb not 9ozahleOd presented by SRC cr the laws supplemental SPC To can a copy ot anent Owe Peery Naha per*
- fie* yaws maydiffer sthstantally from pices ft re coverage mntan yew Fria-Mal:4mm arrestor websne al
at who acreage mestrnew securty a structured mow viz <momentary
warm my be tour a sold aid do not netts:ally • Revenue diming and addklenelmergensatiem
represent the ear you MY MOW. upon 14,4aton - et 4dilitil4I to mmenissem on saes aid Obil lees UBSCinaxial Savizos 6 not a bat The WA. Fusems
- And prey egmaes of vibe are as of a anan Ore rwmad n conneacin with the dotrturon of mutual SOVCeSAaant BSA art iRMA abOrteerage aatilltS
aid at sampled to UISS Franca Savers on a regu finds to ow clientswe atria or *Mae re0Nee eflICh provde axes to ball ng s-ewit and prcdhOS
bros by an ndeperstfent valances Irm Kibbe Mann; papenUfrornanbutorsaMor ttrough marines wed related balks avI other tied
Iffur Baal Partner or orcezor estimated yams d 'orison of the nom, rinds that we sell These partybasks aid reviles cowls to Pim and amity
my. ace stapled to trt•Frm by the ISSUer, general roads are bred on her &Swint arrponints proMects isund by unallM ated tad {tarty etvranCe
partner aspranor and may be *eluted based on the mouth 01 Saleby IRS eta patCuLT mutual lurid corners through OLISICe agency subsiaa nor MSS
(filigree* Nervation from that umd by thrd parses to fang to ow Memo red Id One amt vale of a Fnazial Simian tic
claire thee eStimat(d VANS primer mama laid fang. sharer WM a few Inn
- You cal cbtan adieu:nal itcrmawn regaling the - We rid as Etre also melee retesekng and threpmait. mean. and amuly prodirCIS
rrehodolow used to determine the mimeo of Vibe onmetzprocesung leas in consideration for trailer Not IOC bored • No batik gormless* ME lose mew
rid the date of the heonn.von that Is the bass fir the agent WVI:01 That we preside to rho minor funds
Mine hyaena:Mg your Anoxia Adrifor Thme fees generale we pad Am imenor awn in the row Monte Mmartrent accomt Business Swims
writual hind end re a 1ind dote of a.ri bawl on the Accoint BSA. PPM and /sterna...nal Remote Mmagerrent
SDNY_G MS10021337
CONFIDENTIAL
EFTA 00131957
EFTA01274164

SUBS U85 Thancial Services hc UBS Strategic Advisor
299 Park Avenue
25th Floor
New Yorl. NY 1 017 1.CCO2 August 2014
ONP70057829750014 X1 Y1 0
GHISLAINE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065-7007
Account name: GHISLANE MAXWELL
Friendly account name: Indtv. V49935C06
Account number: _3571 SS
Your Financial Advisor:
SCOTT STACKIAANLYLE CASRIEL
Phone 712.321.70(11800.308.3140
Questions about your statement? Value of your account
Call year Einarcia Adv60: Cr de
RMA Resourceline at 800-RMA-l000, on July 31 (1) on August 29 (1)
account 029023571
Your assets 1,009,265 73 I ,023,896. 74
Malt our twebslte: Your liabilities 0.00 0.00
www.ubs.cornifinancialsenAces
Value of your account $1,009,265.73 $1/323,896.74
Items for your attention
, Certain mutual fund shares held in
PACE Multi Strategic Advisor and
Strategic Wealth Portfolio were converted
in July and August. See your statement Sources of your account growth
activity for details Tracking the value of your account during 3014
Value of your account
at year end 2013
1 Thousands
Net deposits arid
viett4ratiM 1981,302.06
1 009 3 1,023.9
YOur nest ant return:
Dividend and
interest income 516.83632
Change in
market value 525.758 36
Value of your account
on Aug 29, 2014 S1,023896.74
ha 204 Aug 2014
SDNY GM 00021338
Member SIPC C HP70307005782975 NP7003Isei 56 00004 0814 03 0575004 Y1235715501013000 ►age 33 of 90
CONFIDENTIAL
EFTA_00131958
EFTA01274165

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Amadei Advisor.
Friendly account name: Indiy VA99350% SCOTT STACK MANL YLE CASRIEL
August 2014
Account number: Y1 23571 55 212.821.700018003063140
Your account balance sheet
Summary of your assets
Value on Percentage of
August 29 (1) yOUr account
A Cash and money balances 0.00 0.00% Your current asset allocation
B Cash alternatives 0.00 0.00%
C Equities 289,894.05 28.31%
D Fixed income 701,312.61 68.50%
E Non-traditional 32,690.08 3.19%
F Commodities 0.00 000%
G Other 0.00 000%
Total assets $1,023,896.74 100.00%
Value of your account $1,023,896.74
Eye on the markets
Percentage change
Index August 2014 Year to date
SW 500 4.00% 9.89%
Russell 3000 4.20% 9.23%
MSC I - Europe, Australia & Far East -0.15% 2.93%
BarclaysCapital U.S. Aggregate Bond Index 1.10% 4.81%
Interest rates on August 29, 2014
3-month Treasury bills: 0.02%
One-month LIBOR: 0.16%
CNP700C9005782976 NP70031981 56 COON OW 4030575004 VI23571550 MalliyGtkocoyiesg 34 of 90
CONFIDENTIAL
EFTA_00131959
EFTA01274166

SUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your IIn andal Advisor:
friendly account naivie:Indiv V49935(X)6 SCOTT STACKMANLYLE CASRIEL
August 2014
Account number. Y1 23571 55 212-821-70001800-308-3140
Change in the value of your account Summary of gains and losses
August 2014 (3) Year to date (S) values leporled telow exclude products for which gam and losses are not classified
Realized gains and losses Unrealized
Opening account value $1,009,285.73 $0.00
August 2014 (1) Yea, to date ($) gains and Awes (1)
Deposits, including investments
transferred in 0.00 1,160,805.66 Short term 0.00 0.00 7,951 38
Withdrawals and fees, Long term 0.03 0.00 39,566.65
including investments transferred
Total $0.00 $0.00 $47,518.03
cut -38.59 -179,503.60
Dividend and interest income 2,247.31 16,836.32
Cash activity summary
Change in market value 12,422.29 25,758.36
See account activity this month tot detals. Balances in your Sweep Options are indudedln the opening and
Closing account value $1,023,896.74 $1,023,896.74
closing Mantes value. FDIC insurance 4:priet only to deposits at UBS Bank USA, rot to deposits at UBS AG.
Starr/o/d Er an(%) or bank deposits placed throusn the UBS Intemdiond Deposit Account plogrant SiPC
protection applies to money market sweep find holdings but nzt bark deposits. See important inSormation
Dividend and interest income earned about your statement on the last too pars ti this document for coals
August 2014 (8) year to date (S)
For pun:tows of ins statement, ramOtty of mines! and dn.:Jena income has been determined fray, a US Opening balances $0.00 $0.00
tax reporting penned:ie. Bald upon the residence of the account hokkt account type, or product type,
some interest ardor dvidend payments ma/ not be sublect to United Slues (US) ardor Puerto Rico (PR) Additions
income tarts The talent month Statement is not intended to be used and cannot tie reked uPOn for
purposes. Chests should refer to the applictie tar reporting forms they receise from OBS annualy, such as Deposits and other funds credited 0.03 71,462.49
the FORTIS 1099 and the Rams 480, for reporting informakon It IS the practice Of 1185 to file the
Asclicatie tai tenoning forms with the US Intern.S Revenue Strike and PR Treasury Depaitment and in Dividend and interest income 2,247.31 16,836.32
such forms accurately &very dildenct arca oi interest as lax everrpt or taabk interne. Pk** consult yak
indvdnal tax prep**, Total additions $2,247.31 $88,298.81
August 2014 (3) Year to date (I) Subtractions
Taxable dividends 2,247 31 16,50441 Professional management fees and
related services 0.00 -1,457.28
Long-term capdal gains 000 325 SS
Other funds debited -38.59 -70,771.84
Taxable interest 0 00 6.36
Funds withdrawn for investments
Total current year $2,247.31 $16,836.32 bought -2,208 72 -16,069.69
Total dividend & interest $2,247.31 $16,836.32 Total subtractions -$2,247.31 -$88,298.81
dosing balances $0.00 $0.00
SDNY GM 00021340
CHP7C00?005782977NPIOCOlseis6 00004 08'4 030579004 Y123S7I SS0100000 Page 35 of 90
CONFIDENTIAL
EFTA_00131960
EFTA01274167

UBS
UBS Strategic Advisor Account name: GNISLAINE MAXWELL Your financial Advisor.
Friendly account name:Indiv V49935006 SCOTT STACK MAN:LYLE CASRIEL
August 2014 Account number. YI 23571 SS 212-821-7000/800-308 3140
UBS Bank USA Deposit Account APY
interest period M 8 - Aug 6
Opening UBS Bank USA Deposit balance Jul 8 50.O0
Closing UBS Bank USA Deposit balance Aug 6 50.00
Number of days in interest period 30
Average daily balance 5453.87
Interest earned 50.00
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
Fmancial Advisor or Branch Manager. You can find a ful description of the alternative
investment objectives in important information about your staremenrat the end of this
document
Your return objective:
Current income & capital appreciation
Your risk profile:
Primary - Moderate
Investment eligibibty consideration None selected
Your account instructions
• Your account cost basis default closing method is FIFO, First In, first Out
CNP7OX00057029713NP7000190156 00004 %I4 030575004 VI 2357ISS0 l09 yGm0002fiesq 36 of 90
CONFIDENTIAL
EFTA_00131961
EFTA01274168

SUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Pi sandal Advisor:
Friendly account name:Intim v49935006 SCOTT STACKMANLYLE CASPJEL
August 2014 Account number. Y I 23571 55 212-821-7000/800-308-3140
Your assets
Some Dices, income and current vaues shown may Ix applonmaa. AS a itsul. galas aidlOsses may nol
be accuralely reflecied. Set ;wawa infosotabon spout your statement a the end of ttvs dxurnem for
more Infornason.
Equities
Mutual funds
Iota remodel is the 'WA d at reinvested chedends II does rot include any cash chic*nds. Is rot a la Unrealezed (fax)gain or loss is Ihe dfference between the currenl value and t 1* cost basis and would
lot fix the purposes of deteimming hoid mg rends or cost basis. The shares you receive each brre you genera to your taiade gan or loss if the sec wily was sdd cis the date. The unreakzed (tag gan or loss
(times' d %Wench become a separate lax lot. may need to be aMusted for return of apt.% Payments In order to determine the mated gain of loss for tar
mooing punxoes.
Cost basis is the told purchase cost of the secunty, indudng reinvested dudends The cost basis may need
to be Ousted for return Cl capita payments m woe' ba extern...etc the amusted cost bars la tar repareng ;freedmen( serum is the current value minus the amount yOu invested It does not include shales trial are not
purposes. (electedon your statement, includngshareS that have been realized as either a gin Cr a loss a also floes
not .'dude Cash cludencls Thal were nol reinvested.
Purchase WO/
haireber Average pace Client Cost Protect, share value on unrealized0M worriment Honing
Haring of shales tat shaft (3) investment (3) 158615 (S) cn Aug 29(S) Aug 29 (s) gain or to% (3) return (s) period
CLEAR8R0GE
EQUITY INCOME FUND
CLASS
Symbol SOPYX
Trade date: Jun 26, 13 1,179.249 16.769 19,776.00 19,77600 20.100 23,702.90 3,926.90 LT
Trade date: Jan 14, 14 296.210 18470 5,47100 5.471.00 20.100 5,953.82 482.82 ST
Trade date: Jan 15, 14 283.181 18.549 5,253.00 5253.00 20.100 5,691.94 431394 ST
Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 20.100 5,682.89 443.89 ST
ST
Trade date: Jan 17,14 298.430 18.469 5,512.00 5,512.00 20.100 5,998.44 486.44
Total reinvested 26.354 19.186 505.64 20.100 529.72 24.08
EAI: 1826 Current yield 1 74%
Security total 2.366.155 17.647 41,251.00 41,756.64 47,559.71 5,803.07 6,308.71
COLUMBIA CONVERTIBLE
SECURITIES FUNDCLASS Z
Symbol: NCIAX
ST
Trade date: Dec 19, 13 1,10.177 17.890 20,523.00 20.523 00 19.940 22874.70 2,351 70
Trade date: Feb 19, 14 8.40.380 18.969 15,942.00 15,942 00 19.940 16,757.17 815.17 ST
Total reinvested 38.473 19.399 746.36 19.940 767.15 20.79
EAI: 1881 Current yield 2.18%
continued nod page
SDNY GM 00021342
CelP70307005782979 NV70031%156 00004 0814 030575004 Y123571550100000 Page 37 of 90
CONFIDENTIAL
EFTA 01)13196?
EFTA01274169

T
UBS Strategic Advisor Account name: GNISLAINE MAXWELL Your A nandol Advisor,
Friendly account name: Indiv V49935006 SCOTT STACK MANY LYLE CASRIEL
August 2014 Account number. VI 23571 SS 212.821.7000/800.308.3140
Your assets . Equities . Mutual funds (continued)
Purchase pincer
Number Average price Client Cost Price per share Value an unreAred eel Ineestrnted Hddng
Hddng of gores Ferran (f) investment (I) basil(S) en Aug 29(f) Aug 29 (f) gain Or las (S) return(!) period
Security total 2,026.030 18.367 36,465.00 3721136 40399.03 3,187.66 3,934.02
HARBOR CONVERTIBLE
SECURMES FUNDCLASS I
Symbol: HACSX
Trade date: Mn 29, 13 1,872.780 10.250 19,196.00 19,19600 11.520 21,574.42 2,37842 LT
Trade date: Jun 17, 13 960.534 10.489 10,076.00 10,076.00 11.520 11,065.35 989.35 LT
Total reinvested 17.433 11.318 197.31 11.520 200.83 3.52
EAI: 4599 Current yield 1.82%
Security total 2,850.747 10.337 29272.00 29,469.31 32,840.60 3,371.29 3,568.60
JP MORGAN INTREPID
EUROPEAN INST
Symbol: OEM
Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 26.690 11,62221 1,548.21 LT
Trade date: Aug 6, 13 439.831 23.286 10242.00 10242.00 26.690 11,739.09 1,497.09 LT
EAl: 475 Current yield: 0.32%
Sootily total 875.283 23.211 20,316.00 20,316.00 23,361.30 3,045.30 3,045.30
MATTHEWS ASIA DIVIDEND
R./ND INSTL
Symbol: MIRX
Trade date: Mn 29, 13 2,156.431 14.849 32,023.00 32,023.00 *see 35,753.62 3,730.62 LT
Trade date: Feb 1, 13 481.951 15.069 7,263.00 7263.00 16.580 7,990.75 727.75 LT
Total reinvested 23.543 15.841 372.96 16.580 390.34 17.38
EAI: 11,293 Current yield: 2.93%
Security total 2.661.925 14.899 392E6.00 39,658.96 44,13431 4,47575 4,848.71
SIT DIVIDEND GROWTH FUND
CLASS I
Symbol: SOVGX
Trade date: /an 29, 13 2,333.831 15.400 35,941.00 35,941.00 19070 44,506.15 8,565. IS LT
Trade date: fun 11, 13 624.804 16.569 10353.00 10,353.00 19.070 11,915.01 1,562.01 LT
EAI: 1769 Current yield 1.36%
Security total 2,958.635 15.647 46294.00 46294.00 56,421.16 10,127.16 10.127.16
continued next pogo
CNP70003005782960NP700019815600004 OBI 4030575001 VI2357155010%Ac om0002/Riss 38 of 90
CONFIDENTIAL
EFTA_00131963
EFTA01274170

UBS Strategic Advisor Account name: GHI5LAINE MAXWELL Your N nandal Advisor:
*UBS Friendly account naino:Indiv. V49935006 SCOTT STACKMANLYLE CASRIEL
August 2014 Account number. Y1 23571 55 212821-7000/800-308-3140
Your assets a Equities . Mutual funds (continued)
Purchase mice
Number Average pace client Cost Price per share Value on Unrealized (tan Investment Hotting
Hddng of shares per share (S) tnvestrneml basis ft) on Aug 29 (I) Aug 29 (S) gain or loss (I) return (5) period
TORTOISE IVLIa & PIPELNE
CLASS
RIND INSTL
Symbol. TORIX
Trade date Jan 29, 13 2296372 13.330 30616.00 30,61600 19.670 45,177.54 14,561.54 14,561.54 LT
EAI 1544 Current yield 1 20%
Total 5243,500.00 5245,32227 3219,094.05 544,571.77 $46,394.05
Total estimated annual income: 54.987
Fixed income
Mutual funds
Total tort.- r. the iota of as reinvested dexknds n does not include any cash dvdends. it Is not a ("tweak:el (rad gain of loss is the dfference between the current vdue and the cost basis and hood
tar lot for th,i P1400105 of determInng hddnQ periods or cost baso The shares you receive each lire you generally be )bur taxable gam or loss if sec Oh was sold on cinte The urtrerAged Oa/Ono( loss may
reinvest dvdends become a separate tax lot. need lo be adurted for return of capni p4menis in order to deterrrine the realised gin or lass for tan
Cost boos is the total purchase cost of the security. Ind udng reinvested d %teem% The cost basis may rePOning purposes
need to be ado:NO for return d capital payments in order to detennne the acIluStedC09 bags for ray hwvntmenf return is the current vat* minus the amount you invetted t does not include shares that ae not
reporting purposes reflected on rur statement, indudng shares that hare been red iced as either a gain cc a loss it also does not
include cash dudends that were not reinvested
Purchase
Nuirber Average pnce Client Cost Price per shut value on unrealized (tail irriestmern Honing
Frldng of shares per share (S) investment (3) balls cn Aug 29 ($) Aug 29 (5) gain or lOSs (s) return (5) CertEd
AVENUE CREDIT STRATEGIES
FUND CLASS INSTL
Symbol: ACSBX
Trade date: Nov 12, 13 910.736 11.270 10,264.00 10,264 00 11.850 10,792.22 528.22 ST
Trade date: Nov 18, 13 912.566 11.300 10,312 00 10,312 00 11.850 10,813.90 501.90 ST
Trade date: Nov 25, 13 911.661 11.319 10,320.00 10,320.00 11.850 10,803.18 483.18 ST
Total reinvested 57.231 11.721 670.86 11.850 678.19 7.33
Ea 31,256 Current yield 3 80%
Sectrity total 2,792.194 11.305 30,895.00 31$66.86 33,087.49 1,520.63 2,191.49
ERACKROCK HIGH YIELD
BOND I
Symbol: BHYIX
Trade date: Jan 29, 13 4,811.156 &200 39,4 51.48 39,451.48 8.420 40,509.93 1,058 45 LT
continued next page
SDNY GM 00021344
c encoOmos71329En Nezoc0b931560oCos Cala 03057%04 vt23571550100000 Page 39 of 90
CONFIDENTIAL
EFTA_0013 1964
EFTA01274171

UBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Mounds' Advisor,
friendly account name: Indiv V49935OO6 SCOTT STACK MANLYLE CASRIEL
August 2014
Account number. YI 23571 SS 212421.7000? 800-308.3140
Your assets . Fixed income . Mutual funds (continued)
Purchase pied
Nclenn o N f u sh m a b re e s r A p v e e r r a t g h e a w pr i ( c 5 e ) investme C n l t i e C n S t ) bas C is o ( s !) t P o ri n c e A p u e g r 2 s 9 h a ( r 5 e ) A V u a g l 2 ue 9 o to n U g nr i e n a o liz r e lo d s 0 s 0 (5 3 ) im m es u u m ne ( n S t ) H p O e l r d i i o ri d g
Trade date: kin 27, 13 2,481.156 7.959 19,750.00 19,750.00 8.420 20,891.33 1,141.33 LT
Total reinvested 202.497 8.360 1,693.96 8420 1,705.02 11.96
(Al: $3,567 Current yield: 5.65%
Security total 7,494.809 8.125 59,201.48 60,894.54 63,105.29 2,211.74 3,904.80
COHEN & STEERS PREFERRED
SEC & INC FUND I
Symbol: CPXIX
Trade date: tan 29, 13 3,002.068 13.487 40,490.57 40,490.57 13.740 41,248.41 757.84 LT
Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.740 10,176.19 257.79 LT
Trade date: tun 14, 13 751.274 13.309 9,999.02 9,999.02 13.740 10,322.50 323.48 LT
Total reinvested 136.347 13.551 1,847.66 13.740 1,873.41 25.75
EAI: $3,852 Current yield:6.05%
Security total 4,630.314 13.445 60,407.99 62255.65 63,620.51 1,364.86 3,212.52
DOUBLE LINE TOTAL RETURN
FUND INSTL
Symbol: DBLTX
Trade date: )an 29, 13 12,496.155 11.379 142229.00 14222000 11.000 137,479.71 -4,749.29 LT
Total reinvested 310.215 10.954 3,398.23 11.000 3,412.37 14,14
EAI: $7,185 Current yield: 5.10%
Security total 12,806.370 11.370 142,229.00 145,627.23 140,892.07 -4,73515 • 1,336.92
EATON VANCE FLO/41114G
RATE ADVANTAGE CL I
Symbol: DFAX
Trade date: )an 29, 13 7.524.150 11.180 84,120.00 84,120.00 11.090 83,442.82 -677.18 LT
Total reinvested 171.341 11.145 1,909.74 11.090 1,900.17 4.57
EAI: $3,986 Current yield: 4.67%
Security total 7,695.491 11.179 84,120.00 86,029.74 85,342.99 •68675 1222.99
HARBOR HIGH YIELD BO FD
INSTITUTIONAL CL
Symbol: HYFAX
Trade date: Jan 29, 13 2.660.657 11.239 29,905.78 29,905.78 11.080 29,480.08 -425.70 LT
contoued next page
CNP70009005782902 NP7OOO198156OOO:4 %I4 030575004 Y12357155O lOgaticGmOOO21Was 40 of 90
CONFIDENTIAL
EFTA_00I 3 1965
EFTA01274172

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Mnandal Advisor:
*UBS Friendly account name: Indiv V49935006 SCOTT STACKMANLYLE CASRIEL
August 2014 Account number. VI 23571 55 212-821-7000/800-308-3140
assets . Fixed income .
Your Mutual funds (contrived)
Purchase Mel
Nurrbee Average price client Cost Price per snare value on unreanzedaa4 investmmt ticking
Wiling or shares per share (I) investment (1) Oasis (1) al Aug 29 (1) Aug 29 ($) gain or loss (1) return ($) period
Total reinvested 67.076 11.039 740.49 11.080 743.20 2.71
EAI: $1,721 Current yield. 5.69%
Security total 2,727.733 11.235 29,905.78 30,646.27 30223.28 -422.99 317.50
HSBC TOTAL RETURN
RIND CLASS I
Symbol: HTRIX
Trade date: /an 29, 13 3.858.567 10289 39,704.65 39,704.65 10.310 39,781.82 77.17 77.17 LT
(Al: $783 Current yield 1.97%
JP MORGAN MULTI-SECTOR
INCOME FUND SELECT SHS
Symbol: .1519<
Trade date: Ian 29, 13 4,784.864 10.260 49,092.71 49,092.71 10.320 49,379.79 287.08 LT
Total reinvested 54.221 10.366 562.08 10.320 559.56 -2.52
EAI: $1,195 Current yield: 2.39%
Security toter 4,839.085 10.261 49,092.71 49,654.79 49,939.35 284.56 846.64
METROPOUTAN WEST TOTAL
RETURN BOND FUND CLASS I
Symbol. MWTtX
Trade date: Oct 24, 13 7,192.344 10.709 77,030.00 77,030.00 10.890 78,324.63 1,294.63 ST
Total reinvested 92.556 10.771 996.97 10890 1,007.93 10.96
EAI: $2,047 Current yield: 2.58%
Security total 7,284.900 10.711 77,030.00 78,026.97 79332.56 1,305.59 2,302.56
MDGEWORTH SEIX FLOATING
RATEHIGH INCOME FUND
CLASS I
Symbol: SAMBX
Trade date: /an 29, 13 6,502.655 9.039 58,784.00 58,784.00 9.020 58,653.94 .13006 LT
Total reinvested 135.228 9.053 1224.23 9.020 1219.76 -4.47
EAI: $2,456 Current yield: 4.10%
Security total 6,637.883 9.040 58,784.00 60,00823 59,873.70 -134.53 1,069.70
T ROWS PRICE
c-onvnued nest page
SDNY GM 00021346
CNP70003005702%3NP701:0193156 00004 0011 030575004 Y1235715501000;0 Pap 41 of 90
CONFIDENTIAL
EFTA_00131966
EFTA01274173

BS
*U UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your lq nancial Advisor
friendly account name:Indiv V49939X6 SCOTT STACK MANLYLE CASRIEL
August 2014 Account number. Y1 23571 55 212-821.7030/800-308-3140
assets r Fixed income •
Your Mutual funds (contrived)
Purchase puce
reurron Averag. pxe Client Cost Prue per Ptak Value on unrealizedOm) irnestment Holding
Hddng of shares ;el share (1) investment (S) basis (I) cri Aug 29 (S) Aug 29(5) gain or lots (5) return (S) period
INSTITUTIONAL FLOATING
RATE F CLASS
Symbol. PFFRX
Trade date: Jan 29, 13 5394.060 10.270 55397.00 55397.03 10.230 55,181.23 •215.77 LT
Total reinvested 91.038 10.267 934.73 10.230 931.32 -3 41
EAI: 32,282 Current yield. 4.07%
Security total 5.485.098 10,270 55397.00 56.331 73 56.112 55 .21918 71555
Total $686,768.61 $700,746.66 $701,312.61 $565.95 $14.544.00
Total estimated annual income: 530330
Non-traditional
Mutual funds
Toler teinveste4 is the told dal reinvested dwdends a does not include any cash dyldends. II is not a lar ttnte.iked NO gum or loss is the Ofference between the current value and the cost basis and would
lot for the purposes of determining hold rg periods or cost basis The shares you receive each time you tanelary be yaw Ratable Once loss if tho sec oily was sold cn urn date. The unealued (tag canoe loss
reinvest dwdends become a separate tax CI. may need to be altrited tor return of Captalmmems in order to determine the reazed gain or las for tax
Cost Ana 6 the total purchase cost of the security. inducing reinvested dvdends Ire cost basis may need (Moiling Purposes.
to be actin:redfor return ci capita payments in order to deterrent the aclusted cost basis for tat reponng 'ornament team is the current vat, minus the amount you invested it does not include shares that are not
purposes reflected on your statement. .nciudng shares that have been realized as either a gin a a loss It also does
not .Nude cash d VcIends that were not rei retested
Purchrt Once
Hunter Average pace Client Cost Pre* per share Value on Unreatind (tat) imettrnet1 ticking
Hddng of sham; per than, (1) investment (5) basis (3) 01 Aug 29 (S) Aug 29 oil gain or lots (1) return (5) period
GATEWAY FUND CLASS Y
Symbol: GTEYX
Trade date: /an 29, 13 1,089.208 27,580 30,04036 30,04036 29.760 32,414.83 2,374.47 LT
Total reinvested 9.249 29.128 269.41 29.760 275.25 584
EAI: 3514 Current yield 1 57%
Security total 1,095.457 27.593 30,040.36 30,309.77 32,693.08 2,380.31 2,649.72
CHP70309005782984 NP7000198156 03034 CEO 4 030575004 Y123571550 10911§g yGm0002liese 42 of 90
CONFIDENTIAL
EFTA_00 I 31967
EFTA01274174

sUBS UBS Strategic Advisor Account nanie: GHISLAINE MAXWELL Your !Mandel Advlsor:
Friendly account name:Indiv.V49935006 SCOTT STACKMAMLYLE CASRIEL
August 2014 Account number. Y1 23571 55 212-821-7030/800-308-3140
VOM. aSSetS(commuecl)
Your total assets
Fexentage d con Eflmate0 unremred
value an Aug fl (S) your mault ,....u...s 01 annual mcccre (S) gan Or 10'4 (S)
Eguities Mutual funds 289,894.05 28.31% 245,322.27 4.987.00 44,571.77
rund income Mutual funds 701,312.61 68.50% 700.746.66 30.330.00 565.95
Nos-traditional Mutual funds 32,690.08 3.19% 30.309.77 514.00 2.380.31
Total 51,023,896.74 100.00% 5976,378.70 535,831.00 347,518.03
Account activity this month
Ode Actlety Dexl:410n Amount (S)
Dividend und interest imorne
1-webte dmdends Aug 1 Cividend METROPOUTAN WEST TOTAL RETURN BOND FUND CLASS I AS OF 07731/14 165.24
Aug 1 Cividend RIDGEWORTH SEIX FLOATING RATEHGH INCOME FUNDCLASS I ASOF 208.15
07131/14
Aug 1 Cividend DOUBLE UNE TOTAL RETURN FUND INSTL AS OF 07/31/14 592.37
Aug 1 Dirdend COHEN IP STIERS PREFERRED SEC & INC FUND I ASOF 07/31/14 308.72
Aug 1 Cividend EATCN VANCE FLOATINGS RATE ADVANTAGE C L I ASOF 07131/14 333.53
Aug 1 Cividend )P MORGAN MILT-SECTOR INCOME FUND SELECT >IS 115.87
Aug 1 Duldend T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS ASOF 07/31/14 192.36
Aug 1 Duidend BLACKROCK HIGHVELOBOND I AS OF 0713014 292.48
Aug 1 Cividend HS8C TOTAL RETURN FUND CLASS I 38.59
Total taxable dividends $224731
Total dividend und interest income $224731
Date Desomen Anatol (S)
eher funds debited Aug 4 Transfer TO Y1235750100 -38.59
Total other funds debited -53859
SIDNY GM 00021348
CNP703030057132985 NP70001931 56 00001 0314 030575004 Y123571550100000 Page 43 of 90
CONFIDENTIAL
EFTA_00131968
EFTA01274175

*UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Knandal Advisor:
Friendly account name: Indiv V49935006 SCOTT STACK MANY LYLE CASRIEL
Aught 2014 Account number. Y1 23571 55 212.821.7000/800.308.3140
Account activity this month
(Contrived
Investment transactions
For more Infoirnehon Snout the prkei value shown for restricted secuatles, see important Mformation Soot
your statement at the end of this downent
Proceeds fron FundS
Investment withdrawn fcr moved
Date Actnity Description QueOlity Value (S) PAce CS) transactions 0) imestmems bought (1) imeres1 (S)
Aug 1 Reinvestment METROPOLITAN WEST TOTAL RETURN BOND 15.286 -165.24
FUND CLASS I DIVIDEND REINVESTED AT 10.81
NAV ON 07/31/14 AS 0,07/31/14
Aug 1 Reinvestment RIDGEWORTH SEC( FLOATING RATEHIGH 23.076 -208.15
INCOME FUND CLASS I DIVIDENDREINVESTED
AT 9.02 NAV ON 0713 U14 AS OF 07/31114
Pug 1 Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL 54.147 -592.37
DV1DEND REINVESTED AT 10.94 NAV ON
07/31/14 ASOF 07/31/14
Aug 1 Reinvestment COHEN & STEERS PREFERRED SEC & 01C RIND I 22.584 -308.72
DIVIDEND REINVESTED AT 13.67 NAV ON
07/31/14 AS OF 07/31/14
Aug 1 Reinvestment EATON VANCE FLOATING RATE ADVANTAGE CL 29.994 -333.53
I DIVIDEND REINVESTED AT 11.12 NAV ON
07/31114 AS OF 07/31114
Aug 1 Reinvestment .IP MORGAN MULTI-SECTOR INCOME FUND 11.206 -115.87
SELECT 5115 DIVIDEND RENVESTED AT 1034
NAV CN 07/31/14
Aug 1 Reinvestment T ROWE PRICE INSTITUTIONAL BOATING RATE F 18.785 -192.36
CLASS DIVIDEND RENVESTED AT 10.24 NAV ON
07/31/14 AS OF 07/31114
Aug 1 Reinvestment BLACKROCK HIGH YIELD BOND I DIVIDEND 35.239 -292.48
REINVESTED AT & 30 NAV ON07,31114 AS OF
07131/14
Total -12.208.72
Date Activity Oescription Arrount IS)
Money balance activities Jul 91 Balance forward $0.00
Aug 4 Deposit UBS BANK USA DEPOSIT ACCOUNT 38.59
Augs Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF MEW 14 -38.59
Aug 29 Closing UBS Bank USA Deposit Account $0.00
The UBS Bank USA Depnst Account Is your primary sweep apt on
CNP700090057132996 NP70031931 56 00004 0814 C80575004 Y123571550 10%fficG M 000211l9gg 44 of 90
End of statement for account number Y1 23571 S5
CONFIDENTIAL
EFTA_00131969
EFTA01274176

Important information about your statement
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- You car obtain addannal internam, regaling the - INe aldose- *Are abo read., retenekng rid lierestmmt. II5Ulatt andomit/or product,
methodology used to determine the elms, of VIM owntusprocesung lees in ortvdeithon for trailer riot FDC holed • No batik gummier* May lad van
and the dare of the hronnacon Ma Is the bans fa the agent amines man we prow:aro the maual fund;
Mann hyaena:Mg wur Finrdal Athisor Thew fees genet" at pad loom immix ram in the MAA Resource Mmarterini &comm. Business Wynn
mutual laid ad re a tbid CIOVSTOUll bawl on the Axone SSA. irMA and enema/nal Resonrce Mathgthren
SDNY_GM_00021351
CONFIDENTIAL
EFTA_001 3 197 1
EFTA01274178

UBS Financial Services Inc. UBS Strategic Advisor
*UBS 299 Park Avenue
25th Floor
New York NY 10171.0002 September 2014
CN470055526170911 X17 Y1 0
GHISLAiNE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065.7007
Account name: GHISLANE MAXWELL
Friendly account name: Indiv. V49935006
Account number. Y 1 23571 SS
Your 6nancial Advisor-
SCOTT STACK MANILYLE CASRIEL
Fficoe: 212-821-7000'800-308-3140
Questions about your statement Value of your account
Call your Financial Advisor or the
RMA Resourceline at 800-RMA-1000, on August 29 a) on September 30 (5)
account 029323 571
Your assets 1,023,896.74 1,009,316.80
VisItour voebilte: Your liabilities 0.00 0.00
www.ubscoffillinancialservices
Value of your account 51,023,896.74 51,009,316.80
Sources of your account growth
Tracking the value of your account during 2014
Value of your account
at yea' end 2013 10.00
ThcLfianC$
Net deposits and
' 0":7 EON 3 withdrawals 1981263.47
• • Vow nostrum t return
Dividend and
interest income 420,472.38
Chance in
market value 47,580 95
Value of your account
on Sep 30. 2014 $1,009.316.80
Aug 2014 Sep 2014
SDNY GM 00021352
Member 3IPC CNP703030C6557617NP70CO29330003C04 0914 0305750047123571550 1103C0 Page 33 of 100
CONFIDENTIAL
EFTA 00131972
EFTA01274179

SUBS
UBS Strategic Advisor Account name: GRISLAINE MAXWELL Your ARandal Advisor.
Friendly account name: Indiy V499350% SCOTT STACK MANLYLE CASRIEL
September 2014 Account number: Y1 23571 55 212.821.70001800.3083140
Your account balance sheet
Summary of your assets
Value on Percentage of
September 30(8) your XCOUnt
A Cash and rrxmey balances 0.00 000% Your current asset allocation
B Cash alternatives ace 0.00%
C Equities 281,512.43 27.89%
D Fixed income 695,258.78 68.89%
E Non-traditional 32,545.59 3.22%
F Commodities 0.00 000%
G Other 0.00 000%
Total assets 11,009,316.80 100.00%
Value of your account $1,009,316.80
Eye on the markets
Percentage Change
Index September zol 4 Year to date
S&P 500 -1.40% 8.34%
Russell 3000 -2.08% 6.95%
MSC1- Europe, Australia & Far East -3.81% -0.99%
Barclays Capital U.S. Aggregate Bond Index -0.68% 4.10%
Interest rates on September 30, 2014
I
One-month LIBOR: 0.16%
CW7000300655261 8 NP7003293800 00084 0314 0305750N VI 23 571 550 11MtivGtkoccatigs334 of 100
CONFIDENTIAL
EFTA_00131973
EFTA01274180

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your IIs andal Advisor:
UBS Friendly account naMe:Indiv v49939006 SCOTT STACKMANLYLE CASRIEL
September 2014 Account number. Y1 23571 55 212-821-7000'800-308-3140
Change in the value of your account Summary of gains and losses
September 2014 (3) Year to date (S) Yaws reported telcw exclude products tot which gam andlosses are not classified
Realized gains and losses Unrealized
Opening account value $1,023,896.74 $0.00
September 2014 (1) Year to date (S) gains and Asses (4)
Deposits, including investments
transferred in 0.00 1,160,805.66 Short term 0.00 0.00 4,042.10
Withdrawals and fees, Long term 0.00 0.00 25,298 49
including investments transferred
Total $0.00 $0.00 $29,340.59
out -38.59 -179,542.19
Dividend and interest income 3,636.06 20,472.38
Cash activity summary
Change in market value -18,177.41 7,580.95
See account activity the month tot delah. Balances in your Sweep Opbons are indudedin the cpenng and
Closing account value $1,009,316.80 $1,009,316.80 closing balances roue. FDIC insuunce *chat only to deposits at uss Bank user, rot to deposits a UBS AG,
Stamrced Penh or bank deposits paced thiough the UBS intemaiortzi crow Account progtam SIPC
protection applies to money market sweep find hddings but nal bank deposits Seeimportant inktimation
Dividend and interest income earned abOut you( statement on the last two pages ci this document for <Mak
September 2014 (5) Year to date (S)
For cuipop.f, of ins statement, ta.ati:ity of 'merest ano ckncieno interne ivy, been determined non a US Opening balances $0.00 $0.00
tat reporting nerved's. eased upon the residence of the account hold,,, account type, or product tme
some interest ardor dvidend payments mar not be subiect to United States (US) ardor Puerto Rico (PR) Addkions
Income tarts. The (lent month statement is not intended ho be used and cannot be weed upon for tar
purposes. Clients should refer to the appktie tar reporting font,' they recent from 185 annualy, such as Deposits and other funds credited 0.00 71,462.49
the rens NM and me Eons 480. for Is remning intorMatiOn It IS the Make Of U85 to file tht
Spkatie tar tenoning foams with the US intend Revenue SenSt aid PR Treasury ()Mailmen*. and in Dividend and interest income 3,636.06 20,472.38
such form accurately cIssify cilicknct ardor interest as tar exempt or taable income. Mese consult you
Induct's' tab PrePais Total additions $3,636.06 $91,934.87
September 2014 (1) Year to date IP Subtractions
Taxable dividends 3,636.06 20,140 47 Professional management fees and
related services 0.00 -1,457.28
Long-term capital gains 000 32555
Other funds debited -38 59 -70,810.43
Taxable interest 0 00 6.36
Funds withdrawn for investments
Total current year $3,636.06 $20,472.38 bought -3,597 47 -19,667.16
Total dividend & interest $3,636.06 12O172.38 Total subtractions -$3,636.06 -$91,934.87
Closing balances $0.00 $0.00
SDNY GM 00021354
c tinzcOdadOisSSZEii 9 NP7003290800 COCCI 0914 030579004 Y12357155011000) Page 35 of 100
CONFIDENTIAL
EFTA 00)31974
EFTA01274181

*UBS UBS Strategic Advisor Account name: GHIRAINE MAXWELL Your Amends' Advisor
Friendly account name:Indiv V49935;106 SCOTT STACKMA:1%Ni" CASFOEL
September 2014 Account number Y1 23571 55 212.821.7000/800.306.3140
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
Fnancial Advisor or Branch Manager. You can find a full description of the altemanve
investment objectives in Important information about wor statement at the end of this
document
Your ratan: objective:
Current income & capital appreciation
Your tisk profile:
Pnmary - Moderate
Investment eligibinty consderation - None selected
Your account instructions
• Your account is currently coded for margin.
• lots account cost basis default closing method is RFO, First In, First Out
CUM:009006552620 NnOCOnia800 COON 0914 030575004 Y123571550119itiiwmtgoollge5r536 of I CO
CONFIDENTIAL
EFTA 00131975
EFTA01274182

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your II nodal Advisor:
*UBS Friendly account name:Indiv y49935C06 SCOTT STACKMANLYLE CASRJEL
September 2014 Account number. Y1 23571 55 212-821-7000/800-308-3140
Your assets
Some prices, income and current values shorn may Ix Epproximale. As a reste. gains aid losses may nol
be &wady refkatd. Set Aporhan inkamation about your statement a the end of ths dxumem for
rm. infornason.
Equities
Mutual funds
Iota rent-tea d the iota dal reinvested dwdends II does rot include any cash dsich ads. a is not a la tinf ealaed (far) gain or loss is IM dfference between the currenl value and th cost bass aid would
lot for the purposes of determining hold na periods or cost basis. the shares you receive each time you genera be your taut* gan a loss if the seculty was sold on ttes date. The unreas2ed gag gan or loss
remiesi d %Wench becomes separate tax Pt. may need to be flushed for return of caatal payments In older to determine the 'edam' gain or IC61 for tat
reporting purposes.
Cost bah; is the tots purchase cost of the security, inducing reinvested ci udends The cost basis may reed
to be &lusted for return Cl cams payments in order so deterrryne the alusted cost bars for la repdaing /ointment realism is the current value mews the amount you imele0 It does not include ShaltS INK are not
purposes. (elected on you, statement, mowingshares that haw been realized as either a gan or a IOSs It also dOeS
not include eathdoclends then were not reinvested.
Purchase owe
thrrber Avelage pace Client Cost Price oer Share Value on Unrealizedurn imestment Hddrig
Etching of shares per Shale 4s/ investment (3) DaSIS(3) 041 Sep 30 (SS Sep 30 (5) gain or losi (Si return (S) Celled
CLEARBRIDGE
EQUITY INCOME FUND
CLASS I
Symbol. SOPYX
Trade date: Jun 26, 13 1,179.249 16.769 19,776.00 19,776.00 19.690 23219.41 3,443.41 LT
Trade date: /an 14, 14 296210 18.470 5,471.00 6471.00 19.690 5,832.37 361.37 ST
Trade date: Jan 15, 14 283.181 18.549 5253.00 5,253.00 19.690 5,575.83 322.83 ST
Trade date: /an 16, 14 282.731 18.529 5239.00 5239.00 19.690 6566.97 327.97 ST
ST
Trade date: Jan 17, 14 298.430 18.469 5,512.00 5,512.00 19.690 5876.09 364.09
Total reinvested 26.354 19.186 505.64 19.690 518.91 13.27
EAI: 1826 Current yield 1 77%
Security total 2366.155 17.647 41,251.00 41,756.64 46,589.59 4,832.94 5338.58
COLUMBIA CONVERTIBLE
SECURITIES FUNDCLASS Z
Symbol: NCLAX
Trade date: Dec 19, 13 1.147.177 17.890 20.523 00 20.52300 19.190 22,014.33 1,491 33 ST
Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,942.00 19.190 16,126.89 184.89 ST
Total reinvested 53.109 19.394 1,030.01 19.190 1019.16 -10.85
EAI: 4967 Current yield 147%
continued next page
SDNY GM 00021356
Chie70007005552671 WT003218800 00001 09i4 030575004 Y123571550110000 Page 37 of 100
CONFIDENTIAL
EFTA_00131976
EFTA01274183

4tUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your inandd Advisor.
Friendly account name: Indiv V49935006 SCOTT STACK MANY LYLE CASRIEL
September 2014 Account number, v1 23571 55 212.821.7000/800.308.3140
Your assets . Equities . Mutual funds (Coannued)
Purchase wet
Hunter Amp? peke Client Cost Pnce per Share Value on unresIndOs3 Investmed Hddng
Hddng of shares geisha'. (S) investment IS) Oasis (1) on Sep 30(1) Sep 30 (S) vain °floss (S) return (S) period
Security total 2,040.666 18.374 36,465.00 37,495.01 39,160.38 1,665.37 2.695.38
HARBOR CONVERTIBLE
SECURMES FUNDCLASS I
Symbol: HACSX
Trade date: Ian 29, 13 1,872.780 10.250 19,196.00 19,196.00 11,150 20,881.49 1,685.49 LT
Trade date: Jun 17, 13 960.534 10.489 10,076.00 10,076.00 11.150 10,709.95 633.95 LT
Total reinvested 27.030 11.272 304.70 11.150 301.38 -3.32
EAI: 3589 Current yield 1.85%
Security total 2,860.344 10.340 29272.00 29,576.70 31,892.83 2,316.12 1620.82
JP MORGAN INTREPID
EUROPEAN INST
Symbol: OEM
Trade date: Aug 1, 13 435.452 23.134 10074.00 10,074.00 25.700 11,191.11 1,117.11 LT
Trade date: Aug 6, 13 439.831 23.286 10242.00 10,242.00 25.700 11303.65 1,061.65 LT
(Al: 475 Current yield: 0.33%
Security total 875.283 23.211 20,316.00 20,316.00 22,494.77 2,178.76 2.178.76
MATTHEWS ASIA DIVIDEND
FUND INSTL
Symbol: MIPIX
Trade date: Jan 29, 13 2,156.431 14.849 32,023.00 32,023.00 15.780 34)328.48 2,005.48 LT
Trade date: Feb 1, 13 481.951 15.069 7263.00 7263.00 15.780 7,605.19 34119 LT
Total reinvested 52.286 16.005 836.87 15.780 825.07 -11.80
EAI: 11,445 Current yield: 3.40%
Security total 2.690.668 14.912 392E6. 00 40.122.87 42,458.74 2,33587 3.172.74
SIT DIVIDEND GROWTH FUND
CLASS I
Symbol: SOVGX
Trade date: Jan 29, 13 2,333.831 15.400 35,941.00 35,941.00 18330 43,712.65 7,771.65 LT
Trade date: Jun 11, 13 624.804 16.569 10353.00 10,353.00 18730 11,702.58 1,349.58 LT
(Al: 3769 Current yield 1.39%
Security total 2,958.635 15.647 46294.00 46294.00 55,415.23 9,121.23 9.121.23
continued next page
CNP70003006552622NP7000293800 00004 0914 03057500T VI 2357155011igtffiymcoocaliss738 of 100
CONFIDENTIAL
EFTA_00131977
EFTA01274184

UBS Strategic Advisor Account name: GHISLA1NE MAXWELL Your 1isandal Advisor:
*UBS Friendly account name:Indiv V49935006 SCOTT STACKMANLYLE CASRIEL
September 2014 Account number. Y1 23571 55 212-821-70001800-308-3140
assets Equities .
Your e Mutual funds (continued)
Purchase poor
Number Averary pace Client Cost Face per sheet value on Unrealized Oa.) investment Hold rig
Hddng of shares per share (9) investment C91 basis el) on Sep 30(9) Sep 30 (S) goIn °floss (I) return(S) period
TORTOISE & RIRELNE
CLASS
FUND INSTL
Symbol. TORIX
Trade date /an 29, 13 2296.774 13.330 30,616 00 30,616 CO 18.940 43,500 89 12,834.89 12284.89 LT
EAI: 3544 Current yield 1 25%
Total $243,500.00 3246,17722 3291,512.43 535,335.18 338,012.93
Total estimated annual income: $5.215
Fixed income
Mutual funds
Total teinvestef d the total of at reinvested dydends n does not include any cash dvicknds. e Is not a Untraleed (rat) gain or loss is the dfference between the current value and the cost basis and would
tar lot for the purposes of determirenq hddnig pencels or cost baSzt. The shares you receive each time you ceneraly be your ramble San ce loss 4 the security was sow awes date. The urred,zed Rad CgIn a loss may
reinvest dvdenck become a separate tar lot. need lo be adusted for return of capti payments in order to deterrent the rewired gain or loss for tar
Cost basis is the total purchase cost of the security. inducing reinvestedduo/ends The cost basis rnsy reporting putpCezeS
need to be ousted for return d capital payments in order to detesmne the oa tared coo Teal for tar hwestmerrf meter is the current value minus the amount you invested k does not include shares that ale not
reporting purposes. reflected on )our statement, Ind udng shares that hare been marredas either a gain a a loss It also does not
include cash I:sedan:is that were not reinvested
Purchase pricer
Winter Average price Client Cost Price per share value on unrealized Om) trnestment Hold *a
Hcldng of shares cal shale ($) investment (S) basis (1) on Sep 30(9) Sep 30 (I) gainOr1M (I) return (5) Wed
AVENUE CREDIT STRATEGIES
FUND CLASS INSTL
Symbol: ACS8X
Trade date: Nov 12,13 910.736 11.270 10,264.00 10,264 00 11.460 10,437.03 173.03 ST
Trade date: Nov 18, 13 912.566 11 300 10,312.00 10.31200 11.460 10,458.01 146.01 ST
Trade date: Nov 25, 13 911.661 11.319 10,320.00 10,320 00 11.460 10,447.63 127.63 ST
Total reinvested 57.231 11.721 670.86 11.460 655.87 -14.99
(Al: 51,256 Curent yield: 3.93%
Sectrity total 2,792.194 11.305 30,896.00 31,566.86 31,998.54 431.68 1,102.54
RACK ROCK HIGH YIELD
BOND I
Symbol: 8HYIX
Trade date: /an 29, 13 4,811 156 8.200 39,451 48 39,451 48 8.200 39,451 47 -0.01 LT
continued net page
SDNY GM 00021358
CelP7C009305552623 NP7003218800 00004 0914 030575004 YI 23571 SSO 110000 Pug* 39 of 100
CONFIDENTIAL
EFTA_00131978
EFTA01274185

UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Komodo! Advisor
friendly account name: Indiv V4993S006 SCOTT STACK MANLYLE CASRIEL
September 2014 Account number. Y1 23571 55 212.821.70001800-308.3140
Your assets . Fixed income . Mutual funds (continued)
Purchase Pled
Number Average price Client Cost Price per share Value On unrealised Gal Investment Holdng
Hating of stores per share (1) investmmt (S) bailt (S) on Sip 30 (1) Sep 30 (S) vein of loss (s) Mum (S) period
Trade date: km 27, 13 2.481.156 7.959 19,750.00 19,750.00 8.200 20,34548 595.48 LT
Total reinvested 237.868 8.369 1,990.88 4200 1450.52 -40.36
EX $3,562 anent yield: 5.77%
Security total 7,530.180 8.126 59201.48 61,192.36 61,747.47 555.11 2,545.99
COHEN & STEERS PREFERRED
SEC & INC FUND I
Symbol: CPX1X
Trade date: )an 29, 13 3,002.068 13.487 40,490.57 40,490.57 13.560 40,708.04 217.47 LT
Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.560 10,042.87 124.47 LT
Trade date: km 14, 13 751.274 13.309 9,999.02 9,999.02 13.560 10,187.27 188,25 LT
Total reinvested 158.926 13.578 2,157.90 13.560 2,155.04 -2.86
(Al: $3,853 Current yield:6.11%
Security total 4,652.893 13.447 60,407.99 62,565.89 63,093.22 527.33 2.685.23
DOUBLE LINE TOTAL RETURN
FUND INSTL
Symbol: DBLTX
Trade date: /an 29, 13 124503.155 11.379 142.229.00 142,229.00 10.940 136,729.82 -5,499.18 LT
Total reinvested 362.069 10.960 3,968.62 10.940 3,961.03 -7.59
EAI: $7,112 Current yield: 5.06%
Security total 12,860.224 11.368 142229.00 146,197.62 140,690.85 -5,50877 •1,538.15
EATON VANCE FLOATING
RATE ADVANTAGE CL I
Symbol: EIFAX
Trade date: )an 29, 13 7,524.150 11.180 84,120.00 84,120.00 10.960 82464.68 -145532 LT
Total reinvested 202.179 11.137 2,251.73 10.960 2,215.88 -35.85
(Al: $4,010 Current yield: 4.74%
Security total 7,726.329 11.179 84,120.00 86,371.73 84,680.% •1,691.17 560.56
HARBOR HIGH YIELD BD ID
INSTITUTIONAL CL
Symbol: MIA%
Trade date: /an 29, 13 2.660.657 11.239 29,905.78 29,905.78 10.720 28,522.24 -1,383.54 LT
continued next page
CNP700030416552624 NP7000293800 00004 0914 030575004 Y123571550 1 1l igthiwGpkgocaggsg40 of I CO
CONFIDENTIAL
EFTA_00 I 31979
EFTA01274186

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Mnandd Advisor-
*UBS Friendly account name:Indy.. V49935006 SCOTT STACKMANLYLE CASRIEL
September 2014 Account number '0 23571 55 212-821-700(V 800-308-3140
YOU/. assets . Fixed income .
Mutual funds (corionued)
Purchase Owe/
Nurrber Anveeriageerietet invest Cllteg Cost Pnce per share Value on Unrealized (00 investment HolcIng
Wising of shares Oasis 0) on Sep 300) Sep 10 (f) gain or loss (f) return 01 period
Total reinvested 100.864 10.942 1,103.71 10.720 1,081.26 -22.45
EAI: $1.712 Current yield: 5.78%
Security total 2,761.521 11.229 29,905.76 31,009.49 29,603.50 -1,40599 -302.28
FISBC TOTAL RETURN
RIND CLASS I
Symbol: MINX
Trade date: /an 29, 13 3658.567 10.289 39,704.65 39,704.65 10.310 39,781.82 77.17 77.17 LT
EN: $795 Current yield 2.00%
JP MDRGAN MULTI-SECTOR
INCOME FUND SELECT SHS
Symbol: 151SX
Trade date: Jan 29, 13 4.784.864 10.260 49,092.71 49,09231 10.210 48,853.45 -23926 LT
Total reinvested 69.226 10.356 716.93 10.210 706.80 -10.13
EAI: 41,359 Current yield: 2.74%
Security total 4,854.090 10.261 49,092.71 49,809.64 49,560.25 .249.39 467.54
METROPOLITAN WEST TOTAL
RETURN BOND FUND CLASS I
Symbol. MWTIX
Trade date: Oct 24, 13 7,192.344 10.709 77,030.00 77,030.00 10.810 77,749.23 71923 ST
Total reinvested 106.394 10.786 1,147.67 10.810 1,150.12 2.45
EAI: $1,985 Current yield: 2.52%
Sectrity totai 7298738 10.711 77,030.00 78,177.67 78,899.35 721.68 1,86935
lt DGEWORTH SEIX FLOATING
RATEFIGH INCOME FUND
CLASS I
Symbol: SAMBX
Trade date: Jan 29, 13 6602.655 9.039 58,784.00 58,784.00 6920 58003.68 .780.32 LT
Total reinvested 160.424 9.047 1,451.50 8.920 1,430.96 -20.52
EAI: $2,499 Current yield: 4.20%
Security total 6663.079 9.040 58,784.00 60235.50 59,434.66 -800.84 650.66
T ROVVE PRICE
convnued next page
SDNY GM 00021360
CNP70003006%2675 NP700O298800 00004 0914 03057500t Y123571550110000 Page 41 of 100
CONFIDENTIAL
EFTA_00131980
EFTA01274187

UBS
UBS Strategic Advisor Account name: GHISLA1NE MAXWELL Your Knandd Advisor:
Friendly account n am,: Incliv V49935:106 SCOTT STACK MANY LYLE CASRIEL
September 2014
Account number Y1 23571 55 212-821-7000/800-308.3140
Your assets Fixed income . Mutual funds (contrived)
Purchase price
Member Average pace Client Cost Price pet share Value on unreal:edam) investment Hddng
Hddng of shares pet share (S) investment (S) basis (S) on Sep 30 (1) Sep 30(S) gain or loss (5) return (I) period
INSTRITI0NAL FLOATING
RATE F CLASS
Symbol. PFFRX
Trade date: Jan 29, 13 5,394.060 10.270 55397.00 55,397.CO 10.130 54,641.82 •755.18 LT
Total reinvested 111,228 10.260 1,141.27 10.130 1,126 74 •14.53
EAI: 32,290 Cisrent yield: 4.11%
Security total 5.505.288 10.270 55 397 CO 56.538 27 55,768.56 -769.71 371.56
Total $686,768.61 9703,36948 9695.258.78 -98,110.90 $8,490.17
Total estimated annual income: $30,433
Non-traditional
Mutual funds
T.TJ (l a- re nvnted dwie rids n does not tnclude any cash chldends. I is not a ten Unteolged (tag gam or loss 4 the df(erence between the current value and the cost basis and would
lot fu the purposes of determining hadr g periods or cost basis. The shares you receive ezh tint. you german/ be your Ratable Ono: lots if sec oily was sdd on des date. The unrealued gas) gan or loss
reinvest dm:Sena become a separate tax Sol. may need to et ads rated tor return of raptal pagnems in order to determine the rested gain or ICCS for tax
Cost Ewa 6 the total purchase cost of the security. Ind udng reinvested dvdends the cost basis may need
(Mating purposes.
to be alusted for return if capita payments in order to deterrnne the adlusted cost basis for tar reponrq Investment terum is the current value minus the amount you imeSted it does not include shares that are not
purposes reflected on your statement. includng shares that have been realizedas either a gan or a loss It also des
not include cash dvdends that were not reinvested.
Purchase Price
Number Average prze Client Cost Price per share Value on Unrealized (tan immanent Hddng
Hddng of shame per share (5) investment (s) basis (1) on Sep 30(5) Sep 30 (1) gain or loss (S) return (5) Period
GATEWAY FUND CLASS Y
Symbol. GTEYX
Trade date: Jan 29, 13 1,089.208 27.580 30,040.36 30040.36 29.520 32,153.42 2,113.06 LT
Total reinvested 13.285 29.275 388.92 29.520 392.17 3.25
EAI: 3501 Current yield I 54%
Security Wad 1,102.493 27.600 30,040.36 30,429.28 32,545.59 2,116.31 2,505.23
CHP70309306552626NP7003298800 03034 0914 030575004 Y123571S50llictiky_Ghtcohliso/42 of IC0
CONFIDENTIAL
EFTA_00 1 3 198 1
EFTA01274188

BS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your !Mandel Advisor:
Friendly account name: Indiv V49935006 SCOTT STACKMAPILYLE CASR1EL
L J Account number. VI 23571 55 212-821-7000M800-308-3140
Your assets -,-,-,
Your total assets
PeKentard COSI ESUrvate0 Urueath
Vane on Sep 30(0 your &coon' bens (II annud inccm, ckin Ivy. i.S)
Equities Mutual funds 221,512A3 27.89% 246,177.22 5,215.00 35,335.18
Sued income Mutual funds 695,258.79 68.89% 703,369.68 30,433.00 8.110.90
Non-traditional Mutual funds 32,545.59 3.22% 30,429.28 501.00 2.116.31
Total $1,009,316.80 100.00% $979,976.18 $36,149.00 $29,340.59
Account activity this month
Ole Activity DeiCrnitan Amount (S)
Dividend and interest income
Taxable dividends Sept Dividend METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I AS OF 0e2914 150.70
Sep 2 Dividend RIDGEW ORTH SEIX FLOATING RATEH1GH INCOME fUNDCLASS I AS Of 227.27
082914
Sep 2 Cividend DOUBLE UNE TOTAL RETURN RAID INSTL AS OF 082914 570.39
Sep 2 Cividend COHEN & STEERS PREFERRED SEC & INC FUND I AS OF OF52914 310.23
Sep 2 Cividend EATON VANCE FLOATING RATE ADVANTAGE C LIAS OF 08129/14 341.99
Sep 2 Cividend 117 MORGAN MULTI-SECTOR INCOME FUND SELECT SHS 154.85
Sep 2 Cividend T ROWE PRICE INSTTRITONAL FLOATING RATE F CLASS ASOF 08/29/14 206.54
Sep 2 Cividend BLACKROCK HIGH VELD BOND 1 AS OF 082914 297.82
Sep 2 Cividend HSBC TOTAL RETURN FUND CLASS I 38.59
Sep 19 Cividend MATTHEWS ASIA DIVIDEND FUND INSTL AS OF 091814 463.92
Sep 24 Cividend GATEWAY FUND CLASSY 119.51
Sep 25 Cividend COLUMBIA CONVERTIBLE SECURMES FUND CLASS Z AS OF 0924114 283.64
Sep 26 Cividend HARBOR POGH YIELD 60 FDINSTTTUTIONAL CL AS OF 092914 363.22
Sep 26 Dvdend HARBOR CONVERTIBLE SEC URMES FUND CLASS I AS OF 092514 107.39
Total taxable dividends $3,636.06
Total dividend and interest income $3,636.06
oat Activity Description Amoult (1)
Other funds debited Sep 3 Transfer TO '1235750100 -38.59
Total other funds debited -$38.59
SONY GM 00021382
CNP70003006552627NP7000293800 00004 0914 030575004'n23571550 110000 Page 43 of 100
CONFIDENTIAL
EFTAJO131982
EFTA01274189

*UBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your 15 nancial Advisor
Friendly account namerlridiv V49939X6 SCOTT STACK MANLYLE CASRIEL
September 2014 Account number: VI 23571 55 212-821.7000'800-308.3140
Account activity this month C0ntnued
Investment transactions
rot more infoendion about the pliceivalue shown for remitted setuotles, see important information about
your :tatement at the end of this datum-lent
Proceeds Iron Funds
tnwsurent v4thdtavm la Accrued
Dale ACtnity Desteption Quantity vdue (S) vote (S) transactions (S) Fmerments Ocuslu (5) interest (S)
Sep 2 Reinvestment METROPOLITAN WEST TOTAL RETURN BOND 13.838 -150.70
FUND CLASS I DIVIDEND REINVESTED AT 10.89
NAV ON 08129'l 4 AS OF 092914
Sep 2 Reinvestment RIDGEWORTH SEV FLOATING RATEHIGH 25.196 -227 27
INCOME FUND CLASS I DIVIDEND REINVESTED
AT 9.02 NAV ON 08'2914 AS OF 08/29 14
Sep 2 Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL 51.854 -570.39
DVIDEND REINVESTED AT 11.00 NAV ON
06 2914 AS OF 0E/2914
Sep 2 Reinvestment COHEN & STEERS PREFERRED SEC & INC FUND I 22.579 -310.23
DVIDEND REINVESTED AT 13.74 NAV ON
08/29'14 ASOF 08(2914
Sep 2 Reinvestment EATON VANCE FLOATNG RATE ADVANTAGE CL 30.838 -341 99
I DIVIDEND REINVESTED AT 11.09 NAV ON
0&2914 AS OF 062914
Sep 2 Reinvestment JP MORGAN MULTI-SECTOR INCOME FUND 15.005 -154.85
SELECT SHS DIVIDEND REINVESTED AT 1032
NAV ON 0812914
Sep 2 Reinvestment T ROWE PRICE INSTITUTIONAL FLOATING RATE F 20.190 -206.54
CLASS DIVIDEND REINVESTED AT 10.23 NAV ON
08/2914 AS OF 08,29/14
Sep 2 Reinvestment BLACKROCK HIGH YIELD BOND I DIVIDEND 35.371 -297.82
REINVESTED AT &42 NAV ON 092914 AS OF
062924
Sop 19 Reinvestment MATTHEWS ASIA DIVIDEND FUND INSTL 28.743 -463.92
DIVIDEND REINVESTED AT 16 14 NAV ON
091E/14 AS OF 091614
Sep 24 Reinvestment GATEWAY FUND CLASS Y DIVIDEND 4.036 -119.51
REINVESTED AT 29.61 NAV ON 09123114
Sop 25 Reinvestment cowmom CONVERTIBLE SECURITIES FUND 14.636 -283.64
CLASSZ DIVIDEND REINVESTED AT 19,38 NAV
ON 092414 AS OF 092814
Sep 26 Reinvestment HARBOR HIGH YIELD BD FD INSTITUTIONAL CL 33.788 -363.22
DIVIDEND REINVESTED AT 10.75 NAV ON
092914 ASOF 092914
continued next page
0071:009006552628 NP700O298800 00004 0914 030575004 Y123571 $50 I I %Ow GMpoolN96344 of I CO
CONFIDENTIAL
EFTA 00131983
EFTA01274190

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Nnandal Advisor:
taUBS Friendly account name:Inch:, V49935006 SCOTT STACKMANLYLE CASRIEL
September 2014 Account number: Y1 23571 55 212-821-7000/800-308-3140
Account activity this month (contrived]
lavesbnent transactions (continued)
Brc<eHIS ban Funds
investment withdrawn la Accrued
Dale *Only DesCipban Ju.aity %Aut. (S) Hite CS) irseratieeis invesenenis 0toctil (S) merest IP
Sep 26 Reinvestment HARBOR CONVERTIBLE SECURITIES FUNDCLASS 9.597 .107 39
I DIVIDEND REINVESTED AT 11 19 NAV ON
09/ 2514 AS OF 09'2914
Total -53,597.47
Date ACIrvity DtSChPbOrl Amount (s)
Money balance activities Aug 29 Balance forward 50.00
Sep 3 Deposit UBS BANK USA DEPOSIT ACCOUNT 38.59
As
Sep 4 Withdrawal UBS BANK USA DEPOSIT ACCOUNT OF 0903114 -38.59
Sep 30 Closing UBS Bank USA Deposit Account 5000
Tne UBS Bank USA Deport Account your primary sweep cpbon
SDNY GM 00021364
HP70003305552079 N7700329930000034 08i4 030575004 5/Q.357i550110030 Pegs 45 of 100
CONFIDENTIAL
EFTA_00131984
EFTA01274191

*UBS
Your notes
C NP70009006552 630 NP7000293800 00004 0914 030575004 V123571550 II iglyky_Gm_000114S6546 Of I00
End of staternent for account number N't 23571 85
CONFIDENTIAL
EFTA 00131985
EFTA01274192

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- - - H e e D P a a r r e d e m r o s o k e c r d i a r n p a i e b / t e o y t » w h n o th h e u h y e d a i h o e y n s r i o t i c s r % u n o h le r e n a t ~ o h r e a l r e e y u d d h o æ r m n e n n c y e w e o o t e u e o t a t s r c M f h i p a e l n e r r a n o % w n y u b o m d h u k y p i b o s m y e e n o e r e u a ( d w i p l N a a e i i n v t r k y d e e a e b t a f a t l • n T o e ( t C n e a S e e g P I w C n . n « a i t p w t r o r v d o a a n n w n a ( l ) 0 % d b ø u t a t n a n h n d e a l s h d L c e a o I B s n su t w S r p o B p l a l l r e e r o d d m m ( b e a y n i / e t ( f a a S a l n p h d r o % M m A U ot A % io % n S A b G a n o t a t i h y n d o f s W S le o e t n r e a l h t t n t e a i a m a s c y r c F } e o c i n e u t o r p t n n . o S i t s n o s r M e d e li u a d b il i e a l o Ø t e e e n b S e s e a l h k n e u l e d t s i h n e i n t e g r e y t d , ' h h ~ a o e c t . t h e " n A r d u t c e c s n o n w u ts n w a t e s h m i m o t h a i a s e y d s b i M a e m l e r t a n e i t t m r h i e e a d n C i m t p n i u t a 1 a r « l r e / p m b r o t e e h a d f a e l t s e d y I c a c d a t n r e d g d k t h o a b n e m b y l e d a s p w k , X y e r p t n h h u f a e r r o c c u f r h c n e m a c s n s u a a , e n l i o k k n A r o o n s r Ø a i e a l e h y k i d f n e o e o r d r r t i h h d a e e t l p o s " e . t a r l h i a o n e d i e t d " o e f ( n
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SDNY_GM_00021366
CONFIDENTIAL
EFTA JX)131986
EFTA01274193

Important information about your statement (CCel (Muted)
kidvidalscOrity Ions 11* Vacationdata fa Nadal - Thad parry minuted earsmay be reflected as 'NM narrow of axamisat the brow-dear honing mttual AO:ount are registered service mats of UPS Fnaxial Swims
lots mayor may not eel onmissess. Chavesalder prime n snivelrumens two an inlesseneent Ism:hot ma he'd family Inc
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rens:awe lets and *Kau* padre lots at each yam when we tummy awl. %Manson* trot hat the sale or darbutan N arouty over= ad irk Yea S5naturo it a misted service mabar of visa
Wetted 10 %SOS one Sward tot the • lrade dr.' oo,sredtha may olla menus,/ reporsed lobe too irrentrnere tool units to or clones, we and a our Imernmcnal IRS Visa Signature re& cm:haul IRS dia
colas presents the asps, waists traNdete (NO'S. Ce when aurae vexed te hglify "'torah* aff darn Nome redeem Prang compensation Iron den cads to issued by Meant USA wth mymoyon from
duo to the nacre of the seamy mrryof The masor companies todervenry the yea U S A normeatem
• Callable marbles Bonds andpeeked trod to the - then ruitlw an Eva portent parer a sponsor a-cu/ty coducts atilses of the norance corms:6
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by lot torn amcsj 8A sonniesof that ape Winos mended the Nue of the nasty wA bedadant ton - Ott /MS'S alSo receke traeirg come/sums air other
name a n sensate nave for es clones Cat leas nt pstraa Ana compensation from mina feeds ad mucads
'Mesta co is Standtom thrd pale; and is wry - '0arbaiodi to on' not Vebde redo of (£Sara Corrnalies ekes proorts we
6 rot %Waited Otis call leases miryeast vasch scene a both - We receive al anus fee Mtn USISBalli USA en1UBS
could Sett Ski Cantle% olorma kin esd beprodded • OOPS um sk`e* re:feignses owl oaring puce AG Manion/ Bookie of tip to RS pee rcount
open regent per sit ad may not rifled you. cod bath swioNag to to balm Ink, lee IRS Brit Sweep
Program
• Cremates of deposit (CDs) Ws ale MC roved INV • belied searitias Restricted serrates gmerafy ae
S2SOCCO n pampa' ad scud Serra pa &pouter not and/ Sob* for %tic sale UPS foaled, Stress ASA,
and per clepotio-y tnliMim. n acordena with Was the make price of is tonestrided stock of the sane Imnformatan respedng contr.-oder* ad other charges
rules our a a, mutedvan lathe rearMed stoic ibr annecrion win the ereartion of wales nchring
proses of moue:enamor* To the omen dare cpbon namactons has been nciatled on conlinnrons
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shoe/arose was not mailable' if we are enable to veld/soul! be overstated • etdiddindsor eandlos /are unless rummer othenyito
obtan a prise for a security - Earnated anus .come nd cuvantsrield aid the by you You ae rimensble for orders that are executed dad
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coMnued mid ae not guaarceed you choose Yes Moon %gateman n ef Sect until reeled
• Preen Mtna rsm s and traduced product. Plicate by you You may rester your election a at; t Me by many
inesendre seas* dnetnIng direct pridpation • Ames net held by WS Ifi nertial Sontiom Conan anew ;Vann If you do rot haw onouto home tar
pagan aid real estate rt.Stroem ten Seaulted aid WPM ate cot heldbytekm ad not ends the Inn's wafter Iran 'Cur dartuliOnS. you maybe re%OriSble foe
finch ed paductS aegermeay hght iliaI d Celan postdate, or antel These asses re eeptend m your the perdu of essixedtak You may nod pina tm d tie
drucsed podia s hare no been reordered on% the sratensom foe Sonnatronal popoSesody Position ad awns washed and yet estimated to payments at not
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mermen stainers ad striate, prodsis tor aid does net 9.kirlitte Ey armory TheSe assets tenet Privacy
donna sapwood only Acaurarye not 9UnnWed protected by SPC re to WWI suppleinreaf SP( To atm a copy otos( wren Clive Away flake. pare
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al whim a ;Nate imestmere seamy a StruCtured mow pis cememeneolry
sods, maybe licuOt a foe aid do not necessity • Itananua during and addkiendereepensatiem
represent the war you may roman upon halidaten - ti additi741 to comnissom on ski and 12b1 lees UBSinaxial Servos 6 not a bat The WA. Fumes,
- Med paly flimaeS Of valet are aS Ot a ran Oae reamed es conneam with the dartuton of vulva SOVCeSAaant BSA and MIA 3e beckerdoe latiritS
aid at sunned to GCS Insole Savors waspUr fsodS toot chentS we mice ow *Are Nome vklldl provide access to bat cep services ad produces
Date by an Wenn:fent miration Inn /Web! Mann; papunts from daltbutors soder though anrodunts with affilaud bats aid oche tied
Psua TenniP ermit cd sponsor Sewed vire if adeison of the nuts, finds ma we sell These party basks and scads aeon to Om rid mut y
my. are striated to te Frm by the our general *norm are bred an two drawer, aerporents prods.= iSfeed by untallM eter tadpanty Morena
panne a swear and maybecab-SW bred en the amount 01 saksby IRS of a yri tcuLn mutual her cows through mince agency subsibr es of UtS
different Nervation from that our by thfd panes to limey to medents. ad Id the me vabe of a Coaxial Session he
doo.e thee estimated vats; priory mbar far fangs shamMal a the lien
- You car obtain addeenal itcrmatcn regaling the - We alder ant* cep Rada retecenng aid Sense& man. and amuly products
mettodology used to determine the enmae of Vlibt onvemprocesung lees in orredeiron for t aisle( rot FOIC haired • No bank SWUM** May lose yam
and the date of the hfonnacon ma Is the bass fir the agent awl ee teat we sonde to rhemoual funds
vino by apeactiN your Pesdal Adds Three lets genet" re pad torn incisor stem, tithe Seth Rdeudt 2Analereol &coy" Business Wean
mutual fume end to a tiad delta anorem basal on the ACCoen1 SSA. INAA and estemabedal RdOsCe lettiagerren
SDNY_G MS10021367
CONFIDENTIAL
EFTA 00131987
EFTA01274194

1.435 Financial Services Inc. UBS Strategic Advisor
*UBS 299 Park Avenue
25th Floor
New York NY 10171.0002 October 2014
CNP7005749011 1014 VI 0
GH1SLAINE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065.7007
Account name: GHIStANE MAXWELL
Friendly account name: Indiv.V499350C6
Account number. Y I 23571 SS
Your linancial Advisor-
SCOTT STACK MANILYLE CASPJEL
Phone: 212-821-7000/800-308-3140
Questions about your statemerat? Value of your account
Call your Anancial Advisor or the
RMA Resourceline at 800-RMA-1000, on September 30 IS) on October 31(1)
account 029323571.
Your assets 1,009,316.80 1,015,667.54
Visit our webilte: Your liabilities aoo aoo
www.ub5comainancialservices
Value of your account 11,009,316.80 31,015,667.54
Sources of your account growth
Tracking the value of your account during 2014
Value of your account
S incur,and$ at yer end 2013 5000
Net deposits end
withdrawals 1931291.46
• 0"fl I,Ots
Your investment return
• •
Diiidend and
interest income 523,466.78
Chance in
malign value $10.963 30
Value of your account
on Oct 31.2014 3%015.667.34
*) 2014 00 2014
SDNY GM 00021368
Member SIPC CNP700303005740m NP7003193196 COON 101e 030575004 v123571550000000 Page 33 of 94
CONFIDENTIAL
EFTA_00131988
EFTA01274195

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWEU. Your Nnancial Advisor.
Friendly account name:IndivVd9939206 SCOTT STACK MANLYLE CASRIEL
October 2014 Account number: VI 23571 55 212-821.7000'800.308.3140
Your account balance sheet
Summary of your assets
Value on Percentage of
October 31 (9) your account
A Cash and money balances 264.68 003% Your current asset allocation • Cash and money balances may include
available cash balances. LIES Bank LISA deposit
B Cash alternatives 0.00 000% account balances, VBS AG Stamford Branch
deposit account balances and money market
C Equities 283,462.38 27 91% mutual fund sweep balances See the Important
information about yoor statement on the last
Ct Fixed income 699,505.14 68 87% two pages of this statement for details about
those balances
E Non-traditional 32,435.34 319%
F C orrmodit ies 0.120 000%
G Other 0.00 000%
Total assets $1,015,667.54 100.00%
Value of your account $1,015,667.54
Eye on the markets
Percentage change
Index October 2014 Year to date
S&P SOO 2.44% 1099%
Russell 3000 2.75% 9.90%
MSC I - Europe, Australia & Far East -1.45% -2.42%
Barclays Capital U.S. Aggregate Bond Index 0.98% 5.12%
Interest rates on October 31, 2014
3-month Treasury bills: 0.01%
One-month LIBOR: 0.16%
O47000B0057480i 2 Ne70C0i$3796CO204 t014030575001 ri2357155000akeGiumolling 34 of 98
CONFIDENTIAL
EF1'A_00131989
EFTA01274196

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your II sandal Advisor:
*UBS Friendly account new*: rutin v49935Go6 SCOTT STACKMANLYLE CAMEL
October 2014 Account number. Y1 23571 55 212-821-7000800-308-3140
Change in the value of your account Summary of gains and losses
October 2014 ($1 Year to date (I) Values reposed Nino, exclude products for which gain and losses are not classified.
Realized gains and losses Unrealized
Opening account value 31,009,316.80 $0.00
October 2014 (1) Year to date (1) gains and kisses (4)
Deposits, including investments
transferred in 1,300.00 1,162,105.66 Short term 0.00 0.00 4,008 90
Withdrawals and fees, Long term 0.00 0.00 28,720.06
including investments transferred
Total $0.00 $0.00 $32,728.96
cut -1,272.01 -180,814.20
Dividend and interest income 2,934.40 23,406.78
Cash activity summary
Change in market value 3,388.35 10,969.30
See Account edit the month to deta Balances In your Sweep Options are induCedin the cpenng and
Closing account value $1,015,667.54 $1,015,667.54 closing balances yaue. FDIC insurance andier only to deposits at UK Bank USA, not to deposits at LOS AG,
Stan-lord Era nd, or bank deposits placedthrongs the UBS Inteinaiona Deposit Account migrant SiPC
cxotedion applies to minty market sweep hod holdings but not bar* deposits Sterinportant ineermation
Dividend and interest income earned about your statement on the last No pages Ci this document for detals
October 2014 (1) year to date 04
For cuiposts of Iris statement, raiab:ity of ',linen ant do income NY; been determined Iran a US Opening balances $0.00 $0.00
tre repotting peripedive, good upon the residence of the account hokkt account type, or product type,
some interest ardor dvidend payments may not be subject to United States (US) ardor Piano Rico (PR) Addions
Income tarts. The dient month statement i5 not intended to be used and cannot be reed tam for IM
oncosts. Clients should refer to the at:oloade tar reporting forms they recent. Iran 185 annualy, such as Deposits and other funds credited 1,300.00 72,762.49
the fOrMS 1099 and the Forms 480, for tar reporting information. It IS the Make of U85 to file tht
ZOGliCatrt tar tenoning forms with the US Interna Revenue Service and PR Neasury Department and in Divdend and interest income 2,934.4C/ 23,406.78
sue h forms accuratey usury diidenct ardior interest altar exempt or taabk income. Mese corxult your
induclual tax prepare( Total additions $4,234.40 $96,169.27
October 2014 (s) Year to date (5) Subtractions
Taxable dividends 2,934 40 23,074 87 Professional management fees and
related services -1,27201 -2,729.29
Long-term capital gains 000 325.55
Other funds debited 0.00 -70,810.43
Taxable interest 0 00 6.36
Funds withdrawn for investments
Total current year $2,934.40 $23,406.78 bought -2,697 71 -22,364.87
Total dividend & interest $2,934.40 123,406.78 Total subtractions -$3,969.72 -$95,904.59
Net cash flow $264.68 $264.68
Closing balances $264.68 $264.68
SDNY GM 00021370
c fie700010057480i 3 NV7003193796 00(104 1014 030579004 Y121S7ISS000C000 Page 35 of cs3
CONFIDENTIAL
EFTA 00131990
EFTA01274197

UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Ignendal Advisor
Friendly account nacnoilridiv V49935:236 SCOTT STACK MANY LYLE CASR1EL
(itioher 2014 Account number: Y1 23571 SS 212-82 I-7000! 800-308-3140
UBS Bank USA Deposit Account APY
Interest period Sep 8 - Oct 6
Opening UBS Bank USA Deposit balance Sep 8 $0.00
Closing UBS Bank USA Deposit balance Oct 6 $38.59
Number of days in interest period 29
Average daily balance $6.65
Interest earned $0.00
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 with to change them, please contact you
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 consideration None selected
Your account instructions
e You account cost basis default closing method is FIFO, First In, First Out
CNP21;00300574:30i Ne70C0193796 C0004 1014 030575004 Y123571550 C0MicG M 000211991 36 of 98
CONFIDENTIAL
EFTA_0013 199 I
EFTA01274198

T UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your ftnand/4 Advisor:
October Friendly account name: lndiv vegg35O06 SCOTT STACKMANLYLE CASRIEL
2014 Account number. Y1 23571 55 212-821-7000'800-308-3140
Your assets
Same rimer, mane and current vduts shown may be EpprOxirevene. AS a rest, gains MC110ssesM not
be accuralely reflected. Set Aportant infomabOn about your statement a the end of the d:cumem for
more infornason.
Cash
Cash and money balances
Cash and money balances mai include avalade cash balances, UBS Bant USA depdsn account balances.
UBS AG StanSord Branch depow account balances and money market mutual fund sweep balances
UBS Bank USA deposit account balarxes are insured by the FOC vAlhn applIceble limits, but are not
protected by StPC bets AG Stanford Brant h deposit account balances sie not insured by FDIC and se not
protected by WC Money Market sweep balances are protected by 5$C but Ene not insured by the roc.
See the Important information about your statement at the endof this docunent for delaih about those
balances.
Openng Maurice Cloung Wince Price Pet share Average DnIckncl Interest Dgsm
Hddng on Od I (0 on Oct 31 (I) on Oct 31 (1) rate period period Cep annual (1)
U35 BANK USA CEP ACCT 0.00 264.68 250.000 00
Equities
Mutual funds
total reinvested n tar tots ct a reinvested dvdench. II does not induce any cash chicerds. II is rat a tar Unrealted(tait)gam or loss is the dfference between the current value and t he cost bass and would
lot for the purposes of determining had ng periods or cost basis. The shares you receive each lute you generaty be your ramble gan or loss if the sec may was sdd on tars date. The unreakred (lag gan or loss
reinvest dedends become a separate tax fol. may need 13 be &Added for return of capital payments In order to determine the recited gain or loss for tax
purposes.
Cost bast is the total purchase cost of the security. indudng renvesteddvbends. The cost basis may need
lobe ad uSted for return of rapid payments in order bD determne the aCluSled COSI bars for !a< reporting If r7estme)iwgn n is the current vane rilnus the &Mont you I rreeged It does not include shales Mai ale not
purposes. reflected on yorisiatement, mcludng Strati that hthe been realtedas either a gun or a loss It also does
not include cash dP clends that were not reirwested
Purchase OW/
ofmsir heatesr ApveettasraiPere(Cse.) Client Cost Price per Owe Value on Unreai2ed nth) iniewnent Hating
Hddng investment (1) basis (S) on Oct 31 (8 Oct 31 (3) gpin or loss (5) return (5) period
CLEAN:1110CE
EQUITY INCOME FUND
CLASS I
Symbol. SOPYX
Trade date: fun 26, 13 1,179.249 16.769 19,776.00 19,776 00 20.310 23,950.54 4,174.54 LT
Trade date: /an 14, 14 296210 18.470 5,471.00 5,471 00 20.310 6,016.02 545.02 ST
Trade date: Jan 15, 14 283.181 18.549 5253.00 5253.00 20.310 5,751.41 498.41 ST
continued next page
SDNY GM 00021372
CNP7000g005748015 NV7003184796 00004 1014 030575004 Y123571550000000 Pegs 37 of 98
CONFIDENTIAL
EFTA_00131992
EFTA01274199

UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your A sandal Advisor,
friendly account name: lndiv V49935006 SCOTT STACK MANY LYLE CASRIEL
October 2014 Account number. Y1 23571 55 21242 1.70001800.308.3140
Your assets . Equities .
Mutual funds (continued)
Purchase puce
turbo Meta.? peke Client Cost Price per share Value on yore/Med Cm4 imestment Heeding
Meng of shires pet sham (f) investment 0) bask (S) on Ck1 31 (5) Oct 31 (5) coinorlon (S) Mein (I) period
Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 20.310 5,742.27 503.27 ST
Trade date: Jan 17, 14 298.430 18.469 5,512.00 5,512.00 20.310 6,061.11 549.11 ST
Total reinvested 37.214 19.333 719.47 20.310 755.82 36.35
EAI: 1865 Current yield 1.79%
Security tots 2,377.015 17.657 41251.00 41,970.47 48277.17 6,306.70 7026.17
COLUMBIA CONVERTIBLE
SECURITIES FUNDCLASS 2
Symbol: NCIAX
Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 19.300 22,140.51 1,617.51 ST
Trade date: Feb 19, 14 840.380 18.959 15,942.00 15,942.00 19.300 16219.33 277.33 ST
Total reinvested 53,109 19.394 1,030.01 19.300 1,025.00 -5.01
EAI: 4967 Current yield 2.46%
&easily total 2,040.666 18.374 36,465.00 37,495.01 39,384.85 1,889.83 2,919.84
HARBOR CONVERTIBLE
SECURITIES FUNDCLASS I
Symbol: HACSX
Trade date: Jan 29, 13 1,872.780 10.250 19,196.00 19,196.00 11.190 20,956.40 1,760.40 LT
Trade date: Jun 17, 13 960.534 10.489 10,076.00 10,076.00 11.190 10,748.37 672.37 LT
Total reinvested 27.030 11.272 304.70 11.190 302.47 -2.23
EAI: 1539 Current yield 184%
Security total 2,860.344 10.340 29272.00 29,576.70 32,007.24 2,430.54 2,735.24
JP MORGAN INTREPID
EUROPEAN INST
Symbol: JFEDt
Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 25.250 10,995.16 921.16 LT
Trade date: Aug 6. 13 439.831 23.286 10242.00 10242.00 25.250 11,105.73 863.73 LT
(Al: 475 Current yield: 0.34%
Security total 875.283 23.211 20,316.00 20,316.00 22,100.89 1,784.89 1,784.89
MATTHEWS ASIA DIVIDEND
FUND INSTL
Symbol: MIPIX
continued next page
CNP700030057030I6 NP7OCOte8796 00004 1014 030575004 vi2.347i44000114thlwGMthao2Agra 38 of 98
CONFIDENTIAL
EFTA_00131993
EFTA01274200

T
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Mnandal Advisor:
Friendly account new*: Indiv V49935006 SCOTT STACKMANLYLE CASRIEL
October 2014 Account number. Y1 23571 55 212-821-7000/800-308-3140
assets Equities .
Your Mutual funds (continued)
Purchase Pixel
Number Average Pace client Cost nice per share Value on UnrealizedCad Investment Noting
Wiring of shares per share (1) investment (1) basis (S) on Oct 3t (1) Oct 31 (1) coin or loss (I) return CP period
Trade date: Mn 29, 13 2,156.431 14.849 32,023.00 32,023.00 15.880 34244.12 2,221.12 LT
Trade date: Feb 1, 13 481.951 15.069 7263.00 7,263.00 15.880 7,653.38 390.38 LT
Total reinvested 52.286 16.005 836.87 15.680 830.30 4557
(Al: $1,445 Current yield: 3.38%
Security total 2690.668 14.912 3928600 40,122.87 42,727.80 2,604.93 3,441.80
SIT DIVIDEND GROWTH FUND
CIASS I
Symbol. SOVGX
Trade date: /an 29, 13 2333.831 15.400 35,941.00 35,941.00 19.150 44,692.86 8,751.86 LT
Trade date: kin 11, 13 624.804 16.569 10353.00 10,353.00 19150 11,965.00 1,612.00 LT
EAI: $766 Current yield 1.35%
Security total 2,958.635 15.647 46294.00 46294.00 56,657.86 10,363.86 10,363.86
TORTOISE MLP & PIPELIVE
FUND CLASS INSTL
Symbol: TORIX
Trade date: tan 29, 13 2296.774 13.330 30,616.00 30,616.00 18.420 42,306.57 11,690.57 11,690.57 LT
EAI: 1544 Current yield 1 29°A
Total $243500.00 $246,391.05 $213,462.38 $37.07132 $3956238
Total estimated annual income: 55.251
SDNY GM 00021374
CNP700030057*8017 NP7000168796 00001 +we 030575004'023571%0000000 Page 39 of 98
CONFIDENTIAL
EFTA 00)31994
EFTA01274201

UBS
UBS Strategic Advisor Account name: GHISLA1NE MAXWELL Your 15 nancial Advisor
Friendly account name:Indiv V49939C06 SCOTT STACK MANILYLE CASRIEL
October 2014 Account number. Y1 23571 55 212-821.7030/800-308-3140
Your assets (continued)
Fixed income
Mutual funds
Total rent:led n the told d S reinvested dadends II Wei reOl Indio, any cash diadem:ff. A is rot a Umeakzed frav)gagn °floss rs the dfference between t he current \Sue and the cost basis and would
lm lot for the purposes of desermiong hotting Periods or cost bass. The snares you receive cub tint you generavy be your la able on or loss 4 the security was sold on Was dale. The unreanted eaN on a loss may
reinvest cledends become a separate tax lot. need to be &dusted for return Cl capta pa/menu in ceder to deter/nine the 'edited gain or loss Ice lac
Cost base is the told purchate cost of the security. Ind udng '<Invested clvdendS Tte cost basis may reporting purposes
need to be aclusted for return ti (OW payments in order to clelconne the ail usted cost basis for tax investment secure, is the current vaue menus the amount you invested it ckm nce include shares that be not
reporting purposes. reflected or you statement, inducing shares that hare been red red ae either a gain ce a loss It aso Wes net
include cash dedendt that were not reinvested
PurchaSe Once'
Number Averacy once Client Cost Pnce per shut Value on unrealizeddad investment Holding
Hddng of shafts pet Shale (S) inveStMent 0) baSI S (S) on Oct 31 (5) Oa 31 (1) gain or loss (5) return LSI Period
AVENUE CREPT STRATEGIES
FUND CLASS INSTL
Symbol: Acsax
Trade date: Nov 12, 13 910.736 It 270 10264 00 10,264 00 11.340 10327.75 63 75 ST
Trade date: Nov 18, 13 912.566 11.300 10312.00 10.312 00 11.340 1034830 36.50 ST
Trade date: Nov 25, 13 911.661 11.319 10320.00 10,320 00 11.340 10383.23 18.23 ST
Total reinvested 85.763 11.631 997.55 11.340 972.55 -25.00
EAI: 41,300 Current yield: 4.06%
Security total 2,820.726 11 307 30396.00 31.893 55 31,987.03 93.48 1,091.03
litACKRCCK HIGH YIELD
BONDI
Symbol. 814VIX
Trade date: ran 29, 13 4,811.156 8.200 39,451.48 39,451.48 8.240 39,643.92 192.44 LT
Trade date: run 27,13 2,481 156 7 959 19,750.00 19,750.00 8.240 20,444.72 694.72 LT
Total reinvested 272.133 8.348 2271.85 8..240 2,242.38 -29.47
EAI: 13.555 Caren! yield: 5.70%
Security total 7,564.445 8.127 59,201.48 61,473.33 62331.02 857.69 3,129.54
COHEN & STEERS PREFERRED
SEC & INC FUND!
Symbol. CPAIX
Trade date: Jan 29, 13 3.002 068 13.487 40,490 57 40,490 57 13.610 40,858.14 367.57 LT
Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.610 10,079.90 161.50 LT
Trade date: tun 14,13 751.274 13.309 9,999.02 9,999.02 13.610 10,224.84 225.82 LT
contwued next page
CNP7C0C90057480I 8NP7000188796 C0004 1014 03057%04 yingli SSOCOMOilY_GM_0002/Pat 40 of 98
CONFIDENTIAL
EFTA 00131995
EFTA01274202

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Maenad Advisor:
Friendly account nerne:Indiv V49935006 SCOTT STACK MANLYLE CASRIEL
*UBS October 2014 Amount number `el 23571 55 212-821-7030800.308-3140
YOLK assets a Fixed income a funds
Mutual (conOnued)
Purchase Wrrer
taunter Average price Client cost nice per stet value on unteallnd dad investment Hating
siddrig of states per same so investment (1) basis (1) on Oct 31 (9) Oct 3i (t) gain °Host (1) return (51 periui
Total reinvested 181916 13.575 2,469.64 13.610 2,47528 624
EAI: 43,853 anent yield: 6.05%
Security total 4,675.883 13.447 60,407.99 62,877.63 63,638.76 761.13 3230.77
DOUBLE LINE TOTAL RETURN
FUND INSTL
Symbol: DEILTX
Trade date: /an 29, 13 12,498.155 11.379 142229.00 142229.00 10.970 137,104.76 -5,124.24 LT
Total reinvested 410.341 10.958 4,496.72 10.970 4,501.44 4.72
EAI: 46,996 Current yield: 4.94%
Security total 12,903.496 11.367 142.22900 146,725.72 141,60620 .5,119.52 -622.80
EATON VANCE FLOATING
RATE ADVANTAGE CL I
Symbol: DFAX
Trade date: Jan 29, 13 7,524.150 11.180 84,120.00 84,120.00 10.940 82,314.19 -1,83581 LT
Total reinvested 232.674 11.114 2,585.96 10.940 2,545.45 -40.51
EAI: 34,041 Current yield: 4.76%
Security total 7.756.824 11.178 84.120.00 86.705.96 84,859.65 .1.84632 739.64
HARBOR HIGH YIELD 80 10
INSTITUTIONAL CI
Symbol. HYFAX
Trade date: Jan 29, 13 2,660.657 11.239 29,905.78 29,905.78 10.850 28,868.13 -1,037.65 LT
Total reinvested 100.864 10.942 1,103.71 10.850 1,094.37 -9.34
EAI: 11,712 Current yield: 5.71%
Security total 2,761.521 11.229 29,905.78 31,009.49 29,962.50 -1,04699 56.72
HS8C TOTAL RETURN
FUND CLASS I
Symbol: HTRIX
Trade date: Jan 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.390 40,090.51 385.86 385.86 LT
EAI: 4795 Current yield 1.98%
JPMORGAN UNCONSTRAINED
DEBT FUNDCLASS SELECT
continued nest page
SDNY GM 00021376
CNP70003005740I 9 NP7000193796 00001 1014 030575001 Y12357I 550 000 Page 41 of 98
CONFIDENTIAL
EFTA_00131996
EFTA01274203

*UBS
UBS Strategic Advisor Account name: GHIRAINE MAXWELL Your K nancial Advisor
Friendly account name:InclivW19939:/06 SCOTT STACK MAI/LYLE CASRIEL
OCtOber 2014 Account number. Y1 23571 SS 212-821.7600/800-308-3140
assets Fixed income .
Your Mutual funds (continued)
Purchase puce/
faurrbet Avefarit Foxe Client COSI PIK< per shire Value on unrealizedOM imestrnent Hddng
Hddng of :hates par share (S) investment (a) bath (I) on Oct 31 (1) Oct 31(S) gain or lost (5) return (S) period
Symbol: 1SISX
Trade date: Jan 29, 13 4,784.864 10.260 49,092.71 49,092.71 10.230 48,949.15 -143.56 LT
Total reinvested 84.915 10.329 877.11 10.230 868.68
EAI: 31,353 Current yield: 2.74%
Security total 4,869.779 10.261 49,092.7t 49,96982 49,817.83 •151.99 725.12
METROPOLITAN WEST TOTAL
RETURN BOND FUND CLASS I
Symbol. mwnx
Trade date: Oct 24, 13 7.192.344 10709 77,030.00 77,030.00 1aaso 78252.70 1,222.70 LT
Total reinvested 119.997 10789 1,294.72 10.880 1,305.57 10.85
EAI: 11,923 Current yield: 2.42%
Security total 7312.341 10711 77,030,00 78324.72 79,558.27 1,233.55 2.528.27
RIDGEWORTH SEIX FLOATING
RATEHX3H INCOME FUND
CLASS I
Symbol: SAMBX
Trade date: San 29, 13 6,502.655 9.039 58,784.00 58,784 00 8.920 58,003.68 780.32 LT
Total reinvested 183.895 9.031 1,660.86 8920 1.640.34 -20.52
EM: 32,521 Current yield: 4.23%
Security total 6.686.550 9.040 58,784.00 60,444 86 59,644.02 -800.84 860.02
T ROWE PRICE
INSTITUTONAL FLOATING
RATE F CLASS
Symbol: PFFRX
Trade date: /an 29, 13 5,394.060 10.270 55,397.00 55,397.00 10.140 54,695.76 •701.24 LT
Total reinvested 129.545 10.242 1326.82 10.140 1313.59 -13.23
EAI: 12,314 Current yield- 4 13%
Security total 5.523.605 10.269 55397.00 56,723.82 56,009.35 -714.47 612.35
Total 6686,768.61 $705,853.45 6699,505.14 •$6,34$A2 112.736.53
Total estimated annual income: $30,373
CW76069305748020 Nr706018879600004 1014 030579004 y123571$50 COMCGM0002Figer 42 of 98
CONFIDENTIAL
EFTA_001131997
EFTA01274204

UBS Strategic Adviscr Account name: GHI5LAINE MAXWELL Your Pi nandal Advisor:
Friendly account name:Indw ve9939CO6 SCOTT STACKMANLYLE CASRIEL
Account number. Y1 23571 55 212-821-7000/800-308-3140
0.1( assets
Non-traditional
Mutual funds
Tc.ta: ee rNe,rel t'.o-')130d remeitedprlends rt does not Include any cash dui:en:Is. It is Mt alai Unreakzed (MO gam or is the Ofference between the current vaue and the cost bass aid would
lot let the purposeS of deterninsno Aokir g periods Or COA basn. The shares you receive each hrre you gentian, Ise your tenable can or loss If the Set wily was Sad on IM date. me unreatret (tag on Ce ICAS
reinvest dm ama become a separate tax lot. may need to be attested for return of capital paymems In order to determine the reared gain or ices for tae
Cos/ basal iS the told purchase cost of the security. Inducing reinvesteddudends The cod basis may need reporting purposes.
to be Ousted/cc return N (dos pa)ments in order b3 teterrnine the adusted cost Oasis for tar redOnng f eamtrer tearn is the current value rrinus the amount you invaded. n does not include shares that are not
purposes. reflected on yarr statement, tncludng shares that haw been realizedas either a gain or a loss it also does
not incluck Cash d %Wends that were not peinvested.
Purchase DOCti
Mater Average pace atria Cost Price per SAXE. value on unrealizedtag inestment Heed no
ticking of shares per share (SS investment baSISOS) on Oct 3t (1) Oct 31 (1) gain or loss (S) return (5) period
GATEWAY RIND CLASS Y
Symbol. GTEYX
Trade date: Jan 29, 13 1,089.208 27.580 30,040.36 30,040.36 29.420 32,044.50 2,004.14 LT
Total reinvested 13.285 29.275 388.92 29.420 393.84 1.92
EAI: 1501 Current yield 1.54%
Security total 1,102.493 27.600 30,040.36 30,429 28 32,435.34 2,006.06 2,394.98
Your total assets
Percentage of Cost Es%mated Unrealized
Value on Oct 37 (1) your accouni taus (1) annual interne (1) gain or loss (I)
Cash Cash and money balances 264.68 0.03% 264.68
equities Mutual funds 283462.38 27.91% 246,391/5 5,25110 37,071.33
fixed income Mutual funds 699,505.14 6817% 705453.55 30.97310 -6,34142
Non-traditional Mutual funds 32,435.34 3.19% 30,429.28 501.00 2,006.06
Total $1,015,667.54 100.00% $982,9313.56 $36.125.00 $32,728.96
Account activity this month
Date Activity Oescnolicn ArrOunt is)
Deposits and other funds audited Oct 16 Transfer FM ':`750100 1,30000
Total deposits and other funds credited 91,300.00
SONY GM 00021378
c hie7c00e3os74021 Ne7003s$3796 CoCCse 1014 030575004 YI23 57i5500000GO rags 43 of 96
CONFIDENTIAL
EFI'A_00B1998
EFTA01274205

*UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Fi nancial Advisor.
Friendly account name: Indiv V49935006 SCOTT STACK MANLYLE CASRIEL
October 2014 Account number. Y1 23571 55 212-821.7000800-308-3140
Date At-linty Description Amount (I)
Dividend and interest income
Taxable &Attends Oct 1 Dividend METROPOUTAN WEST TOTAL RETURN BOND FUND CLASS I AS OF 0913914 147.05
Oct 1 Dividend RIDGEWORTH SEIX FLOATING RATEHIGH INCOME FUNDCLASS I AS OF 209.36
093014
DOUBLE
Oct 1 Dividend UNE TOTAL RETURN FUND INSTI. AS Of 09130 14 528.10
Oct 1 Dividend COHEN &STEERS PREFERRED SEC & INC FUND 1 AS OF 0930/14 311.74
Oct 1 Dividend EATON VANCE FLOATING RATE ADVANTAGE CL I AS OF 09/30/14 334.23
Oct 1 Dividend • MORGAN MULTI-SECTOR INCOME FUND SELECT SHS 160.18
Oct 1 Dividend CLEARBRIDGE EQUITY INCOME FUNDCLASS I AS OF 0930 14 213.84
Oct 1 Dividend T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS AS OF 0930/14 185.55
Oct 1 Dividend AVENUE CREDIT STRATEGIES FUND CLASS INSTL AS OF 0930 14 326.69
Ott 1 Dividend BLACKROCK HIGH VELD BOND IAS OF 093914 280.97
Oct 1 Dividend HSBC TOTAL RETURN FUND CLASS I 38.59
Oct 10 Dividend SIT DWIDEND GROWTH FLNDCLASS I AS OF 100914 198.10
Total taxable dividends .934.40
Total dividend and interest income 02.934.40
Date Actinty Description Arnow* (S)
Pees Oct 24 Fee Charged QUARTERLY FEE • 1,272.01
Total professional management fees 41.272.01
Invesbnent transactions
Fat m:ut I nfOunctiOn about Ifs bike/value shown for restricted SeCuntleS, we Important Mitormatiort above
your statement at the end of thn docrment
PP:Ceti:IS Iran Fundt
ithestMent withdrawn fcc Accrued
Date *flinty Oescepuon Quantity who (F) nice (S) transactions (s) etheSltrltIllS bOUCPI (i) Interest (S)
Oct 1 Reinvestment METROPOLITAN WEST TOTAL RETURN BOND 13.603 -147.05
FUND CLASS I DIVIDEND REINVESTED AT 10.81
NAV ON 09/30,14 AS OF 093914
Oct 1 Reinvestment RIDGEWORThl SEIX FLOATING RATEHIGH 23.471 •209.36
INCOME FUND CLASS I DIVIDENDREINVESTED
AT 892 NAV ON 093914 AS OF 09'3014
Oct 1 Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL 48.272 -528.10
aVIDEND REINVESTED AT 10.94 NAV ON
093014 AS Of 093914
Oct 1 Reinvestment COHEN & STEERS PREFERRED SEC & INC FUND I 22.990 -311.74
DIVIDEND REINVESTED AT 13.56 NAV ON
090914 AS OE 093014
continued next page
CHP70309005748022 Ne7000188796 00004 1014 030575004 v12357i 550 00M1 yom0002Pitips 44 of 98
CONFIDENTIAL
EFTA_00131999
EFTA01274206

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your PIn andd Advisor:
*UBS Friendly account name: Indiv V49935006 SCOTT STACK MANILYLE CASRIEL
October 2014 Account number. VI 23571 SS 212-821-7000,800-308-3140
Account activity this month
(contrived)
Investment transactions (continued)
Proceeds trap Funds
inwpment vattickawn fa Accrued
Odle Attlee" Description Dignity Wive (S) Pike (5) transactions (t) insnimenIs bcgiOt (1) 'merest (1)
Oct 1 Reinvestment EATON VANCE FLOATNG RATE ADVANTAGE CL 30.495 -334.23
I DIVIDEND REINVESTED AT 1096 NAV ON
09i 30114 AS OF 09'30114
Oct 1 Reinvestment JP MORGAN MULTI-SECTOR INCOME FUG 15.689 -160.18
SELECT SHS DIVIDEND REINVESTED AT 1021
NAV ON 0930'14
Ott 1 Reinvestment CLEARBRCGE EQUITY INCOME RIND CLASS I 10.860 -213.84
DIVIDEND REINVESTED AT 19.69 NAV ON
0930114 AS Of 09'30/14
Oct 1 Reinvestment T ROWE PRICE INSTITUTIONAL FLOATING RATE F 18.317 -185.55
CLASS DIVIDEND REINVESTED AT 10.13 NAV ON
09/30,14 AS OF 0930/14
Oct 1 Reinvestment AVENUE CREDIT STRATEGIES FUMD CLASS INSTL 28.532 -326.69
DIVIDEND REINVESTED AT 11.45 NAV ON
092914 ASOF093094
Oct I Reinvestment BLACK ROCK HIGH YIELD BOND I DIVIDEND 34.265 -280.97
REINVESTED AT 820 NAV ON 0913014 AS OF
0913014
Total -52,697.71
Date Admity Descripbon Amount (I)
Money balance activities Sep 30 latent* forward 80.00
Oct 2 Deposit UBS BANK USA DEPOSIT ACCOUNT 38.59
Oct 14 Deposit UBS BANK USA DEPOSIT ACCOUNT 195.10
Oct 17 Deposit UBS BANK USA DEPOSIT ACCOUNT 1.300.00
Oct 27 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 10/24/14 • 1272.01
Ott 31 Closing MIS Sank USA Deposit Account 8204.88
The 1.18S Ban& USA Depost Account IS ycor primary sweep anon
SDNY GM 00021380
CNP70003005748023 NPI000168796 C0004 1014 030575004 Y123571550000000 Page 45 of 98
CONFIDENTIAL
EFTA 00)32000
EFTA01274207

*UBS
Your notes
CNP70003005748024 NP70:0189796 00004 1014 030575004 YI23571 550 00MyGEL0002/fairi 46 of 98
End of statement for account number Y1 23571 55
CONFIDENTIAL
EFTA ((1132001
EFTA01274208

Important information about your statement
UBS Friancial Snobs Wc (he rim or UBS FairecialSerinn). The km ocC ud two val ~gag yotr ~plant anl tile< on the becks and mart of he xplablt cow a eneeltpe — yOu may decke IscusehokIng by Ming ytur
is a member of al wrapalsecunty. catrodety aid imam eel cortex an/ewer pronptly banger agent). Frunoal Advsor
e4nirges UBSfirsocial kences and unbar* USA at
indirect subutrin of uBS AG and Whom of uBS Stosities float* mXo al checks payed* b tee Armor te tarsi' • (e'en notarnet contexts or mearment toot (erg. Friendly mount name
LLC lb. f tens Maxis( saws« it ~fable Loon Owen nation ndsaled on et front of St slaernent ake ors limed ~flips and wore plaxnents) tat are rice The Shen* asmun nare fetes Maranon that au
the hilt meat* abets at a to regtea aXouit ht. axoart to be hbaci to Interred Vida the ~toes Aci of 1933. and entern] On the Hrn'S celne sevnes webste It as
mainmast. let charges la we payment for ~rue eta:Wirer...able fnarkrumel chow by you to ac ea
LOS Onatial SavMs he purchase; ved Usages fcs vpad anoints I crib accents • COrni»dhret COnlrX11(09 . troy «change rid your resagfeept-g n ha no liga ONO en sour noise
1200 Haber &mint Accounts ta aPtranftEd tO otlw entutons may be preims nets ~gat ncLedhg tuna commas ans Yolu cal Matt you Randy axkilt nats. through Onto
Weehmk en NI 07086 %bra to a banner lee. tommotto) count contracts Se noes of byoximaing ps &taxer Asreor.
Me statement represses the ity oftsiklrectxd of )ourUBS UBS Sweep Optima The SK protection and the girplarriotaon do not Aurount overview
financial Senses nut Other ream* inapt Manta< U85 oners ocean la ~cn bans. baxeces to achy to thise assetstend they et!~ appea char • vibe of sea 2ttarnaperflen, Na of assets and
docunents. co ~hog confleng dau stubnix be Mad bank &pouts as UM Bart USA aryl RCS AG Stamford branch statements The SIC proteasn and do sLppbewit liedips
upon rl you Were that 6 an ena a ones«. pleat (Bark Sump hosting ebre/Oy market meted hat Peoneo feertecton do rot ;need mans, changes n the manet • Axons !there aoaltk urn bakrces when la
noon ii ~dimly n Wring to tel3rath Manager of to Fin red t Tekorntional >cost Accown (0Alfor vibe d yov Met -WU Meether as a result 40 matel rotted warily <at rid Global TieDepots unrealized
office smog you amount c A u c s c t o o u m n e t rs t M hr I o S u a g h m ge e a n r t * a lm S a w t e R e e p r f o ro u g te r a le n t s r . a c g a e l r . n b en en t ches notrrent. tun batanotcy or oilmmiR) D m o a m t n t e o t m nc a l r a k d e e t u a n d o n r c o ed ta s n e a a r n d a t s o l n a o s t s e h h el a d t b e y eM te o I l a n the
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° s r a e k n i t 0 'e d m ra e g nd -g t u a l < l k r m ot be b u e s . e . d F f O o r r r i t a 1 r 0 N 99 o . o 54 s 9 e 8 s . R 10 e 1 y 2 5. a th t e t n e t s o B U a lt5 t I U C SA S a ta r n e f W or C d B en ra ur n e t d . a n a a c f c ! P o i r m da a x F e u e rd ac h D fe ep n o : ses b ri y v c e o m in x o t r e rn g x S i P m C a a b t o 2 u 0 t 2 W -3 C 7 . 1 h 8 d 3 u 0 d 0 ng b th y e x M tu K n g B t r h o e d M kin k . • u w C e r s a e h d ke n e o s d h s c c b o d l e in s s A a P n R d b ~ a c la i n ta ce b s l . e ° A st s o h ck m o a p n ti ) o m ns a gn
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- gm rd patty eumaes of vale are as of a anan daci ridded in tonneau" with the deututon of trued SkirsiCOSACCOut BSA and MIA aelortamage laurel
and at Siepbed lo USS inroad Saviors on a regu funds toon dents we alder our that mew led porde access to bat no ,cruces ns prodtds
baps by an ndepentlent yabation Inn redeyeSwing paynenu from essubutors ardor trough anangements wIt armah brats rid other Mkt
Perin Praia or gaud' mimed valos{ »ion of the annual ends tat we sell Peso party balks and proud aocosmo bend and anafy
any. ate ~Ind to PeFenby tie mom general remits are bated on two different amounts 0 prodids iswed by urea dated thrd {tarty ~ran,
partner ip watt and may be Cabialed based the amount el suksby uBS or a Olt COW (Mull had contemn*, through ~dice agency lubS153 es of UBS
daleed dfornation from that used by thed palts to lamas to ouderhes. ad Id One tad wad ol a Financial Saviors ho
donee thee estimated mhos pamlirruoval fund fan y% 9~1~ a the Inn
- You can anain addeenal Mermaid, regaling the - We aid aa aflame aim ricer., retradrng rid meetmrt. ~farce, ad annuity products
mededology wed to ektennine the tamale e wake ormeempromsvng lees n mreidetaton lor bender Not IOC haired • NO bank guannum May lose wale
aud the date of the idoirnamn he if the base fa the agent sewees true we proud to rho mutual funds
manse by enlacing your kvicial ~her Thew lees gentralli re pad Peen Manor horn in the ROM fteSOUCeNtana~ acoxnt. Buwess Seven
mutual lad aid are a tired doll* anoum basel on the ~pant BS* WM and ~mahout Resound lAtaament
SDNY_GM00021383
CONFIDENTIAL
EFTA_00 132003
EFTA01274210

MSS Financial Services UBS Strategic Advisor
*UBS 299 Park Avenue
25th Floor
New York lifY 10171.0002 November 2014
CNP70056752691114n Y1 0
GHISLAINE MAXVVEU.
116 E 65TH STREET
NEW YORK NY 10065.7007
Account name: GfreStAblE MAXVVEU.
Friendly account name: Indiv.V49935006
Account number. Y 1 23571 SS
Your Nnancial Advisor-
SCOTT STACK MAN1LYLE CASI4EL
Phone: 212-821-70001800-308-3140
Questions about your Value of your account
statemeiY7
Call your Financial Advisor or the
RMA Resourceline at 800-RMA-1000, on October 31 (51 on November 28 (1)
account 029023571
Your assets 1,015,667 54 1,019,697.22
Visit our website: Your liabilities 0.00 aoo
www.ubscornifinancialservices
Value of your account 11,015,667.54 31,019,697.22
Sources of your account growth
Tracking the value of your account during 2014
Value of your account
S Thcur,arICS at yea. end 2013 5000
Net deposits and
withdrawals 5930,983.19
1O19.7
Your Meg:nenI return
• •
Di*lenclard
interest income 527,726.07
Change in
market value 510,982.%
Value of your account
on Nov 211, 2014 $1,019.697.22
0(1$314 143v2014
SDNY GM 00021384
Member SIPC CNP7000T005675269NP7003191999 00004 1114 03057500i Y123571550010000 Page 33 of 96
CONFIDENTIAL
EFTA 00132004
EFTA01274211

sUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWEU. Your A Randal Advisor.
Friendly account name: Indiy V49935006 SCOTT STACK MAIst LYLE CASR1EL
November 2014 Account number: VI 23571 55 212-821.7000/800-308-3140
Your account balance sheet
Summary of your assets
Value on Percentage of
November 28 (5) your account
A Cash and money balances 2,109.27 0.21% Your current asset allocation
B Cash alternatives 0.00 0.00%
I N.
C Equities 282,745.65 27.73%
D Fixed income 702,153.39 68.85%
E Non-traditional 32,688.91 3.21%
F Commodities 0.00 000%
G Other 0.00 000%
Total assets 11,019,697.22 100.00%
Value of your account $1,019,697.22
Eye on the markets
Percentage change
Index November 2014 Year tO date
S&P 500 2.69% 13.98%
Russell 3000 2.42% 12.56%
MSC I - Europe, Australia & Far East 1.37% -1.08%
Barclays Capital U.S. Aggregate Bond Index 0.70% 5.86%
Interest rates on November 28, 2014
One-month LIBOR: 0.15%
CNP70003005675270NP70031919990CC04 1114 030575004 T123571 55001ftiliyGitoorilless 34 of 96
CONFIDENTIAL
EFTA_00I 32005
EFTA01274212

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your IIsandal Advisor:
*UBS Friendly account name: Indiv vegg35c06 SCOTT STACKMANLYLE CASNEL
November 2014 Account number. Y1 23571 55 212-821-70001800-308-3140
Change in the value of your account Summary of gains and losses
values reported below exclude products lot which gent and lostes are not destined.
November 2014 (Si Year to date (S)
Realized gains and losses Unrealized
Opening account value $1,015,667.54 $0.00
November 2014 (5) Year to date ($) gains and losses (3)
Deposits, including investments
transferred in 0.00 1,162,105.66 Short term 0.00 0.00 4,773 46
Withcfrawals and fees, Long term 0.00 0.00 27,969 21
including investments transferred
Total $0.00 $0.00 $32,742.67
out -303.27 -181,117.47
Dividend and interest income 4,319.29 27,726.07
Cash activity summary
Change in market value 13.66 10,982.96
See Account sandy this month for deals &lances In your Sweep00cm are indudedin the opemnig and
Closing account value $1,019,697.22 $1,019,697.22 closing blames vela. FDIC Insurance appal only to deposits at UK Bank USA, not to deponts a UBS AG,
Starreord Branch or bank deposits placed through the UBS Intern/bona Depose accent pogrom SIPC
protection applies to moray menet sweep fund holdings but rot bent deposits. Seelmportate informanon
Dividend and interest income earned 'beeper statement on the last two paws d this document for debits.
November 2014 (S) Year to date (S)
for purposes of ths siatemeni, tatabSty of molest and drec1ena income has been determined Iran a uS Opening balances $264.68 $0.00
tar reporting sterspNline. Based upon the residence of the account holdet, account type, or product type,
scale interest andor dvidend payments may not be subject to United States (US) ardor Puerto Rico (PR) Additions
Income tarn. The dent mom* statement is not Intended to be used and ramol be Reed upon for sac
purposes. Clients should refer to the applicale lac reporting foam they receive from U8Sannualy, such as Deposits and other funds credited 0.03 72,762.49
the FOrMS 1099 and the Penns 480, for tax reporting (Memnon_ it is the practice of u85 to tile the
appicaue let reporting forms with the US Mimed Revenue Service and PR Twenty oepannent. and in Dividend aid interest income 4,319.29 27,726.07
such fount accurately dairy dndends andra Interest al tae erupt or teak Moyne. Mae coinuli yens
Incledual ter preparer. Total additions $4,319.29 $100,488.56
November 2014 (S) Year to date (S) Subtractions
Taxable dividends 2,469.22 25,544.09 Professional management fees and
related services 0.00 -2,729.29
Long-term capital gains 1,850 07 2,175.62
Other funds debited -303.27 -71,113.70
Taxable interest 0.00 6.36
Funds withdrawn for investments
Total current year $4,319.29 $27,726.07 bought -2,171.43 -24,536.30
Total dividend & interest $4,319.29 $27,726.07 Total subtractions -$2,474.70 -$98,379.29
Net cash flow $1,844.59 $2,109.27
Closing balances $2,109.27 $2,109.27
SDNY GM 00021388
CNP7C003005675271Nn700319199900C04 1114 030579001 Y123571$50 010000 Page 35 of S6
CONFIDENTIAL
EFTA_00 32006
EFTA01274213

UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Pi Bendel Advisor:
Friendly account name:Indiv V49939X/6 SCOTT STACK MANLYLE CASRIEL
November 2014 Account number. Y1 23571 55 212-821.7000/800-308-3140
UBS Bank USA Deposit Account APY
Interest Period Oct 7 - Nor 6
Opening UBS Bank USA Deposit balance Oct 7 $38.59
Closing UBS Bank USA Deposit balance Nov 6 5303.27
Number of days in interest period 31
Average daily balance $501.88
Interest earned $0 .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 with to change them, please contact you
Franco' Advisor or Branch Manager. You can find a ful description of the alternative
investment objectives in important information about your sratementat the end of this
document.
Your return objective:
Current income & capital appreciation
Your risk profile:
Primary - Moderate
Investment eligthnty consvIeratton None selected
Your account instructions
• You account cost basis default closing method is FIFO, First In, First Out
01P7C0C0305675272NPVC019199900C04 1114 030575004 Y123571S500licfpwGht00021fer 36 of 96
CONFIDENTIAL
EFTA_00132007
EFTA01274214

SUBS UBS Strategic Advisor Account name: GHI5LAINE MAXWELL Your Pi sandal Advisor:
Friendly account name:Indiv v49935036 SCOTT STACKMANLYLE CASRIEL
November 2014 Account number. Y I 23571 55 212-821-7000'800-308-3140
Your assets
Some pnCeS, incOMe and current vd ues ShOwn may CeapprOximene. Asa ref tin. cairn aid lOsses may nol
be accurately reflected. Set revenant Antonia:ion etiout your statement a the end of ths ctcumeMfOr
TOM intorno, on.
Cash
Cash and money balances
Openngbaance CIOPAO WI/MC! Price per sh&F Ave rd;le Dividend interest Dais in
Hddng on NOV 1 (P) on Nov 28 (5) on NW 28 (1) tate period period Cap amount (1)
Cash 000 2,109.27
LI858ANI: USA DEP ACCT 264 68 0.00 250,000.00
Total 3264.68 $2,109.27
Equities
Mutual funds
Tetalternvested s ine loaded reinvested dvidends It (feel nos include any cosh ChideDOS. P IS not a ta Unrealized (tad gas or loss 6 the °defence between the anent value and kr* cost tuft endwould
lot lot the purposes of determining hold no periods 0r cost basis. The shares you receive each one you genwaty be your taaabe gan or loss If the security was sad Co tin date. The unrealized (tax) gan or loss
reintesl d wands become a separate tax lot. may need so be attuned for rtt um of septa parents in order to determine the reazed coin of loss for tax
reporting purposes.
Cost IMPS is the tow purchase cost of the security. indudng *livered d vidends The cost basis mar need
lobe adusted for return of Cagle payments in order 10 determine the actusted cost Ots tor tax report no Meteorite( teem is the current yak* minus the amount yOu I mend It does not include shales Thai are not
purposes. reflects on your statement, includnoshares that have been 'edited GO either a gin a a loss It also does
not include cash &admen that were not reinvested
Purchase price)
Norber Avelag%p,ce Client Cost Price per shore Value on unrealizeddart imestment Hach.;
Hddng of shares per shaft ($) investment ft) basis (S) Cl Nov 28(1) Nov 28 CS) gain or loss (I) return (S) period
CLEARBRIDGE
EQUifY INCOME FUND
CLASS I
Symbol: SOPYx
Trade date: km 26, 13 1,179.249 16.769 19,776.00 19,776.00 20.790 24,516.59 4,740.59 LT
Trade date: Jan 14, 14 296.210 18.470 5.471.00 5,471.00 20.790 6.158.21 687.21 ST
Trade date: kin 15, 14 283.181 18.549 5253.00 5,253.00 20.790 5,887.33 634.33 ST
Trade date: /an 16, 14 282.731 18.529 5239.00 5239.03 20.790 5,877.98 638.98 ST
Trade date: Fan 17, 14 298.430 18.469 5.512.00 5,512.00 20.790 6,204.36 692.36 sr
Total reinvested 37.214 19333 719.47 20.790 773.68 54.21
EAI: 1865 Current yield 1 75%
continued next page
SDNY GM 00021388
CONFID c E NP700 N 04005 T 67527 I 3N A P7003 L 19199 9 00034 1114 030575004 Y123571550010000 ►egs 37 of 96
EFTA_00132008
EFTA01274215

4tUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Anancial Advisor
Friendly account name: Indiv V49935006 SCOTT STACK MANLYtE CASRIEL
November 2014 Account number. Y1 23571 55 212 821-7000/800 308 3140
Your assets . Equities . Mutual funds (continued)
Purchase puce
Nurrbet *vein peke Client Cost Price per shoe Value on Unrealized Gaul imesureent Hddng
IWdng of shares pat sham (I) involtrnmt d) bask (1) an Nov 29(1) Nay 29 (S) gain of lost (1) plum (5) period
Security total 2377.015 17.657 41251.00 41,970.47 49,418.14 7,447.68 8,167.15
COLUMBIA CONVERTIBLE
SECURITIES FUNDCLASSZ
Symbol: HOAX
Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 19.450 22,312.59 1,789.59 ST
Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,942.00 19.450 16,345.39 403.39 ST
Total reinvested 53.109 19.394 1.031101 19.450 1.032.97 2.96
EAI: 4967 Current yield 2.44%
Security total 2,040.666 18.374 36,46500 37,495.01 39,690.95 2,195.94 3225.95
HARBOR CONVERTIBLE
SKLIRMES FUNDCLASS I
Symbol: HACSX
Trade date: lan 29, 13 1,872.780 10250 19,196.00 19,196.00 11.210 20,993.86 1,797.86 LT
Trade date: Sun 17, 13 960.534 10.489 10,076.00 10,076.00 11.210 10,767.58 691.58 LT
Total reinvested 27.030 11.272 304.70 11.210 303.01 •1.69
EAI: 4589 Current yield 184%
Sect-city total 2,860.344 10.340 29272.00 29,576.70 32,064.45 2,487.75 2,792.45
JP MORGAN INTREPID
EUROPEAN INST
Symbol: JFEIX
Trade date: Aug 1, 13 435.452 23.134 10074.00 10,074.00 25.860 11260.78 1,186.78 LT
Trade date: Aug 6, 13 439.831 23.286 10,242.00 10242.00 25.860 11,374.03 1,132.03 LT
EAI: 475 Current yield: 0.33%
Security total 875.283 23.211 20316.00 20316.00 22,634.81 2,318.81 2,318.81
MATTHEWS ASIA DIVIDEND
RIND INSTL
Symbol MIMI<
Trade date: Ian 29, 13 2,156.431 14.849 32,023.00 32,023.00 15.710 33,877.53 1,854.53 LT
Trade date: Feb 1, 13 481.951 15.069 7263.00 7263.00 15.710 7,571.45 30845 LT
Total reinvested 52.286 16.005 836137 15.710 821.41 -15.46
EAI: 41.445 Current yield: 3.42%
continued next page
CNP700C0005675274NP7000191999000041114 030575001 v123571550 Ol Igthtiysm0002114319 38 of 96
CONFIDENTIAL
EFTA_00 I 32009
EFTA01274216

U BS Strategic Advisor Account name: GHISLAINE MAXWELL Your N sandal Advisor:
*UBS Friendly account name: Indsv v49935006 SCOTT STACKMANLYLE CASNEL
November 2014 Account number. Y1 23571 55 212-821-70001800-308-3140
Your assets . Equities . Mutual funds (contnued)
Purchase puce'
faurrtr Averatt pein icse) Client Cost Price per share Value on Unrealized ISO Investment Hdd ng
siddno of stares al i investment CO basis (I) on Nov 2801 Nov 29 as) spin or loss whim (S) Period
Security total 2,690.668 14.912 39286.00 40,122.87 42270.39 2,147.52 2.984.39
SIT
DIVIDEND GROWTH FUND
CLASS!
Symbol: SOVGX
Trade date: Jan 29, 13 2,333.831 15.400 35,941.00 35,041.00 19600 45,743.03 9,802.08 LT
Trade date: Sun 11, 13 624.804 16.569 10,353.00 10,353.00 19.600 12,246.16 1,893.16 LT
EA1: $766 Current yield 1.32%
Scarily total 2,958.635 15.647 46294.00 46,294.00 57,989.24 11,695.24 11,695.24
TORTOISE MLR 8.inIPELPIE
FUND CLASS INSTL
Symbol: TOM
Trade date: Ian 29, 13 2.296.774 13.330 30,616.00 30,616 00 16,840 38677.67 8,061.67 8,061.67 LT
EAI: $744 Current yield 1.92%
Total $243,500.00 $246.391.05 $232345.65 $36.354.61 $39245.65
Total estimated annual income: 15.451
Fixed income
mutual funds
este(' 4 the IOW a at '<Invested &mien& n alas not include any cast, dviCends II Is rat a vrneeized (torlgan alas d the dfference between the current Wart and the cost basis and wotnd
Ia. IL, lot the purposes of determinng hdcing periods or cost basis. The shares you receive each time you generally be your iautre gam or loss 4 the security was sold on this date. The unrealized (lax) gan a loss may
reinvest dvdench Scorn. a separate tax kit need to be otnted for return o( capital payments in order to cbterwine the realized gain or loss foe lac
COST basis is the Iola purchase cost of the Warily. Ind udng reinvested <1st:lends The cost basis trey reponing purposes
need to be </dusted for return d cql WI payments in order to Chtermne the erg usted cost haat for tax tnvetnent return is the current clue rrinus the amount you Invested. a does nit include shires that se not
reporting purposes reflected cn your statement, inducing shares that hare been red ired aa either a gain a a 1074 It also it,., nct
include cash dsidencls that were not reinvested
Purchase price'
Nurrber Average rex! Client COSI PrKe per Share Value on UnrediZed 844 Investment Had ng
Hddng of shares pet share (S) investment (S) basisel) at Pow 28(1) Nov 28 (S) gain or loss (S) return (5) period
AVENUE CREDIT STRATEGIES
FUND CLASS INSTL
SymbO1. AC sax
Trade date: Nov 12, 13 910.736 11.270 10264.00 10264.00 11.210 10209.35 -54.65 LT
Trade date: Nov 18, 13 912.566 11.300 10,312.00 10,312.00 11.210 10229.86 -82.14 LT
contoued next page
SDNY GM 00021390
CTIP7C0C030567527SNP7003191999 OCCO4 1114 03057%04 Y123S71SSOOIC000 Pap 39 of 96
CONFIDENTIAL
EFTA 00132010
EFTA01274217

T
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your K nancial Advisor
friendly account name: Indiv V49935006 SCOTT STACK MANLYLE CASRIEL
November 2014 Account number 'et 23571 55 212-82I.7000P800-308.3140
Your assets . Fixed income . Mutual funds (continued)
Purchase puce'
Hunter Average peke Client Cost Price per share Value co unrealized sita-0 imestmem Hddng
Mang of flutes per share (f) integre/It (I) basil (1) on Nov 29(f) Nov 29 (f) gun of lost (f) return (5) period
Trade date, Nov 25, 13 911.661 11.319 10,320.00 10,320.00 11.210 10219.72 -100.28 LT
Total reinvested 85.763 11.631 997.55 11.210 961.40 -36.15
(Al: 11,300 Current yield. 4.1I %
Security total 2.820.726 11.307 30,896.00 31.893.55 31,620.33 -273.22 724.33
81ACKROCK HIGH YIELD
BOND I
Symbol: BHYIX
Trade date: )an 29, 13 4,811.156 8.200 39,451.48 39,451.48 8.210 39,499.59 48.1I LT
Trade date: Jun 27, 13 2,481.156 7.959 19,750.00 19,750.00 8.210 20370.29 620.29 LT
Total reinvested 308.713 8.335 2,573.27 8.210 2,534.53 -38.74
EAI: 43.572 Current yield: 5.72%
Security total 7.601.025 8.127 59201.48 61,774.75 62,404.41 629.66 3202.93
COHEN & STEERS PREFERRED
SEC & INC FUND I
Symbol: Cmax
Trade date: /an 29, 13 3.002.068 13.487 40.490.57 40,490.57 13.660 41,008.24 517.67 LT
Trade date: Feb 6, 13 740.625 13.391 9,91&40 9,918.40 13.660 10,116.94 198,54 LT
Trade date: kin 14, 13 751.274 13.309 9,999.02 9,999.02 13.660 10262.40 263.38 LT
Total reinvested 204.934 13.579 2,782.91 13.660 2,799.40 16.49
EAI: 43,853 Current yield: 6.00%
Security total 4,558.901 13.448 60,407.99 63,190.90 64,186.98 99&08 3,778.99
DOUBLE LINE TOTAL RETURN
FUND INSTL
Symbol: D8LTX
Trade date: kin 29, 13 12,498.155 11.379 142,229.00 142229.00 11.010 137,604.69 4,624.31 LT
Total reinvested 456.563 10.959 5,003.78 11.010 5.026.76 22.98
EAI: 36,917 Current yield: 4.85%
Security total 12,954.718 11.365 142,229.00 147232.78 142,631.44 -4,601.33 402.45
EATON VANCE FLOATING
RATE ADVANTAGE CL I
Symbol: BFAX
continued next page
04'700090056752M NP2000191999 001)01 1114 G30575001 V123571 550 0144,04,wGm00021fer 40 of 96
CONFIDENTIAL
EFTA 00132011
EFTA01274218

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Mnandd Advisor:
*UBS Friendly account naine:Indov V49935006 SCOTT STACKMANLYLE CASRIEL
November 2014 Account number. VI 23571 55 212-821-7000/800-308-3140
assets Fixed income .
Your Mutual funds (cor/nue:1)
Purchase Mei
Nurrber Average price client Cost Price per share value on Unrealized (MO investment HolcIng
Hiring or shires per share ($) investment (1) basis ($) an Nov 28(0 Nov 28 0) gain or loss (1) return 01 Period
Trade date: /an 29, 13 7,524.150 11.180 84,120.00 84,120.00 10.950 82389.43 • 1,730.57 LT
Total reinvested 263.466 11.093 2,922.82 10.950 2,884.95 -37.87
(Al: 44,057 Current yield: 4.76%
Security total 7,787.616 11.177 84,120.00 87,042.82 8527439 -1,768.44 1,154.38
HARBOR HIGH YIELD BD CD
INSTITUTIONAL CI.
Symbol: HYFAX
Trade date: /an 29, 13 2,660.657 11.239 29,905.78 29,905.78 10.770 28,655.28 -1250.50 LT
Total reinvested 100.864 10.942 1,103.71 10.770 1,086.31 -17.40
(Al: $1,712 Current yield: 5.76%
Security total 2,761.521 11.229 29,905.78 31,009.49 29,741.58 -1,267.90 -164.19
HSBC TOTAL RETURN
RIND CLASS I
Symbol: HTRIX
Trade date: /an 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.440 40283.43 57878 578.78 LT
(Al: $775 Current yield 1.92°A
JPRAORGAN UNCONSTRANED
CEBT FUND CLASS SELECT
Symbol: .ISISX
Trade date: lan 29, 13 4)84.864 10.260 49092.71 49,092.71 10.210 48,853.46 .239.25 LT
Total reinvested 98.719 10.315 1,018.32 10.210 1007.92 •1040
(Al: 31,401 Current yield: 2.81%
Security total 4,883.583 10.261 49,092.71 50,111.03 49,861.38 -249.65 768.67
METROPOUTAN WEST TOTAL
RETURN BOND FUND CLASS
Symbol: MWTIX
Trade date: Oct 24, 13 7,192.344 10.709 77,030.00 77,030.00 10.930 78,612.32 1,582.32 LT
Total reinvested 131.864 10.797 1,423.83 10.930 1,441.27 17.44
(Al: 41,860 Current yield: 2.32%
Security total 7,324.208 10.712 77,030.00 78,453.83 80,053.59 1,599.76 3,023.59
RIDGEWORTH SOX FLOATING
continued next page
SDNY GM 00021392
CNP70009305675277NP70C0191999 00001 1114 030575004 vi2357i 550010000 Page 41 of 96
CONFIDENTIAL
EFTA 00132012
EFTA01274219

BS
*U UBS Strategic Advisor Account name: GNISLA1NE MAXWELL Your II nodal Advisor:
Friendly account name:Indiv V49935006 SCOTT STACK MANL YLE CASRIEL
November 2014 Account number. VI 23571 55 212.82 I-70001800-308a 140
assets Fixed income .
Your Mutual funds (continued)
Purchase we
ranter Avera7 pxe Client Cost Price per 'hese value on unrealized0M Investment Helping
Hddng of Nowa per share ft investment (1) Oasis co on Nov 28 0/ Nn 28 (o) gain or Ion CS/ return (I) Pilled
RATEHIGH INCOME FUND
CLASS I
Symbol. SAMBX
Trade date: Jan 29, 13 6,502.655 9.039 58,784.00 58,784 00 8.920 58,003.68 •780.32 LT
Total reinvested 209.185 9.018 1,886.45 8.920 1,865.93 .2052
EAI: 32,550 Current yield: 4.26%
Security total 6,711.840 9.039 58,784.00 60,670 45 59,869.61 -800.84 1,085.61
T ROWE PRICE
INSTITUTIONAL FLOATING
RATE F CLASS
Symbol. PFFRX
Trade date: Jan 29, 13 5394.060 10270 55397.00 55,397.00 10.140 54,695.76 -701.24 LT
Total reinvested 150936 10.227 1,54372 10.140 1,530.49 -13.23
EAF 32,351 Current yield- 4.18%
Security total 5,544.996 10.269 55,397.00 56,940.72 56,226.25 -71447 829.25
Total $686,768.61 $708.82457 $702,153.39 -15,871.57 $15.38438
Total estimated annual income: 530,348
Non-traditional
Mutual funds
rotas romrcsrof is the tots 0181 reinvested dadends does not include any (ash di/leePIS. A IS riot alai tweaked (6o) gam or loss is the Ofterence between the Caren' value and the cost basis end would
lot foe the purposes of determining hold rg periods or cost basis. The shares you teenye tan ter* you genet* be your rabble gen or loss if the sec wily was sold as tin date. The unreaNed gm) gen or toss
reinvest dradends become a separate tax kit may need to be adjusted for return of opted paytnems In order to determine the rezeized gain or loss for tax
feratillg purposes
Coat bases is the tots purchase cost of the security. Inducing reinvested d Wends the cost bast may need
to be agusted fix return ce capItd portents in order so determine the adjusted cost basis tor ter rep:icing imestment tetut o is the current value minus the anount you I wrested it does not include shares that are not
purposes. reflected on your statement, includng shares that haw been realized as either a gin a a loss It also does
not aclude cash dedench that were not Ni wonted
Purchase p056
Marton Averatge race Client Cost Prose per share Value on unrealizedOP) Investment Hddng
NcIdng of shares per share ft investment (I) basis CO co Nov 28 (1) Nov 29 (1) gain or loss (I) return (S) period
GATEWAY RIND C LASS Y
Symbol- GTEYX
Trade date: /an 29, 13 1,089.208 27.580 30,040.36 30.04036 29.650 32,295.01 2,254.65 LT
continued next page
CNP70309305675278NP70C0191999 03004 t 114 030575004 V12357155001MyGiuggipijirg 42 of 96
CONFIDENTIAL
EFTA_00B201 3
EFTA01274220

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your PIsandal Advisor:
*UBS Friendly account name:Inc:iv ve9935006 SCOTT STACKMANLYLE CASRIEL
November 2014 Account number. YI 23571 55 212-821-7000/800-308-3140
Your assets Non-traditional . Mutual funds vonnnued)
Purchase pixel
oNfusrhrat si Arce a prstse) Client Cost PIK< per share Value on unrealized Ina In estment Honing
Siddng share ineestmenl (S) bads(!) on Nov 28(1) istyr (1) gain or toss(!) return (5) period
Total reinvested 13.285 29.275 387392 29.650 393.90 4.98
EAT 3501 Current yield 1 53%
Secuity total 1,102.493 27.600 30,040.36 30,429.28 32,683.91 2,259.63 2,648.55
Your total asset
Percenta Cost Es:mated urireamed
Value on Nov 28 IS/ your accouni taus (1) annual incase (5) gan or loss (1)
Cash Cash and money balances 2,109.27 021% 2,109.27
Equities Mutual funds 202,745.65 27.73% 246391.05 5.45100 36354.61
Fixed income Mutual funds 702,153.39 6835% 708,024.97 30,348.00 4271.57
Non traditional Mutual funds 32.688.91 3.21% 30,429.28 501.00 2259.63
Total $1,019,697.22 100.00% $986,954.57 $36,300.00 $32,742.67
Account activity this month
Dade Actilty Description Ammer' (S)
Dividend and interestincome
Taxable dividends Nov 3 Dividend METDOPOUTAN WEST TOTAL RETURN BOND FUND CLASS 1AS OF 1031114 129.11
Nov 3 Dividend RIDGEWORTH SEIX FLOATING RATEFICH INCOME FUNDCLASS I AS OF 225.59
10'31114
Nov 3 Dividend DOUBLE UNE TOTAL RETURN FUND INSTL AS OF 101 31/ 14 507.05
Nova Dividend COHEN & STEERS PREFERRED SEC & INC FUND I AS OF 1031/14 313.28
Nova Dividend EATON VANCE FLOATING RATE ADVANTAGE CL I AS OF 10/31/14 336.86
Nov 3 Dividend 1PMORGAN UNCONSTRAINED DEBT FUND CLASS SELECT 141.22
Nova Dividend I ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS AS CF 10/31114 216.90
Nova Dividend BLACK ROCK HIGH YIELD BOND i AS OF 103 ir 1 4 301.42
Nov3 Dividend HS8C TOTAL RETURN FUND CLASS I 38.59
Nov28 St Cap Gain TORTOISE MLP & PIPELINE FUND CLASS INSTL SHORT TERM CAPITAL GAIN 59.33
ASCA 11/25/14
Nov28 Dividend TORTOISE MID & PIPELINE FUND CLASS INSTL AS OF 11/2914 199.87
Total taxable dividends $2A6922
SDNY GM 00021394
cisf7CoOmoss7S779Nrimodi9I99900004 ii 14 030575004 Y123571550010000 ►age 43 of 96
CONFIDENTIAL
EFTA 00132014
EFTA01274221

SUBS
UBS Strategic Advisor Account name: GHI5LAINE MAXWELL Your Anandal Advisor:
Friendly account name: Indiv 1/49939066 SCOTT STACK MAAY LYLE CASRIEL
NOvember 2014 Account number. YI 23571 SS 212.821.7000800.308.3140
Account activity this month
(Conti-wed)
Date Actnay Otscrgstinn Amour (S)
Dividend and interestincorne (continued)
Long-term capitol gains Nov 28 It Cap Gain TORTOISE MID & PIPELIPE FUND CLASS INSTL LONG TERM CAPITAL GAIN AS 1,850.07
OF 1112914
Total long-term capital gains 1,850.07
Total dividend and interest income $431929
Dee Achilly Description Amounl
Other funds debited Nov 19 Transfer TO Y1 235750100 -303.27
Total other funds debited -$30327
InvesbnentUansactions
Fa more I nfomation about tee price value shown for restricted st<usities, See importent information &bout
your statement at the endof this document.
emcees:1s km Funds
insestrnent withdrawn for accrued
Dee Actinty Descapaon Charity vat* CS) Pace (S) isereatices co investrnents bcogrit (S) Interest ID
Nova Reinvestment METROPOLITAN WEST TOTAL RETURN BOND 11.867 -129.11
FUND CLASS I DIVIDEND REINVESTED AT 10.88
NAV ON 10131/14 AS OF 1031114
Nov3 Reinvestment RIDGEWORTel SEIX FLOATING RATEHIGH 25.290 -225.59
INCOME FUND CLASS I DIVIDENDRONVESTED
AT 8.92 NAV ON 1013014 AS OF 10131/14
Nova Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL 46.222 -507.05
DIVIDEND REINVESTED AT 10.97 NAV ON
10/31/14 ASOF 10'31/14
Nov3 Reinvestment COHEN & STEERS PREFERRED SEC &INC FUND I 23.018 -313.28
DVIDEND REINVESTED AT 13.61 NAV ON
10/31/14 AS OF 1031114
NOv 3 Reinvestment EATON VANCE FLOATING RATE ADVANTAGE CL 30.792 -336.85
I DIVIDEND REINVESTED AT 10.94 NAV ON
10/31/14 ASCE 10'31114
Nov3 Reinvestment 1FMORGAN UNCONSTRAINED DEBT FUND 13.804 -141.22
CLASS SELECT DIVIDEND REINVESTED AT 10.23
NAV ON 10/31/14
Nov3 Reinvestment T ROWE PRICE INSTITLIRONAL R_OATING RATE F 21.391 -21690
CLASS DIVIDEND RENVESTED AT 10.14 NAV ON
10/3014 ASOF 1031114
Nov3 Reinvestment BLACK ROCK HIGH MELD BOND I DIVIDEND 36.580 -301 42
REINVESTED AT 674 NAV ON 1o r3v 14 AS OF
1031114
Total -$2,171.43
CNP703C0005675280NP7000i91999 0000t 1114 030575004 v12357i S5004§myGrk pocepsis 44 of 96
CONFIDENTIAL
EFTA 0{1132015
EFTA01274222

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Nnandal Advisor:
*UBS Friendly account narne:Indiv V49935006 SCOTT STACKMAN1YLE CASNEL
November 2014 Account number. Y1 23571 55 212-821-7030/ 800-308-3140
Account activity this month (Contnued
Date Activity Description Arrounl IS)
Money balance activities Oct 31 Balance forward $26448
Nov 4 Deposit 1185 BANK USA DEPOSIT ACCOUNT 38.59
Nov 20 Withdrawal 085 BANK USA DEPOSIT ACCOUNT AS OF 11119!74 -303.27
Nov 29 Closing UBS Bank USA Deposit Account 50.00
The UBS Sant USA OepoSit ACCOunt is your POW/ sweep coign
SDNY GM 00021396
CNPTCOCE4305675201NP7000191999 00004 1114 030575004 Yi2357i 550 010000 Page 45 of 96
CONFIDENTIAL
EFTA 00132016
EFTA01274223

*UBS
Your notes
CNP700090056752$2 NP70:01919,39 00004 1114 030575004 Yi 23571 550 01i gNtlyGNA00021flybir 46 of 96
End of statement for account number Y1 23571 55
CONFIDENTIAL
EFTA ((1132017
EFTA01274224

Important information about your statement
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SDNY_GM_00021398
CONFIDENTIAL
EFTA 00132018
EFTA01274225

Important information about your statement
(CentelUed)
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SDNY_GM_00021399
CONFIDENTIAL
EFTA _00132019
EFTA01274226

UBS EMancial Services Inc. UBS Strategic Advisor
4`UBS 299 Paek Avenue
25th Floor
New York SW 10171.0002 December 2014
CNP7008072441 1214 X13 Y1 0
GHiSLAINE MAXWELL
116 E 65TH STREET
NEW YOFe NY 10065.7007
Account name GH1SLANE MAXWELL
Friendly account name: Indiv.V49935006
Account number. Y1 23571 SS
Your Nnancial Advisor.
SCOTT STACK MANILYLE CASRIEL
Phone 212.821.7000/800.308-3140
Questions about your statement? Value of your account
Call your Finarog Advisor or the
BMA itesourceline at 800-RMA-1000, on November 28 (3) on December 31(S)
account 029023571
Your assets 1,019,697.22 1,011,812.53
lAsIt our websIte: Your liabilities 0.00 0.00
www.ubscomainancialservices
Value of your account $1,019497.22 $1,011,812.53
Sources of your account growth
Tracking the value of your account during 2014
Value of your account
Thousands at year end 2013 1O00
Net deposits and
Wthdravals S930,989.19
1.019.7 101143
Your rivestment return
• •
Dhidendard
interest income $44610.94
Change in
market value 413.78660
Value of your octant
on Dec 31, 2014 S1,011.81253
Mau 2014 De( 2014
SDNY GM 00021400
Member SIPC CNP7001C008072441 NP70C0305739 00001 1214 030575004 Y123571550 101000 Pogo 35 of 104
CONFIDENTIAL
EFTA_00132020
EFTA01274227

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXVVEU. Your Nauru:14 Advisor.
Friendly account name:Incby V49939J06 SCOTT STACK MANLYLE CASRIEL
December 2014 Account number: VI 23571 55 212-821-7000/800-308-3140
Your account balance sheet
Summary of your assets
Value on Percentage of
December 31 (11 your account
. Cash and money balances may include
A Cash and rrxmey balances 9,359.42 093% Your current asset allocation
available cash balances. VBS Bank LISA deposit
B Cash alternatives 0.00 0 00% account balances, VBS AG Stamford Branch
E A deposit account balances and money market
C Equities 272,408.66 2692% mutual fund sweep balances See the Important
information about your statement on the last
two pages of this statement for details about
those balances
Total assets $1,011,812.53 100.00%
Value of your account $1,011,812.53
Eye on the markets
Percentage change
Index December 201a year to date
S&P 500 -0.25% 13.69%
Russell 3000 -0.00% 12.56%
MSC I - Europe, Australia & Far East -3.44% -4.48%
Barclays Capital U.S. Aggregate Bond Index 0.09% 5.97%
Interest rates on December 31, 2014
3-month Treasury bills:. 0 04%
One-month LIBOR: 0.17%
CNP703100C6072442 NP7000305739 COON t214030575004 Y123571SSOIOMAWGrumolAgm36 of 104
CONFIDENTIAL
EFTA [10132021
EFTA01274228

SUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your N sandal Advisor:
Friendly account native:1M's, v49935(x)6 SCOTT STACKMANYLYLE CASILEL
December 2014 Account number. VI 23571 55 212-821-7000800-308-3140
Change in the value of your account Summary of gains and losses
Values reported below exclude products for which gam and losses are not classified
December 2014 (Si Year to date (S)
Realized gains and losses Unrealized
Opening account value $1,019,697.22 $0.00
December 2014 ($) Year to date (s) gains and loses (3)
Deposits, including investments
transferred in 0.00 1,162,105.66 Short term 0.00 0.00 1,926.95
Withdrawals and fees, Long term 0.00 0.00 6,046.09
including investments transferred
Total $0.00 $0.00 $7,973.04
cut 0.00 -181,117.47
Dividend and interest income 16,884,87 44,610.94
Cash activity summary
Change in market value -24,769.56 -13,786.60
See Account activity the month for dela Is. &lances in your Sweep Options are induCed in the cisenng and
Closing account value $1,011,812.53 $1,011,812.53 closing balances eau.. FDIC insurance *plies only to deposits a uss Rank USA, rot to deposits at LOS AG.
Slarrionl Branch or bank deposits paced throw") the UBS intemaiorui Deposit Account program. SIPC
protection applies to money market sweep held hddings but nal bank deposits. Seomportent information
Dividend and interest income earned about your statement on the last two pages ci this document for detals
December 2014 (5) Year to date (s)
rot cuiposes of tins statement tatatttity of 'etes] arts cLoCierKlinforile has been determined (rain a Lr5 Opening balances $2,109.27 $0.00
tar reporting pinged's°. Bawd upon the residence of the account holder, account type, or proluo twat,
some interest ander dsidend payments may not be subject to United States (US) arch Puerto Rico (PR) Additions
Income tarts. The nent month statement is not Intended to be used and canto be raked upon for lac
purposes. Clients should refer to the atslicaole tat reporting forms they serene Iran U85 annualy, such as Deposits and other funds credited 0.00 72,762.49
the forms 1099 and the CCM) 480, for tine rebelling information It Is the adage Of U85 to file the
aspliCaUe tas reporting forms vAth the US interne Revenue Senile< and PR Treasury Deportment and in Dividend and interest income 16,884.87 44,610.94
such forms accurately Usury dticknct anace Interest as tax exempt or taatAt income. Mese consult your
Irschodual lax prepare( Total additions $16,884.87 $117,373.43
December 2014 (1) Year to date IS) Subtractions
Taxable dividends 8,199.06 33,743 15 Professional management fees and
related services 0.00 -2,729.29
Long-term capital gains 8,685 81 10,861 43
Other funds debited 0.00 -71,113.70
Taxable interest 0 00 6.36
Funds withdrawn for investments
Total current year $16,884.87 $44,610.94 bought -9,634 72 -34,171.02
Total dividend & interest $16,884.87 $44,610.94 Total subtractions -$9,634.72 -$108,014.01
Net cash flow $7,250.15 $9,359.42
Closing balances $9,359.42 $9,359.42
SDNY GM 00021402
CONFID O E W7001 N 03080 T 72443 I N A P7003 L 30573 9 00004 1214 030575004 Y12357155010100) Pegs 37 of 104
EFT.A_00132022
EFTA01274229

*UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your linencial Advisor:
Friendly account name:Indiv V49935006 SCOTT STACK MANLYLE CASRIEL
December 2014 Account number: VI 23571 55 212-821.7000/1300-308.3140
UBS Bank USA Deposit Account APY
Dec
interest Period Nov 7 - 4
Opening UBS Bank USA Deposit balance Nov 7 $303.27
Closing UBS Bank USA Deposit balance Dec 4 $2,128.56
Number of days in interest period 28
Average daily ba bnce $433.36
Interest earned $0. 00
Annual percentage yield earn:: 0.00%
Your investment objectives:
You have identified the following investment objectives foe this account If you have questions
about these objectives, disagree with them, or wish to change them, please contact you
Fe:uncial 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:
•nmarj Moderate
investment eltg ibt5ty consideration None selected
Your account instructions
• You account cost base default closing method is FIFO, First In, First Out
O11:70310003072444NF70C0305739 00004 1214 030575004 v123571S5010NykyGh0001440338 of 104
CONFIDENTIAL
EFTA_00132023
EFTA01274230

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Si sandal Advisor:
*UBS Friendly account name:Indiv vegg350D6 SCOTT STACKMANLYLE CAMEL
December 2014 Account number. Y1 23571 55 212-821-7000/800-308-3140
Your assets
Some OnCeS, inccale and Current vanes ShoeM may be approximase. AS a resit gam dndlosses may riot
be accurately relkded. See portant infarenebOn about your statement a the end of ttis Cbcumem fOr
TOM informs on.
Cash
Cash and money balances
Casts and money balances may include avalaole cash balances, UBS Bant USA &post account balances,
UBS AG Stardord Branch &pout account balances and money market mutual fund sweep balances.
UBS Bank USA deposit account balances are insured by the FOC Allh n applicable limits, but are not
protected by StPC 1185 AG Stanford Branchdeposit account tor/antes are not insured by FDIC and ase not
protected by SIFC Money market sweep balances are protected by SEC but ale not insured by the FDIC.
See the rmportant information about your statement a the endof this docunent for detaih about those
balances.
Opertng bdence Cloung tultrxe Pate Per shale Average DSc/endInterest Days in
Hddng on Dec 1 (I) on Dec 21 (I) on Dec 21 (S) tae period petted Cepmount (1)
Cash 2.10927 0.00
LES BANK USA DEP ACCT 0 00 9359.42 250.000 00
Total $2,109.27 $9,359.42
Equities
Mutual funds
Total reinvested is the told d at reinvested dadends a does not include any cash Ossdends. It is not a law Unlashed (tarigam or kass n the Ofference between the current value and the cost Days aid would
lot for the purposes of deterrnning Pad ng pe obis or cost base. The shares you receive each turn you genera ,/ be your tmatre gan or loss if the security was sdd on Ms date. The unreaSzed(ta0 gan or loss
reinvest d %Wends become a separate tax tot may need lobe aClusted for return of captal pz,mems In order to determine the reedited gain or IMS for tax
Cost bass is the total purchase cost of the security, Ind udng reinvested d vdends The cost basis may need
to be altidedfoe return of carltal payments in order to chterrnne the adlusted cost bar's to tar reporting rineresltrinliegnpfu rerP:triS the current value m n us the amount you Invested It does not include ShareS that ale not
purposes reflected on your statement, includng share: INA hare been realized as either a gin a a loss It also cries
not include cash dvdends that were not oelneested
PurChaSe Wee
Harber Average price Client Cat Price per share Value on unrealized lo) Investment Hddng
Hddng of sharps per share (1) investment CO basis (s) on Pet 31 (5) DK 31 IS) grin or loss (5) return (1) period
0.EAR8ROGE
EQUITY INCOME FUND
CLASS I
Symbol SOPYX
Trade date: km 26, 13 1,179.249 16.769 19,776.00 19,776.00 20.690 24,398.66 4,622.66 LT
continued next page
SDNY GM 00021404
G*70310003072445 Ny7003305739 MON 1214 030575004 Y123571550 101000 Pan 39 of 104
CONFIDENTIAL
EFTA_00132024
EFTA01274231

UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your 14 nancial Advisor
friendly account name: Indiv V49935006 SCOTT STACK MANLYLE CASRIEL
December 2014 Account number. VI 23571 SS 212-821.70001800-308.3140
assets Equities .
YOLK Mutual funds (continued)
Purchase price
Number Average price Client Cost Price per shoe Value on unrealizedCoe investrneot Hddng
Hddng of shares per share (3) interfaith-a (5) bade (1) an Der 31 (I) Dec 31 (1) pain orlon (5) return (5) period
Trade date: /an 14, 14 296.210 18.470 5,471.00 5,471.00 20.690 6,128.58 657.58 ST
Trade date: Jan 15, 14 283.181 18849 5253.00 5253.00 20.690 606.01 ST
Trade date: Jan 16, 14 282.731 18.529 5239.00 5,239.00 20.690 551,884599.0710 61030 ST
Trade date: Jan 17, 14 298430 18.469 5,512.00 5,512.00 20.690 6,174.52 66152 ST
Total reinvested 47.254 19.672 929.61 20.690 977.69 48.08
EAI: 4940 Current yield 1.90%
Security total 2,387.055 17.671 41251.00 42,180.61 49,388.16 7,207.55 8,137.16
COLUMBIA CONVERTIBLE
SECURMES FUND CLASS
Symbol. NCIAX
Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 18.840 21,612.81 1,089.81 LT
Trade date: Feb 19, 14 840.380 18.969 15,942.00 15.942.00 18.840 15,832.76 -109.24 ST
Total reinvested 99.567 19.037 1,895.52 18.840 1,875.84 -19.68
2.52%
EAI: 5989 Current yield
Security total 2,087.124 18.380 36,465.00 38,360.52 39,321.41 960.89 2,856,41
HARBOR CONVERTIBLE
SECURITIES FUND CLASS I
Symbol: HACSX
Trade date: /an 29, 13 1,872.780 10.250 19,196.00 19,196.00 10.550 19,757.83 561.83 LT
Trade date: Jun 17, 13 960.534 10.489 10,076.00 10,076.00 10.550 10,133.63 57.63 LT
Total reinvested 174.169 10.594 1,845.25 10.550 1,837.48 -7.77
EAI: 9683 Current yield 2.15%
Security total 3,007.483 10347 29272.00 31,11725 31,728.94 611.69 2456.94
JP MORGAN INTREPID
EUROPEAN INST
Symbol: JFEIX
Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 24.000 10,450.85 37685 LT
Trade date: Aug 6, 13 439.831 23.286 10242.00 10242.00 24.000 10,555.94 313.94 LT
Total reinvested 33.043 24.353 804.71 24.000 793.03 -11.68
EAI: 4812 Current yield 3.72%
Security total 908.326 23.252 20,316.00 21,120.71 21,799.82 679.11 1,483.82
continued next page
CNP70010008072446NP7003305739 00004 +214 03057500J YI 2357155010 glypsymc000ll420540 Of 104
CONFIDENTIAL
EFTA_00132025
EFTA01274232

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Nnandal Advisor:
*UBS Friendly account nerne:Indit V49935006 SCOTT STACKMANLYLE CASRIEL
December 2014 Account number. VI 23571 55 212-821-7000/800-308-3140
Your assets Equities . Mutual funds (continued)
Purchase Duce'
nusrrbeesf Apvteliasiiglpenw Client Cost Pike Del share Value on Unrealizedeta) investment Holcing
Hefting of ) investment (S) basis (I) on Dec 31(1) Dec 31 (5) coinorloss (I) reign IP period
MATTHEWS ASIA DIVIDEND
RIND INSTL
Symbol: MIPDC
Trade date: /an 29, 13 2,156.431 14849 32023.00 32,023.00 15.260 32,907.13 854.13 LT
Trade date: Feb 1, 13 481.951 15069 7263.00 7263.00 15.260 7,354.57 91.57 LT
Total reinvested 52.286 16.005 836.87 15.260 797.88 -38.99
EAI: 31.445 Current yield: 3.52%
Security total 2,690.668 14.912 39286.00 40,122.87 41,059.59 936,71 1,773.58
SIT DIVIDEND GROWTH RIND
CLASS I
Symbol: KNOX
Trade date: Jan 29, 13 2.333.831 15.400 35,941.00 35,941.00 17.310 40398.61 4,457.61 LT
Trade date: kin 11, 13 624.804 16.569 10353.00 10,353.00 17.310 10,815.36 462.36 LT
EAI: 5748 Current yield 1.46%
Security total 2,958.635 15.647 46,294.00 46,294.00 51,213.97 4,919.97 4,919.97
TORTOISE MLP & PIPELEE
RIND CLASS INSTL
Symbol: TORIX
Trade date: Ian 29, 13 2296.774 13.330 30.61600 30,616.00 16.500 37,896.77 7,280.77 7280.77 LT
EAI: 4377 Current yield 0.99%
Total 1243,500.00 6249,81136 1272,408.66 622.596.69 628908.66
Total estimated annual income: 55.994
SDNY GM 00021406
CNP70310008072447Nr/000305739 C0004 1214 030575004 YI 23 571 550 101000 Pug* 41 of 104
CONFIDENTIAL
EFTA_00132026
EFTA01274233

BS
*U UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Ignancial Advisor.
Friendly account namenIndiv V49939X6 SCOTT STACK MANLYLE CASRIEL
December 2014 Account number: Y1 23571 55 212-821.70001800-308-3140
assets
Your (continued)
Fixed income
Mutual funds
rota! reinvested is the Iota d at renveSteddodends n does nob include arty cash dedench. n is rot a gmealge0 (fav) gam or lass is the dfterence between t he current wave and the cop basis and would
tag lot for the purposes of deierminng hdcing periods or cost bees. The shares you receive each time you gemreily be your testable gam a loss lithe security was sold baths date. The urreaated ONO von Cr loss may
reinvest dvdends become a separate tax lot. need to be "dusted for return of captd pafinems in order to determine the reeked On or loss foe lax
:tooling purposes
Cost bases is the told purchase (051 Of the security. indudno renveSteddvdend5 Ire cost basis may
need to be aClustedfOr return d Ctatal payments in order to determine the al usted COst basis for tax tovestotent :eruct) is the current vaue m nus the amount you invested it dyes not include shares that me nen
reporting purposes. reflected on your statement, tnd udng shares dial hoe been red cod ea either a gan ce a loss It dso does not
include cash dvdends that were not reinvested
Purchase PRO
Nm•ber AvelaCy price Client Cost Prue per share Value on Unrealized day imeurnent Holdrg
widno or shares per shale Cs) investment (51 basis (S) on Dec 31 (5) Dec 3111) gain or loss (5) return SO period
AVENUE CREDIT STRATEGIES
FUND CLASS INSTL
Symbol. AC SE0(
Trade date: Nov 12, 13 910736 11.270 10264.00 10,264 CO 10270 9,808.62 .455.38 LT
Trade date: Nov 18, 13 912.566 11.300 10312.00 10,312.00 10770 9,828.33 -483.67 LT
Trade date: Nov 25, 13 911.661 11.319 10320.00 10,320.00 10.770 9,818.59 •501.41 LT
Total reinvested 130.968 11.334 1.484.41 10.770 1,410.53 .73.88
EAI: $1,321 Ostent yield: 4.28%
Security total 2865 931 11.298 30,896.00 32,380 41 30,866 07 .1,514.34 -29.93
BlACKRCCK HIGH YIELD
BONDI
Symbol. B1-1YIX
Trade (Late: Jan 29, 13 4,811.156 8.200 39,451.48 39,451.48 7.880 37,911.90 -1,539.58 LT
Trade date: lun 27,13 2,481 156 7.959 19,750.00 19,750.00 7.880 19,551.51 •198 49 LT
Total reinvested 483.349 8.194 3,961.04 7.880 3,808.79 -152.25
EAI: 13.654 Cureot yield: 5 96%
Secisity total 7,775.661 8.123 59,201.48 63,162 52 61,272.20 .1,890.32 2,070.72
COHEN & STEERS PREFERRED
SEC & INC FUND
Symbol. CPXDC
Trade date: /an 29, 13 3.002 068 13.487 40,490 57 40,490 57 13.580 40,768 08 277.51 LT
Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.580 10,057.69 139.29 LT
Trade date: Ain 14, 13 751.274 13.309 9,999.02 9,999 02 13.580 10202.30 203.28 LT
continued next page
CNP703100C0072448 NP7003305739 C0004 1214 030575004 Y123571550 IONykyGhtoocitule742 of 104
CONFIDENTIAL
EFTA (1(1132027
EFTA01274234

(SUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Mnandd Advisor:
Friendly account name: Indiv V49935006 SCOTT STACKMANLYLE CASRIEL
December 2014 Account number. Y1 23571 55 212-821-7000/800308-3140
Your assets r Fixed income a Mutual funds (contrived)
Purchase PIKE
Nurrber Average price client Cost Pnce per share value on Unrealized0aq investment Hddng
Hddng or shafts per share (I) investment (S) basis (S) on Dec 310) Dec 31 (I) gain or loss (8 return 01 period
Total reinvested 254.157 13.581 3,451.90 13.580 3,451.45 -0.45
EAI: 33,865 Ciorent yield: 5.99%
Security total 4,748.124 13.449 60,407.99 63,859.89 64,479.52 619.63 4,071.53
DOUBLE LINE TOTAL RETURN
FUND INSTL
Symbol: DBLTX
Trade date: Jan 29, 13 12,496.155 11.379 142229.00 142,229.00 10.970 137,104.76 -5,12424 LT
Total reinvested 501.547 10.964 5,49905 10.970 5,501.97 2.92
EAI: 36,811 Current yield: 4.78%
Security total 12.999.702 11.364 142229.00 147,728.05 142,606.73 -5,121.32 377.73
EATON VANCE FLOATING
RATE ADVANTAGE CL i
Symbol: EIFAX
Trade date: /an 29, 13 7,524.150 11.180 84,120.00 84,120.00 10.790 81,185.57 -2,934.43 LT
Total reinvested 295.427 11.078 3,272.79 10790 3,187.66 -85.13
EAI: 34,089 Current yield: 4.85%
Sectrity total 7,819.577 11.176 84,120.00 87,392.79 84373.23 -3,019.56 253.23
HARBOR HIGH YIELD BD FD
INSTITUTIONAL CL
Symbol: HYFAX
Trade date: Jan 29, 13 2,660.657 11.239 29,905.78 29,905.78 10.270 27324.94 -2,580.84 LT
Total reinvested 199.092 10.551 2,100.72 10.270 2,044.67 -56.05
EAI: 11,572 Current yield: 5.35%
Security total 2,859.749 11.192 29,905.78 32,006.50 29369.62 -2,6a6.av -536.17
HSBC TOTAL RETURN
FUND CLASS I
Symbol: HTRix
Trade date: Jan 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.250 39,550.31 -154.34 -154.34 LT
EAI: 4760 Current yield 192%
JPMORGAN UNCONSTRAINED
CEBT FUND CLASS SELECT
continued next page
SDNY GM 00021408
CNP70010003072449NP70C0305739000011714 0305750041123571550101000 Pogo 43 of 104
CONFIDENTIAL
EFTA_00132028
EFTA01274235

*UBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your II sandal Advisor.
Friendly account name:Indiv V49939b06 SCOTT STACK MAMLYLE CASRIEL
December 2014 Account number: Y1 23571 55 212421-7000800-308-3140
Your assets Fixed income .
Mutual funds (continued)
Purchase pima
hinter Average pexe Client Cost Prue per shire Value on Hefei/IndOM Imestment Heating
Hddng of shares per share (I) fiwestrnern (1) axis (1) on Dec 31 (a) Dec 31 tat gain or loss (A return (I) period
Symbol: 1SISX
Trade date: Jan 29, 13 4,784.864 10.260 49,092.71 49,092 71 10.030 47,992.18 .1,30053 LT
Total reinvested 195.127 10.179 1,986.33 10.030 1,957.12 -29.21
Eat 32,176 Current yield: 4.36%
Security total 4,979.991 10.257 49,092.71 51,079.04 49,949.30 .1,129.74 856.59
METROPOLITAN WEST TOTAL
RETURN BOND FUND CLASSI
Symbol. MWTIX
Trade date: Oct 24, 13 7,192.344 10.709 77,030.00 77,030.00 10.900 783%.55 1,366.55 LT
Total reinvested 161.826 10.821 1,751.12 10.900 1,763.90 12.78
EAI: 11,824 Current yield: 2.28%
Security total 7354.170 10.712 77,030.00 78,781 12 80,160.45 1,379.33 3,130.45
RIDGEW ORTH SEIX FLOATING
RATEHIGH INCOME FUND
CLASS I
Symbol SAMBX
Trade date: Jan 29, 13 6.502.655 9.039 58,784.00 58,784 OD 8.750 56,898.22 -1,885.78 LT
Total reinvested 236.115 9.004 2,126.03 8.750 2,066.01 -60.02
E41: 12,594 Current yield: 4.40%
Security total 6,738.770 9.039 58,784.00 60,910.03 58,964.23 -1,945.80 180.23
T ROWE PRICE
INSTITUDONAL FLOATING
RATE F CLASS
Symbol: PFFRX
Trade date: Ain 29, 13 5,394.060 10.270 55,397.00 55,397.00 10.020 54,048.48 -1,34852 LT
Total reinvested 169.294 10.218 1,729.87 10.020 l$%.33 -33.54
641: 12,342 Current yield: 4.20%
Security total 5,563.354 10.268 55,397.00 57,126.87 55,744.80 -1,38106 347.81
Total $486.768.61 671433137 6697336.46 -$16,79SA1 610.56745
Total estimated annual income: 531.008
CNP703 10003072450 NP7000305739 C0004 1214 030575004 7123571550 lOgggyGp14/400011,g9944 of 104
CONFIDENTIAL
EFTA_00132029
EFTA01274236

U BS Strategic Advisor Account name: GHISLAINE MAXWELL Your N sandal Advisor:
*UBS Friendly account name:Indiv v49935006 SCOTT STACKMANLYLE CASRIEL
December 2014 Account number. Y1 23571 55 212-821-7000/800-308-3140
assets
Your (continued)
Non-traditional
Mutual funds
T:ta: te rn.e;r.:4 .5 the Iola dal reinvested chedends it does not tncluck any (ash dthden0s. It IS rot a tar 410(tilled (taqfpon orbit is the Ofference between the current vaue and t le cost boas aidwould
lot for the purposes of determining hold rog pe half Or cost bath. The Shares yOu receive t EiCh hale you rneraty tae your lcaable gan or lots if the Set linty was 00 Co INS date. me unreal/eeldad gan d loss
reinvest d %Menet become a separate IA tit. may need so be Murata for return of capta papmems In coder to determine the reaucd gain or thus for tat
reporting purposes.
Cost basis is the toll purchase cost of the security. Inducing reinvestedaWends Ire cost basis may need
to be adusted for return d tacild payments in ordel 10 (*teatime It* apuste000St oars for tat repOnng imestmerer teeim is the current value rri n us the a-rount you invested it does not include shares that the not
purposes. reflectedco your statement, inciudng shares that have been realizedas either a gan or a toss. it also does
not induce cash dM ends that were not reinvested.
PurchaSe pricer
Mater Avetace pie Client Cost Puce per Share value on unrealized (Tao incestrnent Hold ng
Hddng of shares pet:ha/e($) Investment (5) basis (S) on Dec 3i (1) Dec 3i (5) gam or loss (t) return (S) Delos'
GATEWAY RINDCLASS Y
Symbol. GTEYX
Trade date: Jan 29, 13 1,089.208 27.580 30,040.36 30,040 36 29.570 32207.87 2,167.51 LT
Total reinvested 16.913 29.318 495.87 29.570 500.12 4.25
EAL 4503 Current yield 1 54%
Security total 1,106.121 27.607 30,040.36 30,536 23 32,707.99 2,171.76 2.667 63
Your total assets
Percentage al Cost Estimated unrezezed
value on Dec 31 (1) your account bases (SS annual no:m e 01 gan or loss (I)
Cash Cash and money balances 9,359.42 0.93% 9,359.42
Equities Mutual funds 272,408.66 26.92% 249,811.96 5.994.00 22,596.69
Putrid income Mutual funds 697,336.46 68.92% 714,131.87 31.008.00 -16.795.41
Non-traditional Mutual funds 32,707.99 3.23% 30.536.23 503.00 2,171.76
Total $1,011,812.53 100.00% $1,003,839.48 $37,505.00 $7,973.04
Account activity this month
Date Adiuty Descry:1On
Dividend and interest income
Taxable dividends Dec 1 Dvdend METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I AS OF 11:2914 129.81
continued next page
SDNY GM 00021410
OW703100%077451 NP7003305739 00001 i2t4 030575004 v123571550101000 Page 45 of 104
CONFIDENTIAL
EFTA_00132030
EFTA01274237

*UBS UBS Strategic Advisor Account name: GHISLANE MAXWELL Your 14 nuncio! Advisor
Friendly account name: Indiv V49935006 SCOTT STACK MAI/LYLE CASRIEL
December 2014 Account number: YI 23571 55 212.821.700&8003083140
Account activity this month
(ccethoec0
Date Actbity OeicaptIon Ammo IS)
Dividend and interest income (continued)
Taxable dividends (c-onenuecO Dec 1 Dividend RIDGEWORTH SEIX FLOATINGRATEHIGH INCOME FUND CLASS I AS OF 219.23
1112& 14
Dec 1 Dividend DOUBLE UNE TOTAL RETURN FUND INSTL AS OF I112& 14 495.27
Dec 1 Cividend COHEN & STEERS PREFERRED SEC & INC FUND 1AS OF 1112&I4 314.83
Dec 1 Dividend EATON VANCE FLOATING RATE ADVANTAGE CL I AS OF 11128114 349.97
Dec 1 Dividend /MORGAN UNCCel STRAINED DEBT FUND CLASS SELECT 58.60
Dec 1 Dividend T ROWE PRKE INSTITUTIONAL BOATING RATE F CLASS AS OF I/28/14 186.15
Dec 1 Dividend BLACKROCK HIGH YEW BOND I AS OF 1112W 14 289.64
Dec 1 Dividend HSBC TOTAL RETURN FUND CLASS I 19.29
Dec 11 St Cap Gain COLUMBIA CONVERTIBLE SECURITIES FUND CLASSZ SHORT TERM CAPITAL 211.86
GAINASOF 12/10(14
Dec 11 Dividend COLUMBIA CONVERTIBLE SKURMES FUND cuss Z ASOF 12/10/14 250.08
Dec 12 Dividend COHEN & STEERS PREFERRED SK & INC FUND I AS OF 12/11/14 316.37
Dec 15 St Cap Gain METROPOUTAN WEST TOTAL RETURN BOND FUND CLASS I SHORT TERM 134.18
CAPITAL GAIN AS OF 12/12114
Dec 18 Cividend R1CGEWORTH SEIX FLOATING RATEHIG H INCOME FUND CLASS I 20.35
Dec 19 Dividend GATEWAY FUND CLASSY 106.94
Dec 19 St Cap Gain HARBOR HIGH YIELD BD FD INSTITUTIONAL CL SHORT TERM CAPITAL GAIN 141.69
ASOF 12118/14
Dec 19 Dividend HARBOR ICH YIELD BD FD INSTITUTIONAL CL AS OF 1 b1&14 387.30
Dec 19 St Cap Gain HARBOR CONVERTIBLE SECURITIES FUND CLASS I SHORT TERM CAPITAL 219.59
GAIN AS Of 12/1&14
Dec 19 Dividend HARBOR CONVERTIBLE SECURMES FUND CLASS I AS OF 1211a 14 343.04
Dec 19 Dividend SIT DIVIDEND GROWTH FUNDCLASSI AS OF I2/1&14 215.89
Dec 19 St Cap Gain SIT DIVIDEND GROWTH FUND CLASS1 SHORT TERM CAPITAL GAIN AS OF 303.01
1211&14
Dec 22 Dividend P MORGAN NTR EPID EUROPEAN NST 782.27
Dec 23 St Cap Gain BLACK ROCK HIGH YELD BOND I SHORT TERM CAPITAL GAIN 782.12
Dec 24 Dividend CLEARBRIDGE &DUTY INCOME FUNDCLASS I AS OF 12/23114 210.13
Dec 24 Dividend HS8C TOTAL RETURN FUND CLASS' 471.87
Dec31 Dividend JP MORGAN NTREPID EUROPEAN FIST 22.43
Dec 31 Dividend PMORGAN UNCCNSTRAINED DEBT FUNDCLASS SELECT 909.41
Dec31 St Cap Gain AVENUE CREDIT STRATEGIES FUNDCLASS INSTL SHORT TERM CAPITAL 31.87
GAIN AS OF 12130114
continued next page
CNP70010009072452NP7000305739 00004 1214 030575004 Y123571550 10N My Gm00011828146 of 104
CONFIDENTIAL
EFTA _00132031
EFTA01274238

UBS Strategic Advisor Account name: GHISLA1NE MA (WELL Your II sandal Advisor:
$UBS Friendly account name:Inch,' v4,3935(x)6 SCOTT STACKMANLYLE CASRIEL
December 2014 Account number. Y1 23571 55 212-821-7000'800-308-3140
Account activity this month
(contnued)
Cote Acllwly Deicription Amgen (S)
Dividend and interest income (continued)
Taxable dividends (continued) Dec 31 Nerdend AVENUE CREDIT STRATEGIES FUND CLASS INSTL AS OF 12/3014 275.87
Total taxable dividends $8,199.06
Long-term capital gams Dec 11 It Cap Gain COLUMBIA CONVERTIBLE SECURMES FUND CLASS 2 LONG TERM CAPITAL 403.56
GAIN AS OF 12/10/14
Dec 12 U Cap Gain COHEN & STEERS PREFERRED SEC & INC FUND I LONG TERM CAPITAL GAIN 37.78
ASOF 12/11/14
Dec 15 U CapGain METROPOUTAN WEST TOTAL RETURN BOND FUND CLASS I LONG TERM 63.31
CAPITAL GAIN AS OF I 212/14
Dec 19 Lt CapGain HARBOR HGH YIELD BD FDINSTITUTION AL CL LONG TERM CAPITAL GAIN 468.02
ASOF 12/18114
De< 19 U Ca p Ga in HARBOR CONVERTIBLE SECURITIES FUND CLASS I LONG TERM CAPITAL 977.92
GAINASOf 12118114
Dec 19 Lt CapGain SIT DIVIDEND GROWTH FUNDCLASS I LONG TERM CAPITAL GAIN AS OF 6240.09
12/18'14
Dec 23 Lt Cap Gain BLACKROCK HIGH VELD BOND I LONG TERM CAPITAL GAN 316.01
Dec 31 U CapGain AVENUE CREDIT STRATEGIES FUND CLASS INSTL LONG TERM CAPITAL GAKI 179.12
ASOF 12/30/14
Total long-term capital gains 8,685.81
Total dividend and ',tweet income Il16.884.87
Investment transactions
For mare information abaut the mks' value shown for restricted securities, see important information about
your statement at the end of this doc anent
Proceeds from Funds
investment withdrawn fa Accrued
Ode Actialy Desception Quantity vaue (5) price CO immachcas (5) inwsirnents bcoon1 'mewl (5)
Dec 1 Reinvestment METROPOLITAN WEST TOTAL RETURN BOND ¶1.876 -129.81
FUND CLASS I DIVIDEND REINVESTED AT 10.93
NAV CN 11128/14 AS OF IV 2814
Dec 1 Reinvestment RIDGEWORTH SRC FLOATING RATEHIGH 24.577 -219.23
INCOME FUND CLASS I DIVIDEND REINVESTED
AT 8.92 NAV ON 11128'14 AS OF 11128/ Id
Dec I Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL 44.984 -495.27
DIVIDEND REINVESTED AT 11.01 NAV ON
111 28114 AS OF 11/28/14
continued next page
SDNY GM 00021412
C elP70310003077453 NV7003305739 C0004 1214 030575004 Y123S71SSO Iowa) Page 47 of 104
CONFIDENTIAL
EFTA_00132032
EFTA01274239

UBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your 15 sandal Advisor:
Friendly account name: Indiv V49935006 SCOTT STACK MANLYLE CASRIEL
December 2014
Account number. VI 23571 55 212.821.7000/800.308.3140
Account activity this month (contnued)
Investment transactions (continued)
Proceeds Iran Funds
imestment vrithdrawn fu Accrued
Oat AcUety Desceptson Quantity Use (S) PAce (S) transactions (S) investmeMsbougst (5) interest (5)
Dec 1 Reinvestment COHEN & STEERS PREFERRED SEC & INC RIND I 23.048 -314.EG
DIVIDEND REINVESTED AT 13.66 NAV ON
iumiriASOF
11/2E/14
DEC 1 Reinvestment EATON VANCE FLOATING RATE ADVANTAGE CL 31.961 -349.97
I DIVIDEND REINVESTED AT 10.95 NAV ON
11/2&14 ASCE 11/28/14
Dec 1 Reinvestment IPMORGAN UNCONSTRAINED DEBT FUND 5.739 -58.60
CLASS SELECT DIVIDEND REINVESTED AT 10.21
NAV ON II/22714
Dec 1 Reinvestment T ROVVE PRICE INSTITUTIONAL FLOATING RATE F 18.358 -186.15
CLASS DIVIDEND REINVESTED AT 10.14 NAV ON
11/22/14ASOF 11/2&14
Dec 1 Reinvestment BLACKROCK HIGH YIELD BOND I DIVIDEND 35.279 -289.64
REINVESTED AT a 21 NAV ON 1112& 14 AS OF
III2F714
Dec 11 Reinvestment COWMBIA CONVERTIBLE SECURITIES FUND 11.372 .211.86
CLASS Z ST CAP GANS REINVESTED AT 18.63
NAVCN 12110(14 AS OF 12110'14
Dec 11 Reinvestment COLUMBIA CONVERTIBLE SECURITIES FUND 13.424 -250.08
CLASS Z DIVIDEND REINVESTED AT 18.63 NAV
ON 12/1014 ASOF 12/1C/14
Dec 11 Reinvestment COWMBLA CONVERTS'S SECURITIES FUND 21.662 .403.56
CLASS Z LT CAP GAINS REINVESTED AT 18.63
NAVCN 12110114 ASCE12/1CM
Dec 12 Reinvestment COHEN & STEERS PREFERRED SEC &INC FUND I 23.383 -316.37
CWIDEND REINVESTED AT 13.53 NAV ON
12/11/14ASOF 12/11114
Dec 12 Reinvestment COHEN & STEERS PREFERRED SEC & INC FUND I 2.792 -37.78
LT CAP GAINS RENVESTED AT I 3 53 NAV ON
12/11/14 ASO; 12/11114
Dec 15 Reinvestment METROPOLITAN WEST TOTAL RETURN 80ND 12.288 -134.18
FUND CLASS I ST CAP GAINS REINVESTED AT
10.92 NAV ON 12112/14 ASOF 12112/14
Dec 15 Reinvestment METROPOLITAN WEST TOTAL RETURN BOND 5.798 -63.31
FUND CLASS I LT CAP GAINS REINVESTED AT
10.92 NAV ON 17112/14 AS OF 12/12/14
continued next page
CNP70010008072454 NP7003305739 00004 1214 070575004 VI 2357155010Micom000PAnyla Of 104
CONFIDENTIAL
EFTA_00132033
EFTA01274240

UBS Strategic Advisor Account name: GH1SLAINE MAXWELL Your II sandal Advisor:
*UBS Friendly account nein*: IndivV49935006 SCOTT STACK MA:ILYLE CASRIEL
December 2014 Account number. VI 23571 55 212-821-7000/800-308-3140
Account activity this month (contrived)
lavesbnent transactions (continued)
Nueeds From Finals
liniment Wthdrasen for Accrued
Die knee/ Desceouon Ouenlity Vdue (S) Price (S) uareactIons (t) IndStMenISbOulPt (5) interest (1)
Dec 18 Reinvestment RIDGEWORTH SEC( FLOATING RATEHIGH 2.353 -20.35
INCOME FUND CLASS I DNIDENDRONVESTED
AT &65 NAV ON 12/17/14
Dec 19 Reinvestment HARBOR HIGH YIELD BD FD INSTITUTIONAL CL 13.960 -141.69
ST CAP GAINS REINVESTED AT 10.15 NAV ON
1211814 ASOF 1211814
Dec 19 Reinvestment HARBOR HIGH YIELD BD FD INSTITUTIONAL CL 38.158 -387.30
DVIDEND REINVESTED AT 10.15 NAV ON
12/1814 ASOF 12/18114
Dec 19 Reinvestment HARBOR HIGH YIELD BD FDINSTTTUT1ONAL Cl LT 46.110 •468.02
CAP GAINS REINVESTED AT 10.15 NAV Ce4
12/18/14 ASOF 12/18114
Dec 19 Reinvestment HARBOR CONVERTIBLE SECURMES FUND CLASS 20.973 -219.59
I ST CAP GANS REINVESTED AT 10.47 NAV ON
12/1814 ASOF 12/18114
Dec 19 Reinvestment HARBOR CONVERTIBLE SECURES FUND CLASS 32.764 -343.04
I DIVIDEND REINVESTED AT 10.47 NAV ON
12/1E/14 ASOF 12118114
Dec 19 Reinvestment HARBOR CONVERTIBLE SKUFtMES FUND CLASS 93.402 -977.92
1LT CAP GAINS REINVESTED AT 10.47 NAV ON
12/18/14 ASOF 12118/14
Dec 19 Reinvestment GATEWAY FUND CLASSY °WEND 3.628 -106.94
REINVESTED AT 29.48 NAV ON 12118/14
Dec 22 Reinvestment JP MORGAN INTREPID EUROPEAN INST DIVIDEND 32.113 -782.27
REINVESTED AT 24.36 NAV ON 12J 19114
Dec 23 Reinvestment BLACK ROCK HIGH YIELD BOND I ST CAP GAINS 99.254 •782.12
REINVESTED AT 7.88 NAV ON 12122J14
Dec 23 Reinvestment BLACK ROCK HIGH YIELD BOND I LT CAP GAINS 40.103 .316.01
REINVESTED AT 7.88 NAV ON 12!22114
DK 24 Reinvestment CLF_ARBRCGE EQUITY INCOME RIND CLASS I 10.040 -210.13
DVIDEND REINVESTED AT 20.93 NAV ON
12/23114 AS OF 12/23114
Dec 31 Reinvestment IP MORGANINTREFID EURCREAN INST DIVIDEND 0.930 -22.43
REINVESTED AT 24.13 NAV ON 12/30/14
continued next page
SONY GM 00021414
CNP70010008072455 NP7000306739 C0001 1214 03057500e Y123571550101000 Page 49 of 104
CONFIDENTIAL
EFTA_00132034
EFTA01274241

SUBS
UBS Strategic Advisor Account name: GIBSLAINE MAXWELL Your I8 vandal Advisor
Friendly account name: Indiv V49935006 SCOTT STACK MANLYLE CASRIEL
December
2014 Account number: YI 23571 SS 212.821.700000.308.3140
Account activity this month
(continued)
Investment transactions (continued)
Proceeds frcm Funds
inwstment withdrawnfa Accrued
Crate *amity Descaphon Quantity %eau. (If Price (f) transactions (S) investments bourlit (9 interest (S)
Dec 31 Reinvestment AVENUE CREDIT STRATEGIES FUND CLASS INS'''. 2.959 -31.87
ST CAP GAINS REINVESTED AT 10.77 NAV ON
12/ 29'14 AS OF 12/30114
Dec 31 Reinvestment AVENUE CREDIT STRATEGIES FUND CLASS INSTI. 16.631 -179.12
LT CAP GAINS REINVESTED AT 10.77 NAV ON
12129/14 ASOF 12/30'14
risTi
Dec 31 Reinvestment AVENUE CREDIT STRATEGIES FUND CLASS I 25.615 -275.87
DV1DEND REINVESTED AT 10.77 NAV ON
12/29'14 ASOF 12/30/14
Dec 31 Reinvestment WMORGAN UNCONSTRAINED DEBT FUND 90.669 -909.41
CLASS SELECT DIVIDEND REINVESTED AT 10.03
NAV ON I.2130.1a
Total -$9,634.72
Oat ACIntily DCSCriPlial Amount (t)
Moen balance activities Nov 2$ Balance %maid $0.00
Dec 1 Deposit UBS BANK USA DEPOSIT ACCOUNT 2,109.27
Dec 2 Deposit UBS BANK USA DEPOSIT ACCOUNT 19.29
Dec 22 Deposit UB5 BANK USA DEPOSIT ACCOUNT 6,758.99
Dec Z6 Deposit UBS BANK USA DEPOSIT ACCOUNT 471.87
Doc 31 Closing MIS Bank USA Deposit Account $9,35942
Tne uB5 Bank USA Deport Account IS your primary sweep melon
CNP700100080724S6NP7003305739 00004 1214 030575004 vI23571 550 10~yGr it 00~150 of 104
End of statement for account number Y1 23571 SS
CONFIDENTIAL
EFTA 00132035
EFTA01274242

Important information about your statement
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returnsal eta/nokeep p.xe yah int 1010
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SDNY_GM_00021416
CONFIDENTIAL
EFTA 00132036
EFTA01274243

Important information about your statement (ton Untied)
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SDNY_GM_00021417
CONFIDENTIAL
EFTA_00132037
EFTA01274244

U85 Financial Services Inc UBS Strategic Advisor
*UBS 299 Park Avenue
25th Floor
New York 1W 10171.0002 January 2015
CM-70057347090T 15X1 Y1 0
GHISLAINE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065.7007
Account name: GHISLAINE MAXWELL
Friendly account name: Indiv. V49935006
Account number. Y I 23571 SS
Your Nnancial Advisor.
SCOTT STACK MANILYLE CASRIEL
Phone. 212.821. 7003/800.308-3140
Questions about your statement? Value of your account
Call your Financial Adinsoi or the
RMA Resoureline at 800-RMA- 1000, on December 31 (S) on January 30 CD
account 029323571
Your assets 1,011,812 53 1,011,105.26
VisItour websIte: Your liabilities 0.00 0.00
viww.ubstorallinancialservices
Value of your account $1,011,812.53 31,011,105.26
Sources of your account growth
Tracking the value of your account duriag 2015
Value of your account
at year end 2014 41,011,812.53
S Thousands
Net deposits and
vathdrarrah -41,247.44
tot 1 8 toils
• Your nvestrnent return.
DM:lendand
interest income 11,807.42
Change in
market value -41267.25
Value of your moan
on An 30.2015 51,011,105.26
Dec 2014 Ma 2015
SDNY GM 00021418
M•mber SIPC CNP100C9005734709NP7000189425 00004 MI5 030575004 Y123571 $50100000 Page 1 of 14
CONFIDENTIAL
EFTA_00132038
EFTA01274245

SUBS
UBS Strategic Advisor Account name: GH1SLAINE MAXWEU. Your fq Randal Advisor.
Friendly account name: Indiv V49939)36 SCOTT STACK MANLYLE CASRIEL
January 2015
Account number: VI 23571 55 212-821.7000'800.309.3140
Your account balance sheet
Summary of your assets
Value on Percentage of
a)
January 30 your account
. Cash and money balances may include
A Cash and money balances 8,133.22 080% Your current asset allocation
available cash balances. VB5 Bank LISA deposit
B Cash alternatives 0.00 0 00% account balances, VBS AG Stamford Branch
A deposit account balances and money market
C Equities 268,090.33 26 52% mutual fund sweep balances See the Important
information about yoor statement on the last
two pages of this statement for details about
those balances
E Non-traditional 32,342.97 3 20%
F Commodities 0.00 000%
G Other 0.00 (
Total assets $1,011,105.26 100.00°0
Value of your account $1,011,105.26
Eye on the markets
Percentage change
Index January 2015 year to date
S&P 500 -3.00% -3.00%
Russell 3000 -2.78% -2.78%
MSC I - Europe, Australia & Far East 0.50% 0.50%
Barclays Capital U.S. Aggregate Bond Index 2.10% 2.10%
Interest rates on January 30, 2015
3-month Treasury bills: 0.01%
One-month LIBOR: 0.17%
O470o0a00573471 0NP7o00189425000040115030575004 y123571550 teig@Psy_Gm_00021Bfuje 2 of 14
CONFIDENTIAL
EFTA_00132039
EFTA01274246

UBS Strategic Advisor Account name: GHISLAINE MA (WELL Your N sandal Advisor:
UBS friendly account name:Indiv vagg35036 SCOTT STACKMANLYLE CASRIEL
January 2015
Account number: Y1 23571 55 212-821-70001800-308-3140
Change in the value of your account Summary of gains and losses
January 2015 a; Year to date (S) Values reported below exclude products for which gam and losses are not classified
Realized gains and losses Unrealized
Opening account value 31,011,812.53 $1,011,812.53
January 2015 (5) Year to date (5) gains and lasses (S)
Withcfrawals and fees,
including investments transferred Short term 0.00 0.00 -587.58
cut -1,247_44 -1,247.44 Long term 0.00 0.00 7,293.39
Dividend and interest income 1,807.42 1,807.42
Total $0.00 $0.00 $6,705.81
Change in market value -1,267.25 -1,267.25
Closing account value $1,011,105.26 $1,011,105.26 Cash activity summary
See account activity this month for detals. Balances in your Sweep00cm are indudedin the opening and
Dividend and interest income earned
closing balances rSue. FDIC insurance asopies only to deposits at u8S Bank USA, not to deposits at LOS AG,
Starriced 9ench or bank deposits placed through the UBSInternetiond Deposer ACCOunt program. SIPC
protection applies to money market sweep fold holdings but not bank deposits Steimportant inbralation
For purposes of kis statement, tad:My of interest and dniclend Income has been determined Iron a US abOut your statement on the last too cages ci this document for (*tab
t s a o t m r e e p (m or e t r in es g t p a e n rs d pe s c l d ie v s iC . B en a d u p d a u y p m o e n n t t s h e m r a e / s i n de o n t c b e e o s f u t b h je e c a t c t c o o U un n t i t h e o d l d S e t r i , c a k c c (U o S un ) t a n ty d p ( e o , r o n r t e p n ro 0 d u R c ic t o t w (F o R , ) January 20151S) Year to date IS)
Income taxes The (tent wont* statemem is not intended to be used and carrot be resed upon for lac Opening balances 59,359.42 $9,359.42
purposes. Clients should refer to the applktie lax reporting forms they teethe from U8S annuity, such as
the fOrmS 1099 and the FOrMS 480, for lac repelling information It IS the PradiCe of UBS to file the Addkiorrs
doplicaUe tar tenoning forms vAth the US Mterni Revenue Service and PR Treasury Department and in
suchlonns accurately dasafy clwdena arida Interest aslant...mot or tasabSe income. Pkase consult your Dividend and interest income 1,807 42 1,807.42
indssdual tars preparer.
Total additions $1,807.42 $1,807.42
January 2015 (I) Year to date (%)
Subtractions
Taxable dividends 21.07 21.07
Professional management fees and
Taxable interest 0.07 0.07 related services -1,247.44 -1,247.44
Total current year $21.14 $21.14 Funds withdrawn for investments
bought -1,786.18 _1,786.18
Prior year adjustment 1,786.28 1,786.28
Total subtractions -$3,033.62 -$3,033.62
Total dividend & interest $1,007.42 $1,807.42
Net cash flow -$1,226.20 -$1,226.20
Closing balances $8,133.22 $8,133.22
SDNY GM 00021420
CelP7C007005734711 MI003169425 00034 011S 030575004 Y123571550100300 Page 3 of 14
CONFIDENTIAL
EFTA_00132040
EFTA01274247

*UBS UBS Strategic Advisor Account name: GRISLAINE MAXWELL Your Manurial Advisor:
Friendly account name:Indiv V49935:106 SCOTT STACK MANLYLE CASRIEL
January 2015 Account number: Y1 23571 55 212-82 1.7000/800-308-3140
UBS Bank USA Deposit Account APY
Interest Period Dec 5 - Jan 7
Opening UBS Bank USA Deposit balance Dec 5 $2,128.56
Closing UBS Bank USA Deposit balance lan 7 $9,380.66
Number of days in interest period 34
Average daily balance $5,690.36
Interest earned $0. 17
Annual percentage yield earned 0.03%
Your investment objectives:
You have identified the following investment objectives foe this account If you have questions
about these objectives, disagree with them, or wish to change them, please contact you
Fe:uncial Advisor or Branch Manager. You can find a full description of the alternative
investment objectives in important information about your sratementat the end of this
document.
Your return objective:
Current income &capital appreciation
Your risk profile:
Primary Moderate
veStment ettgtlot!!ty consderabon None selected
Your account instructions
• You account cost basis default dosing method is FIFO, First In, First Out.
O1P7C0090057347I 2 NP70C0189425 C0034 0115 030575004 Y123511$50 ICKeffiyGht000211Itge 4 of 14
CONFIDENTIAL
EFTA_00 I 32041
EFTA01274248

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your II sandal Advisor:
*UBS Friendly account name: Indiv. V49935006 SCOTT STACKMANLYLE CASNEL
January 2015 Account number. Y1 23571 55 212-821-7000/800-308-3140
Your assets
Some prices, .neon and current vaues shown may be Epproxirrdie. AS a int*. gam and losses may rot
be accurately refkcled. See Panorama information about your statement a the end of the document for
more inform:ion.
Cash
Cash and money balances
Cash and more), balances may include avalade cash balances, UBS Bant USA deposit account balances,
UBS AG Stamford Branch deposit account balances and money market mutual fund sweep balances.
UBS Bank USA deposit account balances are insured by the WC vat hn applicable limits, but are not
protected by SSC U8S AG Stanford Brans h deposit arc oum balances an not insured by FDIC and se not
protected by SiFC Money market sweepbalances are protected by SEC but ate not insured by the FDIC.
See the Important information about your statement at the endof this docunent for death about Pane
balances.
Coning bdance Closing Wawa Pnce per share Average Dradencl Interest Daft in
Hddng on /an I (ST orT ran 30 (5) on ran 30(1) tale period period Cep anduni (S)
UB5 BANK USA CEP ACCT 9.35942 8,133.22 250.000 00
Equities
Mutual funds
Total reinvested is the Iola d a reinvested anclends II does not include ay cash civictrods. tt is rat a tar Unrealized (taO gain or loss is the dfference between the current value and the cost basis aid would
lot for the purposes of determining hold ng periods or cost bate. The shares you receive each lime you neraty be your tadtte gan or loss if the sec ulty was sold on ths date. The unrealized (tag gan or loss
reinvest d ',Wends become a separate tax lot. may need 13 he adusted for return of capta payments in order to determine the valued gain or lots for tax
reporting purposes.
Cost basis is the tots purchase cost of the security. indudng reinvested dui:lends The cost basis may need
tot* ad usted (or return of capita payments in order 13 determine the a:lusted cost bases for ta< (erasing reu7;;Mnt return isthe current Vail* Minus the amount yOu I rrieSteCt it does not include shales that ale not
purposes reflected on your statement, includng shares that nave been nailedas either a gun or a loss it also dOeS
not include cash d 'Mends that were not reinvested
PurchaSe
Motet Average once Client COSI PrKe Per Share value on Unrealized (U) inrenment Honing
Wring of shares per share (1) investment (S) Nan(S) on ian 30(1) len 30 (5) 93in or loss (5) return (5) period
CLEARBRIDGE
EQUfTY INCOME FUND
0...A55 I
Symbot SOPYX
Trade date: Jun 26, 13 1,179.249 16.769 19,776.00 19,776.00 20.070 23667.53 3,891.53 LT
Trade date: ran 14, 14 296210 18.470 5A71.00 5,471 00 20.070 5.944.93 473.93 LT
Trade date: Jan 15, 14 283.181 18.549 5253.00 5253.00 20.070 5683.44 430.44 LT
continued next page
SDNY GM 00021422
CHP7000;0037347I3NP70031$9425 00001 Olt 030579)34 Y123571550100000 Pugs S or 14
CONFIDENTIAL
EFTA_00132042
EFTA01274249

UBS
U BS Strategic Advisor Account name: GHISLAINE MAXWELL Your A sandal Advisor,
Friendly account name:Indiv V49935006 SCOTT STACK MANY LYLE CASRIEL
2015
January Account number. VI 23571 SS 212.821.7000'800'308.3140
Your assets . Equities . Mutual funds (continued)
Purchase puce
Number Average lecke Client Cost Price per share Valli! CA Unrealized Rol imestment Hddng
Hddng of shams per (S) inviestmmt (5) bask (1) on tan 30(1) Ian 30 (1) spin orlon (5) return (0 period
Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 20.070 5,674.41 435.41 LT
Trade date: Jan 17, 14 298.430 18.469 5,512.00 5.512.00 20.070 5,989.49 477.49 LT
Total reinvested 47.254 19.672 929.61 20.070 948.39 18.78
EAI: 5940 Current yield 1.96%
Security total 2,387.055 17.671 41251.00 42,180.61 47,908.19 5,727.58 6557.19
COLUMBIA CONVERTIBLE
SECURITIES FUNDCLASS 2
Symbol: NCIAX
Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 18740 21,498.09 97509 LT
Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,94200 18.740 15,748.72 •193.28 ST
Total reinvested 99.567 19.037 1,895.52 18.740 1,865.89 -29.63
EAI: 4989 Current yield 2.53%
Security total 2,087.124 18.380 36,465.00 38,360.52 39,112.70 752.18 2,647.70
HARBOR CONVERTIBLE
SECURITIES FUNDCLASS I
Symbol: HACSX
Trade date: Jan 29, 13 1,872.780 10.250 19,196.00 19,196.00 10.550 19,757.83 561.83 LT
Trade date: Mk 17, 13 960.534 10.489 10,076.00 10,076.00 10.550 10,133.63 57.63 LT
Total reinvested 174.169 10.594 1,845.25 10.550 1,837.48 -7.77
EAI: 5683 Current yield 2.15%
Security total 3,007.483 10.347 29272.00 31,117.25 31,728.94 611.69 2/156.94
JP MORGAN INTREPID
EUROPEAN MIST
Symbol: JFELX
Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 23.970 10,437.78 363.78 LT
Trade date: Aug 6. 13 439.831 23.286 10242.00 10242.00 23.970 10,54275 300.75 LT
Total reinvested 33.043 24.353 804.71 23.970 792.04 -12.67
(Al: 1812 Current yield 3.73%
Security total 908.326 23.252 20,316.00 21,120.71 21,772.57 651.86 I A.55 57
MATTHEWS ASIA DIVIDEND
RIND INSIL
contrived next page
CW703090057347! 4 NP7000183425 00004 0115 030575004 Y123571550 10%apiyoht0 002.ftse 6 of I4
CONFIDENTIAL
EFTA (10132043
EFTA01274250

UBS Strategic Advisor Amount name: GHISLAINE MAXWELL Your !Mandril Advisor:
*UBS Ildendly account name: Inchv V49935006 SCOTT STACKMANLYLE CASRAL
January 2015 Amount number. `el 23571 55 212-821-70001800-308-3140
Your assets Equities . Mutual funds (continued)
Purchase mad
Nurrbei Average price client Cost enc. per share value on Unrealized Rae investment Holcing
Hddng of shares per share (d) investment (d) basis (9) on Ian 30 (9) Ian 30 (5) gain orlon (d) return (5) period
Symbol. MIPIX
Trade date: Jan 29, 13 2,156.431 14.849 32,023.00 32,023.00 15.600 33,640.32 1,617.32 LT
Trade date: Feb i, 13 481.951 15.069 7,263.00 7263.00 15.600 7,518.44 25544 LT
Total reinvested 52.286 16.005 83687 15.600 815.66 -21.21
EAI: $1,445 Current yield: 3.44%
Security total 2,690.668 14.912 39,286.00 40,122.87 41,974.42 1,851.55 2,688.42
SIT DIVIDEND GROWTH FUND
CLASS I
Symbol: SDVGX
Trade date: Jan 29, 13 2,333.831 15.400 35.941.00 35.941.00 16.750 39.091.66 3,150.66 LT
Trade date: Jun 11, 13 624.804 16.569 10,353.00 10,353.00 16.750 10,465.47 112.47 LT
EAI: $775 Current yield 1 56%
Security total 2,958.635 15.647 46,244.00 46,29400 49,557.13 3,263.13 3,263.13
TORTOISE MAP & PIPELINE
FUND CLASS INSTL
Symbol: TORIX
Trade date: /an 29, 13 2,298774 13330 30.61800 30.616.00 15.690 36,03638 5.420.38 5.420.38 LT
EAI: $377 Current yield 1.05%
Total $243500.00 $24921136 $268,090.33 $18,278.37 $2459033
Total estimated annual income: $6,021
SDNY GM 00021424
0070003005734715 N11700018947500004 MI5 070575004 Y123571550100000 Page 7 of 14
CONFIDENTIAL
EFTA_00 I 32044
EFTA01274251

UBS
*-A UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your 15 nancial Advisor.
Friendly account name:Indiv V49939:106 SCOTT STACK MANLYLE CASRIEL
January 2015 Account number: v1 23571 55 212-821.7000'800-308-3140
Your assets (continued)
Fixed income
Mutual funds
rout remvtuai is the tots d aL ienvested clodends does nOlinclucte any cash dudeAds. 4 is Mt a Unrealee4 free) gas or toss rS the cliference between the current value and the cost basis and would
tea lot for the purposes of determInng hating pools or cost bees. The shares you receive each tint you oenereey be sow Issable gain ce loss if tee security was sold on ltos date. The unreabzed Bel.) gan or loss may
reinvest dvdends bKome a separate tax 6:4 need to be aclutted for return el capeal payments in order to determine the 'edited gan or loss I oe la
reporling purposes
Cost base is the tots purchase cost of the security, inducing le-invested clue:tends Ire cost basis may
need to be acluste0 for return Cf CLWal payments in order to Oelemlne the alu steci cost basis for tae investment 'eruct) is the current value minus the amount you invested. it does not include shares that me not
rep:sting purposes. reflected co raw statement, mowing shares that have been etaI:oda either a gan or a loss. It also does net
include cash duckndt that wait not reinvested
eurchaSe lance
Cost Pnce per share Value on unreanzed dee icarettsutrrnn eCrSg) Hio:trt7:
Hddng orf tshares" Averabe share (se) InvestmentCli OS basis (3) on Ian 30 (1) MA 30 (1) gain or loss (S)
AVENUE CREDIT STRATEGIES
FUND CLASS INSTL
Symbol. AC S8X
Trade date: Nov 12, 13 910736 I 1.270 10264.00 10,264 00 10.670 9,717.55 -546 45 LT
Trade date Nov 18, 13 912.566 11.300 10312.00 10.312.00 10.670 9,737.08 -574.92 LT
Trade date: Nov 25, 13 911.661 11.319 10.320.00 10320.00 10.670 9,727.42 •592.58 LT
Total reinvested 130.968 11.334 1,484.41 10.670 1,397.43 .86.98
EAI: $1,315 anent yield: 4.30%
Security total 2,865.931 11.298 30,896.00 32,380 41 30,579.48 -1,800 93 -316 52
BLACIIRCCK HIGH YIELD
BOND i
Symbol. Bl-fYIX
Trade date: /an 29, 13 4,811.156 8.200 39,451.48 39,451.48 7.860 37,815.68 -1,635.80 LT
Trade date: Ain 27, 13 2,481.156 7.959 19,750.00 19,750.00 7.860 19,501.88 .248.12 LT
Total reinvested 520.326 8.172 4252.42 7.860 4,089.76 -162.66
EAV 13.640 Current yield. 5.93%
Security total 7,812.638 8.122 59,201.48 63,453.90 61,407.33 -2,046.58 2,205.84
COHEN & STEERS PREFERRED
SEC & INC FUND i
Symbol. CPAX
Trade date /an 29, 13 3.002 068 13.487 40,490 57 40.490 57 13.740 41,248.41 757.84 LT
Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.740 10,176.19 257.79 LT
Trade date: bun 14,13 751.274 13.309 9,999.02 9,999.02 13.740 10,322.50 323.48 LT
conSued next page
CNP703033057347i 6 NP7000189425 COON 0115 030575004 Y123571550 0002 *se 8 of 14
CONFIDENTIAL
EFTA_00 I 32045
EFTA01274252

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Mnandal Advisor:
*UBS Friendly account nesse:Indio V49935006 SCOTT STACKMANLYLE CASR1EL
January 2015 Account number. `el 23571 55 212-821-7000/800-308-3140
assets r Fixed income a
Your Mutual funds (Continued)
Purchase pow
Hurrtier Average once client cost once per Owe value on unrealizedgad imestmeat HolcIng
Hddng or shares per share (I) investment (1) basis ($) on Ian 30(1) fan 30 (1) gainorloss (1) return al period
Total reinvested 254.157 13.581 3,451.90 13.740 3,492.12 40.22
EA/ 43,860 Current yield. 5.92%
Security total 4,748.124 13.449 60,407.99 63,859.89 65239.22 1,379.33 4,831.23
DOUBLE LINE TOTAL RETURN
RIND INSTL
Symbol: DBLTX
Trade date: /an 29, 13 12,498.155 11.379 142229.00 142229.00 11.090 138,604.54 -3,624.46 LT
Total reinvested 553.3% 10.964 6,067.83 11.090 6,137.16 69.33
EAI: 36,682 Current yield: 4.62%
Security total 13,051.551 11.362 142,22900 148296,83 144'41.70 -3,555.13 2,512.70
EATON VANCE FLOATING
RATE ADVANTAGE CL 1
Symbol: SFAX
Trade date: /an 29, 13 7,524.150 11.180 84,120.00 84,120.00 10.780 81,110.34 -3,00966 LT
Total reinvested 329.327 11.048 3,638.57 10.780 3,550.15 -88.42
EAI: 94,060 Current yield: 4.80%
Security total 7.853.477 11.174 84.120.00 87.758.57 84,660.48 -3.098.08 540.49
HARBOR HIGH Y ELD BD FD
INSTITUTIONAL CL
Symbol: HYFAX
Trade date: Jan 29, 13 2,660.657 11.239 29,905.78 29,905.78 10.350 27,537.80 -2,367.98 LT
Total reinvested 199.092 10.551 2,100.72 10.350 2,060.60 -40.12
EAI: 11.572 Current yield: 5.31%
Security total 2,859.749 11.192 29,905.78 32,006.50 29,598.40 -2A01110 -307.38
HS8C TOTAL RETURN
FUND CLASS I
Symbol: MINX
Trade date: /an 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.210 39,395.96 -30869 -308.69 LT
EAI: 4783 Current yield 199%
JPMORGAN UNCONSTRAINED
DEBT FUNDCLASS SELECT
continued next page
SDNY GM 00021426
CNP70000057347r 7 W000189475 C0COI 0115 030575004 Yi 2357i SSO 100000 page 9 of 14
CONFIDENTIAL
EFTA (x1132046
EFTA01274253

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your A nodal Advisor:
Friendly account name: lndiv Vi19935006 SCOTT STACK MANIL YLE CASRIEL
January 2015
Account number: VI 23571 55 212.821.7000f800-308.3140
Your assets Fixed income . Mutual funds (continued)
Purchase price
Number Airetag once Client Cost Price per share Valli! n Ulletfilltd Rol intestmeot Hddng
Helen of shares per share (S) invottrimt (1) basil (1) on ran 30(1) Ian 30 0) coin or loss (1) return (1) period
Symbol: .ISISX
Trade date: tan 29, 13 4,784.864 10260 49,092.71 49,09231 10.060 48,13532 456.99 LT
Total reinvested 195.127 10.179 1,98633 10.060 1,962.93 -23.35
EAI: $2,036 Current yield: 4.06%
Security total 4,979.99% 10.257 49092.71 51,079.04 50,098.70 -980.34 1.0099
METROPOLITAN WEST TOTAL
RETURN BOND FUND CIASS I
Symbol: MWTIX
Trade date: Oct 24, 13 7,192.344 10.709 77030.00 77,030.00 11.090 79,763.09 2,733.09 LT
Total reinvested 173.690 10.826 1,880.44 11.090 1,926.22 45.78
(Al: $1,834 Curent yield: 2.25%
Security total 7366.034 10.713 77,030.00 78,910.44 81,689.31 2,778.87 4,659.31
RIDGEWORTH SEIX FLOATING
RATEFIGH INCOME FUND
CLASS I
Symbol: SAMBX
Trade date: Jan 29, 13 6,502.655 9.039 58,784.00 58,784.00 8340 56,833.20 -1950.80 LT
Total reinvested 261.440 8979 2,347.62 8340 2,284.99 -62.63
EAI: $2,611 Current yield: 4.42%
Sect-oily total 6,764.095 9.038 58,784.00 61,131.62 59,118.19 -2,013.43 334.19
T ROWE PRICE
INSTITUTIONAL FLOA1114
RATE F CLASS
Symbol: PFFRX
Trade date: fan 29, 13 5,394.060 10.270 55397.00 55,397.00 10.030 54,102.42 -1,294.58 LT
Total reinvested 190.185 10.196 1,939.20 10.030 1,907.56 -31.64
EAI: 42,362 Current yield: 4.22%
Security total 5,584.245 10.267 55397.00 57,33610 56,009.97 -1,32622 612.98
Total 5686,768.61 9715,918.05 8702,538,74 413,37930 $15,770.13
Total estimated annual income: 530.755
CNP7CXX00057347I 8 NP70001ESQ5 00004 011S 030575004 VI 2357% SSO I 01931WGAL0002,910 10 of 14
CONFIDENTIAL
EFTA 00132047
EFTA01274254

SUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your 6 sandal Advisor:
Friendly account name:Indiv V49935006 SCOTT STACKMANLYLE CASRJEL
1-... Account number. Y1 23571 55 212-821-7000/800-308-3140
Your assets --n•
Non-traditional
Mutual hinds
cs re rn.e;tc-1 -)1.3 c: a re n!..sreo jv *not It Om not mClude any cash ClvMenIs If IS rat alas unteakzeo (tat)9apn or bas Is the deference between the current e9ue and the cost Pans end would
lot tor the purposeS of determining 404 no pe Rah or COO 0866. The shares yOu ref eve e•Xh tint you 9enerely Oe your terabit gun a 1055 If the set unly was S010 CO I he 0.51e. The unrealltclgag gun or loss
reinvest d %lama become a separate tax lot. may need so be adusted for return of captat peenems in order to determine the reared gain or las for tax
repotting purposes.
Cost bases is the tots purchase cost of the security. InduOng renvestedcludends The cod basis may need
to be Ousted for return of (404 payments in order to ceterrrene int aduSte000St oaas lOr tar repOoing investment teMm is the current value minus the around you invested it does not include snares that are not
purposes. reflected co your staernent, inctudng shares that ha* been realized as either a gain or a loss. It also does
not include cash dvdends that were not reinvested.
Purchase OrKe/
Number Average pace Client COSI PnCe per share value on unmatired Om) iniestrnent Hold ng
Hddng of shares per share (4) investment (5) basis (S) on Ian 30 (91 Ian 30 (5) gain or toss (SI return (S) period
GATEWAY FUND CLASS Y
Symbol. GTEYX
Trade date: Jan 29, 13 1,089.208 27.580 30,040.36 30,010.36 29.240 31,848.43 I,E08.07 LT
Total reinvested 16.913 29318 495.87 29.240 494.54 -133
EAI: 4501 Current yield 1.55%
Security total 1.106.121 27.607 30,040.36 30536 23 32,342.97 1,806 74 2.302 61
Your total assets
Percentage a( Cost Estimated unrealized
Vs ue on len 30 (5) your account bass (5) annual income 01 gain or loss (I)
Cash Cash and money balances 8,133.22 0.80% 8,133.22
Equities Mutual funds 268,090.33 26.52% 249,811.96 6.021.00 18,278.37
ruced income Mutual funds 702,538.74 69A8% 715,918.05 30.755.00 -13,379.30
Non-traditional Mutual funds 32.342.97 320% 30.536.23 501.00 1.006.74
Total $1,011,10526 100.00% $1,004,399.46 $37,277.00 $6,705.81
Account activity this month
Odle Actiuly Descrohon Amount (0
Dividend and interest income
Taxable dividends Jan 2 Dvdend HSSC TOTAL RETURN FUND CLASS I 21.07
Total taxable dividends S21.07
SDNY GM 00021428
C HP7000700573471 9 NP7003189125 00004 OHS 030575004 Y12357I 550100000 Page 11 of 14
CONFIDENTIAL
EFTA_00 132048
EFTA01274255

4tUBS
UK Strategic Advisor Account name: GHISLAINE MAXWELL Your 15Bendel Advisor:
Friendly account name: Indiv V49939X6 SCOTT STACK MAI/LYLE CASRIEL
January 2015 Account number: Y1 23571 55 212-821-7000800-308-3140
Account activity this month
(continued)
Date *entity OescrPtion Amount (S)
Dividend and interest iscorne (continued)
Taxable interest Jan 8 Interest UBS BANK USA DEPOSIT ACCOUNT AS OF 01107/15 0.07
Total taxable interest $0.07
Miscellaneous Jan 2 Dividend METROPOUTAN WEST TOTAL RETURN BOND FUND CLASS I AS OF 12131114 129.32
Jan 2 Dvidend RICGEWORTH SEIX FLOATING RATEHIG H INCOME FUNDCLASS I AS OF 221.59
12131/14
Jan 2 Dvidend DOUBLE UNE TOTAL RETURN FUND INSTL AS OF 1331/14 568.78
Jan 2 Dvidend EATON VANCE FLOATING RATE ADVANTAGE CL I AS OF 12/31114 365.78
Jan 2 Dvidend T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS ASOF 12131/14 209.33
Jan 2 Dividend BLACK ROCK HIGH YELD BOND I AS OF 12131114 291.38
/an 2 Interest VAS BANK USA DEPOSIT ACCOUNT AS OF i 2131f 14 0.10
Total nisallaneoes $1,786.28
Total dividend and interest income $1,807.42
Cade Actitsty Dexredion Anoint (1)
Fees Jan 23 Fee Charged QUARTERLY FEE -1247.44
Total professional management fess 41.247.44
Investment transactions
lc( more &Q.; ire POW 0ue shown for restricted securities, see important information about
rut statement at the end of this Cooment.
?recent fran Funds
insestnent nithdrawn Ice Accrued
Dae Acuity Desciption Ouamity vale (5) Priced) transactions (S) inseslmentsbood'a (1) interest (5)
Jan 2 Reinvestment METROPOLITAN WEST TOTAL RETURN BOND 11.864 -12932
FUND CLASS I DI1ADEND REINVESTED AT 10.90
NAV CN 12/31/14 AS OF 12/31/1.1
Jan 2 Reinvestment RIDGEWORTH SEIX FLOATING RATEHIGH 25.325 -221.59
INCOME FUND CLASS I DIVIDEND REINVESTED
AT 8.75 NAV ON 12131114 AS OF 12/31114
Jan 2 Reinvestment DOUBLE UNE TOTAL RETURN FUND1NSTL 51.849 -568.78
DIVIDEND REINVESTED AT 10.97 NAV ON
12/31/14 ASCE 12131114
Jan 2 Reimestrnent EATON VANCE FLOATING RATE ADVANTAGE CL 33.900 -365.78
I DIVIDEND REINVESTED AT 10.79 NAV ON
12/31/14 ASOF 12/31/14
continued next page
C fa' 70DC9005734 720 NP7OCOI89425 COON 0115 03 0515004 Y123571 SSO 10% IV GM 0002;vitg 12 of 14
CONFIDENTIAL
EFTA_00132049
EFTA01274256

T UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Mnandd Advisor.
hlendly account name: Indiv V49935006 SCOTT STACK MANL YLE CASRIEL
January 2015 Amount number. `el 23571 55 212-821-7C00/ 800-308-3140
Account activity this month ccontnueco
Investment transactions (continued)
Proceeds from Fune
Inwstmant yOthckawn la Accrued
Dote ACtiNly Mitl otion Outnlity Witte CO Price IS) tiarsaalOnS (s) imeslmentSDOwlit (I) Interest 04
Jan 2 Reinvestment T ROWE PRICE INSTITUTIONAL FLOATING RATE F 20.891 -209.33
GASS DIVIDEND Ras/VESTED AT 10.02 NAV ON
12/31114 ASOF 12/31/14
Jan 2 Reinvestment BLACK ROCK HIGH YIELD BOND I DIVIDEND 36.977 -291.38
REINVESTED AT 7.88 NAV ON 12/31/14 AS OF
12/31/14
Total -81,786.18
Clete ACIMty Descriptor Arrount ft)
Money balance activities Dec 31 Salaam forward 89,359A2
Jan 2 Deposit UBS BANK USA DEPOSIT ACCOUNT AS OF 12/31114 0.10
Jan 5 Deposit UBS BANK USA DEPOSIT ACCOUNT 21.07
Jan 8 Deposit 085 BANK USA DEPOSIT ACCOUNT AS OF 01/07/15 0.07
As
Jan 26 Withdrawal UBS BANK USA DEPOSIT ACCOUNT OF 01/23115 •1247.44
Jan 30 Closing U.S lank USA Deposit Account $8,13322
The V85 Bant USA De009t Account IS y(Xif priMeMy sweep COOn
SDNY GM 00021430
CNP70009005734721 NPT000189425 00001 0115 030575004 V123571550100000 Page 13 of 14
CONFIDENTIAL
EFTA 00132050
EFTA01274257

4tUBS
Your notes
CNP70009005734722 NP701:019.1125 0CCO1 0115 C005750Gt Y123571550 109ftyohL00027114, 14 of 14
Ert0 of statement for account number Y1 23571 S5
CONFIDENTIAL
EFTA_00132051
EFTA01274258

Important information about your statement
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a which agnate flirter seamed structured yMost ulOCCtnentOrWary
pram rat be Isar a lad aid do not neutrally • Itevenue Sating and addklonelampeasatlat
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- m ed pay esmaes of vale næ of a ran dae named n connects, with the clarion of rrata Sown ØØ BSA and iRMA ae beck erage adocunts
aid ae iteplied so !SS treat Sewer on a regiI t fads to our dents we snor onafdelte reason Mai ',etude access to battle sera, ad produgs
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I“IAR PennP ant oxpasor aimed abet d adeison of tea area kinds Tat we soh Peso pany balks and prordes roes to barn aid fluty
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neonal lad sid se a teed dolts anvil based on the rectum Ms »Ma and ntemabonal Sedate ~arts
SDNY_GM_00021433
CONFIDENTIAL
EFTA 00132053
EFTA01274260

U85 Financial Services Inc. UBS Strategic Advisor
UBS 299 Park Avenue
25th Floor
New York NY 10171.0002 February 2015
CNP70051310341 0215 V*1 0
GHISLA1NE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065.7007
Account name: GHISLANE MAXWELL
Friendly account name: indiv.V49935006
Account number: _3571 SS
Your financial Advisor:
SCOTT STACK MANILYLE CASRIEL
Phone: 212-821-7000/800-308-3140
Question about your gatemen? Value of your account
Call your Financial Advisor or the
RMA ReS0urCeUne at 800-RMA-1000, on January 30 (3) on February 27 (1)
account 029323571
Your assets 1,011,105.26 1,030,448.86
Visit our websIte: Your liabilities 0.00 0.00
www.ubscomIlinancialsemces
Value of your account 51,011,105.26 51,030A48.136
Source of your account growth
Tracking the value of your account duriag 2015
Value of your account
at year end 2014 41,011.812.53
S Thousands
Net deposits end
withdrawals -31247.44
1.0•1 1 1,0•1 1.1 1,030.4
Your nvestment return
•
DM:lendand
interest income 33,75487
Chance in
market value 516,128.90
Value of year wean
on Feb 27, 2015 $1,030440.56
Dec 2014 Ian 2015 Feb 2015
SDNY GM 00021434
PA•mbor SIPC CNP70009305810341 NP7003205088CoCo40215 030575004 vi2357i 55000o0C0 Page 1 of 14
CONFIDENTIAL
EFTA 00132054
EFTA01274261

SUBS
UBS Strategic Advisor Account name: GHISLA1NE MAXWELL Your II nand✓ Advisor.
Friendly account name: Indiy V499350% SCOTT STACK MAls7 LYLE CASRIEL
February 2015 Account number: VI 23571 55 212.821.7000/800.3083140
Your account balance sheet
Summary of your assets
Value on Percentage of
February 27 (S) yOUt aCC0Unt
. Cash and money balances may include
A Cash and money balances 8,152.80 0.79% Your current asset allocation
available cash balances. UBS Bank VSA deposit
B Cash alternatives 0.00 0.00% account balances. UBS AG Sumford Branch
E A deposit account balances and money market
C Equities 280,007.56 27.17% mutual fund sweep balances See the Imponant
information about your statement on the last
D Fixed income 709,127.00 68.82% two pages of this statement for details about
those balances
E Non-traditional 33,161.50 3.22%
F Commodities 0.00 000%
G Other 000%
Total assets $1,030,448.86 100.00%
Value of your account $1,030,448.86
Eye on the markets
Percentage change
Index February 2015 Year to date
S&P 500 5.75% 2.57%
Russell 3000 5.79% 2.85%
MSC I - Europe, Australia & Far East 5.99% 6.52%
Barclays Capital U.S. Aggregate Bond Index -0.94% 1.14%
Interest rates on February 27, 2015
3-month Treasury bills: 0.03%
One-month LIBOR: 0.17%
CNP70003005810342NP7003X6089 000040215 030575004 Y123571550 e()%0PWGM000214Ine 2 of 14
CONFIDENTIAL
EFTA 00132O55
EFTA01274262

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your linandal Advisor:
Friendly account new*: Incliv. v49935006 SCOTT STACKMANLYLE CASRIEL
1-* um, :0:: Account number. Y1 23571 55 212-821-70001800-308-3140
Change in the value of your account Summary of gains and losses
Values reported below exclude products for which gam androuts are not dassifird.
February 2015 (11 Year to dale (5)
Opening account value $1,011,105.26 $1,011,812.53 Realized gains and losses Unrealized
February 2015($) Year to date (1) gains and losses (S)
Withdrawals and fees,
including investments transferred Short term 0.00 0.00 133.74
cut 0.00 -1,247.44
Long term 0.00 0.00 24,335.64
Dividend and interest income 1,947.45 3,754.87
Total $0.00 $0.00 $24,469.38
Change in market value 17,396. 5 16,128.90
Closing account value $1,030,448.86 $1,030,448.86 Cash activity summary
Dividend and interest income earned See &Could minify the month for deals Banes In your Sweep OPOOM are induded in the cpenng and
elating Lances rte Le. FDIC Insurance/pones oey to deposits at UBSBank USA, not to deposits at LOS AG,
Stamford Branch or bank deposits paced through the UBS meths:anal Deposit Account program SIPC
protection appfits to money market sweep fund holdings but not bark deposits. Se* In/portant inbrinafion
For purposes of this statement. tarabilly of Interest and deldend Income hes been determined Iron a US about your statement on the last two pages d this document for dews.
ti4 repating Perslontje. Bawd upon the residence of the account hoide4 account type, or product bp/.
some intent andel dvldend payments mw not be subject to United states (US) ardor Nemo lac° (PR) February 2015 (5) year to date 14)
Income tares. The dent moral* site-nem is not intended to be used and cannot be fried upon for tor Opening balances $8,133.22 $9,359.42
purposes. Clients should refer to the applietee tax reporting fame they receive from LOS annuily, slob as
the forms 1099 and the Farris 480, (or it reporting informabon it Is the practice of UBS to file the Additions
oppricatre tar reporting loans with the US interne Revenue SeMce and PR Treasury oeoaarrent. and in
such forms neuraley classify dndends ardor Intent a tax exempt or tasable arcane. Please consult yew Dividend and interest income 1,947.45 3,754.87
In:Padua' tax prepare.
Total additions $1,947.45 $3,754.87
febeuary 20i 5 (V rear to date (I)
Subtractions
Taxable dividends 1,947.16 1,968.23
Professional management fees and
Taxable interest 0.29 0.36 related services 0.00 -1,247.44
Total current year $1,947.45 $1,968.59 Funds withdrawn for investments
bought -1,927.87 -3,714.05
Prior year adjustment 0.00 1,786.28
Total subtractions -$1,927.87 -$4,961.49
Total dividend & interest $1,947.45 $3,754.87
Net cash flow $19.58 -$1,206.62
Closing balances $8,152.80 48,152.80
SONY GM 00021438
CmF7030%051310343Nr7003705088 00004 0215 03057%04 Y123571%0000000 Pag• 3 of Id
CONFIDENTIAL
EFTA_00132056
EFTA01274263

*UBS UBS Strategic Advisor Account name: GNISLAINE MAXWELL Your Pi Bendel Advisor:
Friendly account name:Indiv V49935006 SCOTT STACK MANYLYLE CASRIEL
February 2015 Account number: Y I 23571 55 212.821.700O800-308.3140
UBS Bank USA Deposit Account APY
interest period Ian 8 - Feb 5
Opening UBS Bank USA Deposit balance Jan 8 19,380 66
Closing UBS Bank USA Deposit balance Feb 5 18,152.80
Number of days in interest period 29
Average daily balance $8,780.44
Interest earned 80.29
Annual percentage yield earned 0.04%
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
financial Advisor or Branch Manages You can find a ful description of the alternative
investment objectives in Important information about your statement at the end of this
document
Your return objective:
Current income & capital appreciation
Your risk profile:
Primary - Moderate
Investment eligibiSty consideration • None selected
Your account instructions
• You account cost basis default closing method is FIFO, First In, First Out.
CNP703C0005810344 NP7000206088 00004 CQ IS 030575004 YI 23571 550 COlictipa_G M00021Pit 4 of M
CONFIDENTIAL
EFTA_OOl 32057
EFTA01274264

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your tlsandal Advisor:
*UBS Friendly account name:Indiv VA995(X)f. SCOTT STACKMANLYLE CASRIEL
February 2015 Account number. Y1 23571 55 212-821-70001800-308-3140
Your assets
Some prices, income and current vanes shorn may be approximate. Asa feint. garb Sid losses May nal
be ecanalely reflected. Set Aporunt infomboon about your statement a the coda tuts Occumem for
more information.
Cash
Cash and money balances
Cash and money balances may include avaladle cash balances, UBS Bant USA deport account balances.
UBS AG Stanford Branch deport account balances and money market mutual fund sweep balances.
UBS Bank USA deposit account bSances are insured by the FDIC yahn appactble limits, but are not
protected by 9PC MS AG Stanford Branch deposit sec oum balances am not insured by FDIC and are not
protected by 9PC Money mance sweep balances are protected by PPC but ale not insured by the FDIC.
See the Important information about your statement at the end of this document for del ails about I host
biances.
Opertng biome Cloung Waite Inc< per share Average [StandInterest OOP n
Hddng on Feb I (S) on Feb 27 (S) on Feb 27 (1) rate period period Op mount (S)
UEIS SANK USA CEP ACCT 8.13322 8.152 80 250.000 00
Equities
Mutual funds
Total reinvested d ine Iota ct a reinvested arida& II does not include any cash cis/Kends. It is not a tar Unrealtzed (tad gain or 1615 is the dfference between the c went value and the cost basis aid would
lot for the purposes of determining hotdng periods or cost bag,. The shares you receive can are you i netatbs be your taiatte gan oi loss If the secLnty was sold en tat date. The unreatie0(1a0 gan cc loss
reinvest dvdends become a separate tax lot. may need tote Austed tor return of capita payments in order to determine the 'mixed gain or km for tat
resetting purposes.
Cost basis is the told purchase cost of the stoutly. inducing reinvested el udends The cost basis may need
to be ad usted for return of capita payments in Order to determne the aclusted cost basis for ta< repanng Coder:meat return is the current verve Minus the amount you I rrreSted It does not include shares that Se not
purposes. rdleCted on yowl statement. includng shares that have been realizedas either a gin or a loss. It also Odes
not ncluck cash dnclends that were not reinvested
PurchaSe Date'
Writer Average pace Client Cost PM! Der Oat Value on unfeSizedato trneument Nada;
Hddng or shares mu Pare (S) investment (S) basis (S) on Feb 27($) Feb 27 (5) (}tin or lOss (5) return (5) period
CLEAR8RIDGE
EQUITY INCOME FUND
CLASS 1
Symbol. SOPYX
Trade date: Am 26, 13 1,1 79.249 16.769 19,776.00 19,776.00 20.900 24446.30 4,870.30 LT
Trade date: Mn 14, 14 296210 18.470 5,471.00 5,471 00 20.900 4190.79 719.79 LT
Trade date: an 15, 14 283.181 18.549 5253.00 5253.00 20.900 5,918.48 665.48 LT
COnbnued next page
SDNY GM 00021438
OW70003005810045 Ne7003705008 00004 02 IS 030575004 Y123S7I SS0000000 Pugs S of 14
CONFIDENTIAL
EFTA_D0132058
EFTA01274265

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your 14 nonciol Advisor
Friendly account name:Indiv V49935006 SCOTT STACK MANLYLE CASRIEL
PehruarY 2015 Account number. Y1 23571 55 212-821.7000/800-308-3140
Your assets Equities .
Mutual funds (continued)
Purchase price'
Punter Average peke Client Cost Price per share Value on unrealized gap imestment Holdng
Wiring of stares per sham (f) investment ff) basis (1) on Feb 27(1) Feb 27 (1) gain orlon (1) return (5) period
Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 20.900 5,909.08 670.08 LT
Trade date: Jan 17, 14 298.430 18.469 5,512.00 5,512.00 20.900 6,237.19 725.19 LT
Total reinvested 47.254 19.672 929.61 20.900 987.61 58.00
EAI: $940 Current yield 1.88%
Security total 2,387.055 17.671 41251.00 42,180.61 49089.44 7,708.84 8,638.45
COLUMBIA CONVERTIBLE
SECURITIES FUNDCLASS 2
Symbol: NCIAX
Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 19.560 22,438.78 1,915.78 LT
Trade date: Feb 19, 14 840.380 18.959 15,942.00 15,942.00 19.560 16,437.83 49583 LT
Total reinvested 99.567 19.037 1,895.52 19.560 1947.53 52.01
EAI: $939 Current yield 2.42%
Security total 2,087.124 18.380 36,465.00 38,360.52 40,824.14 2,463.62 4,359.14
HARBOR CONVERTIBLE
SECURITIES FUNDCLASS I
Symbol: HACSX
Trade date: Jan 29, 13 1,872.780 10.250 19,196.00 19,196.00 10.860 20338.39 1,142.39 LT
Trade date: Am 17, 13 960.534 10.489 10,076.00 10,076.00 10.860 10,431.40 35540 LT
Total reinvested 174.169 10.594 1,845.25 10.860 1,891.47 46.22
EAI: 3683 Current yield 2.09%
Security total 3,007.483 10.347 29272.00 31,117.25 32,661.26 1,544.01 3389.26
JP MORGAN INTREPID
EUROPEAN INST
Symbol: OEM
Trade date: Aug 1, 13 435.452 23.134 10074.00 10,074.00 25.500 11,104.02 1,030.02 LT
Trade date: Aug 6. 13 439.831 23.286 10242.00 10242.00 25.500 11215.69 973,69 LT
Total reinvested 33.043 24.353 804.71 25.500 842.60 37.89
EAI: $812 Current yield 3.51%
Security total 908.326 23.252 20316.00 21,120.71 23,162.31 2,041.60 2.846.31
MATTHEWS ASIA DIVIDEND
FUND INSTL
contnued 'leg page
CHP70003005810346 NP7000206088 00004 CQ 15 030575004 V123571 SSO °NOW_G M 00021,4 6 of 14
CONFIDENTIAL
EFTA_00 132059
EFTA01274266

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Naandal Advisor:
*U BS Friendly account narne:Indiv V49935006 SCOTT STACKMANLYLE CASRIEL
February 2015 Account number. yi 23571 55 212-821-7000/800-308-3140
Your assets Equities . Mutual funds (continued)
PurchaSe cad
Horgan Average price client Cost RIO Per Owe Value on Unrealized (tad investment Holdng
Hddng of skates per share (6 investment (1) basis (1) on Feb 27(1) Feb 27 0) 93In or loss (I) return al Period
Symbol. MINX
Trade date: Ian 29, 13 2,156.431 14.781 31,876.33 31,876.33 16.210 34,955.74 3,079.41 LT
Trade date: Feb 1. 13 481.951 15.001 7230.21 7230.21 16.210 7812.42 582.21 LT
Total reineted 52.286 15.936 835.86 16.210 847.56 11.70
EAI: 31,445 Current yield: 3.31%
Security total 2,690.668 14.845 39,106.54 39,942.40 43,615.72 3,673.32 4,509.18
SIT DIVIDEND GROWTH FUND
CLASS!
Symbol: SOVGX
Trade date: /an 29, 13 2333.831 15.400 35,941.00 35,941.00 17.740 41,402.16 5,461.16 LT
Trade date: Jun 11, 13 624.804 16.569 10,353.00 10,353.00 17.740 11,084.02 731.02 LT
LAI: 3775 Current yield 1.48%
Security total 2,958.635 15.647 46294.00 46294.00 52,486.18 6,192.18 6,192.18
TORTOISE MY & PIPELNE
RIND CLASS INSTL
Symbol: TOM
Trade date: Jan 29, 13 2296.774 13.248 30,429.04 30,429.04 16270 37,368.51 6,939.47 6.939.47 LT
EAI: 3377 Current yield 1.01%
Total $243.133.58 $249,444.53 $280.007.56 530.56344 $36,873.98
Total estimated anneal income: $6,071
SDNY GM 00021440
CW0001005610347 NP7000206093 00004 C015 030575004 Y123571550000000 Page 7 of 14
CONFIDENTIAL
EFTA 00132060
EFTA01274267

*UBS
UBS Strategic Advisor Account name: GHIRAINE MAXWELL Your 15 nancial Advisor
Friendly account namenIndiv V49939036 SCOTT STACK MAJNILYLE CASRIEL
February
2015 Account number: Y1 23571 SS 212-821.7000'800-308-3140
assets (continued)
Your
axed income
Mutual funds
TOME *1)W:3W is me loll of al !reinvested dadends n does nos include any cash diaCerk/S. n is not a unto teci (MO gait of loss is the dgerence between the current vaue and the cost basis and would
tag lot for the purposes of determinng hdcing peicas or cost beers. The shares you receive each tint you generegy be your tenable gam cr loss it the security was sold coin's date The unrealized Oax)gan Cr loss may
reinvest el vdends become a separate tax GE need to be arlusted for return c4 capered peefinents in order to detennne the reeked On or loss for las
reporting outposts
Cost base is the told purchase cog or the security, inducing reinvested d sndendS The COO basis may
need to be aclusted for return Cl ctatal payments in order to detenwne the adjustedcost bit4is for tax investment serum is the current vdue mnus the amount you invested it does not Include shares that are not
reporting purposes. reflected an )Ott statement, inducing shares that hake been !edited 44 either a gain or a ioss n as° does not
include cash &Aden& that wale not reinvested
PurC has. Olice'
Number AvelaCy Fite Chem Cost Pnce per shut Value on Unrealized day Investment Holding
taddng of shares pet share Cs) investment 0) basis(%) on Feb 27 (5) Feb 27 (S) gain Or IOSS (S) return (S) Period
AVENUE CREDIT STRATEGIES
FUND CLASS INSTL
Symbol. AC S&X
Trade date: Nov 12, 13 910.736 11.270 10264.00 10,264 00 10.840 9,872 38 -391 62 LT
Trade date: Nov 18, 13 912.566 11.300 10,312.00 10.312.00 10.840 9,892.21 -419.79 LT
Trade date: Nov 25, 13 911.661 11.319 10320.00 10,320 00 10.840 9,882.40 -437.60 LT
Total reinvested 130.968 11. 334 1,484.41 10.840 1,419.69 .64.72
EAI: 41,315 Current yield: 4.23%
Security Total 2,865 931 11.298 30,896.00 32,380 41 31,066 69 - 1,313.73 170.68
BLACKRCCK HIGH YIELD
BONDI
Symbol. OHM
Trade date: San 29, 13 4,811.156 8.200 39,451.48 39,451.48 8.020 38,585.47 -866.01 LT
Trade date: Jun 27, 13 2,481 156 7.959 19,750.00 19,750.00 8.020 19,898 87 148.87 LT
Total reinvested 553.198 8.154 4,510.79 8.020 4,436.65 -74.14
EAI: 41577 Current yield- 568%
Security total 7,845.510 8.121 5901.48 63,712.27 62,920.99 .791.28 3,719.51
COHEN & STEERS PREFERRED
SEC & INC FUND!
Symbol. CPA'S
Trade date: )an 29, 13 3.002 068 13.487 40,490 57 40.490 57 13.820 41,488 57 998 00 LT
Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.820 10,235.44 317.04 LT
Trade date: Jun 14, 13 751.274 13.309 9,999.02 9,999.02 13.820 10382.61 383.59 LT
convoyed next page
CNP70303305810348 N1'7000205088 00034 0215 030575004 Y123571S5OCCIWAY_GM_000218FleRe 8 of 14
CONFIDENTIAL
EFTA 00132061
EFTA01274268

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Maandal Advisor:
UBS Friendly account name:Indy.. V49935006 SCOTT STACKMANLYLE CASRIEL
February 2015 Account number: VI 23571 55 212-821-7000/ 800-308-3140
Your assets . Fixed income • Mutual funds (cononued)
Purchase Piker
Nurrber Average pica Client Cost PrKe per shut value on Unrealized OM imestmeot Holdng
Nclang of shares per share (I) investment (9) basis (I) on Feb 27 (9) Feb 27 (I) gain or loss (I) return CP Perini
Total reinvested 277.310 13.594 3,770.02 13.820 3,832.42 62.40
EAI: 43,855 Current yield. 485%
Security total 4,771.277 13.451 60,407.99 64,178 01 65,939.04 1,761.03 5,531.05
DOUBLE LINE TOTAL RETURN
FUND INSTL
Symbol: DI3LTX
Trade date: Jan 29, 13 12,498.155 11.379 142229.00 142229.00 11.020 137,729.66 -4,499.34 LT
Total reinvested 596.050 10.973 6,540.86 11.020 6,568.47 27.61
EAI: 46,547 Ctarent yield: 4.54%
Security total 13394.205 11.362 14222900 148,769.86 144298.13 .4,471.73 2.069.13
EATON VANCE FLOATING
RATE ADVANTAGE CL 1
Symbol: SFAX
Trade date: tan 29,13 7,524.150 11.180 84,120.00 84,120.00 10.920 82,163.72 -I ,9%28 LT
Total reinvested 361.680 11.024 3,987.34 10.920 3,949.55 .37.79
EAI: 44,092 Current yield: 4.75%
Security total 7.835.830 11.173 84,120.00 88.107.34 86,113.26 -1,994.07 1.993.27
HARBOR HIGH YIELD BD FD
INSTITUTIONAL CL
Symbol: leYFAX
Trade date: Jan 29, 13 2,660.657 11.239 29,905.78 29,905.78 10.620 28256.17 4 ,649.61 LT
Total reinvested 199.092 10.551 2,100.72 10.620 2,114.36 13.64
(Al: 11,572 °Arent yield: 5.18%
Security total 2,859.749 11.192 29,905.78 32,006.50 30370.53 -1,63597 464.75
H5f3C TOTAL RETURN
FUND CLASS I
Symbol: HTRIX
Trade date: /an 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.3® 39,743.24 38.59 38.59 LT
EAI: 4783 Current yield 197%
JPMORGAN UNCONSTRAINED
CEBT FUND CLASS SELECT
continued next page
SDNY GM 00021442
CNP70004005810349 NP7OCO7 05088 00031 COI 030575004 Y123571550000300 Page 9 of 14
CONFIDENTIAL
EFTA_00132062
EFTA01274269

*DUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your 15 Banda' Advisor:
Friendly account name: Indiv V49935006 SCOTT STACK MANY LYLE CASRIEL
February 2015
Account number: Y1 23571 SS 212.82 l-7000/800.308.3140
Your assets . Fixed income . Mutual funds (continued)
Purchase once'
Hunter Aver.? Dice Client Cost Price per share Value on unrealized Rol investment Hddng
I4ddng of shwas per sham (5) inentrnmt (S) bask (1) on Feb 27 (I) Feb 27 (5) pain or loss (5) bruin (5) period
Symbol. .615X
Trade date: Jan 29, 13 4,784.864 10.260 49,092.71 49,092.71 10.180 48.709.91 -382.80 LT
Total reinvested 195.127 10.179 1,986.33 10.180 1,986.39 0.06
EAI: 12.036 Current yield: 4.02%
Security total 4,979.991 10.257 49,092.71 51,079.04 50,696.30 .382.74 1.603.59
METROPOLITAN WEST TOTAL
RETURN BOND FUND CLASS I
Symbol: MWTIX
Trade date: Oct 24, 13 7,192.344 10.709 77030.00 77,030.00 10.980 78,971.93 1,941.93 LT
Total reinvested 183.256 10.840 1,986.53 10.980 2,012.15 25.62
(Al: 11.807 Curent yield: 2.23°4
Security total 7375.600 10.713 77,030.00 79.016.53 80,984.03 1,967.55 3.954.08
PIDGEWORTH SEIX FLOATING
RATEHIGH INCOME FUND
CLASS I
Symbol: SAMBX
Trade date: Fan 29, 13 6,502.655 9.039 58,784.00 58,784.00 8.870 57,678.54 -1,10546 LT
Total reinvested 287.258 8.958 2,573.27 8.870 2,547.98 -25.29
EAI: 12,634 Current yield: 4.37%
Security total 6,789.913 9.037 58,784.00 61,357.27 50226.52 -1,130.75 1,442.52
T ROWE PRICE
INSTITUTIONAL FLOATING
RATE F CLASS
Symbol: FFFRX
Trade date: lan 29, 13 5,394.060 10.270 55)97.00 55,397.00 10.130 54,641.82 •75518 LT
Total reinvested 209.911 10.180 2,137.05 10.130 2,126.40 -10.65
(Al: 42,359 Current yield: 4.16%
Security total 5,603.971 10.267 55,397.00 57,534.05 56,768,22 -765.83 1,371.22
Total 1686.768.61 1717.845.93 $709.127.00 48318.93 122.35839
Total estimated annual income: 130.577
CNP700C00058I0350NP7000205088 00004 02 I S 030575004 YI 23571 55000MINGht0 00211g1910 of 14
CONFIDENTIAL
EFTA_00132063
EFTA01274270

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your N nand,/ Advisor:
SUBS Friendly account name:Indiv ve9935006 SCOTT STACKMANLYLE CASNEL
Felorpth . Account number. Y1 23571 55 212-821-7000'800-308-3140
assets
Your (continued)
Non-traditional
Mutual funds
kta.te rn.e;tc-ri ci ate re ft.ested 1, )-cis ft lots no include any CaSh cividen0s. it Is Mt at& Unmarried (tad corn Or MSS 6 the ',defence between the current valve anent* cost ban and would
lot for the purposes of ClelettronfoO Add ng pe Reds Or cog Oasis. The shares yOu ref ewe each you benerary be your terabit gun a IOSS If the security was Sorb On INS date. The unreal/03(1SO gun or lois
reinvest dm ama become a separate tax lot. may need so be ad)usted for return of capra payments in order to cute mine the realized gain or las for tax
reporting purposes.
Cost basis IS the rola purchase cod of the security. inducing reinvesteddudends Tre cost basis may need
to be actusIed kr return Cl capita paments in order b3 deterrilne Iht aausted cost oasis lot tac rebnning investment tearn is the current value minus the amount you invested. It does not include shares that au not
purposes. reflectedon yr..° statement, inducing shares that haw been realizedas either a gam or a toss It also does
not include cash dvdends that were not reinvested.
Purchase once'
member Average once Client COSI Once per SOUP Value on unrealized (tan InfeStrnent Hotting
iiddng of shares per share (S) investment (s) basis (i) on Feb 27 of Feb 27 (1) barn of loss (5) return (S) period
GATEWAY FUND CLASS Y
Symbol. GTEYx
Trade date: Jan 29, 13 1,089.208 27.580 30,040.36 30,040.36 29.980 32,654.45 2,614.09 LT
Total reinvested 16.913 29.318 495.87 29.980 507.05 11.18
EAI: 1501 Current yield 1.51%
Security total 1,106.121 27.607 30,040.36 30536 23 33,161.50 2425.27 3,121.14
Your total assets
Percentage of Cost Estimated unrealized
wine on Feb 27 Of your account ba'5 (5) ennui inccme gain or loss (I)
Cash Cash and money balances 8,152.80 0.79% 8,152.80
Equities Mutual funds 280,007.56 27.17% 249,444.53 6,021.00 30,563.04
Putrid income Mutual funds 709,127.00 68.82% 717245.93 30,577.00 -8.719.93
Non-traditional Mutual funds 33,161.50 322% 30.536.23 501.00 2.62527
Total $1,030,448.86 100.00% $1,005,979.49 $37.099.00 $24,469.38
Account activity this month
Pate Actluty Descrol ion AmOtalt (1)
Dividend and interest income
Taxable dividends Feb 2 Owdend METROPOUTAN WEST TOTAL RETURN BOND FUNDCLASS I AS OF 01130.15 106.09
continued next page
SDNY GM 00021444
CTIPTC003305810351 NP7003705088 C0004 02 IS 030575004 Y123571S50000000 Page 11 of 14
CONFIDENTIAL
EFTA 00132064
EFTA01274271

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your rinandd Advisor:
friendly account name: Indiv V49935006 SCOTT STACXMAPPLYLE CASRIEL
February 2015 Account number. Y1 23571 SS 212.821.700& 800.308.3140
Account activity this month
(Con~
Date *Welty Derry:dim Ana« (S)
Dividend and interest income (COntintad)
Taxable dividends (continued) Feb 2 Dividend R1DGEWORTH SEIX FLOATING RATEHIGH INCOME FUNDCLASS I AS OF 22965
01I30i IS
Feb 2 Dividend DOUBLE UNE TOTAL RETURN FUND INSTL AS Of 0 ti 30'15 473.03
Feb2 Dividend COHEN & STEERS PREFERRED SEC & INC FUND I AS OF 01/30115 318.12
Feb2 Dividend EATON VANCE FLOATING RATE ADVANTAGE CL I AS OF 01/30115 348.76
Feb2 Dividend I ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS AS Of 01130/15 197.85
Feb2 Dividend BLACKROCK HIGH VELD BOND I AS OF Olt 3«1 5 258.37
Feb 2 Dividend HS8C TOTAL RETURN FUND CLASS I 19.29
Total taxable dividends $1.947.16
Taxable interest Feb6 Interest UBS BANK USA DEPOSIT ACCOUNT AS OF 0210915 0.29
Total taxable interest $0.29
Total dividend end interest income $1.947.4S
Invesbnent transactions
For rore infonnsion tout the pricer value shown tor restricted termitic.% we important information about
your stxement a the end of this Cocunent
Paned, from Kira
investment withdrawn la Accrued
Date actiety Desciption Oumtity vice (S) Price transactions (S) investments bcsicAt (S) interest (S)
Feb 2 Reimestment M£TROPOUTAN WEST TOTAL RETURN BOND 9.566 -106.09
FUND CLASS I DIVIDEND REINVESTED AT 11.09
NAVON 01/30115 AS OF 01/31:115
Feb2 Reinvestment RIDGEWORTH SW FLOATING FATEHIGH 25.818 -225.65
INCOME FUND CLASS I IYVIDENDREINVESTED
AT 8.74 NAV ON 01/30'15 AS OF 0 1130/15
Feb2 Reinvestment DOUBLE LINE TOTAL RETURN FUND INSTL 42.654 .473.03
DIVIDEND REINVESTED AT 11.09 NAV ON
Oll 3Cf 15 AS OF 01130'15
Feb2 Reinvestment COHEN & STEERS PREFERRED SEC & INC FUND I 23.153 -318.12
DIVIDEND REINVESTED AT 13.74 NAV ON
01/30,15 AS Of 01/3015
Feb 2 Reinvestment EATON VANCE FLOATING RATE ADVANTAGE CL 32.353 -348.76
I DPADEND REINVESTED AT 10.78 NAV ON
ON 30/15 AS OF 01/30/15
Feb2 Reinvestment T ROWE PRICE INSTITUTIONAL FLOATING RATE F 19.726 -197.85
CLASS DIVIDEND RENVESTED AT 10.03 NAV ON
0113DIS AS OF 01/3015
continued next page
CNP7030)305810352NP7000206088 00004 MI5 030575004 Y1235715500)~wc0 ,302Itas 12 of 14
CONFIDENTIAL
EFTA_00132065
EFTA01274272

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Pl windel Advisor:
*UBS fdendly account name:Pocht, V49935006 SCOTT STACKMANYLYLE CASRJEL
February 2015 Account nurober. Y1 23571 55 212-821-7000/800-308-3140
Account activity this month (continueel)
lavesbnent tninsactions (continued)
PnxeeCn Iran Funds
investment tothOrawn Ict Ac(rued
Date *CUM), DesCoption OWil1y Valk* (4) Pace 0) transamoos (K) inwesIrnen0 bCogtil (S) interen (S)
Feb 2 Renntestment 8LACKROCK HIGH MELD BOND I DIVIDEND 32.872 -258.37
REINVESTED AT 7.86 NAV ON 01130/15 AS OF
01/ 30/15
Total -51,927.87
Date ACtrvi1y DeSCriPb04 Amin( (S)
Money balance activities Mn 30 Balanceforward $13.133.22
Feb3 DeFrenn UBS BANK USA DEPOSIT ACCOUNT 19.29
Feb6 (»pan UBS BANK USA DEPOSIT ACCOUNT AS OF 0220915 0.29
Feb 27 Closing URS Dank USA Depolt Account 58.15220
me UBS eau USA betont Account it. your primary sweep colon
SDNY GM 00021446
C '70309305810353 NP7003705088 00074 CO'S 030579304 Y123571 SSO 000000 Page 13 of 14
CONFIDENTIAL
EFTA (10132066
EFTA01274273

*UBS
Your notes
-- ="7===.72';v::"- ---"--2-"'"
CONFIDENTIAL
EFT,00B2067
EFTA01274274

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SDNY_GM_00021448
CONFIDENTIAL
EFTA (10132068
EFTA01274275

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SDNY_GM_00021449
CONFIDENTIAL
EFTA 00132069
EFTA01274276

SUBS UBS Financial Services Inc UBS Strategic Advisor
299 Park Avenue
25th Floor
New York NY 10171.0002 March 2015
CNe70055764470315>n vt
GH1SLAINE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065.7007
Account name: GHISLANE MAXWELL
Friendly account name: indiv.V49935006
Account number: _3571 SS
Your financial Advisor:
SCOTT STACK MANILYLE CASRIEL
Phone. 212.821.700D/800.308-3140
Questions about your statement? Value of your account
call )Our FinarKig AdviSOf Or the
RMA ResourceUne at 800-RMA-1000, on February 27 (1) on March 31(5)
account 029323571
Your 935e15 1,030,448.86 1,031,002.76
Malt our websIte: Your liabilities 0.00 0.00
vmw.ubstorNfinancialservices
Value of your account S1,030,448.86 31,031,002.76
Son roes of your account growth
Tracking the value of your account duriag 2015
Value of your account
at year end 2014 41,011,812.53
Thousands
Net deposits and
wit drams -$1,247.44
1.011 9 1,030.4 1,031.0
• • • Your nvesbnent return
Dividend and
interest income 46,853.73
Change in
market value 513,583.94
Value of your encotra
on Mar 31.2015 $1,031.002.76
ON ?Dia Feb 2015 Mar 2015
SDNY GM 00021450
MomMr SIPC CNP7000006576447 N77000304051 00004 0315 0305750041(123571550 100000 Page 1 of 14
CONFIDENTIAL
EFTA_00132070
EFTA01274277

UBS UBS Strategic Advisor Account name: GHISLAINE MAXWEU. Your Bimodal Advisor.
Friendly account name:Indiv V49935006 SCOTT STACK MANLYLE CASRIEL
March 2015 Account number: VI 23571 55 212.821.70001800.308.3140
Your account balance sheet
Summary of your assets
value on Percentage of
March 31 (9) your account
A Cash and money balances 8,172.37 0.79% Your current asset allocation . Cash and money balances may include
available cash balances. UBS Bank VSA deposit
B Cash alternatives 0.00 0.00% account balances, UBS AG Sumford Branch
E A deposit account balances and money market
C Equities 279,042.42 27.07% mutual fund sweep balances See the Important
informal an about your statement on the last
D Fixed income 710,703.32 68 93% two pages of this statement for details about
those balances
E Non-traditional 33,084.65 3 21%
F Corrmodities 0.00 000%
G Other 0.00 0.00%
Total assets $1,031,002.76 100.00%
Value of your account $1,031,002.76
Eye on the markets
Percentage change
Index March 2015 Year to date
S&P 500 -1.58% 0.95%
Russell 3000 -1.02% 1.80%
MSC I - Europe, Australia & Far East -1.43% 5.00%
Barclays Capital U.S. Aggregate Bond Index 0.46% 1.61%
Interest rates on March 31, 2015
3-month Treasury bills: 0.03%
One-month LIBOR: 0.18%
CW70003006576448 Ne7003304051 000)4 0315 030575004 VI23571SW lOalikiyGm000214me 2 of 14
CONFIDENTIAL
EFTA_00132071
EFTA01274278

UBS Strategic Advisor Account name: GHI5LAINE MAXWELL Your IIn andal Advisor:
*UBS Friendly account nairse:Indiv v49935006 SCOTT STACKMANLYLE CAMEL
March 2015 Account number. YI 23571 55 212-821-7000'800-308-3140
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.
March 2015 (1) Year to date (1)
Realized gains and losses Unrealized
Opening account value $1,030,448.86 $1,011,872.53
March 2015(1) Year to date (S) gains and losses (4)
Withcfrawals and fees,
including investments transferred Short term 0.00 0.00 22.42
cut 0.00 -1,247.44 Long term 0.00 0.00 21,901.99
Dividend and interest income 3,098.86 6,853.73
Total $0.00 $0.00 $21,924.41
Change in market value -2,544.96 13,583.94
Closing account value $1,031,002.76 $1,031,002.76 Cash activity summary
See Account ec forty the month for decals &lances In your Sweep Options are 'needed in the cpenng and
Dividend and interest income earned closing balances ydue. FDIC insurance aches only to deposits at UBS Bank USA, not to deposits at UBS AG,
surfaced Brand. or bank deposits pacedinmost, the UBS Intemaiorol Deposit Account program. SIPC
protection applies to manty market sweep fund holdings but rot bar* deposits Ste Important inbrmarion
For purposes of His statement, tematlity of Inkiest and dividend Income ha been determined horn a US ebOut your statement cn the last inn pages se. this document for coals
t s e o r m r e e i p n o te rt r i e n s g t p a e n r c sp fo e r c t d iv r e tC , B en as d e p d a u y p m o e n n t t s h e m r a e y s i n d o en t c b e e o s f u t b h je e c a t c t c o o U un n t i t h e o d l d A e S r, P a S c ( c U ou A n t a t n yp lo e r , o P r u p e r r o to d u R c ic t o ty ( p P e R , ) Mardi 201515) Year to date (S)
Income tare. The (lent months) statemem is not intended to be used and carom be reked upon for tar Opening balances $8,152.80 $9,359.42
purposes. Clients should refer to the ap;lictie lax reporting form they receive from UB5 annualy, such as
the Forms 1099 and the PerrnS 4130. for tar reporting information It is the practice of 1185 to file the Addkiorrs
appirCatre lac reporting forms %Nth the US Mterni Revenue Service and PR Treasury Department, and in
such forrrn accurately dasafy cludends andia Interest as lax exerrpt or facet:Mince:me. Pleat consult your Dividend and interest income 3,098 86 6,853 73
Ir.:I...dual tat propane.
Total additions $3,098.86 $6,853.73
March 2015 (S) Year to date IS)
Subtractions
Taxable dividends 3,098.58 5,066.81
Professional management fees and
Taxable interest 0.28 0.64 related services 0.00 -1,247.44
Total current year $3,098.86 $5,067.45 Funds withdrawn for investments
bought -3,079.29 -6,793.34
Prior year adjustment 0.00 1,786 28
Total subtractions -$3,079.29 -$8,040.78
Total dividend & interest $3,098.86 $6,853.73
Net cash flow $19.57 -$1,187.05
Closing balances $8,172.37 $8,172.37
SDNY GM 00021452
C flP7C00?305576449 NP7003304051 00034 031503057`404 Y123571%0 103000 Pegs 3 of 14
CONFIDENTIAL
EFTA_00132072
EFTA01274279

UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your financial Advisor.
Friendly account name:Indiv V49935;06 SCOTT STACK MANLYLE CASRIEL
March 2015 Account number: Y1 23571 55 212-821-7000/800-308-3140
UBS Bank USA Deposit Account APY
Interest Period Feb 6 - Mar 5
Opening UBS Bank USA Deposit balance Feb 6 $8,152.80
Closing UBS Bank USA Deposit balance Mar S $8,172.37
Number of days in interest period 28
Average daily balance $8,154.87
Interest earned $0. 28
Annual percentage ye Id earned 0.04%
Your investment objectives:
You have identified the following investment objectives for this account If you have questions
about these objectives, disagree with them, or with to change them, please contact you
financial Advisor or Branch Manager. You can find a full description of the alternative
investment objectives in Important information about your sratement a t the end of this
document
Your return objective:
Current income &capital appreciation
Your risk profile:
Primary Moderate
investment eltgbfity cons.derafion None selected
Your account instructions
• You account cost basis default dosing method is FIFO, First In, First Out.
CNP7C00)306576450NP70C0304051 COCOS 0315030575004 Y123571550 l°191.1‘WGM0002111sr 4 of "
CONFIDENTIAL
EFTA 00032073
EFTA01274280

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your PI sandal Advisor:
*UBS Friendly account name:Incite vAgg35006 SCOTT STACK MANLYLE CASRIEL
March 2015 Account number. Y1 23571 55 212-821-7000'800-308-3140
Your assets
Some prices, income and current vaues ShOwn may be EppitixiMale. ASS intl. gains aid losses may nol
be accuralely refkaed. Set Aportant informabon about your statement a the end of ttws documem for
mote information.
Cash
Cash and money balances
Cash and money balances may include avalade cash balances, UBS Bar* USA deposit 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 FDC yid hn fl oc tie limits, but are not
peoletted by StPC MS AG Stanford Branch deposit account balances se not tided ty FDIC and ate not
protected by SIPC Money market sweep balances are protected by PPc but are not insured by the FDIC.
See the rmportant information about MO statement at the end of this docunent for death about tixne
Sancti.
Openngbdence ammo tutaxe Price per share Average Dnicknce Interest Craps
Hddng on Mar 1 (S) on Mar 31 (S) on Mar 31 (1) fate period period cap amount (1)
UBS BANK USA CEP ACCT 8,152.80 8.172.37 250.000 00
Equities
Mutual funds
a
Total reinvested d ine Iota ct reinvested dvdends. It does not include any cash dtict rods. It is riot a to Unreafized(tar)gain or loss is the dfference between the current value and the cost basis and would
lot for the purposes of determining hold ng pencils o1 cost bases. The shares you receive each bite you general') be your taLatte gain of loss If the sect ty wassddcn the date. The unrealded Bad ganot loss
reinvest d udends become a separate tax lot may need to be adusted tor return of capita parr ems in order to determine the realized gain or las for tax
reporting purpose,.
Cost basis is the told purchase cost of the security. inducing reinvested ciudends. The cost basis may need
tote ad uSted for return of rapid payments in order to determne the aCtuSted COP bars for tar rep:wing inveamertilerVIA is the current value minus the amount y0uterreSte0 does not include shares that et not
purposes- reflected on mil statement, includng shares that haW been reader/as either a gin or a loss It also Mies
not include cash dvdends that were not reinvested
Purchase DM&
thrrber Average price Client Cost PrKe per snag Value on Unrealized (ISO intestment HMI n9
Hotting of shales pet Odle (d) inyeftentot fit basis (S) al Mar 31 (1) Mat 31 CP 93in or loss (1) return (5) period
CLEARBRIDGE
EQUITY INCOME FUND
CLASS I
Symbol. SOPYX
Trade date: Jun 26, 13 1,179.249 16.769 19,776.00 19,776 00 20.410 24,068.47 4,292.47 LT
Trade date: Jan 14, 14 296210 18.470 5,471.00 5.471.00 20.410 6,045 65 574.65 LT
Trade date: Ian 15, 14 283.181 16.549 5253.00 5253.00 20.410 5,779.72 526.72 LT
continued next page
SDNY GM 00021454
CHP7C003306576451 NP7003304051 00034 0315 070579004 Y173571550 107000 Page S of 14
CONFIDENTIAL
EFTA 00132074
EFTA01274281

SUBS
UBS Strategic Advisor Account name: GHISLA1NE MAXWELL Your Amends' Advisor,
Friendly account name: Indiv V49939406 SCOTT STACK MAMLYLE CASRIEL
March 2015 Account number. Y1 23571 55 212.821.7000/800.308.3140
Your assets . Equities . Mutual funds (continued)
Purchase price
Wittier Average vice Client Cost Price per sum value on unedited CNN imesunne noldng
of shares per share (f) instant (1) basil (1) an Mar 31 (1) Ma 31 (I) spin orlon (1) return (8 period
Trade date: Ian 16, 14 282.731 18.529 5239.00 5239.00 20.410 5,770.54 531.54 LT
Trade date: Jan 17, 14 298.430 18.469 5,512.00 5,512.00 20.410 6.090.96 578.96 LT
Total reinvested 47.254 19.672 929.61 20.410 964.45 34.84
(Al: $940 Current yield 1.93%
Security total 2.387.055 17.671 41251.00 42,180.61 48,719.79 6,539.18 7.468.79
COLUMBIA CONVERTIBLE
SECURITIES FUNDCLASS 2
Symbol: NCO(
Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 19.380 22232.29 1,709.29 LT
Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,942.00 19.380 16286.56 344.56 LT
Total reinvested 114.407 19122 2,187.72 19.380 2217.21 29.49
(Al: 41,078 Current yield: 2.65%
Scarily total 2,101.964 18.389 36,465.00 38,652.72 40,736.06 2,083.34 4271.06
HARBOR CONVERTIBLE
SECURITIES FUNDCLASS I
Symbol: HACSX
Trade date: Jan 29, 13 1,872.780 10.250 19,196.00 19,196.00 10.860 20338.39 1,142.39 LT
Trade date: Am 17, 13 960.534 10.489 10,076.00 10,076.00 10.860 10,431.40 355.40 LT
Total reinvested 183.797 10.609 1,949.91 10.860 1,995.04 46.13
(Al: 4679 Current yield 2.07%
Security total 3,017.111 10.348 29272.00 31221.91 32,765.82 1,543.92 3,493.83
JP MORGAN INTREPID
EUROPEAN INST
Symbol: JFEIX
Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 25.040 10,903.72 829.72 LT
Trade date: Aug 6. 13 439.831 23.286 10242.00 10242.00 25.040 11,013.37 771.37 LT
Total reinvested 33.043 24.353 804.71 25.040 827.10 22.69
(Al: 1812 Current yield 3.57%
Security total 908.326 23.252 20,316.00 21,120.71 22,744.48 1,623.78 2428.49
MATTHEWS ASIA DIVIDEND
FUND INSTL
contnued next page
CNP70003005576452 NP7000304051 00031 03 I5030575004 Y1235715501.3%ffiyw0002.1lese 6 01 14
CONFIDENTIAL
EFTA_00 132075
EFTA01274282

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Financial Advisor:
UBS friendly account name: Indiv.V49935006 SCOTT STACK MPN LYLE CASRIEL
March 2015 Account number. Y1 23571 55 212-821-7C00/ 800-308-3140
Your assets Equities . Mutual funds (continued)
Purchase Piker
taunter Average pice Client Cost Price per share Value on unedited (tad investment Noting
Wiling of shares per shaft (5) inveStrient (1) basis (S) an Mat 31 (1) Mar 31 (1) gain or loss (5) return (5) paled
Symbol MIPtX
Trade date: Ian 29, 13 2,156.431 14.781 31,876.33 31,876.33 16360 35,710.49 3,834.16 LT
Trade date: Feb 1, 13 481.951 15.001 7230.21 7,230.21 16.560 7,981.11 750.90 LT
Total reirneArd 56.241 16.007 90025 16.560 93135 31.10
EAI: $1,110 Current yield: 2.49%
Security total 2,694.623 14.847 39,106.54 40,006.79 44,622.95 4,616,16 5,516.41
SIT DIVIDEND GROWTH FUND
CLASS I
Symbol: SOVGX
Trade date: Ian 29, 13 2,333.831 15.400 35,941.00 35,941.00 17.550 40,95833 5,017.73 LT
Trade date: tun 11, 13 624.804 16.569 10,353.00 10,353.00 17.550 10,96531 612.31 LT
EAI: 4775 Current yield 1.49%
Security total 2,958.635 15.647 46,294.00 46294.00 51,924.04 5,630.04 5,630.04
TORTOiSE MAP & PIPELINE
FUND CLASS INSTL
Symbol: TORO(
Trade date: lan 29, 13 2296.774 13.248 30,429.04 30,429.04 16.340 37,529.28 7,100.24 7,100.24 LT
EAI: 4377 Current yield 1.00%
Total $243.133.5B $249,905.78 $279.042.47 7.29.136.66 $35,908.84
Total intimated annual income: $5,771
SONY GM 00021456
CHP70003005576453 Ne7000304051 00034 03i 5 030575001 Yi2357i S50100000 Page 7 of 14
CONFIDENTIAL
EFTA 00132076
EFTA01274283

UBS
* UBS Strategic Advisor Account name: GHISLA1NE MAXWELL Your 15 nanciai Advisor
Friendly account name: Iridiv V49939)06 SCOTT STACK MANLYLE CASRIEL
March 2015 Account number: Y1 23571 55 212-821.7000'800-308-3140
Your assets (continued)
Fixed income
Mutual funds
TOW rearrtned is use 101e1 d a reinveSteddadends n does nor include ally cash diadench. a is not a Unmated NO gain of loss is the dfference between the current vdue and the cost basis and woad
lac lot for the purposes of determinng Mating periods of cost bass. The shares you receive cub tint you generally be your taxable on cr loss if the security was sold on INS date. The owed/zed (lax) gan a loss may
remwsldwdends become a separate tax M. need lobe "lusted for return d captd paymenls in order to deteinvne the waked On or loss for lex
Cost base is the told purchase WO of the security. inducing reinvesteddo:fends The WA basis may reporting purposes
need to be aclusted for return cr (total payments in Order tOdelemlne the arlustedCOst blisd fOr lac lovestraE nt return is the current value anus the amount you invested. it does nd include shares that are not
reporting purposes. reflected eel your statement, inducing shares that hate been red iced se either a gain a a loss it also does not
include cash &Aden& that wore not reinvested
PurchaSe Price
NURber la Client Cost Price per share Value on unrealized0m) imeurnent Hddng
Hddng 01 shares Apvietil share Cs) Ma tStMe nt (I) basis(%) co Mar 31 (1) Mar 31 (5) gain Or loss (5) return Cs) Period
AVENUE CREDIT STRATEGIES
FUND CLASS INSTL
Symbol AC SE0(
Trade date: Nov 12. 13 910.736 11.270 10264.00 10764 00 10.680 9726.66 -537.34 LT
Trade date: Nov 18, 13 912.566 11.300 10312.00 10.312.00 10.680 9,746.20 -565.80 LT
Trade date: Nov 25, 13 911.661 11.319 10.320.00 10,320 00 10.680 9,736.54 •583.46 LT
Total reinvested 158.661 11.218 1779.89 10.680 1,694.50 .8539
EAI: $1,328 arrent yield: 4.30%
Security total 7893.624 11.292 30,856.00 32,675 89 30,903.90 -1,77199 7.90
BLACKRCCK HIGH YIELD
BOND I
Symbol. B14Y1X
Trade date: ran 29, 13 4,811.156 8.200 39,451.48 39451.48 7.940 38700.57 -1,250.91 LT
Trade date: Jun 27, 13 2,481.156 7.959 19,750.00 19,750.03 7.940 19,700.38 -49.62 LT
Total reinvested 582.475 8.147 4,745.59 7.940 4,624.85 -120.74
(Al: 13.520 Current yield. 5.63%
Security total 7,874.787 8.120 59301.48 63,947.07 62,525.80 it 421.27 3,324.32
COHEN & STEERS PREFERRED
SEC & INC FUND I
Symbol. CPXIX
Trade date. /an 29, 13 3.002 068 13.487 40490 57 40490 57 13.880 41,66870 1,178 13 LT
Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.880 10,279.87 361.47 LT
Trade date: Jun 14, 13 751.274 13.309 9,999.02 9,999.02 13.880 10,427.68 428.66 LT
continued next page
CHP7C009306576454 HP7000304051 03004 0315 030575004 7123 571 550 1004ftyGro 0002.itisge 8 of 14
CONFIDENTIAL
EFTA 00132077
EFTA01274284

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Plisandal Advisor:
UBS friendly account name: lndiv V49935006 SCOTT STACKMANLYLE CASRIEL
March 2015 Account number. VI 23571 55 212-821-700CV800-308-3140
assets Fixed income .
Your Mutual funds (caramel)
Purchase pike
Writes Average peke Client Cost Pnce per share value on UnrealizedRae imestment HOICIng
Heicing of shares per snare (I) investment (1) basis ($) al Mar 31 (1) Mr 3i (1) gain or toss (1) return (s) period
Total reinvested 300.442 13.612 4,089.70 13.880 4,170.13 80.43
EAI: 43,854 Current yield: 5.79%
Security total 4,794.409 13.453 60,407.99 64,497.69 66,546.39 2,048.69 6,138.39
DOUBLE LINE TOTAL RETURN
Pint) INSTL
Symbol: DBLTX
Trade date: Jan 29, 13 12,498.155 11.379 142229.00 142229.00 11.040 137,979.63 4249.37 LT
Total reinvested 634.927 10.976 6,969.28 11.040 7,009.59 40.31
EAI: 36.488 Current yield: 4.47%
Stettin total 13,133.082 11.360 142229.00 149,19828 144,989.22 4209.05 2.760.22
EATON VANCE FLOATING
RATE ADVANTAGE CL 1
Symbol: DFAX
Trade date: Jan 29, 13 7,524.150 11.180 84,120.00 84,120.00 10.920 82,163.71 -1,95629 LT
Total reinvested 390.086 11.016 4,297.53 10.920 4259.74 -37.79
EAI: 44,115 Current yield: 4.76%
Security total 7,914.236 11.172 84,120.00 88.417.53 86,423.45 -1994.08 2,303.45
HARBOR HIGH VELD 80 FD
INSTITUTIONAL Cl
Symbol: HYFAX
Trade date: Jan 29, 13 2.660.657 11.239 29,905.78 29,905.78 10.460 27,830.47 -2,075.31 LT
Total reinvested 236.567 10.537 2,49171 10.460 1474.49 -1822
EAl: $1,631 Current yield: 5.38%
Security total 2,897.224 11.183 29,905.78 32,398.49 30304.96 -2,093.53 399.18
MSC TOTAL RETURN
FUND CLASS I
Symbol: HTRIX
Trade date: Jan 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.320 39,820.41 115.76 115.76 LT
EAI: 4783 Current yield 197%
JPMORGAN UNCONSTRAINED
CEBT FUND CLASS SELECT
convnued nest page
SDNY GM 00021458
CNP70003005576455NP7000304051 00004 CO IS 030575004 Y123571550100000 Pogo 9 of 14
CONFIDENTIAL
EFTA_00 132078
EFTA01274285

SUBS
UBS Strategic Advisor Account name: GNISLAINE MAXWELL Your A nandal Advisor
Friendly account name: Indiv V49935006 SCOTT STACK MANILYLE CASRIEL
March 2015 Account number: Y1 23571 SS 212.821.7000/800308.3140
Your assets t Fixed income a Mutual hinds (Continued)
Purchase puce!
Hunter Average price Client Cost Price per share Value on UMt liind 044 investment Iialdng
Hddng of shares per share (f) investment ff) bairn) an Mar 31 (f) Mar 31 (5) gain orlon(() return(() period
Symbol: ISISX
Trade date: Jan 29, 13 4,784.864 10.260 49,092.71 49.092.71 10.140 42518.51 -574.20 LT
Total reinvested 195.127 10.179 1,986.33 10.140 1,978.59 -7.74
EAI: $2,026 Current yield: 4.01%
Security total 4,979.99% 10.257 49,092.71 51,079.04 50,497.10 .581.94 1,40439
METROPOLITAN WEST TOTAL
RETURN BOND FUND CLASS I
Symbol: MWR(
Trade date: Oct 24, 13 7,192.344 10.709 77.030.00 77,030.00 11.010 79,187.70 2,157.70 LT
Total reinvested 192.652 10.847 2,089.70 11.010 2,121.10 31.40
EAI: $1,765 Current yield: 2.17%
Security total 7384.996 10.714 77,030.00 79,119.70 81,308.80 2,189.10 4278.80
PIDGEWORTH SE1X FLOATING
RATEH1GH INCOME FUND
CLASS I
Symbol: SAMBX
Trade date: tan 29, 13 6,502.655 9.039 58,784.00 58,784.00 8860 57,613.52 -1,170.48 LT
Total reinvested 311.436 8.951 2,787.73 8.860 2,759.32 -28.41
EAI: $2,433 Current yield: 4.03%
Security total 6,814.091 9.036 58,784.00 61,571.73 60,372.84 -1,19889 1,588.84
T ROWE PRICE
INSTITUTIONAL FLOATING
RATE F CLASS
Symbol: PFFRX
Trade date: kin 29, 13 5,394.060 10.270 55,397.00 55,397.00 10.140 54,695.76 .701.24 LT
Total reinvested 228.273 10.176 2323.06 10.140 2314.69 -837
EAI: $2,378 Current yield 4 17%
Security total 5,622.333 10.266 55,397.00 57,720.06 57,010.45 -709.61 1,613.45
Total $686,768.61 $720,330.13 $710,703.32 .$9.62622 $23,934.71
Total estimated annual income: 530.321
CNP70003006576456NP7000304051 00004 0315 030575004 Y123571 SSO 1001MyGm00021Ing 10 of 14
CONFIDENTIAL
EFTA_00 132079
EFTA01274286

SUBS
UBS Strategic Advisor Amount name: GHISLA1NE MAXWELL Your N nandal Advisor:
Friendly amount name: Indiv V49939006 SCOTT STACK MANYLYLE CASRIEL
March 2015 Account number Y1 23571 55 212-821-7000/800-308-3140
assets (continued)
Your
Non-traditional
Mutual hinds
Tc.ta'ee eve;tel l".e a re a.eite‘l a," iend$ n dots not include any cash owcends. it IS roll a tat (mweiroeeinogeiner foss is the Ofference between the current wave and tie cost ben aid would
lot lot the purpOseS of deitimining hold rg pe Reds Or COSt DOS's. The Shares you receive t 84h rite you grinnerr. be your tale gain a loss if the set ulty was sold on IM date. The unreal/0 dagger n or loss
reinvest die/4inch become a separate tax lot. may need so be adetrsted for return of captal payments In order to &tenni,* the reazed gain or ices for tax
reporung purplises
Cost basis is the total purchase cost of the security. inducing ;env-rued ci adends The cost basis may need
tote agus1ed la return of Capital payments in 0(02110 Cettrrntne the aciuSted COST oasis for tar retorting lotestmera teturn is the current value minus the a-rount you incest& It does not include shares that ace not
purposes. tetlected on ycui statement. includng shares that haw been realized as either a gin a a loss. It also does
not include Cash d rig:lends that were not reinvested.
Purchase pricer
water Average Vote Client COSI Price Pet shae value on unregizeddai) investrnent Holding
Haring of shares pet share (S) investment (5) basisCS) al Mar 31 (9) May 3i (5) gam or loSS (3) return (S) Period
GATEWAY RIND CLASS Y
Symbol. GTEYX
Trade date: Jan 29, 13 1,089.208 27.580 30,040.36 30,040 36 29.790 32,447 90 2,407 14 LT
Total reinvested 21.388 29.442 629.72 29.790 637.75 743
EAI: 3493 Current yield 1 49%
Security total 10.596 27.616 30,040.36 30,670 08 33,084 65 2,414 57 3,044 29
Your total assets
Percentage ol Cost Estimated unreztrzed
value on Mac 31 (5) your account Onus (S) annual Italic gain or loss
Cash Cash and money balances 8,172.37 0.79% 8,172.37
Equities Mutual funds 279,042.42 27.07% 249,905.78 5,771.00 29,136.66
liked income Mutual funds 710,703.32 68.93% 720,330.13 30,321.00 -942622
Noa-traditional Mutual funds 33,084.65 3.21% 30,670.08 493.00 2414.57
Total $1,031,002.76 100.00% $1,009,078.36 $36,585.00 $21,924.41
Account activity this month
Date Actluty Descnol inn AMMO D
Dividend and interest income
Taxable dividends Mar 2 Dvidend METROPOUTAN WEST TOTAL RETURN BOND FUND CLASS I AS OF 02127115 103.17
continued next page
SDNY GM 00021460
CONFID C E elP703 N 07005 T 57645 I 7 N A P7003 L 30405 1 00034 0315 030575004 Y173571%0100300 ►aye 11 of 74
EFTA_00132080
EFTA01274287

UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your inanduI Advisor:
Friendly account name: Indiv V49935006 SCOTT STACK MAMLYLE CASRIEL
March 2015 Account number: Y1 23571 SS 212.821.70001800.308.3140
Account activity this month (contrived]
Drle Adlety Description Amoul (S)
Dividend end interestiecoine (continued)
Taxable dividends (continued) Mar 2 Dividend RIDGEWORTH SEIX FLOATING RATEH/GH INCOME FUND CLASS I AS OF 214.46
02127/15
Mar 2 Dividend DOUBLE UNE TOTAL RETURN FUND INSTL AS OF 02i27/ IS 428.42
Mar 2 Dividend COHEN & STEERS PREFERRED SEC & INC FUND I AS OF 02/27115 319.68
Mar 2 Dividend EATON VANCE FLOATING RATE ADVANTAGE C LIAS OF 0327115 310.19
Mar 2 Dividend T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS AS OF 02/27/15 186.01
Mar 2 Dividend BLACKROCK HIGH VELD BOND I AS OF 0327115 234.80
Mar 2 Dividend HSSC TOTAL RETURN FUND CLASS I 19.29
Mar 29 Dividend MATTHEWS ASIA DVIDEND FUND INSTL AS OF 03/1915 64.39
Mar 23 Dvidend COI-LOAM CONVERTIBLE SECT. ES FUND CLASS Z AS OF 03/20/15 292.20
Mar 31 Dividend GATEWAY FUND CLASSY 133.84
Mar31 Dividend HARBOR liGH YIELD BD EDINSTITUTIONAL CL AS OF 0380,1 S 391.99
Mar31 Dividend HARBOR CONVERTIBLE SECURITIES FUND CLASS I AS OF 03130,15 104.66
Mar 31 Dividend AVENUE CREDIT STRATEGIES FUND CLASS INSTL 295.48
Total taxable dividends $3098.58
Taxable interest Mar 6 Interest UBS BANK USA DEPOSIT ACCOUNT AS OF 01091S 0.28
Total taxable interest $0.28
Total dividend and interest income $3.09816
Investment transactions
For more infomulion rout the pricralue shown for rettn<teo ;ec unties, see important information about
your statement at the end of this docu-nent.
Proceeds Fran Funds
investment *Widmer, la Accrued
Date Acesib Descaption Quantity Vre Price di transactions ($) imeelments Ocucfit (S) karst (S)
Mar 2 Reinvestment METROPOUTAN WEST TOTAL RETURN BOND 9.396 -103.17
FUND CLASS I DIVIDEND REINVESTED AT 10.98
NAV ON 02127/15 AS OF 02/27715
Mar 2 Reinvestment RIDGEWORTH SEIX FLOATING RATEHIGH 24.178 •2I4.46
INCOME FUND CLASS I DVIDENDREINVESTED
AT 8.87 NAV ON 0327115 AS OF 02127/15
Mar 2 Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL 38.877 -428.42
DVIDEND REINVESTED AT 11.02 NAV ON
0327115 AS OF 02/27,15
continued next Page
CNP70X9006576458NP7000304051 00004 0315 030575001 V123571550109014yGht0 0021ffiliq 12 of 14
CONFIDENTIAL
EFTA_00132081
EFTA01274288

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your al sandal Advisor:
Friendly account name: Incliv V49935006 SCOTT STACKMANITLE CASNEL
March 2015 Account number. VI 23571 55 212-821-70001800-308-3140
Account activity this month (co.-anus)
Investment transactions (continued)
Proceeds Iron Funds
Investment vothdrawn 1p Accrued
Die ACtexty Desoloon 00.8114 Niue CS) Price CS) tramacticos CS) Intslrnents OCcIONI CS) 'merest CS)
Mar 2 Reinvestment COHEN & STEERS PREFERRED SEC & NC FUND I 23.132 -31968
DIVIDEND REINVESTED AT 13.82 NAV ON
02/27/IS AS OF 02/27/1S
Mar 2 Reinvestment EATON VANCE FLOATING RATE ADVANTAGE CL 28.406 -310.19
I DIVIDEND REINVESTED AT 10.92 NAV ON
0.827/ IS AS CF 02/27115
Mar 2 Reinvestment T ROWE PRKE INSTITUTIONAL FLOATING RATE F 18.362 -186.01
CLASS DIVIDEND RENVESTED AT 10.13 NAV ON
02/27/15 AS OF 02/27115
Mar 2 Reinvestment BLACK ROCK HIGH YIELD BOND I DIVIDEND 29.277 -234.80
REINVESTED AT 13.02 NAV ON 02127/ IS AS OF
02/27/IS
Mar 20 Rem vestment MATTHEWS ASIA DIVIDEND FUND INSTL 3.955 -64.39
DIVIDEND REINVESTED AT 16.28 NAV ON
03/1915 AS Of 03/ 19 15
Mar 23 Reinvestment COLUMBIA CONVERTSLE SECURITIES FUND '4.840 •292.20
CLASS Z DIVIDEND REINVESTED AT 19.69 NAV
ON 03/20'15 AS OF 0320'15
MN 31 Reinvestment GATEWAY FUND CLASS Y DIVIDEND 4.475 -133.84
REINVESTED AT 29.91 NAV ON 03/3015
Mar 31 Reinvestment HARBOR HIGH YIELD B0 FD INSTITUTIONAL CL 37.475 -391 99
DIVIDEND REINVESTED AT 10.46 NAV ON
0330115 AS OF 03130115
Mar 31 Reinvestment HARBOR CONVERTIBLE SECURITIES FUND CLASS 9.628 -104.66
I DIVIDEND REINVESTED AT 10.87 NAV ON
03/ 30fIS AS OF 0313015
Mar 31 Reinvestment AVENUE CREPT STRATEGIES FUND CLASS INSTL 27.693 -295.48
DIVIDEND REINVESTED AT 10.67 NAV ON
03/3015
Total -63,079.29
SONY GM 00021462
CNP700030065764S9NP70003040510000I COI 030575004 Y123571550100000 Page 13 of 10
CONFIDENTIAL
EFTA_00132082
EFTA01274289

UBS
(Plt UBS Strategic Advisor Account name: GNISLAINE MAXWELL Your I1a social Advisor
Friendly account name: lndiv VA993S006 SCOTT STACK MANLYLE CASRIEL
March 2015 Account number: VI 23571 SS 212.821.7000/100.306.3140
Account activity this month
contrived
Date Acthety Description Amount U)
Money balance activities Feb 27 tetanus Forward 1815220
Mar 3 Deposit UBS BANK USA DEPOSIT ACCOUNT 19.29
Mar 6 Deposit UBS BANK USA DEPOSIT ACCOUNT AS OF 03105/15 0.28
Mar 31 Closing UtS tank USA Dopodt Account 1817237
The u8S ma. USA Most Account Is your Omar/ sweep cpton
CW70009006576460 NPT000304051 00004 0315 0305750Cht VI 23571 SSO 10MtiyGht000214.8 14 of 14
End of statement for account number Y1 23571 55
CONFIDENTIAL
EFTA_00132083
EFTA01274290

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CONFIDENTIAL
EFTA _00132084
EFTA01274291

Important information about your statement (continued)
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coldrm 'resents the oei)na tamation annexe dUeSten. Ce when a one rand be highly fpnbtree atl recen ewers.* fang OnfienSation from debit cads are issued by USS Bak USA well mammon trom
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• Callan monies Bonds and prneed spd tat te - Wien tither an islue, general banner a sponsor away onyxes aniinesol The nonce coninen
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by lot tom anus al 'namesof that one békl in out po ~del Mew/nor the many via bennwent essen - Ott artistes also reeen trading communes ani o'er
name a n ~nee name for as chests Calfern ets probation° convention from annul fends aid inursco
Merman is can nedMom thrd pone aid its nay - 'Dinh:horn to duo' may Pekinrein of canal. rantties ~tow pot:bats we ditebule
6 rot gunned Ono Call leattatt may ton nun axon a both - Warangal nu» fee from USt$ talk uSA ant USS
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/ogres
• ~a of deposit (CDs) CDs are MC ~I up» . instilastid securities Resented snuffles generaly are
$293.0:0 in tenon and roved newer me depositor not awn inutile for pik tau VBS FNnki Services Aabity
and per ~nun ennui" n aotordanu with SDK uses die mater precool the unnesuktod mock ei he none lidomatian regardng comminen and other charges
nibs um( a an mutedsateeneh* retuned nor av nosed ri connection Mam the ~onion of tins nchdria
petyasys of cis sane re oap To the own dui option tra :scions has been ncialled ce anent:ions
• ptionakes tnpsdepytdta SKY.% and Other rest teed teasilit arc arable I« sale. the vale emend prevony Mod myou. aid nil be won:led to you
~at maybe firer ex biveer than to prix mal you may be substantirly Ins man de imputed van Moen Brompik On ~en
wouU tcrualk tense in the makes PCPS are obtaned
tom vii; es mid party sources Ouch we beltrel0 be • Est Inlinated) Steen arm% yields and ant An Own ailing
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naait or the bid axl ask poes Ice Ind seasons aid one yea from siaternent date« urn ninny This Pointy
oaten orenk bd pins lot OTC season estimate is only a guideline. aXuraq aid OXitnued
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vabatien mods Cc the nnse soit trice we canned - EstMated arnual none and caner raid for cerlan Regarding (*en a '90004ilariCeiled • OrderS that snere not
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show z 'once was not nibble' if we are salable to yeti) would be °yenned al ndinindlor punnets date wins mewed otheritive
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inn U S cullers are ref kind a the eithangerre as of the ninon amons
the Panne date - An Mine of innialin income Stains! ad« Tax witheeldhg en ~ono Inn 1.11$ Pinandal
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dewarematom pct and quality dace van) may hat balars e bated m O* laid demand or ranee Federal ra' taw return LEIS inalclal Sewers to ~hold
bom alpreda ladlealo propwvauton pawn, made by te min and nuns tie income tar from yes taxable IRA et/nineKm tut you may
To Obtain Oureall quOtaait Wien ratte. abroad yos seam indeposas veil be Nedra one ~Man th• oleo oat lobate iroaneixt wat eb or. instead. you nay
Pisani Ad oor statement date or witd ~urn Aoann and elect to have la vent*I a era. or violin anoint as
conned weld in not guaranteed you choose nut naon ira remah n Eifin until rholied
• /Maim leennantems and afraid prone's. Snow by you You mayrevoke your election a aha Ito by niakng
-morns martin Cnclidng direct prinpaion • Meet net held by WS Pinandeel Soma Conan anew eleann a you do rol haw ensign ncometa.
protean aid real estate er*Strnent Matt 54dalheg ad assen are not heli byte Pm ad not whin the Pitt wined from 'Our dattutiOnS. you maybe repOliSble
Strtxtured pea/Josstraw" hghly blad (elan p05.5e$S•Xl Or «nol Thew nets re dcwthed on your the payrnno of erred Ta You may not peones se the
struchrod auxins these nor town rettiortd wit the nainem for normannal manses onip Pothuis all anoints wined and ettiruted law pa/mitt strot
SeantS and Ext~CitenniStitn a under any state vain Presented re probed byte iswng lime LASS equal tO yet% tat obl4aticn
secretes laws We prowTeestmred vales for private Fnancia Sawn o not reponsble for this infoanrion
eminent secrets and shared prodius br area does net g.idraitee ty dowry mete assets je na Privacy
reforwinnalpuntes only Accurahro rot Suzahlsm5 prOleted by SEC et ten anws supplennul SP( To obtain a copy 01«r onent Clow Prinn entice pbxe
- Thew vines maydiffer subsite ally from MCI" if ay coverage unlace iss F natal Aden°, or vise our ?Aisne a:
al oh& actuate mestmero sectary« seructred yvAnv utCOMOneanaary
promo maybe Lour a we aid do not no «lady • arseenui diming and addkbnalcampeasatleet
repent, the vale you may wane upon hundaon - h additin lo onneissom on saki and 12b.1 fen U3Sfinrcial Sneezes is not aback The WA. Sinews
- Thrd prty enmaes of vain are as of a cenandae reined in tonneau" with the distrtubm of ~al Stat ACCOut BSA Yed IRMA at Lice «age lattitS
and re supplied to ten Inroad Sorvas on a rage ter finds toots dents we raar 0e$ *Mae reone rilet worn access to bat mg servers an pronto,
ban by an ndepentlent vabation gem reran fling papenu f run istubutors ardor trough marines with affiliated brat aid olie mad
- "sot Seenfral Panne( or Wow« eninnod vabet if ad ison of the mutual funds tat we sell new pallybat and provides atom to Mann aid aruty
an. all tripled to tie Sam by the mow general anoints are bred on two denim onporents 0 pinnaces isued by unite doted thni warty Moran,
partner or sp«u« and nay be Cabialed bated ai Bod mount of saksbyt65 of a partcularrutuil bad contain ehrougS nalno agency subsea-and utS
Gnash information from that used by then pan if to lamas to ow dots. ad Id tee ran van of a Feeds Saunas he
donee thew estimated vans pruner TINY fund landir sharer herd a Ow Ian
- You cas obtain »Om ni 'Monition regaling the - We aid en often no recent rencerng and irer~t. mount and amulry prOduCt$
rrehoingy used to drierite the enmate of wke «manprocessing lees n oresnenon lor master tin IVIC haired • NO bank 9.13(30100 May lose vain
and dn. dare of the Monaco tut Is Ow base fa ne agent weirs tot we droner s° the manual kinds
enema. by ones:tin your maids Anne thin fees seenerah re pad kern imenor net in the Poen ReStetehtala~ Anne. %Press Sawn
mutual find aid are a beed dolt< amati bawl on the Account BSA lIMA and ~manna Resource Managenwnt
SDNY_GM_00021465
CONFIDENTIAL
EFTA _00132085
EFTA01274292

U8S Financial Services Inc. UBS Strategic Advisor
*UBS 299 Park Avenue
25th Floor
New York NY 10171.0002 April 2015
CNe70057742970415 V1 0
GHiSLAiNE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065.7007
Account name: OHISLANE MAXWELL
Friendly account name: Indiv. V49935006
Account number. Y I 23571 SS
Your Unsocial Advisor-
SCOTT STACK MANILYLE CASRIEL
Phone: 212-821-70001800-308-3140
Questions about your statemest? Value of your account
Call your Financial Advisor or the
RMA Resourceline at am-Rim-1000, on March 31 (1) on April 30 (1)
account 029323571.
Your assets 1,031,002.76 I ,039,500.12
Visit our website: Your liabilities aoo aoo
vw.w.ubstomainancialservices
Value of your account 11,031,002.76 11,039,500.12
Sources of your account growth
Tracking the value of your account during 2015
Value of your account
Thc ufandS at year end 2014 41,011,812.53
Net deposits and
• (VI A 1 03' 0 10 ; 5 withdrawals -32,532.66
Your nvegineet return
Disidendarx1
interest income 410,007.18
Change in
market value 320213 07
Value of your account
on Apr 30. 2015 3%03%500.12
Dec 2014 Ma 2015 Apr 2015
SDNY GM 00021468
FA•mber SIPC CNP70004005774247 NP7000141488 00004 041S 030575001 Y123571550004000 Pag• 1 of 14
CONFIDENTIAL
EFTA_00 132086
EFTA01274293

UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your lq Randal Advisor.
Friendly account name:Ind:In/ V49939206 SCOTT STACK MANLYLE CASRIEL
April 2015 Account number: Y1 23571 55 212-821.7000/800.308.3140
Your account balance sheet
Summary of your assets
Value on Percentage of
Apnl 30 ($) your account
A Cash and money balances 7,030.97 0.68% Your current asset allocation • Cash and money balances may include
available cash balances. VEIS Bank LISA deposit
B Cash alternatives 0.00 000% account balances, VBS AG Stamford Branch
E A deposit account balances and money market
C Equities 284,395.05 27.36% mutual fund sweep balances See the important
information about your statement on the last
two pages of this statement for details about
those balances
E Non-traditional
Value of your account $1,039,500.12
Eye on the markets
Percentage change
Index April 2015 Year to date
SW 500 0.96% 1.92%
Russell 3000 0.45% 2.26%
MSC I - Europe, Australia & Far East 4.16% 9.37%
Barclays Capital U.S. Aggregate Bond Index -0.36% 1.24%
Interest rates on April 30, 2015
3-month Treasury bills: 0.01%
One-month LIBOR: 0.18%
CNP700030057742913NP70C01914138 C0004 0415 030579004 Y123571 SSO CC1M4Y_GM_00021Ree 2 of 14
CONFIDENTIAL
EFTA 00132087
EFTA01274294

UBS Strategic Advisor Account natty: GHISLAINE MAXWELL Your linandal Advisor:
*UBS friendly account narne:Indreve9950D6 SCOTT STACKMANLYLE CASRIEL
April 2015
Account number. YI 23571 55 212-821-7000800-308-3140
Change in the value of your account Summary of gains and losses
Vans reported below exclude products for which gam andiosses are not classified
April 2015 (14 Year to date (S)
Realized gains and losses Unrealized
Opening account value $1,031,002.76 $1,011,812.53
April 2015(5) year to date (I) gains and lasses (4)
Withcfrawals and fees,
including investments transferred Short term 0.00 0.00 207.96
cut -1,28522 -2,532.66 Long term 0.00 0.00 28,345.57
Dividend aid interest income 3,153.45 10,007.18
Total $0.00 $0.00 528,553.53
Change in market value 6,629.13 20,213.07
Closing account value $1,039,500.12 $1,039,500.12 Cash activity summary
Dividend and interest income earned See Account achwty the month tot dela Is. Bdances In your Sweep Options are IndwadIn the cpenng and
closing belariCtS vtlue. FDIC insurance applies only to deposits MMU DS Bank USA, not to deposits at UEIS AG,
Daraoa Ranch or bank deposits paced through the UBS Interneconif Deposit AMAMI! program WC
protection applies to may menet sweep fund holdings but net bare deposits. Steimportant ea:valeta
for purposes of ties statement, totality of inkiest and dividend Income has been determined tarn a US abaft your statement on the last two pars of this document for:trails2015 (1)
tar reporting perspective. Bawd upon the residence of the account holder, recount type, or product type,
some interest andor daend Payments may not be subject to United States (US) an/or Puerto ctico (FR) Ap Year to date (S)
Income tares. The (tent months; statement is not Intended to De used and cannot be Med upon for tat Opening balances $8,172.37 $9,359.42
purposes. Clients should refer to the applkide tag reporting forrns they receive Iran 185 annuity, such as
the forms 1099 and the faros 4130, fee la reporting informatron is Ulf Wake of US$ to file the Addkions
epplicatfe tar tenoning forms with the US Intend Revenue Service and PR Treasury Department, and in
such town accurately classify citsdends arcifre intent as tar exempt or tattle excme. Pleat consult your Dividend and interest income 3,153 45 10,007 18
Indwdual lax propane.
Total additions $3,153.45 $10,007.18
April 2015 (S) Year to date (S)
Subtrachons
Taxable dividends 3,153.20 8,220 01
Professional management fees and
Taxable interest 0.25 0.89 related services -1,285.22 -2,532.66
Total current year $3,153.45 $8,220.90 Funds withdrawn for investments
bought -3,039.63 -9,802.97
Prior year adjustment 0.00 1,786.28
Total subtractions 44,294.85 -$12,335.63
Total dividend & interest $3,153.45 $10,007.18
Net cash flow -$1,141.40 -$2,328.45
Closing balances $7,030.97 $7,030.97
SONY GM 00021468
Cirri:00700577429g NP700319I 488 00004 0415 030575004 Y123571%000000) Page 3 of 14
CONFIDENTIAL
EFTA_00132088
EFTA01274295

UBS UK Strategic Advisor Account name: GNI5LAINE MAXWELL Your Ignendal Advisor
Friendly account name:Indiv V49935006 SCOTT STACK MANLYLE CASRIEL
April 2015 Account number: Y1 23571 55 2124214000f BOO-308-3140
UBS Bank USA Deposit Account APY
Interest period Mar 6 - Apr 7
Opening UBS Bank USA Deposit balance Mar 6 $8,172.37
Closirg UBS Bank USA Deposit balance Apr 7 $8,191.91
Number of days in interest period 33
Average daily ba lance $8,175.88
Interest earned $0.25
Annual percentage yield earned 0.03%
Your investment objectives:
You have identified the following investment objectives for this accowit If you have questions
about these objectives, disagree with them, or wish to change them, please contact your
Fnancial Advisor or Branch Manager. You can find a ful description of the alternative
investment objectives in Important information about your statementat the end of this
document
Your return objective:
Current income & capital appreciation
Your risk profile:
Primary - Moderate
investment Nigb ity cons4eration None selected
Your account instructions
e - - account cost basis default closing method is FIFO, First In, First Out
CW70003005774300 Ne7000191480 00001 0415 030575004 Y123571550 COMIN_Oht0002Atee 4 of 14
CONFIDENTIAL
EFTA_00132089
EFTA01274296

T UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Pi 'sandal Advisor:
Friendly account name:loth,/ yegg3SCO8 SCOTT STACKMANYLYLE CASRIEL
April 2015 Account number. Y1 23571 55 212-821-7000/800-308-3140
Your assets
Sane pnces, income and current values shorn may be EpprOxervene. AS a leStell, gains didlOsses ma/ not
be accurately refleded. See Amapa intoneabon about your statement a the end of the dxumem fOr
more information.
Cash
Cash and money balances
Cash and money balances may include avalaale cash balances, UBS Bant USA depast account balances,
UBS AG Stanford Branch depoot account balances and money market mutual fund sweep balances.
UBS Bank USA deposit account balances are insured by the FCC vAl hn toll< able limits, but are not
protected by SIPC u8S AG Stanford Branchdeposit account balances are not Sowed Di FDIC and are not
protected by 9FC Money market sweep balances are protected by SEC but are not insured by the FDIC.
See the important information about your statement at the end of this document for del aih about those
blames.
operingbdance Cloong Wage en ce per share Average Ord.:knee Merest Days n
mddng on Apr 1 (t) on Apr 20(S) on Apr 30 (f) rate period period Cep atonal ft)
UB5 BANK USA CEP ACCT 8,172 37 7,030.97 250.00000
Equities
Mutual funds
Total renwested is the told ot a remvesteddedends. n does not include any cash &kends. It is not a to Unrealized (tar) gain or 1°15 is "le dfference between the current value and t to cost basis and would
lot for the purposes of determining h:rdrg periods or cost basis. The shares you receive ea h tore you general.; be your ratable gan ire loss Ott* sec wily was sold on ths date. The unreatzed044 goners loss
reinvest dedends become a separate tax lot. may need 13 be a3Strited for return of capita paynems in order to determine the reamed gain or Ices for tax
Cost basis is the total purchase cost of the security. inducing reinvested ciudends. The cost basis may need reporting purposes.
lobe ad uSted for return of capita payments in order 13 determine the aclusted cost bars lot tat f ec onn g Ineelmentreturn is the Current yak* minus the amount you imreSte0 does not MOW* shales Met at not
purposes- reflected on your statement inciudng shares the* hat been redltedas either a gin or a loss It also does
not include cash dvdends Thal were not reinvested
Purchase DM&
ofws ceser Ace:laic:teat> Client Cost PIK! per Shire Value on unrealized OM) uheoment Hold ng
wiring investment CS/ basis (S) cn Apt 30(3) Apr 30 (3) grin or loss (I) return (5) Genoa
CLEAR8R1DGE
EQUFTY INCOME FUND
CLASS I
Symbol SOPYX
Trade date: lain 26, 13 1,179.249 16.769 19,776.00 19,776.00 20.520 24,198.18 4,422.18 LT
Trade date: tan 14, 14 296210 18.470 5A71.00 5,47100 20.520 6,078.23 607.23 LT
Trade date: Mn 15, 14 283.181 18.549 5253.00 5253.00 20.520 5,810.87 557.87 LT
continued next page
SDNY GM 00021470
C NE7000305774301 NP7000‘91488 00004 0415 030575004 Y123571550000000 Page 5 of 14
CONFIDENTIAL
EFTA_00 I 32090
EFTA01274297

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your 14 sandal Advisor:
Friendly account name: 'nein. V49935006 SCOTT STACK MANL YLE CASRIEL
April 2015 Account number. Y1 23571 55 212-821400CE 800-308.3 140
Your assets . Equities . Mutual funds (continued)
Purchase plKe
Hunter Average price Client Cost Price per share Vallee Co Unedited Rae mestment Placing
Wiring or shots miller. (3) inivitifimt 0) bade (I) on Apr 30(3) Apr 30 0) gpin Or lOss (S) return 01 period
Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 20.520 5,801.64 562.64 LT
Trade date: Jan 17, 14 298.430 18.469 5,512.00 5512.00 20.520 6,123.78 611.78 LT
Total reinvested 55.429 19.781 1,096.46 20.520 1,137,40 40.94
EAI: 1829 Current yield 1.69%
Security total 2,395.230 17.680 41251.00 42,347.46 49,150.11 6,802.64 7,899.10
COLUMBIA CONVERTIBLE
SECURMESFUNDCLASS 2
Symbol: NCIAX
Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 19.560 22,438.78 1,915.78 LT
Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,942.00 19.560 16,437.83 49583 LT
Total reinvested 114.407 19.122 2,187.72 19.560 2237.80 50.08
EAI: 41,078 Current yield: 2.6"
Security total 2,101.964 18.389 36,465.00 38,652.72 41,114.41 2,461.69 4,649.41
HARBOR CONVERTIBLE
SECURMES FUND CLASS I
Symbol: HACSX
Trade date: Jan 29, 13 1,872.780 10.250 19,196.00 19,196.00 10.940 20,488.21 1,292.21 LT
Trade date: Am 17, 13 960.534 10.489 10,076.00 10,076.00 10.940 10,508.24 432.24 LT
Total reinvested 183.797 10.609 1,949.91 10.940 2,010.74 60.83
EAI: 4679 Current yield 2.06%
Security total 3,017.111 10.348 29272.00 31221.91 33,007.19 1,785.28 3,735.19
JP MDRGAN INTREPID
EUROPEAN INST
Symbol: JFEIX
Trade date: Aug 1, 13 435.452 23.134 10074.00 10,074.00 25.740 11208.53 1,134.53 LT
Trade date: Aug 6. 13 439.831 23.286 10242.00 10242.00 25.740 11,321.25 1,079.25 LT
Total reinvested 33.043 24.353 804.71 25.740 850.53 45.82
EAI: 1812 Current yield 3.47%
Security total 908.326 23.252 20,316.00 21,120.71 23380.31 2,259.60 3464.31
MATTHEWS ASIA DIVIDEND
FUND INSTL
continued nevi page
CNP70009005774302 NP7000191488 00004 0415 030579301 YI 2357ISSOCOESAy_G M 00021449e 6 of 14
CONFIDENTIAL
EFTA_00132091
EFTA01274298

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your PI sandal Advisor:
Friendly account name:Indiv V49935006 SCOTT STACK MANLYLE CASFOEL
*DUBS April 2015 Account number. Y1 23571 55 212-821-7800/800-308-3140
assets Equities .
Your Mutual funds (continued)
Purchase Owe/
ryusrbeesi ApvetrrasghLreitse Client cost Price per share value on unrealized (ta4 investment Holcing
wiling of ) investment CU basis ($) on Apr 30(1) Apr 30(1) gain orloss (0 return CD period
Symbol: WAX
Trade date: Jan 29, 13 2,156.431 14.781 31,876.33 31,876.33 17.390 37,500.33 5,624.00 LT
Trade date. Feb 1, 13 481.951 15.001 7230.21 7230.21 17.390 8,381.13 1,150.92 LT
Total reinvested 56.241 16.007 90025 17.390 978.03 77.78
EAI: 31,110 Current yield: 2.37%
Security total 2,694.623 14.847 39,106.54 40,006.79 46,859.49 6,852.70 7,752.95
SIT DIVIDEND GROWTH FUND
CLASS1
Symbol: 5DVGX
Trade date: Ian 29, 13 2,333.831 15.400 35,941.00 35,941.00 17.490 40,818.70 4,877.70 LT
Trade date: kin 11, 13 624.804 16.569 10,353.00 10,353.00 17.490 10,927.82 574.82 LT
EAI: $775 Current yield 1.50°A
Security total 2,958.635 15.647 46294.00 46294.00 51,746.52 5,452.52 5,452.52
TORTOISE MY & MILNE
FUND CLASS1NSTL
Symbol: TORtX
Trade date: /an 29, 13 2296,774 13.248 30.429.04 30.42904 17.040 39,137.02 8,707.98 8.707.98 LT
EAl 1377 Current yield 0.96%
Total 5243.133.50 $25007243 0204,395.05 134.322.41 $41.26147
Total estimated annual income: 55.660
SDNY GM 00021472
CNP70003005774303 NP706019I 493 00004 0415 030575004 YI2357I 550000000 Page 7 of 14
CONFIDENTIAL
EFTA_00132092
EFTA01274299

*UBS
UBS Strategic Advisor Account name: GHIStAINE MAXWELL Yournnancial Advisor
SCOTT
Friendly account namerindiv V49939C06 STACK MANLYLE CASRIEL
April 2015 Account number: Y1 23571 55 212-821.7030/800-308-3140
assets
Your (continued)
Fixed income
Mutual funds
Total reinvested is me 101a (X al rOnveSteddodends 00e% nol include airy cad' diadems n is not yoreellgtd add gain 01,05S rS the dfference between the current vane and the cost basis and wood
tag lot for the purposes of determinng hdang periods or cost IMPS the shares you receive each lime you generny be your thyme on a loss A the security was sold on INS date The unreal/Zed (tax) gars Cr loss may
reinvest el vdends become a separate tax M need to be *gusted for return ol capita payments in order to detertnne the ridged gran or Sass for Is
reboilingpurposes
Cost Imo is the rota purchase cost 01 the security, inducing ranveSted Wen& the cost basis may
need to be agusted Nu return CI cental payments in Drat tOdeterrnne the aluntocost 086.5 For tax rovestreent :eruct) is the current vdue anus the amount you invested. It does not Include shares that are not
reporting purposes. reflected a your statement, ind ming shares that hare been leaded so either a gam Cr a bin It also dares not
include Lath cam:ends that were not reinvested
FurchaSe DR&
otaaf Apveeriast rpentse) Cost Pose per share (osn) Ugnarienaolizreidosasag)
Belong stares investment basis(%) cat Apr 30 (1) Apr 30 In:elsuirno" CtS) Hldaedriendg
AVENUE CREDIT STRATEGIES
FUND CLASS INSTL
Symbol: AC SE0(
Trade date: Nov 12, 13 910.736 11.270 10264.00 10,264.00 10.810 9,845.05 -418.95 LT
Trade date: Nov 18, 13 912.566 11.300 10312.00 10312.00 10.810 9,864.84 -447.16 LT
Trade date: Nov 25, 13 911661 11.319 10320.00 10320 00 10.810 9,855.05 •464.95 LT
Total reinvested 158.661 11.218 1279.89 10.810 1215.13 .64.76
EAI: 41,328 Current yield: 4.25%
Security total 2,893.624 1 1.292 30,89600 32,675 89 31,280.07 -1,395.82 384.07
BLACKRCCK HIGH YIELD
BOND i
Symbol. BENIX
Trade date: fan 29, 13 4,811.156 8.200 39,451.48 39,451.48 8.010 38,537.36 -914.12 LT
Trade date: fun 27, 13 2,481.156 7.959 19,750.00 19,750.00 8010 19,874.06 124.06 LT
Total reinvested 616.360 8.135 5,014.64 8.010 4,937.04 -77.60
EN, 43.472 Current yield 5 48%
Security total 7,908.672 & 120 59,201.48 64,216.12 63,348.46 -&67.66 4,146.98
COHEN & STEERS PREFERRED
SEC & INC FUAO I
Symbol: CPX1X
Trade date. Jan 29, 13 3.002 068 13.487 40,490 57 40,490 57 13.850 41,578,64 1,088 07 LT
Trade date: Feb 6, 13 740.625 13.391 9,918.40 9918.40 13.850 10,257.66 339.26 LT
Trade date: Jun 14, 13 751.274 13.309 9,999.02 9,999.02 13.850 10,405.14 406.12 LT
contrived next page
CNP7C00)2305774304 NP7003191488 COON 0415 030575004 y123571 550C0cMCGM_0002111fle 8 of 14
CONFIDENTIAL
EFTA_00 132093
EFTA01274300

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Pinandel Advisor:
*UBS Friendly account name:lucky V49935006 SCOTT STACKMAt4LYLE CASRIEL
April 2015 Account number. VI 23571 55 212-821-7003,800-308-3140
assets Fixed income .
Your Mutual funds (contrived)
Purchase PIKE
Nurrbei Average pace Client CoSt Pnce per Owe value on wires:MORae investment Hddng
Hddng of owes per spare (t) investment (1) basis) on Ap 30(5) Apr a0(1) 93In or ioss ($) retton(s) period
Total reinvested 323.585 13.631 4,410.92 13.850 4,481.65 70.73
EAI: 43,873 Current yield. 580%
Salty total 4,817.552 13.455 60,407.99 64,818.91 66,723.09 1,904.113 6,315.10
DOUBLE LINE TOTAL RETURN
FUND INSTL
Symbol: DEILTX
Trade date: /an 29, 13 12,498.155 11.379 142229.00 142229.00 11.000 137,479.71 -4,749.29 LT
Total reinvested 680.970 10.960 7,477.59 11.000 7,490.67 13.08
EAI: 46,392 Current yield: 4.41%
Security total 13,179.125 11.359 142.229.00 149,706.59 144,970.37 -4,73621 2,741.38
EATON VANCE FLOATING
RATE ADVANTAGE CL I
Symbol: EIFAX
Trade date: /an 29, 13 7,524.150 11.180 84,12 0.00 84,120.00 10.980 82,615.17 -1,504.83 LT
Total reinvested 422.963 11.009 4,656.55 10.980 4,644.13 •12.42
EAI: 34,148 Current yield: 4.75%
Security total 7,947.113 11.171 84.120.00 88,776.55 87259.30 -1,517.25 3.139.30
HARBOR HIGH YIELD BD FD
INSTITUTIONAL Cl.
Symbol: HYFAX
Trade date: Jan 29, 13 2,660.657 11.239 29,905.78 29,905.78 10.590 28,176.35 •1,729.43 LT
Total reinvested 236.567 10.537 2,49171 10.590 2,505.24 12.53
EAI: 11,631 Current yield: 5.32%
Security total 2,897.224 11.183 29,905.78 32398.49 40,681.60 -1,71690 775.81
HSBC TOTAL RETURN
FUND CLASS I
Symbol: HTRIX
Trade date: /an 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.460 40,360.61 655.96 655.96 LT
EAI: 4783 Current yield 1.94%
JPMORGAN UNCONSTRAINED
DEBT FUNDCLASS SELECT
continued next page
SDNY GM 00021474
CNP70003005774305 NP7000191490 00004 0415 030575004 Y123571550000000 Frcig• 9 of 14
CONFIDENTIAL
EFTA_00 132094
EFTA01274301

SUBS
UBS Strategic Advisor Account name: GNISLAINE MAXWELL Your A nodal Advisor,
Friendly account name:1041v VA993S006 SCOTT STACK MANYLYLE CASR1EL
April 2015 Account number: YI 23571 55 212.82l-7000/800.308.3140
Your assets . Fixed income . Mutual funds (continued)
Purchase pined
/Unreel Average peke Client Cost Price per shot Value on Unrealized Rol Investment Holdng
HitIcing of sheen per sham (5) invettnmt (S) basil (S) co Apr 30(1) Apr 30 (5) gain or loss (S) retrain (5) period
Symbol: JSISX
Trade date: Ian 29, 13 4,784.864 10260 49,092.71 49,092.71 9.990 47,800.79 -1,291.92 LT
Total reinvested 278.791 10.125 2.822.97 9.990 2,785.12 -37.85
EAI: 42.653 Current yield: 5.24%
Security total 5,063.655 10.253 49,092.71 51,915.68 50,585.91 -1,329.77 1,493.20
METROPOUTAN WEST TOTAL
RETURN BOND FUND CLASS I
Symbol: MWTIX
Trade date: Oct 24, 13 7,192.344 10.709 77030.00 77030.00 10.970 78,900.01 1,870.01 LT
Total reinvested 202.042 10.854 2,193.08 10.970 2,216.40 23.32
EAI: 41.693 Current yield: 2.09%
Security total 7394.386 10.714 77,030.00 79.223.08 81,116.41 1,893.33 408641
R1DGEWORTH SOX FLOATING
RATEHIGH INCOME FUND
CLASS'
Symbol: SAMBX
Trade date: Ian 29, 13 6,502.655 9.039 58,784.00 58,784.00 8.910 57,938.65 -84535 LT
Total reinvested 338.631 8.943 3,028.68 8910 3,017.20 -11.48
EAI: $2,682 Current yield: 4.40%
Security total 6,841.286 9.035 58,784.00 61,812.68 60,955.85 45633 2,171.85
T ROWE PRICE
INSTITUTIONAL FLOATING
RATE F CLASS
Symbol: PFFRX
Trade date: Ian 29, 13 5,394.060 10.270 55397.00 55,397.00 10.190 54,965.46 -431.54 LT
Total reinvested 248.411 10.173 2,527.26 10.190 2.531.31 4.05
EAI: $2,398 Current yield 4 17%
Security total 5,642.471 10.266 55397.00 57,924/6 57,496.77 -427.49 2.099.77
Total 8686,76841 8723,17240 6714.77844 •48,39446 1,28.009.83
Total estimated annual income: 431,053
CNP70003005774306NP7000191488 00004 0415 030575004 7123571 550 OZiglykyGp,c0002149s 10 o1 14
CONFIDENTIAL
EFTA_00132095
EFTA01274302

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Elnand/I Advisor:
Friendly account name:Inch), v49935008 SCOTT STACKMANLYLE CASRIEL
sUBS April 2015 Account number. Y I 23571 55 212-821-7000/800-308-3140
assets
Your (continued)
Non-traditional
Mutual funds
ycta: .$ the iota cc c r, nseireo J/Jends ti does not indtide any 06dendS. If IS rat eta Unitalezed (MO gain or loss 6 the inference between the current value andtte cost ba55 and would
lot lot the purposes of determining tcEdrg peirOds Or cost DaSn. The shares yOu receive each lane you generaty be your I/0164e gain or loss if the sec wily was sdd co Its Ode. The unmet/et! (tag gan or loss
reinvest ayr:knot become a separate tax lot. may need so be adhisted for return of captal mments In order to determine the realized gain or ices for tax
reporting purposes.
Cost basis is the total purchase cost of the security. inducing reinvested ciaciencts Ire cost basis may need
to be adusted for retain C2014 pa)Ments in order b3 Ceternne Iht aluSte000St oats la lac reponn; investment return is the current value minus the amount you intested It does not include shares that alp not
purposes. reflected on your statement, inctudng shares that hate been realized as either a gin or a loss. It also does
not include cash dvdends that were not reinvested.
Purchase once'
hunter nulling. doCe Client Cost Price per share value on Unrealized (tau investment Hold ng
skidoo of shares pet share (S) investment (S) basis 01 as Apt 30(S) Apr 30 (1) gain or toss (SI return (1) period
GATEWAY FUND CLASS Y
Symbol. GTEYX
Trade date: Jan 29, 13 1,089.208 27.580 30,040.36 30,040.36 29.980 32,654.45 2,614 09 LT
Total reinvested 21.388 29.442 629.72 29.980 641.21 11.49
EAI: 3493 Current yield 1 48%
Security total 1,110.596 27.616 3040.36 30,670 08 33295 66 2,625 58 3,255 30
Your total assets
Percentage of Cost Estimated Untedind
Vdue on Av 30 (0 your account Daus CS) annual income 01 9SI "I or loss (0
Cash Cash and money balances 7,030.97 0.68% 7430.97
Equities Mutual funds 284395.05 27.36% 250472.63 5,660.00 34322.41
Kilted income Mutual funds 714,778.44 68.76% 723.17210 31.033.00 -8.394A6
Non-tracktional Mutual funds 33295.66 320% 30.670.08 493.00 2.625.58
$azzos.00
Total 51,039,500.12 100.00% $1,010,946.58 $28,553.53
Account activity this month
Use AtIluty Descrol on AnoLeat (I)
Dividend and interest income
Taxable dividends Apt I Dvdend METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I AS OF 03e3 tr IS 103.38
continued next page
SDNY GM 00021476
ChIPTOD03005774307NP7003101488 COCO% 0415 030575004 s/i73S7I $50000000 Page 11 of 14
CONFIDENTIAL
EFTA_00132096
EFTA01274303

*UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your A nendal Advisor:
Friendly account name: India V49935006 SCOTT STACK MANY LYLE CASRIEL
April 2015 Account number: YI 23571 SS 212.82 I .7000/ 800-308.3 140
Account activity this month
(Contrived)
Date *dints Descrption Amami (S)
Dividend and interestiecorra (continued)
Taxable dividends (continued) Aprl Dividend RIDGEWORTH SEIX FLOATING RATEHIGH INCOME FUND CLASS I AS OF 240.95
03/31/IS
Apt I Dividend DOUBLE UNE TOTAL RETURN FUND INSTL AS OF 093V 15 508.31
AprI Dividend COHEN & STEERS PREFERRED SEC & INC FUND IA S OF 03/31/15 321.23
Apr l Dividend EATON VANCE FLOATING RATE ADVANTAGE CL I AS OF 03131!15 359.02
AprI Dividend CLEARBRIDGE EQUIP INCOME FUND C LASS I AS OF 03131( 15 166.85
Aprl Dividend T ROWE PRKE INSTITUTIONAL FLOATING RATE F CLASS AS OF 03/31/15 204.20
Apr Cwdend BLACKROCK HIGH YELD BONDI AS OF 03f3 I/ 15 269.05
Apr I Dividend HS8C TOTAL RETURN FUND CLASS I 19.29
Apr 10 Dividend SIT DIVIDEND GROWTH FUNDCLASSI AS OF 0410915 124.28
Apr 29 Dividend WMORGAN UNCONSTRAINED DEBT FUND CLASS SELECT 836.64
Total taxable dividends 43.15320
Taxable interest Apr 8 Interest UBS BANK USA DEPOSIT ACCOUNT AS OF 04102115 0.25
Total taxable interest $0.25
Total dividend and Interest income 13.153,45
Date Actluty Desorption Amount (I)
fees Apr 23 Fee Charged QUARTERLY FEE -1,285.22
Total professional management fees 4128522
layestnent transactions
For more information trout the tyke value shown for restricted secuaties, see important intermarket oboe
your statement at the end of 016 0Xurient.
Proceeds Iran funds
investment withdrawn fa Accrued
Date Actiiity Description Otiantity Vitt* CS) Price CS) transactions CS) mwstmems bought (f) merest CS)
Apr I Reinvestment METROPOLITAN WEST TOTAL RETURN BOND 9.390 -103.38
FUND CLASS I DIVIDEND REINVESTED AT 11.01
MAYON 03/31/15 AS OF 03131115
Apr 1 Reinwstment RIDGEWORTH SEDC FLOATING RATEHIGH 27.195 -240.95
INCOME FUND CLASS I DIVIDENDRONVESTED
AT 8.86 NAV ON 031/15 AS OF 0931/15
Apr I Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL 46.043 -508.31
DIVIDEND REINVESTED AT 11.04 NAV ON
03131/IS AS OF 03/3I115
continued next page
CNP70003005774308 NP7000191488 00004 0415 03057500t Y12357I SSOCOMIpicomiy)02Fier 12 of 14
CONFIDENTIAL
EFFrk_00132097
EFTA01274304

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Mnandal Advisor:
Friendly account name: Incliv V49935006 SCOTT STACKMANLYLE CASRIEL
April 201E Account number: VI 23571 55 212-821-7CO0/ 800-308-3140
Account activity this month
(continued)
lavesbnent transactions (continued)
mcceeds from Funds
Inwstment wltrdraoolor Accrued
Date Kingly Desolption Denney vtlue CO erne (1) tiansactIons imennwnis boucle (0 imeres1 (1)
Apr I Reinvestment COHEN & STEERS PREFERRED SEC & NC FUND I 23.143 -321.23
(WIDEND REINVESTED AT 13.88 NAV ON
03731115 AS OF 0313 1715
Apr I Reinvestment EATON VANCE FLOATING RATE ADVANTAGE CL 32.877 -359.02
I DIVIDEND REINVESTED AT 10.92 NAV ON
03/31/IS AS OF 03/31115
Apr 1 Reinvestment CLEARBRCGE EQUITY INCOME FUND CLASS I 8.175 -166.85
DIVIDEND REINVESTED AT 20.41 NAV ON
03/31/15 AS OF 03/31115
Apr I Reinvestment T ROWE PRICE INSTITUTIONAL FLOATING RATE F 20.138 -204.20
CLASS DIVIDEND RENVESTED AT 10.14 NAV ON
03/31/15 AS OF 03/31115
Apr I Reinvestment 8LACKROCK HIGH MELD BOND I DIVIDEND 33.885 -269.05
REINVESTED AT 7.94 NAV ON 03131115 AS OF
03731/15
Apr 29 Reinvestment 1PM0RGAN UNCONSTRANED DEBT FUND 83.664 .836.64
CLASS SELECT DIVIDEND REINVESTED AT 10.00
NAV CN 04/28/15
Total -$3009.63
Date Activity Description Amount (1)
Moan balance activitios Mar 31 Balance Fomented $8,17237
Apr 2 Deposit UBS BANK USA DEPOSIT ACCOUNT 19.29
Apr 8 Deposit UBS BANK VSA DEPOSIT ACCOUNT AS OF 04/07115 0.25
Apr 13 Deposit UBS BANK USA DEPOSIT ACCOUNT 124.28
Apr 24 Withdrawal UB5 BANK USA DEPOSIT ACCOUNT AS OF 04/23/15 -1,285.22
Apr 30 Closing UBS Bank USA Deposit Account $7030.97
The UBS sank USA Prost Account IS your primary Swtep Colon
SONY GM 00021478
OO70603305774309Nr10001914 88 00004 0415 030575004 VI23571550000000 Page 13 of 14
CONFIDENTIAL
EFTA_00132098
EFTA01274305

tDUBS
Your notes
011, 000900571631 0 alin0G0191440 COON NIS 03057.11,235/155OCOMy_GitmAre 14 Of 19
End of statement for account number 1'1 23571 55
CONFIDENTIAL
EFTA_00132099
EFTA01274306

Important information about your statement
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achieves USSF irate' kryces and 10$ Bank USA ay
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the arm's rename offices at at to nits moat fees. ecounD ma/ be tbyea to registered wide the Semmes Act of 1933. and entered on the hmscoline notes webs.. It e a
man unance foes charges lee we payment far seurto customize:o •noname chosen by you to az6t you wth
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1200 Hater litculevad Accounts ma are tranletn?6 10 Olha risautons may be pre busmetal awned. &Who to commas and YOJ on baste you Frernda/ moan nays. °You?), Onto
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office saving your axoum c A u c s co ta u n nt e n l w lu i c th m a 9 h r I n t* a B nt a io t n S a w l e k e e p s o C w ra ce v e M n a s n c ag a e t, n b e a n l t a nces marrow nue bannsatoY or FIlnanso) D m o a e t s s n t o o t m nc o h t d e e t u a n n a d n a ce n d a s l e a tt s i s t e e t l s a n s o s t e h s el a d t b te y e te n F s e o rn f the
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1“1" , SenttalPartatcrSrcoafr ecarnied vain d »Wan of the nowat tunas tat we sell These paly balks ad prude; matt to Murata ad rotary
sly. aft Stgplied to the Frm by the now general anoints am based as two different arroments prOduCts iszed by untie dated ihni tarty romance
paver a sponsor and may be Cantlatel bated innate of saesbytSS ot a OMICULTrfuluil lurid contain through earisice agency funny es of ties
Okra* Natation Worn that uxd by tam/ panes to lamas to otr dens. end Id the met vae of a Fnanda Sesian tic
dente it... esanatn valor; paddy name Ind fang. short Mt a the lien
- You cal obtain additional Monaco legating the - We an as Ana* aft rettage reticent and loressmast. mance. »damn), products
witestology used to determine the ensue of vane ontlanprocesung lees n aersniaton for Virile rot IOC haired • No bank guarantees May lose vale
and the dace of the Cdonn.von 04 Is the boa fa the acorn rakes that we pioncie to the rratuai tunes
canna* by at-de:rho your Fraidal Adehor These lets tenant as pad tom imenor awn in the RsAA BerOutOt Maixordni nave Business Seno0F5
widual lad and to a tried dolt.' antri bawl on the Account SSA. iin4A and noemabonal Resoute Mthagerrent
SDNY_G M_0002 1481
CONFIDENTIAL
EFTA 00132101
EFTA01274308

U85 Financial Services Inc UBS Strategic Advisor
UBS 299 Park Avenue
25th Floor
New York NY 10171.0002 May 2015
CNP70056716090515 V1 0
GHISLAINE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065.7007
Account name: GHISLANE MAXWELL
Friendly account name: indiv.V49935006
Account number: _3571 SS
Your Financial Advisor:
SCOTT STACK MANILYLE CASRIEL
Phone. 2 12.821 -7003/800-308-3140
Questions about your statement? Value of your account
call yOa FirlanCig Advisor Or the
RMA nesourceUne at 80CFRMA-1000, on April 30 (1) on May 29 (1)
account 029323571
Your assets 1,039,500.12 1,041,843.69
aoo 0.00
1,4511o ur %/abaft': Your liabilities
swew.ubscomilinantialservices
Value of your account 11,039,500.12 11,041,843.69
Sources of your account growth
Tracking the value of your account during 2015
Value of your account
at year end 2014 41,011,812.53
1 Thousands
Net deposits and
1 011 8 1,039.5 1,0a1;.8 withdrawals -42,532.66
Your nwstrnent return
•
DiWdend and
interest income 512,120.54
Chane in
mirth value $20,443 28
Value of your =own
on May 29. 2015 31,041.84169
Dec 2014 Apr2015 May 2015
SDNY GM 00021482
Member IIPC 0.70001005671609NP7000191539 00004 0515 030575004 Y123571 850 000000 Page 1 of 14
CONFIDENTIAL
EFTA_00132102
EFTA01274309

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Nnond) Advisor
Friendly account name:Incby V49939206 SCOTT STACK MANLYLE CASRIEL
May 2015 Account number: Y1 23571 55 212421.7030/800-308-3140
Your account balance sheet
Summary of your assets
Value on Percentage of
May 29 (81 your account
A Cash and money balances 7,050.26 068% Your current asset allocation , Cash and money balances may include
available cash balances. VEIS Bank LISA deposit
B Cash alternatives 0.00 000% account balances, VBS AG Stamford Branch
F. A deposit account balances and money market
mutual fund sweep balances See the Important
information about your statement on the last
two pages of this statement for details about
those balances
Value of your account $1,041,843.69
Eye on the markets
Percentage change
Index May 2015 Year to date
S&P 500 1.29% 3.23%
Russell 3000 1.38% 3.68%
MSC I - Europe, Australia & Far East -0.40% 8.93%
Barclays Capital U.S. Aggregate Bond Index -0.24% 1.00%
Interest rates on May 29, 2015
3-month Treasury bills: 0.01%
One-month LIBOR: 0.18%
CNP 20009005.5716l 0 NP7000191539 03C04 0515030579004 Y123571SSOC°M1Y_GM_00021BW 2 of 14
CONFIDENTIAL
EFTA 00132103
EFTA01274310

SUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your financial Advisor:
Friendly account MariaIntim v49935006 SCOTT STACKMANYLYLE CASRIEL
May 2015 Account number. Y1 23571 55 212-821-7000f 800-308-3140
Change in the value of your account Summary of gains and losses
May 2015 (S) Year to date (5) Values 'tooled below exclude products rot which gam and losses are not dassified.
Realized gains and losses Unrealized
Opening account value $1,039,500.12 $1,011,812.53
May 2015 (5) Year to date (5) gains and bsses (5)
Withcfrawals and fees,
including investments transferred Short term 0.00 0.00 265.85
out 0.00 -2,532.66 Long terra GOO 0.00 28,517 93
Dividend and interest income 2,113.36 12,120.54
Total $0.00 $0.00 $28,783.78
Change in market value 230.21 20,443.28
Closing account value $1,041,843.69 $1,041,843.69 Cash activity summary
See Account actray the month tot desalt. &lances In your Sweep000os are indudedin the wenn; and
Dividend and interest income earned dosing balances taut FDIC insuance at:pies only to deposits e UBS Sank USA, nol to deposits at UBS AG.
worms wand', or bank deposits placed throuo the UBS Intetneliond Depart Account plogram SIPC
protection applies to nartry market sweep fund holdings but not bank deposits Sitaimportant innormation
For outposts of this statement, tactility of inkiest and dnldend income has been detennined iron a US about your statement co the last two pars CE this document for (malt
l s a o c m r e e i p n o te rt r i e n s g t p a e n rs d p o e r c t c iv le e ic . l B e a n s d e p d a u y p m o e n n t t s h e m r a e y s i n de o n t c b e e o s f u t b h je e c a t c t c o o U un n t i t h e o d l d S e ta r, t e a s c c (U o S u ) n t a t n y d p e e, r o P r u p e r r o to d u R c ic t o t a (F w R . ) May 2015 IS) Year to date (1)
income taps The ttent mons* statement is not intended to be used and camot be reseci upon for tar Opening balances $7,030.97 $9,359.42
purposes. Clients should tete r to the au:0ka:le lax reporting fom-a they teethe Iran L8Sannualy, such as
m the v a i c o a n de s t 1 a 0 r 9 t 9 e p a o n r d ti n t g h e fo P rm a s rr a w i 4 th 13 0 th . e fe U e S la m t r e e r i n xi i n R in e 9 ve i n n u h e u m Se a n t d io c n e a It n d is P t R h e T i F e Y a 8 s O u I r C y e C o o f e / U a B ilm S e to nt fi a le n d th in e Addkions
such forrrn accurately dasafy dmdends andier interest as lac exempt or tart* interne. Pleat consult you. Dividend and interest Income 2,113.36 12,120 54
Indwdual lax pregame.
Total additions $2,113.36 $12,120.54
may poi 501 Year to date (S)
Subtractions
Taxable dividends 2,113.36 10,333.37
Professional management fees and
Taxable interest 0.00 029 related services 0.00 -2,532.66
Total current year $2,113.36 $10,334.26 Funds withdrawn for investments
bought -2,094.07 -11,897.04
Prior year adjustment 0.00 1,786.28
Total subtractions -$2,094.07 -$14,429.70
Total dividend & interest $2,113.36 $12,120.54
Net cash flow 419.29 -$2,309.16
Closing balances $7,050.26 $7,050.26
SDNY GM 00021484
CUP7C003305671611 NV7003191539 00601 0515 0305'75004 Y123571SSO0000C0 Page 3 of 14
CONFIDENTIAL
EFTA_00132104
EFTA01274311

*UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Kneed. Advisor:
Friendly account nam•:Indiv V49939;06 SCOTT STACK MAMLYLE CASRIEL
May 2015 Account number: VI 23571 SS 212-821.7000,800-308-3140
UBS Bank USA Deposit Account APY
Interest Perla() Apr 8 - May 6
Opening UBS Bank USA Deposit balance Apr 8 $8,191.91
Closing UBS Bank USA Deposit balance May 6 $7,050.26
Number of days in interest period 29
Average daily balance $7,676.31
Interest earned $0. 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 you
Financial Advisor or Branch Manager. You can find a full description of the alternative
investment objectives in Important inbmation about your sratement a t the end of this
document.
Your return objective:
Current income &capital appreciation
Your risk profile:
unmary Moderate
In vestment consderahon e Selected
Your account instructions
• You account cost basis default closing method is FIFO, First In, First Out
01P7C000005671 61 2 N77003191539 C0034 0515 030575004 7123571 S50 CCift*IY_GM_0002-RAW 4 of 14
CONFIDENTIAL
EFTA 00132105
EFTA01274312

UBS Strategic Advisor Account norm: GHISLAINE MAXWELL Your ti nodal Advisor:
UBS friendly account name: Indiv W993%06 SCOTT STACKMAN/LYLE CASRIEL
May 2015 Account number. Y1 23571 55 212-821-7000/800-308-3140
Your assets
Some prices, income and current vaues Shown may be EpprOxInlate. AS a kick gains a-rCllOsses may rid
be accurately refkcled. see Amportant intosmabon about your statement a the end of ths dxurnem rot
ream infortnason.
Cash
Cash and money balances
Cash and money balances may include. avalade cash balances, UBS Bar* USA depout account balances,
UBS AG Stattord Branch depoat account balances and money market mutual fund sweep balances.
UBS Bank USA deposit account balances are insured by the WIC vAlhn applicable limits, but are not
potected by 9PC uBS AG Stanford Branch deposit account balances are not insured by f DIC and are not
protected by SIPC Money market sweep balances are protected by WC but ale not insured by the FDIC.
See the Important inforrnatkon about your statement at the end of this Oxurent for del aih about those
Sanas.
Openng Wax. Closing Warta Price per share Average Dnidend Interest Days in
Hddng on May I (S) on May 29 (S) on Met 29(S) rate period piked C/p mount (S)
U35 BANK USA CEP ACCT 7.030 97 7050.26 250.00000
Equities
Mutual funds
Total reinvested d me Iota of a reinvested dvxlends does not include any cash dact nds. tt is rat a to Unreakzed(ra4 9am or 1°15 is the eifference between the current value and t to cost bass aid would
lot for the purposes of determining hcking periods of cost basis. The shares you receive ea h tore you genera; be your hatable gan or loss If the secway was sold on the date. The unrealied (MO gan or loss
reinvest dudends become a separate tax lot. may need to be aleusted tor return of capita payrnems in order to determine the reamed gain or lots for tax
reporting purposes.
Cost basis is the Iota purchase cost of the security. indudng reinvested of udends The cost basis may need
tote ad usted for return el rapid payments in order to determine use adusted cost bans for tat reporting lndestmentretum is the Current value minus the WOW yOu IrrieSted It does not include shares that ay not
OUIPOStS reflected CO you, statement. includng shares that hat been realizedas either a gem or a loss It also does
not include cash dvdends that were nol reinvested.
Purchase PM&
Nurrbet Average pace Client COSI Price per Oat Value On UnreSiZeddar0 initdment Hddng
Hddng of shares per share(!) investment (I) basis) on May 29(1) May 29 (3) On or loss (I) return CS) period
CLEAR8RIDGE DIVIDEND
STRATEGY RACCLASS I
Symbol: SOPYX
Trade date: Jun 26, 13 1,179.249 16.769 19,776.00 19,776.00 20.560 24245.35 4,469.35 LT
Trade date: /an 14, 14 296.210 18.470 5,471.00 5.47 t .00 20.560 6.090.C6 619.08 LT
Trade date: fan 15, 14 283.181 18.549 5253.00 5253.00 20.560 5,822.20 569.20 LT
Trade date: /an 16, 14 282.731 18.529 5239.00 5,239.00 20.560 5,812.95 573.95 LT
continued next page
SONY GM 00021486
CHP7C003005671613NP3303191539 00001 OSIS 0305790CM Y12357ISS0000000 Page S of 14
CONFIDENTIAL
EFTA_00132106
EFTA01274313

UBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Ignandd Advisor,
Friendly account name: Indiv V49935OO6 SCOTT STACK MANYLYLE CASRIEL
May 2015 Account number. YI 23571 SS 212.821.700O800-308.3140
assets Equities .
YOLif Mutual funds (continued)
Purchase pocei
Number Averaw peke Client Cost Price per shoe value on unedited Rae imestmem Holding
licking of shares per share (S) investment CS) bask (S) on My 29(S) Mey 29 (I) gain orlon (S) return (I) period
Trade date. Ian 17, 14 298.430 18469 5,512.00 5,512.00 20.560 6.135.72 623.72 LT
Total reinvested 55.429 19.781 1,096.46 20.560 1,139.62 43.16
EAI: 4829 Current yield 3.68%
Sectrity total 2395.230 17.680 41251.OO 42947.46 49245.92 6,89846 7,994.92
COLUMBIA CONVERTIBLE
SECURMES FUNDCLASSZ
Symbol: NCIAX
Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 19.980 22,920.60 2,397.60 LT
Trade date: Feb 19, 14 840.380 18.569 15,942.00 15,942.00 19.993 16,790.79 848.79 LT
Total reinvested 114.407 19.122 2,187.72 19.980 2,285.85 98.13
EAI: 31,078 Current yield: 2.57%
Security total 2.101.964 18.389 36,465.00 38,652.72 41,997.24 3,344.52 5,532.24
HARBOR CONVERTIBLE
SECURITIES FUNDCLASS I
Symbol: HACSX
Trade date: /an 29, 13 1,872.780 10.250 19,196.00 19,196.00 11.100 20,787.86 1,591.86 LT
Trade date: llun 17, 13 960.534 10.489 10,076.00 10,076.00 11.100 10,661.93 58593 LT
Total reinvested 183.797 10.609 1,949.91 11.100 2,040.15 90.24
EAI: 4679 Current yield 2.03%
Security total 3,017.111 10.348 29272.00 31221.91 33,489.93 2,268.03 4217.94
JP MORGAN INTREPID
EUROPEAN INST
Symbol: JFElX
Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 26.010 11326.10 1,252.10 LT
Trade date: Aug 6, 33 439.831 23.286 1O242.OO 1O242.OO 26.010 11,440.00 1,198.00 LT
Total reinvested 33.043 24.353 804.71 26.010 859.45 54.74
EAI: 1812 Current yield 3.44%
Security total 908.326 23.252 20,316.00 21,120.71 23,625.55 2,504.84 3,309.55
MATTHEWS ASIA DIVIDEND
FUND INSTL
Symbol: MIPIX
contonued nevi page
CNP7OOO4OO5.6716i 4 NP7OOO191539 00004 0515 030575001 YI 23571550 COMFILIY_GM_00021409. 6 of 14
CONFIDENTIAL
EFTA_00 I 32 I 07
EFTA01274314

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Finandal Advisor:
*UBS Friendly account narne:Indiv V49935006 SCOTT STACKMANLYLE CASRIEL
May 2015 Account number. Y1 23571 55 212-1321-7606V800-308-3140
Your assets Equities .
Mutual funds (continued)
Purchase owe
Number Average price client Cost Price per share value on trareallzed (tad investment Holing
Hddng of shares per share (0 investment (1) basis (f) on may 290/ May 29 (1) gain or loss (1) return 01 period
Trade date: Mn 29, 13 2,156.431 14.781 31,876.33 31,87633 17.400 37,521.90 5,64657 LT
Trade date: Feb 1, 13 481.951 15.001 7230.21 7230.21 17.400 8.385.95 1,155.74 LT
Total reinvested 56.241 16.007 900.25 17.400 978.59 78.34
(Al: $1,110 Current yield: 2.37%
Security Iotal 2,694.623 14.847 39,106 54 40,006.79 46,886.44 6,879.65 7,779.90
SIT DIVIDEND GROWTH FUND
CLASS I
Symbol: SOVGX
Trade date: /an 29, 13 2333.831 15.400 35,941.00 35,941.00 17.840 41,635.54 5,694.54 LT
Trade date: Jun 11, 13 624.804 16.569 10353.00 10,353.00 17.840 11,146.50 793.50 LT
EAI: $728 Current yield 1.38%
Security total 2.958.635 15.647 46294.00 46294.00 52.782.04 6,488.04 6488.04
TORTOISE MLP & PIPEWE
FUND CLASS INSTL
Symbol: TOW
Trade date: Mn 29, 13 2296.774 13.248 30,429.04 30,429.04 16.300 37,437.41 7,00637 7,608.37 LT
EM: $533 Current yield 1 42%
Total $243,133.58 $250,072.63 $285464.53 0315.391.91 $42,330.95
Total estimated annual income: 55.769
SDNY GM 00021488
CNP700093056716IS NPT000191539 00004 C515030575004 Y123571 550 000000 Page 7 of 10
CONFIDENTIAL
EFTA_D01321D8
EFTA01274315

*UBS UBS Strategic Advisor Account name: GH1SLAINE MAXWELL Your 15 nancial Advisor.
Friendly account name:Indiv V49939036 SCOTT STACK MOILYLE CASRIEL
May 201 Account number: Y1 23571 55 212-821-7030800 308 3140
assets (continued)
Your
Fixed income
Mutual funds
TOW (travailed IS the 10Id d a reinvested dvidends does not include any cash chtdendt is Mt a Unmake:I 040940 of loss is the dfference between the current stave and the cost basis and would
tea lot for the purposes of deierminng herding periods or cost bans. The shares you receive each tint you deneray be sour Ratable on or loss 4 the security was sold on date. The unreebted Oax) ion a loss may
reinvest cl legends become a separate tax bl. need to te adusted for return of captd payments in order to dation ne the teamed ga n or loss I or lax
Cost DM is the told purchase cost of the security. indudng renveStedcludendS The cost basis may reporting purposes
need to be Ouster:ITO( return d Ciatal payments in order to delerrnne the adusttOCOst oasis fOr tax lovestraent :eruct) is the current vaue anus the amount you invested It does not include shares that are not
reporting purposes. reflected on sour statement, indudng shares that have teen !bleed a either a gain a a loss. It ,so does not
include cash dticknds that were not reinvested
Purchase Once
Number AVelag. rime Client Cost Pnce per share Value on unrealized0m) inYe rnent
Hcldng of stores per shale (3) mveStroenl fi) basis(S) on mai 29 (1) May 29 (-1) gaingainor toss 01 retsuulrrnn CS) ill CaSICZI
AVENUE CREDIT STRATEGIES
FUND CLASS INS%
Symbol. AC S8X
Trade date: Nov 12, 13 910736 11.270 10264.00 10,264 03 -lasso 9,908.80 -355.20 LT
Trade date: Nov 18, 13 912366 11.300 10,312.03 10,312.00 10.880 9,928.72 -383.28 LT
Trade date: Nov 25, 13 911.661 11.319 10320.00 10320.00 10.880 91972168.8237 -401.13 LT
Total reinvested 158,661 11.218 1,779.89 10.880 -53.66
EAI: 51,270 Current yield: 4.03%
Security total 2,893.624 11.292 30,8%.00 32,675 89 31,482.62 .1,193.27 586.62
BLACKRCCK HIGH YIELD
BOND I
Symbol. OHM
Trade date: San 29, 13 4,811.1% 8.200 39,451.48 39,451.48 8010 38,537.35 -914.13 LT
Trade date: Jun 27,13 2,481.1% 7.959 19,750.00 19,750.00 8010 19,874.06 124.06 LT
Total reinvested 650.002 8.129 5284.11 &010 5206.52 -77.59
EAI: 43.479 Curent yield. 5 47%
Security total 7,942.314 8.119 59,201.48 64,485.59 63,617.93 -867.66 4,416.45
COHEN & STEERS PREFERRED
SEC & INC FUND t
Symbol. CPX1X
Trade date: /an 29, 13 3.002 068 13.487 40,490 57 40.49) 57 13.770 41,338.48 847.91 LT
Trade date: Feb 6, 13 740.625 13.391 9,918.40 9918.40 13.770 10,198.41 280.01 LT
Trade date: Jun 14,13 751.274 13.309 9,999.02 9,999.02 13.770 10,345.04 346.02 LT
<yolk's/adnext page
CNP70305005671616 Ne7000191539 C0034 0515 030579304 Y123571550 COtbigyGM00021489. 8 of 14
CONFIDENTIAL
EFTA (10132109
EFTA01274316

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Mnandd Advisor:
Friendly account name:Inchv V49935006 SCOTT STACKMANLYLE CASRIEL
May 2015 Account number. Y I 23571 55 212-821-70XV800-308-3140
Your assets v Fixed income Mutual funds (continued)
Purchase Pro
Number Average price Client Cost Pore per snare value on Unrealized Rad Investment Hating
Hddng of stores per share ft/ investment (1) Oasis (11 on May 29 (9) Meg 29 (5) grin or loss (I) return (5) period
Total reinvested 346.890 13.646 4,733.69 13.770 4,7 76.68 42.99
EAI: 43,892 anent yield: 584%
Security total 4,840.857 13.457 60,407.99 65,141 68 66,658.60 1,51693 6250.62
DOUBLE LINE TOTAL RETURN
FUND INSTL
Symbol: DI3LTX
Trade date: Jan 29, 13 12,498.155 11.379 142229.00 142229.00 10.980 137229.74 -4,99926 LT
Total reinvested 725.564 10.961 7,968.12 10.980 7,966.69 -1.43
EAI: $6,347 Current yield: 4.37%
Security total 13223.719 11.358 14222900 150,197.12 145,196.43 -5,00049 2.967.43
EATON VANCE FLOATING
RATE ADVANTAGE CL I
Symbol: EIFAX
Trade date: Jan 29, 13 7,524.150 11.180 84,120.00 84,120.00 10.940 82314.19 -1,8058I LT
Total reinvested 454.101 11.007 4,998.45 10.940 4,967.86 -30.59
EAI: 94,180 Current yield: 4.79%
Security total 7.978.251 11.170 84,120.00 89,118.45 87282.06 -1,83640 3.162.05
HARBOR HIGH YIELD 80 FD
INSTITUTIONAL CL
Symbol: livTAX
Trade date: Jan 29, 13 2,660.657 11.239 29.905.78 29,905.78 10.610 28229.57 -1,67621 LT
Total reinvested 236.567 10.537 2,49171 10.610 2,509.98 17.27
(Al: $1,631 Current yield: 5.31%
Stagily total 2,897.224 11.183 29,905.78 32398.49 30,739.54 -1,65694 833.77
HSBC TOTAL RETURN
FUND CLASS I
Symbol: I4TRlX
Trade date, Jan 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.490 40,476.36 771.71 771.71 LT
EAI: $783 Current yield 193%
1PMORGAN UNCONSTRAINED
DEBT FUND CLASS SELECT
continued nest page
SDNY GM 00021490
CNP7C0010056716I 7 NP7000191539 CgC04 0515 030575004 Y123571550 000000 Paga 9 of 14
CONFIDENTIAL
EFTA 00132110
EFTA01274317

*DUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your 15 sandal Advisor,
Friendly account name: Indiv V4993S006 SCOTT STACK MANY LYLE CASIVEL
may
201 5 Account number: Y1 23571 55 212-821-7000/1300-308.3140
Your assets . Fixed income . Mutual funds (continued)
Purchase pace'
Hunter Mem? price Client Cost Price per flute Value on unrealized Rap irnestrnene Hddng
Hddng of shuts pet sham (I) invotetront (S) bask (1) on May 29(1) Ma/ 29 (I) coin aria's (S) *Win (S) pniod
Symbol..1SISX
Trade date: /an 29, 13 4,784.864 10260 49,092.71 49,092.71 9.950 47,60939 -1,483.32 LT
Total reinvested 290.981 10.119 2,944.50 9.950 2,895.26 .49.24
EAI: $2,690 Current yield: 5.33%
Security total 5,075.845 10.252 49,092.71 52,037.21 50,504.65 -1,532.56 1,411.94
METROPOUTAN WEST TOTAL
RETURN BOND FUND CLASS I
Symbol: MWTIX
Trade date: Oct 24, 13 7,192.344 10.709 77,030.00 77,030.00 10.930 78,61231 1,582.31 LT
Total reinvested 212.554 10.860 2,308.40 10930 2,323.22 14.82
EAI: 11.636 Current yield: 2.02%
Security total 7A04.898 10.714 77,030.00 79338.40 80,935.53 1,597.13 3,905.53
RIDGEWORTH SEIX FLOATING
RATEFIGH INCOME FUND
CLASS I
Symbol: SAMBX
Trade date: lan 29, 13 6,502.655 9.039 58,784.00 58,784.00 8.910 57,938.65 -84535 LT
Total reinvested 364.897 8.941 3,262.71 6 910 3,251.23 •11.48
EAI: $2,712 Current yield: 4.43%
Security total 6,867.552 9.035 58)84.00 62,046.71 61,189.88 •856,83 2,405.88
T ROWE PRICE
INSTITUTIONAL FLOATING
RATE F CLASS
Symbol: PFFRX
Trade date: /an 29, 13 5,354.060 10.270 55,397.00 55,397.00 10.180 54,911.53 -485.47 LT
Total reinvested 267.892 10.174 2,725.77 10.1a) 2.727,14 1.37
EAI: $2,406 Current yield: 4.17%
Security total 5,661.952 10.266 55,397.00 58,122.77 57,638.67 -484.10 2241.67
Total 6686.768.61 6725.266.96 6715.72227 .49.544.68 128.95346
Total estimated annual income: 131,026
CNP7000B00S671618 N87000191539 00004 GM 5 030575001 Y123571150 COrgeiiyGm00027tere 10 of 14
CONFIDENTIAL
EFTA_001321I I
EFTA01274318

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Nnandal Advisor:
Friendly account name:tor:by ve9935(x)6 SCOTT STACKMANLYLE CASRIEL
May 2015 Account number. Y1 23571 55 212-821-70001800-308-3140
Your assets (continued)
Non-traditional
Mutual funds
is re fseftel '21.3 c7 a re fe,Ohl non ft goes net include any IVA der:Rhos. R IS rota lac unteakzed (tag gain or is the inherence between the current Oise andtte cost bans and would
lot to the purpaseS of determining notcln? cenals or co 0056. The shares you receive each lime you generally be your tenable gun or loss if the security was sold on thus date. The unreal-Jed (tag gan or loss
fenvesi declenct become a separate tax tit. may need so be asI)trsted for return of capita pas nems In ceder to determine the reaped gain or as for tax
reporting purposes.
Cost haus is the told purchase cost of the security. Inducing reinvested cs Wends Ire cost basis may need
tote adusted la return Cl Cepild payments in order to determine Int aciustedCOSt WS'S lOr tar reponn9 Investment return is the current value minus the a-rount you invested. It does not include shares that a'a not
purposes. reflected co your statement, includng shares that hart been realized as either a gin a a loss. It also does
not include Calh dvdends that were not reinvested
Purchase
Wei
Minter Average p3Ce Client COSI PrKe per Share value on unrealized(ten) iniestrnent Molting
Hddng of shares per share (S) investment basis (S) on May 29 (1) May 29 (S) gain or loss CS) return (S) period
GATEWAY FOND CLASS Y
Symbol. GTEYX
Trade date: Jan 29, 13 1,089.208 27.580 30,040.36 30,040.36 30.260 32,959.43 2,919.07 LT
Total reinvested 21.388 29.442 629.72 30.260 647.20 17.48
EAI: 3493 Current yield 1 47%
Security total 1.110.5% 27.616 30,040.36 30,670 08 33506 63 2,936 55 3,566 27
Your total assets
Percentage el Coit Estimated Unrealized
rat on May 29(5) your xcounl basis (SI annual inccrre (SI gain or loss CO
Cash Cash and money balances 7,050.26 0.68% 7,050.26
Equities Mutual funds 295,464.53 27.40% 250,072.63 5,769.00 35391.91
ruced income Mutual funds 715,72227 03.69% 725,266.96 31,026.00 -9,544.68
Non-traditional Mutual funds 33406.63 3.23% 30,670.08 493.00 2,936.55
Total $1,041,843.69 100.00% $1,013,059.93 $37288.00 $28,783.78
Account activity this month
Oaf Mihaly Descnot ion Amount (S)
Dividend and interest income
Taxable dividends May I Dvdend METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I AS OF 0434715 115.32
continued next page
SONY GM 00021492
CONFID C E HP7C0 N 090055 T 7161 9 I NAP7003L19I 53 9 00031 OSI 03057%04 Y12357I 550000000 Pegs 11 of 14
EFTA 00132112
EFTA01274319

*UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Pi nandal Advisor:
Friendly account name:Indiv V49935;06 SCOTT STACK MANLYLE CASRIEL
UBS2015
May Account number: Y1 23571 55 212.821.7000800.308.3140
Account activity this month
«valved
Gate Acton), Description Amount (S)
Dividend and interestiscorra (continued)
Taxable dividends (continued) May 1 Dividend RIDGEWORTH SEIX FLOATING RATEHIGH INCOME FUNDCLASS I AS Of 234.03
04/3015
May I Dvdend DOUBLE UNE TOTAL RETURN FUND INSTL AS OF 04/ 3015 490.53
May I Dividend COHEN & STEERS PREFERRED SEC & INC FUND IAS OF 04130/15 322.78
May I Dvdend EATON VANCE FLOATING RATE ADVANTAGE CL I AS OF 04/30/15 341.90
May I Dividend T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS AS OF 04!30/ I5 198.51
May I Dvdond BLACK ROCK HIGH YIELD BOND I AS OF 04/3015 269.47
May I Dividend HS8C TOTAL RETURN FUND CLASS I 19.29
May 28 Dividend 1PMORGAN UNCONSTRAINED DEBT FUND CLASS SELECT 121.53
Total taxable dividends 52,11336
Total dividend and interest income $2,11336
Investment transactions
rot mate I ntomutIon about the piste wine shown for restricted secunttes, tee monomers: information about
your statement M the end of the document
Proceeds fran Funds
insesunent withdrawn la Accrued
Ose Acting Description Quantity vitt (S) Pnce (3) r romancers. (s) invesiments bought (1) Metes' (I)
May 1 Reinvestment METROPOLITAN WEST TOTAL RETURN BOND 10.512 01532
FUND CLASS I DIVIDEND REINVESTED AT 10.97
NAV ON 04/30l5 AS OF 0413015
May I Reinvestment RIDGEWORTH SED( FLOATING RATEHIGH 26.266 -234.O3
INCOME FUND CLASS I DIVIDEND REINVESTED
AT 891 NAV ON ON30,15 AS OF 04/3CI I 5
may I Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL 44.594 -490.53
DIVIDEND REINVESTED AT 11.00 NAV ON
04/3015 AS OF 0130/ IS
May I Remvestment COHEN & STEERS PREFERRED SEC & INC FUND I 23.305 -322.78
DIVIDEND REINVESTED AT 13.85 NAV ON
0413015 AS OF 04(30 IS
May I Reinvestment EATON VANCE FLOATING RATE ADVANTAGE CL 31.138 -341.90
I DIVIDEND REINVESTED AT 10.98 NAV ON
043015 AS OF 04(30/ IS
May 1 Reinvestment T ROWE PRICE INSTITUTIONAL FLOATING RATE F 19.481 -198.51
CLASS DIVIDEND RENVESTED AT 10 19 NAV ON
013015 AS OF 0413015
continued next page
CW70080305671620 W7000191539 00004 0515 030575004 T123571550 coegiNwGht 000211492 12 of 14
CONFIDENTIAL
EFTA 00132113
EFTA01274320

SUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your /I sandal Advisor:
Friendly account name: Indiv v49935038 SCOTT STACKMANILYLE CASRIEL
May 2015 Account number. Y1 23571 55 212-821-70001800-308-3140
Account activity this month (continued
Investment transactions (continued)
Proceeds from Funds
investment viethdracen let Accrued
Date *Only Descipbon i.)6antity vat* (S) Price O) crentaiieds inveslmentS Deur (S) Nnerest
May I Reinvestment SLACKROCK HIGH YIELD BOND I DIVIDEND 33.642 -269 47
REINVESTED AT 801 NAV ON 04130 15 AS OF
04/3(115
May 28 Reamestment 1EMORGAN UNCONSTRAINED DEBT FUND 12.19O -121.53
CLASS SELECT DIVIDEND REINVESTED AT 9.97
NAV CN 05127/IS
Total -$2,094.07
Date AaMty Descroticd Amount a)
Money balance activities Apr 30 galena forward $7,030.97
May 4 Deposit UBS BANK USA DEPOSIT ACCOUNT 19.29
May 29 Closing UBS Bank USA Deposit Account 17.05026
The UBS Bank USA Decovi Account Is your primary sweep coign
SDNY GM 00021494
CONFID O E rP70:0 N 93056 T 71621 I N A P7003 L 19153 9 00034 0515 030575004 Y173571550000300 Page 13 of 14
EFTA 00132114
EFTA01274321

*UBS
Your notes
CNP700C00056716 22 N77060191539 00004 0515 030575004 Y12 3 571 550 00apiyGht00021f4as 14 of 14
End of statement for account number 1•1 23571 55
CONFIDENTIAL
EFTA 00132115
EFTA01274322

Important information about your statement
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SDNY_GM_0002 1496
CONFIDENTIAL
EFTA _00132116
EFTA01274323

Important information about your statement (Continued)
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SDNY_GM_00021497
CONFIDENTIAL
EFTA _00132117
EFTA01274324

U85 Financial Services tic UBS Strategic Advisor
UBS 299 Park Avenue
25th Floor
New York NY 10171.0002 June 2015
CNP70055663330615 X12356 Y1 0
GHISLAINE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065.7007
Account name•. GHISLANE MAXWELL
Friendly account name: indiv.V49935006
Account number: _3571 SS
Your financial Advisor:
SCOTT STACKMANLYCE CASRIEL
Phone 212.821.70001800.30&3140
Questions about your statement? Value of your account
Call poi/ Finan:ra Advisor or the
RMA Resourceline at 8OO-RMA-1000, On May 29 (1) On lune 30 (1)
account 029723571
Your assets 1,041,843.69 1,029,823.15
Visltour webslte: Your liabilities 0.00 0.00
vwfw.ubscornainancialservices
Value of your account $1,041,843.69 31,029,823.15
Sources of your *conk growth
Tracking the value of your account during 4015
Value of your account
at year end 2014 41,011,812.53
1 Thousands
Net deposits and
1011 8 1,041.8 1,0298 withdraw* -42,532.66
• Your nveStrIleilt retunt
•
Dividend and
interest income 11182153
Change m
markot value 42,92115
Value of your &cane
onion 30, 2015 $1,029.823.15
Dec 2014 May 2015 Jun 2015
SDNY GM 00021498
**mbar SIPC CNP70302005556333 NP700030421800001 C615 030575004 Y123571550111011 Pogo 1 of 14
CONFIDENTIAL
EFTA_00 I 3.2 I 18
EFTA01274325

UBS UBS Strategic Advisor Account name: GHISLAINE MAXWEU. Your Bimodal Advisor
Friendly account name:Incliv V49939X6 SCOTT STACK MANLYLE CASRIEL
lune 2015 Account number: Y1 23571 55 212-821.7030/800-308-3140
Your account balance sheet
Summary of your assets
Value on Percentage of
lune 30 (51 your account
A Cash and money balances 7,403.66 072% Your current asset allocation . Cash and money balances may include
available cash balances. VB5 Bank LISA deposit
B Cash alternatives 0.00 000% account balances, VBS AG Stamford Branch
IC A deposit account balances and money market
C Equities 278,463.79 27 04% mutual fund sweep balances See the Important
information about yaw statement on the last
two pages of this statement for details about
those balances
E Non-traditional
11,029,823.15 100.00%
Value of your account S1,029,823.15
Eye on the markets
Percentage change
Index rune 2015 Year to date
S&P 500 -1.94% 1.23%
Russell 3000 -1.67% 1.94%
MSC I - Europe, Australia & Far East -2.80% 5.88%
Barclays Capital U.S. Aggregate Bond Index -1.09% -0.10%
Interest rates on June 30, 2015
3-month Treasury bills: 0 02%
One-month LIBOR: 0.19%
CNP7000006566334 NP70C03042 IS 00004 c615 030575004 Y12357I SS0 II Wg.teGitoomilitse 2 of 14
CONFIDENTIAL
EFTA 00132119
EFTA01274326

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your financial Advisor:
Friendly account name:Indiv V4'3535806 SCOTT STACK MANLY LE CASRIEL
UBS Account number. Y1 23571 55 212-821-7000'800-308-3140
Change in the value of your account Summary of gains and losses
June2015(S) Year to date (1) vielues reported telcw exclude products for which gam and losses are not classified
Realized gains and losses Unrealized
Opening account value $1,041,843.69 $1,011,812.53
lune 2015 (i.) Year to date (8) gains and losses (S)
Withckawals and fees,
including investments transferred Short term 0.00 0.00 -276.52
out 0 00 -2,532.66 Long terrn 0.00 0.00 I 1,5 38.75
Dividend aid interest income 5,500.99 17,621.53
Total $0.00 $0.00 $11,262.23
Change in market value -17,521.53 2,92 1.75
Cash activity summary
Closing account value $1,029,823.15 $1,029,823.15
See Account activity the month tot detals. &lances In your Sweep Options are InduCedin the coenng and
Dividend and interest income earned
closing bd.311CtS value. FDIC insurance arvies only to deposits at u8S Bank USA, not to deposits at UBS AG,
Siarriced Branch or bards deposits parrotmemo the UBS Interne...0rue Deposit Account mourn sit<
protection applies to money market sweep fold holdings but not bank deposits See important inbrmarion
for purposes of thls statement, total:day of interest and chldend income has been determined from a US abhor your statement on the last my pages Cl this document for detals
t s a o r m r e e i p n o te rt r i e n s g t p a e n rs i p o e r c t c iv lh e c . f B en a d re p d a u y p m o e n n t t s h e m r a e y s i n d o en t c b e e o s f u t b h je e c a t c t c o o U un n t i t h e o d l d s e ta r, te a s c c (U o S un ) t a t n yp o e o , o P r u p e r r o to d u R c ic t o ty (P p 1 e L , ) lune 2015 IS/ war to date IS)
income tares inn (lent months) statement is not intended to be used and cannot be reaed upon for tar Opening balances $7,050.26 $9,359.42
purposes. Clients should refer to the at:Oxide tax reporting forms they receive Iran 035 annuity, such as
d th o e N i f c o a rm de s t 1 a 0 r 9 r 9 e p a o n r d ti n t g h e fo P rm eo s n v s A 4 th 8 0 th , e fo U r S t a M r te te r 0 n 0 i 1 R M e 9 ve i n n u fo e r m Se a r t v io ic n e . a II n d is P t R h e T r p e r a a s c u t r ic y e D o e f p a 1. r 1 t B m 5 e t n o t , fi a le n d tn in e Addkions
suchlown accurately clarity cludends arca or interest es lax exempt or lamb* income. Please consult your Dividend a-id interest income 5,500 99 17,621 53
indvidual tar propane.
Total additions $5,500.99 $17,621.53
lune 2015(5) Year to date (S)
Subtractions
Taxable dividends 4,7 39.36 15,072.73
Professional management fees and
Long-term capital gains 761 6 3 761 63 related services 0.00 -2,532.66
Taxable interest 0.00 0.89 Funds withdrawn for investments
bought -5,147.59 -17,044.63
Total current year $5,500.99 $15,835.25
Total subtractions -$5,147.59 -$19,577.29
Prior year adjustment 0.00 1,786.28
Net cash flow 5353.40 -$1,955.76
Total dividend & interest $5,500.99 $17,621.53
Closing balances $7,403.66 $7,403.66
SONY GM 00021500
CelP7C008305566335NP7003304218 00004 C6I5 030575004 Y123571550111011 Page 3 of 14
CONFIDENTIAL
EFTA_00132120
EFTA01274327

UBS UBS Strategic Advisor Account name: GHIRAINE MAXWELL Your financial Advisor.
Friendly account name:lndiv V49939:106 SC077 STACK MANLYLE CA5RIEL
ire 2015 Account number: Y1 23571 55 212-821.7000/800-308-3140
UBS Bank USA Deposit Account APY
interest period May 7 -Jun 4
Opening UBS Bank USA Deposit balance May 7 $7,050.26
Closing UBS Bank USA Deposit balance lun 4 $7,403.66
Number of days in interest period 29
Average daily balance $7,086.82
Interest earned $0. 00
Annual percentage yield earned 0.00%
Your investment objectives:
You have identified the fdlowing investment objectives for this account If you have questions
about these objectives, disagree with them, or with to change them, please contact you
Financial Advisor or Branch Manager. You Can find a full description of the alternative
investment objectives in important information about your sratement at the end of this
document
Your return objective:
Current income &capital appreciation
Your risk profile:
Primary Moderate
In vestment dig cOnSderatron None selected
Your account instructions
fa. It closing method iS FIFO, First In, First Out.
CHP7C00)2306566336NF70C0304218 00004 PSIS 030575004 Y123571550 11 LUNY_Gpo_0002.itoge 4 of '4
CONFIDENTIAL
EFTA_00132121
EFTA01274328

sUBS UBS Strategic Advisor Account name: GHISLAINE MAXVVEU. Your linandal Advisor:
friendly account name:Indry V49935006 SCOTT STACKMANLYLE CASRIEL
June 2015 Account number. Y1 23571 55 212-821-70001800-308-3140
Your assets
Some OnCes, income and current vaues ShOtin May teapproarVile. AS a rests. gam and losses May 001
be accurately reflected. See Aportant infosenabon about your statement a the end of the dtcumeM for
more intone on.
Cash
Cash and money balances
Cash and manly balances mat include avalaile cash balances, UBS Bant USA deposit account balances,
UBS AG Stanford Branch spout account balances and money market mutual fund sweep balances.
UBS Bank USA deposit account balances are insured by the FDIC vAl to n applicable limits, but are not
protected by OPC MS AG Stanford Branchdeposit account balances an not insured by FDIC and re not
protected by Srit Money market sweep balances are protected by SEC but age nee insured by the FDIC.
See the important information about your statement at the end of this docurent for details about those
balances.
Openng Wan( e Cloung belance Price per sham Average OnIcknel Interest Oars
ticking on Jun 1(1.) on tun 30 (S) on Tun 30 (1) rate period period cap arowil (1)
UBS BANK USA CEP ACCT 7,05026 7,403.66 250.00000
Equities
Mutual funds
Total renwested is the !rata dal renvesledthedench ll does rot include ay cash clinc*rods. It is rat a ta Unrealized (WO WO orbs is the dfference between the current value and t he cost ban and would
lot for the purposes of determining hold ng periods or cost bane The shares you receive ezh tore you ge neva.; be your taratte gan ci loss if the sec Ltity was sold cn ths date. The unreatzed dad dance loss
reinvest dudendS become a separate tax lot. May need IC be Added for return capta reinentS In Oder 10 determine the rested gain or loss for tax
reporting purposes
Cost bases is the total purchase cost of the security. indudng reinvesteddo:lends The cost basis may need
to be ad uSted for return of caprtS payments rn Order to detennne the adusted cost ban la ta< reporting Investment town is the Current value ere nuS the amount yOu l needed does not include ShaleS that at not
PIT1COStS reflected on your statement, includng shares that have been realizedas either a seen or a loss It also does
not include cash dvdends that were not reinvested
eurchaSe OrKel
Minter Average price Client COSI Price Der Oat Value on Unre$12ed dere inieStment Hdd ng
Hdring of shares per share (I) investment d) basis (S) on Jun 30 (5) Jun 30 (5) On Ot TOTS (I) return (5) period
CLEARBR1DGE DIVIDEND
STRATEGY RileCLASS I
Symbol: SOPYX
Trade date: Jun 26, 13 1,179249 16.769 19,776.00 19,776.00 19.840 23396.30 3,620.30 LT
Trade date: Yen 14, 14 296.210 18.470 5,471.00 5.471.00 19.840 5.876.81 405.81 LT
Trade date: Ian 15, 14 283.181 18.549 5253.00 5253.00 19.840 5.618.31 365.31 LT
Trade date: /an 16, 14 282.731 18.529 5239.00 5239.00 19.840 5,609.38 370.38 LT
continued next page
SDNY GM 00021502
C HP70003005566337 NV7003304218 00004 C615 030575004 Y17357I SSO 111011 Pass S of 14
CONFIDENTIAL
32122
EFTA_ OBI
EFTA01274329

*UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Hounds/ Advisor:
Friendly account name: Indiv V49935006 SCOTT STACK MANL YLE CASRIEL
lune 2015 Account number. Y1 23571 SS 212.821.7000'800'308.3140
Your assets Equities . Mutual funds (continued)
Purchase puce
Number Aveiro? peke Client Cost Price per that Value on unrerelzed Ra0 Investment Hddng
Hcl dm) of Own potshot. (1) inmammt 01 omit (1) on Jun 30(1) Ain 30 (5) coin or ion (5) Mum (5) period
Trade date: /an 17, 14 298A30 18.469 5,512.00 5,512.00 19.840 5,920.85 40885 LT
Total reinvested 55.429 19.781 1,096.46 19.840 1.099.71 325
EAI: 1879 Current yield 1.85%
Sect-411y total 2395.230 17.680 41251.00 42347.46 47,521.36 5,173.90 6270.36
COLUMBIA CONVERTIBLE
SECURITIES FUNDCLASSZ
Symbol: NCI&X
Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 18.890 21,670.17 1,147.17 LT
Trade date: Feb 19, 14 840.380 18.969 15,942.00 15.942.00 18.890 15,87437 -67.23 LT
Total reinvested 173.913 19.224 3,343.32 18.890 3285.22 -58.10
EAI: $1,173 Current yield: 2.87%
Security total 2.161.470 18.417 36,465.00 39,808.32 40,830.16 1,021.84 4365.16
HARBOR CONVERTIBLE
SECURITIES FUNDCLASS I
Symbol: HACSX
Trade date: Ian 29, 13 1,872.780 10.250 19,196.00 19,196.00 10.930 20,469,48 1,273.48 LT
Trade date: kin 17, 13 960.534 10.489 10076.00 10,076.00 10.930 10,498.64 422.64 LT
Total reinvested 192.959 10.622 2,049.78 10.930 2,109.04 59.26
EAI: 4684 Current yield 2.07%
Security total 3,026.273 10.350 29272.00 31,321.78 33,077.16 1,755.38 3,805.16
JP MORGAN INTREPID
EUROPEAN INST
Symbol: OEM
Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 25.580 11,138.86 1,064.86 LT
Trade date: Aug 6, 13 439.831 23.286 10242.00 10242.00 25.580 11250.87 1,008.87 LT
Total reinvested 33.043 24.353 804.71 2ssa:. 845.24 40.53
EAI: 1812 Current yield 3.49%
Security total 908.326 23.252 20,316.00 21,120.71 23234.97 2,114.26 2,918.97
MATTHEWS ASIA DIVIDEND
FUND INSTL
Symbol: MIRO(
continued next page
CNP70003006566338 NP70003042 I 8 00004 COI 03057500t VI 23571550 I I WeiswGht00021ter 6 of 14
CONFIDENTIAL
EFTA 00132123
EFTA01274330

UBS Strategic Advisor Account name: Gell5LAINE MAXWELL Your Plaandal Advisor:
UBS Friendly account name: Indiv V49935006 SCOTT STACKMANLYLE CASNEL
June 201 5 Account number. VI 23571 55 212-821-7000/ 800-308-3140
Your assets Equities .
Mutual funds (continued)
Purchase Piker'
Number Average price Client Cost Me per share Value on Unrealized Rae irnestment Holcing
ircldng of shafts per share() investment (1) basis (S) on Jun 30(5) km xi (1) gain or loss (5) return (5) period
Trade date: /an 29, 13 2,156.431 14.781 31,876.33 31,876.33 16.990 36,637.76 4,761.43 LT
Trade date: Feb 1, 13 481.951 15.001 7230.21 7230.21 16.990 8,188.35 958 14 LT
Total reinvested 35.781 16.379 1,405.09 16.990 1,457.42 52.33
EAl: $1,051 Current yield: 2.27%
Security total 2,724.163 14.871 39,186.54 40,511.63 46283.52 5,771.90 7,176.99
SIT DMDEND GROWTH FUND
CLASS I
Symbol: SOVGX
Trade date: Ian 29, 13 2333.831 15.400 35,941.00 35,941.00 17.400 40,608.65 4,667.65 LT
Trade date: Jun 11, 13 624.804 16.569 10353.00 10353.00 17.400 10,871.59 51859 LT
EAl: $728 Current yield 1.41%
Security total 2,958.63$ 15.647 46294.00 46294.00 51A80.24 5,186.24 5,186.24
TORTOISE MLP & PIPELNE
FUND CLASS thaSTI.
Symbol: TOM
Trade date: Jan 29, 13 2296.774 13.248 30,429.04 30,429.04 15.690 36,036.38 5,607.34 5,607.34 LT
EN: $533 Current yield. 1 48%
Total $243,133.58 $251,832.94 $275,463.79 626,630.56 63633021
Total estimated annual income: $5.860
SDNY GM 00021604
CNP700C6005556339NP7000304218 00004 0615 030575004 Y123571550111011 Page 7 of 10
CONFIDENTIAL
EFTA_00132124
EFTA01274331

*UBS
UBS Strategic Advisor Account name: GHISLA1NE MAXWELL Your 16 noncial Advisor
Friendly account name:Indiv V49939306 SCOTT STACK MAMLYLE CASRIEL
lure 201 5 Account number: Y1 23571 55 212-821.7030/800-308-3140
Your assets (continued)
Fixed income
Mutual funds
Total remYtited 4 the told of at renvegeddadends n does not include any cash due:ends 4 is not a gawked fraggaie of loss is the dfference between the current vaue and the cost basis and woad
tea lot for the purposes of determin n9 herring periods or cost bads. the shares you receive each tirre you generdy be your taxable on or loss lithe security was sold °nibs date. The urveelited Bade gen a loss may
reinvest dudends become a separate tax lot. need to be &dusted for return or captd payments in order to detettnne the !edited On or loss for Is
Cost basis is the told pitched! cost of the security, inducing '<invested of *Sends Ire cost basis may reporting outposts
nett to be aclusted for return ce aqua payments in order to detennne the attendcost bass for tar Investment serum is the current vaue anus the amount you invested it does not include shares that are not
reporting purposes. reflected or )ott statement, inducing shares that nage been !tarred 44 either a gain oe a lose it Sso does not
include cash deckndt that wee not reinvested
Purchase DSO
Number Average price Chem Cost Price per shme Value on unreamed dm) tmeurnent racing
Hddng of shaves per shale (s) investment (I) basis (5) on Jun 30 (1) tun 30 (S) gain or loss (s) return CO 17e007
AVENUE CREDIT STRATEGIES
FUND CLASS INSTL
Symbol. AC SEP
Trade date: Nov 12.13 910.736 11.270 10264.00 10,264 00 10.620 9,672.01 -591 99 LT
Trade date: Nov 18, 13 912.566 11.300 10.312.00 10.31200 10.620 9,691.45 -620.55 LT
Trade date: Nov 25, 13 911 661 11.319 10320.00 10,320.00 10.620 9,681.84 -638 16 LT
Total reinvested 200.594 11.093 2,225.22 10.620 2,130.31 .94.91
EAI: 11,386 Anent yield: 4.45%
Security total 2935 557 11.283 30,896.00 33,12122 31,175 61 -1,945.61 279.61
61ACIACCK HIGH YIELD
BOND I
Symbol. BEIM
Trade date: fan 29, 13 4,811.156 8.200 39,451.48 39,451.48 7.860 37,815.69 -1,635.79 LT
Trade date: Jun 27, 13 2,481 156 7.959 19,750.00 19,750 00 7.860 19,501 89 .248.11 LT
Total reinvested 685.089 8.123 5,565.16 7.860 5,38.4.80 -180.36
EN: 13.486 Ctrrent yield. 5.56%
Security total 7,977.401 8.119 59,201.48 64,766 64 62,702.37 .2,664.26 3,500.90
COHEN & STEERS PREFERRED
SEC & INC FUND!
Symbol: CPXIX
Trade date. )an 29, 13 3.002 068 13.487 40.490 57 40.490 57 13.560 40,708 04 217.47 LT
Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.560 10,042.87 124.47 LT
Trade date: Ion 14, 13 751.274 13.309 9,999.02 9,999.02 13.560 10,187.27 188.25 LT
contrived next page
CNP7C009006566340m-7003304218 00034 0515 030575004 Y123511$5011 Nt,h,w_Gm_0002-itese ft of 14
CONFIDENTIAL
EFTA 0x1132125
EFTA01274332

sUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Maandal Advisor:
Friendly account name: lndiv V49935006 SCOTT STACKMANLYLE CASRIEL
lune 201 5 Account number. VI 23571 55 212-821-7000/ 800-308-3140
assets s Fixed income a
Your Mutual funds (contrived)
Purchase piker
regret! Average price client cost Rite per share value on Unrealized CM investment NolcIng
eiclOng of shares per share (I) investment (1) basis (S) on lun 30(1) Jon x) a) gain or loss (I) return 01 period
Total reinvested 370.444 13.653 5,058.03 13.560 5,02122 -34.81
EAT 43,911 Current yield: 5.93%
Security total 4,864.411 13.458 60,407.99 65,466.02 65,961.41 495,38 5,553.41
DOUBLE LINE TOTAL RETURN
RIND It4STI.
Symbol: DI3LTX
Trade date: Jan 29, 13 12,498.155 11.379 142229.00 142229.00 10.870 135.854.93 -6,374.07 LT
Total reinvested 772.440 10.981 8,482.82 10.870 8,396.42 -8640
EAI: 46.303 Current yield: 4.37%
Security total 13,270.595 11.357 142.22900 150,711.82 144,251.36 6,460.47 2,022.35
EATON VANCE FLOATING
RATE ADVANTAGE CL i
Symbol: DFAX
Trade date: /an 29, 13 7,524.150 11.180 84,120.00 84,120.08 10.840 81,561.79 -2,55821 LT
Total reinvested 486.115 11.002 5,348.68 10.840 5269.49 -79.19
EAI: 44,205 Current yield: 4.84%
Security total 8,010.265 11.169 84,120.00 89,468.68 86,831.27 -2,637.40 2,711.28
HARBOR HIGH VELD 80 fD
INSTITUTIONAL Cl
Symbol: HYFAX
Trade date: Jan 29, 13 2,660.657 11.239 29.905.78 29,905.78 10.340 27,511.19 -2,394.59 LT
Total reinvested 273.914 10.510 2,878.88 10.340 2,832.27 -46.61
EAI: 41,596 Ogren( yield: 5.26%
Security total 2,934.571 11.172 29,905.78 32,784.66 30343.46 -2,441.20 437.68
HS8C TOTAL RETURN
RIND CLASS I
Symbol: KTRIX
Trade date: Jan 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.480 40,437.78 73113 733.13 LT
EAI: 4783 Current yield 1.94%
.IPM0RGAN UNCONSTRAINED
DEBT FUND CLASS SELECT
continued nest page
SONY GM 00021506
CNP70001006556341 NP70O0304218 C0004 C615 030575004'023571550111011 Page 9 of 14
CONFIDENTIAL
EFTA 00132126
EFTA01274333

*UBS U BS Strategic Advisor Account name: GHISLAINE MAXWELL Your linandal Advisor:
Friendly account name:Indiv V49939::06 SCOTT STACK MAMLYLE CASR1EL
lune 2015 Account number: Y1 23571 SS 21242140001800-308a 140
Your assets Fixed income . Mutual funds (continued)
Purchase owe'
reinter Arelage pace Client Cost Prue per shire Value on unedited0M irnestrnent Hcldng
Hddng of shares per share (I) rneestrnent basis CS) on tun 30 (1) Ite 30 tat gain or loss (S) return ft/ period
Symbol: 1515X
Trade date: Jan 29, 13 4,784.864 10260 49,092.71 49,092 71 9860 47,178.75 -1,913.96
Total reinvested 306.891 10.107 3,101.85 9.860 3,025.94 -75.91
EAI: 42,698 Current yield: 5.37%
Security total 5,091.755 10.251 49,092.71 52,194 56 50,204.70 -1,989.87
METROPOLITAN WEST TOTAL
RETURN BOND FUND CLASS I
Symbol. MWTIX
Trade date: Oct 24, 13 7,192.344 10.709 77,030.00 77,030.00 10.810 77,749.23 719.23 LT
Total reinvested 225.970 10.864 2,455.04 10.810 2,442.74 •12.30
EAI: 11,610 Current yield: 2.01°4
Security total 7,418.314 10.715 77,030.00 79,485 04 80,191.97 70693 3,161.97
RIDGEWORTH SEIX FLOATING
RATEROGH INCOME FUND
CLASS'
Symbol: SAMBX
Trade date: Fan 29, 13 6,502.655 9.039 58,784.00 58,784 OD 8.830 57,418.44 .1365.56 LT
Total reinvested 392.203 8.939 3,506.01 8.830 3,463.15 -42.86
(Al: 32,758 Current yield: 4.53%
Security total 6,894.858 9.034 58,784.00 62,290.01 60,881.59 .1,408.42 2,097.59
T ROWE PRICE
INSTITUTIONAL FLOATING
RATE F CLASS
Symbol: PEEP(
Trade date: Ian 29, 13 5,394.060 10.270 55,397.00 55,397.00 10.130 54,641.82 •75518 LT
Total reinvested 288.366 10.175 2,934.20 10.130 2.921.15 -13.05
EAT 12,421 Current yield 4.21%
Security total 5.682 426 10.265 55,397.00 58,331.20 57,562.97 -768.23 2.165.97
Total 5686.768.61 5728.324SO $710,54649 417.780.02 $33,775.88
Total estimated annual income: 531,157
0111711009006566342 N1'7000304218 C0004 C615 030575004 Y123571150 II LUNY_Gm_0002/ter 10 of 14
CONFIDENTIAL
EFTA 00132127
EFTA01274334

S U - B E S S . t - ra tegic Advisor Account name: GHISLAINE MAXWELL Your Nnandal Advisor:
UBS Friendly account name:Int/iv v49935006 SCOTT STACKMANLYLE CASRIEL
Account number. Yt 23571 55 212-821-70001800-308-3140
assets
Your
Non-traditional
Mutual funds
Tsta. te 'west s-(1 s use -.)1.3 cr a rerre,szeo iv.iertx n lots not indude an), cosh C1,40,0JS i$ rot a Ids IA)f fairtje0 O1.0 of Ans is the Ofference between the current value endue cost teas aldwould
lot lot the purposes of determining forcing pencils Or cog basis. the shares you receive eexh time you gentrasy be your tenable gain or loss if the set only was sold en IM Gate. me unrealltd (Megan or loss
reinvest decienct become a separate tax M. may need to be adjusted for return of captal cements in order to Bete Minn tne reazto gain ol 'as for tax
re:acting purposes
Cost bases is the total purchase cost of the security. inducing renvestedduciends Tre cost basis may need
to be Oustedler return 44 Cd441.4 payments in order b3 betercrime Re binged CM MIS fa tat reponn; investment tewm is the current value minus the around you irnested. It does not include shares that are not
purposes. reflected on yap statement, includng shares that hate been realized as other a gin cr a loss. It also does
not include cash dvdends Thal were not reinvested.
Purchase pncd
turber Averace Dice Client Cost Price pet share value on 0n/hairedcum inesunent /forcing
Hddng of shares per share (5) investment (4) basis (1) on Jun 30(9) Jul 30 (5) gam or loss (3) return (S) penod
GATEWAY FUNDCLASS Y
Symbol. GTEYX
Trade date: /an 29, 13 1,089.208 27.580 30,040.36 30,040.36 29.790 32,447.50 2,407.14 LT
Total reinvested 32.350 29.658 959.46 29.790 963.71 4.25
EAI: $700 Current yield 2.10%
Security total 1,121.558 27640 30,040.36 30,999 82 33,411 21 2,411 39 3.370 85
Your total assets
7,403.66 0.72% 7,403.66
Percentage of Cost Estimated Unrealized
vase 2on J7un 830 C,O4 63.7y9our2 acc7oun.t 04% 25ba1sis (,S8) 32a.nn9ual4 5inc a.r8e 60.00 ga2in o6r los,s 6(I) 30.86
Cash Cash and money balances 710,544.496 9.00% 728,324.5301 .157.00 -17.780.02
Equities Mutual funds 33,411.21 3.24% 30,999.82 700.00 2,411.39
rated income Mutual funds $1,029,823.1150 0.00%$ 1,018,560$.9327 ,717.00$ 11,262.23
Non-traditional Mutual funds
Total
Account activity this month
Odle Actiuty Descrol on Amman (1)
Dividend and interest inciome
Taxable dividends Jun I Dvidend METROPOUTAN WEST TOTAL RETURN BOND FUND CLASS I AS OF 092415 146.64
continued next page
SDNY GM 00021508
CW70307005566343 NP7003304218 C0004 C615 030575004 Y123571550111011 Page 11 of 14
CONFIDENTIAL
EFIA_00132128
EFTA01274335

4tUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Rounds' Advisor:
Friendly account namo:lodiv V49936036 SCOTT STACK MAAYLVLE CASRIEL
June 2015 Account number: VI 23571 55 212-821.7000/800-308-3140
Account activity this month (continued)
Date Ac pity Descrption Amount (S)
Dividend end interest iscotr• (continued)
Taxable dividends (continued) Jun I Dividend RIDGEWORTH SEIX FLOATING RATEHIGH INCOME FUNDCLASS I AS OF 243.30
05/2W IS
Jun I Dividend DOUBLE UNE TOTAL RETURN FUND INSTL AS OF 0929'15 514.70
Jun 1 Dividend COHEN &STEERS PREFERRED SEC & INC FUND I AS OF 0929 15 324.34
Jun I Dividend EATON VANCE FLOATING RATE ADVANTAGE CL I AS OF 05/29/15 350.23
Jun I Dvidend T ROWE PRICE INSTITUTIONAL FLOATING RATE f CLASS AS Of 0929/15 208.43
Jun I Cividend TORTOISE MIP & PIPELINE FUND CLASS INSTL AS OF 092&15 334.11
JunI Dvidend 8LACKROCK HIGH YIELD BOND I AS OF 092915 281.05
Jun 1 Dvidend HSBC TOTAL RETURN FUND CLASS I 19.29
Jun t9 Dvidend MATTHEWS ASIA DVCEND FUND INSTL AS OF 06111315 504.84
Jun 23 St Cap Gain COLUMBIA CONVERTIBLE SECURMES FUND CLASS Z SPORT TERM CAPITAL 99.70
GAIN AS OF 0922/15
Jun 23 Dividend COLUMBIA CONVERTIBLE SECURITIES FUND CLASS 2 AS OF 06/22/15 294.27
Jun 26 Dvidend GATEWAY FUND CLASSY 329.74
Jun 29 Cividend RMORGAN UNCONSTRAINED DEBT FVND CLASS SELECT 157.35
Jun 30 Cividend HARBOR linGH YIELDS(' FDINSTM-MONAL CL AS OF Cifi2W I! 386.17
Jun30 Dvile-d HARBOR CONVERTIBLE SEC URMES FUND CLASS I AS OF 092915 99.87
Jun30 Dv... AVENUE CREDIT STRATEGIES FUVO CLASS INSTL 445.33
Total taxable dividends $4,73896
tong-term capital gains ':OLUMBIA CONVEFMBLESECLRMES FUND CLASS Z LONG TERM CAPITAL 761.63
GAIN AS OF 06/22/15
Total long...inn capital gains 761.63
Total dividend and interest income $5500.99
Investment transactions
For rtiore inforrnahon dal Its poicdvalue shown for rothicted sec unties, see Important information *boot
your statement at the end of this cbcurieni
Proceeds Iron Funds
imestment wilhartiven to AccirtkO
Wte Act.roly Descipoon Outieltily Ydue (I) Pnce (1) transacticen (1) ,nvesVnenIS bowl (1) inured (1)
Jun I Reiniestment METROPOLITAN WEST TOTAL RETURN BOND 13.416 -146.64
FUND CLASS I DIVIDEND REINVESTED AT 10.93
NAV ON 0929 II S AS OF 092915
continued' next page
CNP7C003006566344 NP70003042 IS 00004 0515 030575004 Y123 571 550 11 gm,iyGm000211wg 12 of 14
CONFIDENTIAL
EFTA_00132129
EFTA01274336

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Mnandal Advisor:
*UBS
Friendly account name: Indiv V49935006 SCOTT STACKMAN:LYLE CASRIEL
lure 2015 Account number: Y1 23571 S5 212-821-7030/800-308-3140
Account activity this month (contnued
Investment transactions (continued)
Proceeds Iran Funds
liniment vdttelrann la Accrued
Date Actinty DesoUNA OuerIlly Wrue (s) Price (1) tøreactIcos Is) inieSPrreni5 00u5li1(5) irderel (S)
Jun 1 Reinwstment RIDGEWOMH SEC( FLOATING RATEHIGH 27.306 -24330
INCOME FUND CLASS I (WIDENDRONVESTED
AT 891 NAV ON 0929'15 AS OF 092915
Jun I Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL 46.876 -514.70
DIVIDEND REINVESTED AT 10.93 NAV ON
09291I S AS OF 0929 IS
Ain I Reinvestment COHEN & STEERS PREFERRED SEC & INC FUND I 23.554 -324.34
DIVIDEND REINVESTED AT 13.77 NAV ON
092915 AS 050929115
Jun I Reinvestment EATON VANCE FLOATING RATE ADVANTAGE CL 32.014 -350.23
I DIVIDEND REINVESTED AT 10.94 NAV ON
092915 AS OF 0929/ IS
Jun 1 Reinvestment T ROWE PRICE INSTITUTIONAL FLOATING RATE F 20.474 -208.43
CLASS DIVIDEND REINVESTED AT 10.18 NAV ON
0929115 AS OF 092915
Jun I Rainy:Hamlett BLACK ROCK HIGH YIELD BOND I DIVIDEND 35.087 -281.05
REINVESTED AT E.01 NAV ON 05129/15 AS OF
092915
Jun 19 Reinvestment MATTHEWS ASIA DIVIDEND FUND INSTL 29.540 -504.84
DIVIDEND REINVESTED AT 17.09 NAV ON
0611915 AS OF 0611915
Jun 23 Reinvestment COLUMBIA CONVERTIBLE SECURMES FUND 5.134 -99.70
CLASS Z ST CAP GANS REINVESTED AT 19.42
NAV ON 06/22/15 AS OF 092315
AA 23 Reinvestment COLUMBIA CONVERTIBLE SECURITIES FUND 15.153 -294.27
CLASS Z DIVIDEND REINVESTED AT 19.42 NAV
ON 06122/ 15 AS OF 06122115
Jun 23 Reinvestment COLUMBIA CONVERTSLE SECURITIES FUND 39.219 -761.63
CLASS Z LT CAP GAINS REINVESTED AT 19.42
NAV CM 06/22/15 AS OF 0922/15
Jun 26 Reinvestment GATEWAY FUND CLASSY DIVIDEND 10.962 -329.74
REINVESTED AT 30.08 NAV ON 0612915
Jun 29 Reinvestment ~ORGAN UNCONSTRAINED DEBT FUND 15.910 -157.35
CLASS SELECT DIVIDEND REINVESTED AT 9.89
NAV ON 06126115
contented next page
SDNY GM 00021510
CNP7000X)06556345 NP7000304218 00004 4615030575004 VI 2357155011i011 Page 13 of 14
CONFIDENTIAL
EFTA_001132 I 30
EFTA01274337

4tUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Amends' Advisor:
Friendly account name:Indiv V49935006 SCOTT STACK MANLYLE CASRIEL
2015
lune Account number: Y1 23571 SS 212-821.7000'800-308-3140
Account activity this month «ontriveth
Investment transactions (continued)
Prcceeds (rem Funds
inwstment wthdrawn Icr Accrued
Date Actoaty Desceptcm Quantity Value (S) Pnce (S) transactions (S) in.eslments laciugn (S) 'merest (S)
tun 30 Reinvestment HARBOR HIGH YIELDED FD INSTITUTIONAL CL 37.347 -386 17
DIVIDEND REINVESTED AT 1034 NAV ON
06129 15 ASOF 062915
tun 30 ReimeStment HARBOR CONVERTIBLE SECURITIES FUND CLASS 9.162 -99.87
I DIVIDEND REINVESTED AT 10.90 NAV ON
0612915A501 0629/ I 5
tun 30 Reinvestment AVENUE CREDIT STRATEGIES FUND CLASS INSTL 41.933 -445 33
DIVIDEND REINVESTED AT 10.62 NAV ON
092915
Total -55,147.59
Date ACtiVity DeXtipliCel Amount
Money balance activities May 29 Balance forward $7,050.26
tun 2 Deposit UBS BANK USA DEPOSIT ACCOUNT 353.40
Ann 30 Closing UBS Bank USA Deposit Account 17,40346
The UBS Ban) USA Depaot Accourt is your primary sweep cpfion
CNP70009006566346 NP70003042 IS 00004 0615 030575004 Y12357I SSO I I Weifiy_Gm_0002114im 14 of ' 4
End of statement for account number Y I 23571 55
CONFIDENTIAL
EFIA_00132131
EFTA01274338

Important information about your statement
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- For tam senates nadrig ri non-camas mean) dirtied byte taro makte vat» nor Saar no's IRAs
derminahan prce and map dace vane) may hae balance 6 based as the last tand or maim Siedeal tin et retires UESS maleis Servaes to ~hold
been mimed» lame pope oilman parent tide by te mar and mimes de to tar from yew tata IRA diprIbut icen, tut you my
To Obtain organ gelamd weven pebble art yon wart aidepoes wil be hold'« one pram the eta oar lobate roam us wean or. Meat you nay
Franca Ads« statement dam iota matey Aoarla ad act tO haw Ier withheld a era. or el a feed ~Wit as
continued yak ae not guaanteed you choose Tor Moon al amain n et lect until remind
• Prima lewincams and sitareind products. fare by you You mayrevoke your election a ay Ono byrosily
-misstate aural (nehdrig direct patOpalon • Mat not hold by UK financial Stria Cavan anew clean d you do rot ha eoo9i ncome ta
proton aid real estate natant um seamtres/ and anal are rat PMbytekm ani not vdthri te fens wallet from your dartutions. you maybe retsina fix
Matured preittaS aerate., high,/ 'laid Cabo possessor, or enrol slet assets re coplased at yam the payrnem of tionXed ta yOu may nal palate A the
drudwod prawn han not bom restored oat the statenwol for raamtoni pimmesonai Position aa moves withal and your mauled a pawls smet
5.3nbe, and bedrange Canmssi:n ce under any state rpm presented re posted byte issued lion LASS eta Pea tar obligati
securities Om We prone esared vales lc private ~rid Swiss 6 not reiponsble tor this Mama»
mama scarps are sealant prodan eOr and does not gseirallte is deanCy lase assets ae not Piracy
Mermairalpwosnmly Acds3CY b rot 9unnt(Cd protected by SEC er to Finn sompleamal SaC To ettan mosey of ow anent Mere Pray Mao oboe
- the» auee maydiffe Mama from pas if my coverage anted pois Hiatt Mawr askew mbar
▪ Mich wage ragmen spumy« structured mew on comanianterk
pallid maybe bs.4i1 a sold and do not nasally • avenue lating and addklonalcompensacia
repesent the ma you may recent upri brazen - m additim lo manissons on 131.4 aid 1 abil let U3Sitaicial avian is not a ark The WA. Eames
- Thal piety menses of vale are as of a deem Ore acted in armtaan with the tauten of ratur 544VCESAccoult BSA and IRMA and Oa emp laCoaltS
aid re applied to ItS Maul Senors on a regiI t hinds to our dents we miler OW attire raw MC made access to bare seat re product
bans by an notandent satiation Inn !Neue fl og awnenu trom &arbutus ad or though magmas with Maimed Darks re other Pa
- issue general papers amp mead aim d ransen of the mar tads fa we sell Thew ;Mynas and provides acts to Memos aid nay
• are taplied to the Fens by the tear, general avant; re bred at two diftree antra; fa pane lased by vat' dated tied tarty eerma
partner or manor and may be °Lamed treed on the atone ol salebyuBS ol a precuts* mutual tea comas througn tern agency farina mol utS
al fare Marion from that usedbytad panel to limey to me dents. ad teli the ma vane of a Mala Sakes tic
tree thee ate add vanes pamilr medal laid late Sh1rOt Nair Ow Ira
- You cal obtain anima meeneon regaling the - We aid cm Mae arp eceire reins:flag and inreamee man. andannuity products
~logy used to determine the tare of vas ormtuspocesung lees n ons tron lor master rat IOC hired • No bare guanaco May lose vale
aid the date of the Ptomain shat Is tn, bait fir the agent sakes tut we prowl* to The ~Lai funds
ea ton by armseg your Anwar Adder Thew lets ~If are pad hen inoner awn, in the FOAA RESOurCeNtal~i account Business Savais
mutual fund aid are Mad dolt< mom basal on the Mam BSA ittlis and ~mama Setae Manprent
SDNY_GM_00021513
CONFIDENTIAL
EFTA 00132133
EFTA01274340

U85 Fnencial Services Inc. UBS Strategic Advisor
UBS 299 Park Avenue
25th Floor
New York NY 10171.0002 July 201 5
CNP70058410870715 V1 0
GHISLANE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065.7007
Account name: GH1SLANE MAXWELL
Friendly account name: Indiv.V49935006
Account number. VI 23571 SS
Your linancial Advisor-
SCOTT STACK MANILYLE CASI4EL
Phone: 212-821-7000/800-308-3140
Questions about your statemest? Value of your account
Call your Financial Advisor or the
RMA Resourceline at 800-RMA-1000, On June 30 (5) On July 31 (3)
account 029323 571.
Your assets 1,029,823 15 1,024,819.13
Visit our %retinae: Your liabilities aoo aoo
vninicubscorallinancialservices
Value of your account 11,029,823.15 11,024,819.13
Sources of your °cos wit growth
Tracking the value of your account during 2015
Value of your account
The Lr...anc;$ at year end 2014 41,011,812.53
Net deposits and
• 0' 1 A 1 )2°8 1,0248 withdrawals -310,160.16
Ntur nvestment return.
• •
Dhedend and
interest income $20,261.53
Change in
market value 42,905.13
Value of your arcane
on Jul 31, 2015 S1,024819.13
Dec 2014 run 2015 JJ 2015
SDNY GM 00021514
Member SIPC 041,700030058410a7NP7000195794 00004 0715 030575004 vt 235715500000C0 Page 1 of 14
CONFIDENTIAL
EFTA 00132134
EFTA01274341

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWEU. Yourr ignondol Advisor.
Friendly account name:Indiy VA99350% SCOTT STACK MANLYLE CASRIEL
July 2015 Account number: Y I 23571 55 212.821.70001600.308.3140
Your account balance sheet
Summary of your assets
Value on Percentage of
July 31 ($) you account
A Cash and money balances 2.14 0.00% Your current asset allocation • Cash and money balances may include
available cash balances. UBS Bank VSA deposit
B Cash alternatives 0.00 0.00% account balances. UBS AG Sumford Branch
E A deposit account balances and money market
C Equities 277,825.98 27.11% mutual fund sweep balances See the It:venom
informal an about your statement on the last
D Fixed income 713,119.96 69.58% two pages of this statement for details about
those balances
E Non-traditional 33,871.05 3.31%
F Commodities 0.00 000%
rb ixonri
G Other 0.00 000%
Total assets 51,024,819.13 100.00%
Value of your account $1,024,819.13
Eye on the markets
Percentage change
Index July 2015 Year to date
S&P 500 2.10% 3.35%
Russell 3000 1.67% 3.65%
MSC I - Europe, Australia & Far East 2.08% 8.08%
Barclays Capital U.S. Aggregate Bond Index 0.70% 0.59%
Interest rates on July 31, 2015
3-month Treasury bills: 0.08%
One-month LIBOR: 0.19%
CNP700C000584i p88 NE7003195794 C0C04 0715 0305750Gt VI 23571550 CCWIPteGM0002ityle 2 of 14
CONFIDENTIAL
EFTA_00132135
EFTA01274342

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Financial Advisor:
*UBS
Friendly account naine:Indiv V49935006 SCOTT STACK MAP/LYLE CASRiEL
July 2015
Account number. Y1 23571 55 212-821-7000800-3C6-3140
Change in the value of your account Summary of gains and losses
Values mooned below exclude proclacts for which gam and losses are not dermIlltd.
July2015 (5) Year to date (I)
Realized gains and losses Unrealized
Opening account value $1,029,823.15 $1,011,812.53
July 2015 ($) Year to date ($) gains and bsses (5)
Deposits, including investments
transferred in 1,300.00 1,300.00 Short term 0.00 0.00 -223.10
Withckawals and fees, Long term 0.00 0.03 11,468.70
including investments transferred
Total $0.00 $0.00 $11,245.60
out -8,927.50 -11,460.16
Dividend and interest income 2,640.10 20,261 63
Cash activity summary
Change in market value -16.62 2,905.13
See Account activity tha month for detals. BalanCe$ in your Sweep00cm are indudedin the opening and
Closing account value $1,024,819.13 $1,024,819.13
closing balances we Le. FDIC Insurance zeifnes only to deposits at UBS Bank USA, not to deposits at UBS AG,
Stamford Branch or bank deposits paced through the UBS International Deposit ACCOUnt program SIPC
protection applies to money market sweep fund holdings but not bank deposits. Sielmportant iniottnation
Dividend and interest income earned about your statement CA the last two pages d this document for Slats.
July 2015 (5) Year to dale (S)
for purposes of teat statement, ta,vosty of interest and dedena income has been determined from a US Opening balances $7,403.66 $9,359.42
tar reporting perspective. Brad upon the residence of the account holder, account type, or product type,
some interest ardor dvidend payments may not be subject to United States (US) ander Puerto Rico (PR) Additions
income tares The Clent moMIW Statement is not intended to Ce used &d tams be Reed utOn (Cc UK
purposes. Clients should refer to the applectie tax reporting foam they recent Iran U8Sannualy, such as Deposits and other funds credited 1,300.00 1,300.00
the forms 1099 and the Forms 480. for tat recorang inhumation: it is the practice of UPS to file the
social:de tat mooning forms with the US Maul Revenue Service and PR Treasury Depart:rent and in Dividend and interest income 2,640.10 20,261.63
sue h forms accurately denthfy deicknds ardor interest mut. exempt or taxable Moyne. Please consult your
Ind vdual tat preparer. Total additions $3,940.10 $21,561.63
July 2015 (41 Year to date ($) Subtractions
Taxable dividends 2,640.10 17,712.83 Professional management fees and
related services -1,297.86 -3,830.52
Long-term capital gains 0.00 761.63
Other funds debited -7,629.64 -7,629.64
Taxable interest 0.00 0.89
Funds withdrawn for investments
Total current year $2,640.10 $18,475.35 bought -2,414.12 -19,458.75
Prior year adjustment 0.00 1,786.28 Total subtractions -$11,341.62 -$30,918.91
Total dividend & interest $2,640.10 $20,261.63 Net cash flow -$7,401.52 -$9,357.28
Closing balances $2.14 $2.14
SONY GM 00021516
a
0070303005941039 NPTOCOI95794 00001 0715 030575004 YI23STI SSOCODOCO Page 3 14
CONFIDENTIAL
EFTA_00132136
EFTA01274343

*UBS
UBS Strategic Advisor Account name: OHISLAINE MAXWELL Your financial Advisor
friendly account name:Indiv V49935;106 SCOTT STACK MANLYLE CASRiEL
July 2015 Account number. YI 23571 55 2t2-82I.7030/800-308-3140
UBS Bank USA Deposit Account APY
Interest period Jun 5 - Jul 7
Opening UBS Bank USA Deposit balance tun 5 17,403.66
Closing UBS Bank USA Deposit balance Jul 7 17,422.95
Number of days in interest period 33
Average daily balance S7,407 17
Interest earned 10. 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 with to change them, please contact you
Francois' Advisor or Branch Manager. You can find a full description of the alternative
investment objectives in important information about your statement at the end of this
document
Your return objective:
Current income & capital appreciation
Your risk profile:
Primary Moderate
investment eligibility consideration None selected
Your account instructions
• You account cost basis default closing method is FIFO, First In, First Out.
Cilf7000B3058-11090 W7000'95794 C0004 0715030575004 yi23$7I 550 CO/MBIYOM00021t494 4 of • 4
CONFIDENTIAL
EFTA 00132137
EFTA01274344

T UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your /1s andal Advisor:
Friendly account name: Indiv v49935006 SCOTT STACKMANSLYLE CASRIEL
July 2015 Account number. Y1 23571 55 2124321-70001800-308-3140
Your assets
Some penes, income and current vanes ShOrin may Ix epproxirnene. Asa kat. gains andlOsses mar nol
be accurately refkcled. Set Aporunt inropnefron about your staternem a the end of the docurneM for
mote infornaaon.
Cash
Cash and money balances
Cash aM morey balances may include avatars cash balances, UBS Bank USA depont account balances,
UBS AG Stardom, Branch Cepout account balances and money market mutual fund sweep balances.
UBS Bank USA deposit account balances are insured by the /DC villtsn appletat limits, but are not
protected by SPG USS AG Stanford Branch deposit ace ou m balances are not insured by FDIC axl are not
protected by SIPC Money market sweep balances are protected by SVC but are not insured by the FDIC.
See the Important information about )con statement at the end of this docurnent for de ails about those
balances.
Open/rub/lance Clonng barna Price per share Average Dradencl 'Merest Dap in
Hddng on tut 1( I) on sul 31 (3) on Jul 31 (1) rate period period Crpanount (1)
UBS BANK USA CEP ACCT 7,40366 2.14 250.00000
Equities
Mutual funds
Total remvested is the total d a renvesteddvidends. II does not include any cash dtide rods. It is not a tar Unrealized (tad gain or 1OZ is the ofference between the current value and the cost basis aid would
lot for the purposes of determining hokirg periods or cost basis. The shares you receive e h tore you neraty be your tadtte gan ire loss if the sec wily was sold on this date. The unreatted (tad gang, loss
remwst cludends become a separate tax lot. may need fob* adtusted for ret um of capta paarteMs in order to determine ine 'edited gain or loss for tax
reboiling purposes.
Cost basis is the told purchase cost of the security. inducing reinvested el udends. The cost basis may need
to be ad usted for return of carnet payments in order o determine the adusted cost bans for ta< reran ng Investment !GRIM is the current value minus the arount you irteeSta It does not include shares that are not
purpoSeS reflected on your statement, includng shates that hat been realizedas either a gin cr a loss It also does
not include cash dvdends 'hal were not reinvested
PurchaSe DrKel
comer Average price Client COSI PriCe Der Share Value on UW8120080 !ointment Hddng
Hddng of shares cell snare CS investment (1) basis ft) on Jul 31(3) Jul 31 (s) grin or loss (S) return 01 period
CLEAR8R1DGE DIVIDEND
STRATEGY RileCLASS I
Symbol: SOPYX
Trade date: kin 26, 13 1,179249 16.769 19,776.00 19,776 CO 20.050 23,655.73 3,879.73 LT
Trade date: /an 14, 14 296.210 18.470 5,471.00 5,471.00 20.060 5.941.97 470.97 LT
Trade date: Ian 15, 14 283.181 18.549 5,25300 5,253.00 20.060 5.680.61 427.61 LT
Trade date: Ian 16, 14 282.731 18.529 5239.00 5,239.00 20.060 5,671.58 432.58 LT
continued next page
SDNY GM 00021518
C/S703033051341091 NV7003195794 C0001 0715 030575004 Y123571%0007000 Page S of 14
CONFIDENTIAL
EFTA_00132138
EFTA01274345

T
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your 6nuncio! Advisor
Friendly account name:Indiv V49935006 SCOTT STACK MANLVLE CASRIEL
July 2015 Account number. VI 23571 55 212-821.7000/800-308-3140
Your assets . Equities . Mutual funds (continued)
Purchase pace'
Number meta.? pOce Client Cost Pace per Shay Value co Unceallied Rol investment Haring
Melting of shares per share (f) investment (f) basil (l) on lul 31(1) Jul 3I (1) spin orlon (1) return (5) period
Trade date: Ian 17, 14 298.430 18.469 5,512.00 5,512.00 20.060 5,986.50 474.50 LT
Total reinvested 69.686 19.793 1,379.32 20.050 1,397.90 18.58
EAI: 3884 Current yield 1.83%
Security total 2.409.487 17.693 41251.00 42,630.32 48,334.30 5,703.97 7.083.29
COLUMBIA CONVERTIBLE
SECURITIES FUNDCLASSZ
Symbol: NCIAX
Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 18.780 21,543.96 1,020.98 LT
Trade date: Feb 19, 14 840.380 18569 15,942.00 15,942.00 18.780 15,782.33 -159.67 LT
Total reinvested 173.913 19.224 3,343.32 18.780 3266.09 .77.23
EAI: 31,173 Oxen( yield: 2.89%
Security total 2.161.470 18.417 36,465.00 39,808.32 40,592.40 784.08 4.127.40
HARBOR CONVERTIBLE
SECURITIES FUNDCLASS I
Symbol: HACSX
Trade date: /an 29, 13 1,872.780 10.250 19,1%.00 19,156.00 10.920 20,450.76 1,254.76 LT
Trade date: Jun 17, 13 960.534 10.489 10,076.00 10,076.00 10.920 10,489.03 413.03 LT
Total reinvested 192.959 10.622 2,049.78 10.920 2,107.11 57.33
EAI: 3684 Current yield 207%
Security total 3,026.273 10.350 29272.00 31,321.78 33,046.90 1,725.12 3,774.90
JP MORGAN INTREPID
EUROPEAN INST
Symbol: .IFEIX
Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 26.270 11,439.32 1,36532 LT
Trade date: Aug 6, 13 439.831 23.286 10242.00 10242.00 26.270 11,554.36 1,312.36 LT
Total reinvested 33.043 24.353 804.71 26.270 868.04 63.33
EAI: 1812 Current yield 3.40%
Security total 908.326 23.252 20,316.00 21,120.71 23,861.72 2,741.01 3,545.72
MATTHEWS ASIA DIVIDEND
FUND INSTL
Symbol: MIPtX
contracted next page
CNP7000900584I 092 NP700019574400004 0715 030575004 VI 23 571 550 ONISO4YGM00021titie 6 of 14
CONFIDENTIAL
EFTA 00132139
EFTA01274346

sUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your IIsandal Advisor:
Friendly account narne:Indiv.V49935006 SCOTT STACKMANLYLE CASRIEL
July 2015 Account number. Y1 23571 55 212-821-7000/ 800-308-3140
assets Equities .
Your Mutual funds (continued)
Purchase Pike
Nurrbet Average pike Cost Price per share value on Unrealized (tail imestment HolcIng
Hddng of shares (s; rneestmeaniteg bads (S) on IN 31 (5) Jul 31 el) coin °doss (1) return (0 period
Trade date: Jan 29, 13 2,156.431 14.781 31,876.33 31,87633 16.660 35,926.14 4,049.81 LT
Trade date: Feb 1, 13 481.951 15.001 7230.21 7230.21 16.660 8,02930 799.09 LT
Total reinvested 85.781 16.379 1,405.09 16.660 1,429.11 24.02
(Al: $1,051 Current yield: 2.32°6
Security total 2,724.163 14.871 39,10654 40,511.63 45384.55 4,872.92 6278.01
SIT DIVIDEND GROWTH FUND
CLASS I
Symbol: SOVGX
Trade date: Jan 29, 13 2333.831 15.400 35,941.00 35,941.00 17.690 41285.47 5,344.47 LT
Trade date: Jun 11, 13 624.801 16.569 10353.00 10353.00 17.693 11.052.78 699.78 LT
EAI: 3745 Current yield 1.42%
Security total 2.958.635 15.647 46294.00 46294.00 52,338.25 6,044.25 6,044.25
TORTOISE MLR & PIPELNE
FUND CLASS INSTL
Symbol: TOFtlX
Trade date: Jan 29, 13 2296.774 13.248 30,429.04 30,429.04 14.920 34267.86 3,838.82 3,838.82 LT
EM: $533 Current yield 1 56%
Total $243,133.51 $252,115.80 $277.525.98 $25.710.17 $34,692.40
Total estimated annual income: $5.882
SONY GM 00021520
CNP70003005641093 NP7000195794 00004 0715 030575004 Y123571550000000 Pag• 7 of 14
CONFIDENTIAL
EFTA 00132140
EFTA01274347

UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your 15 nancial Advisor.
Friendly account namet:Indiv V4993K06 SCOTT STACK MANLYLE CASRIEL
.5
i llv:'"I Account number: Y1 23571 55 212-821.7000'800-308-3140
Your assets
(continued)
axed income
Mutual funds
Iota' werevented n me IOW d aL reinvested dadends does nOlindtree arty cad' clliCerk/S. n is not a (tweak:ea ((pagan of loss is the dfference between the current value and the COSI balls and world
tea lot for the purposes OldetermInng hcrang periCOS or cost bales. The shares you receive each tint you generally be >our taKable darn or loss if the security was sold on Ites dale. The urrealited (lax) glen or loss may
reinvest dvdends become a separate tic lot. need to be a4usted for return Cl captor payments in order to determine the reeked gain or km for I.
Cost bases is the told purchase cog of the security. inducing reinvested d Wench The cost basis may reporting purposes
need to be aClusted for return Cl CaPtal payments in order to determine the &lustedCOSt traSis for lac loves:event secure) is lhe current vdue menus the amount you invested. a does nce Irclttde shares that be not
reporting purposes. reflected on our statement, moudng shares Mal hare teen etaliedat either a gam Cr a loss it also does not
include cash dedends that were not reinvested
Purchase DrIce1
Number Averacfr pace Client Cost Price per share Value on unrealized08N tmestrnent Holding
Hcldng of spates per share (3) investment (S) oasis (S) on Jul 31 (S) Jul 31 (S) gain or loss (S) return 01 Perim
AVENUE CREDIT STRATEGIES
FUND CLASS INSTL
Acsax
Symbol:
Trade date: Nov 12, 13 910.736 It 270 10264.00 10,264 00 10.600 9,653 80 -610.20 LT
Trade date: Nov 18, 13 912.566 11.300 10312.00 10,312.00 10.600 9,673.20 -63680 LT
Trade date: Nov 25, 13 911.661 11.319 10320.00 10,320 00 10.600 9663.61 -65639 LT
Total reinvested 200.594 11.093 2,225.22 10.600 2,126.30 .98.92
(Al: 41,385 anent yield: 4.45%
Security total 2935557 11.283 30,896.00 33,121 22 31,116.90 -2,004.31 220.91
BLACKACCK HIGH YIELD
BOND
Symbol. B1-1Y1X
Trade date: Jan 29, 13 4,811.156 8.200 39,451.48 39,451.48 7.830 37,671.35 -1,780.13 LT
Trade date: Jun 27, 13 2,481 156 7.959 19,750.00 19,750 00 7.830 19,427.45 •322.55 LT
Total reinvested 720.431 8.110 5,842.95 7.830 5,640.97 -201.98
(Al: 43,477 Current yield. 5.5d%
Security total 8,012.743 8.118 59 701.48 65,044 43 62,739.77 .2,30466 3,538.29
COHEN & STEERS PREFERRED
SEC & INC FUND t
SymbOl. CPXIX
Trade date. /an 29, 13 3.002 068 13.487 40,490 57 40,490 57 13.640 40.948.20 457.63 LT
Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.640 10,102.12 t83.72 LT
Trade date: Jun 14, 13 751.274 13.309 9,99902 9,999 02 13.640 10247.38 248.36 LT
continued next page
UW70309309341094 NP7000195794 C0034 0715 030575004 v1235Tis5003W4YGM00021tHe 8 of 14
CONFIDENTIAL
EFTA_00132141
EFTA01274348

UBS Strategic Advisor Account name: GHIStAINE MAXWELL Your Flaandal Advisor:
UBS Friendly account name:Indiv V49935006 SCOTT STACKMANLYLE CASRIEL
July 2015 Account number `el 23571 55 212-821-7000,800-308-3140
Your assets . Fixed income . Mutual funds (continued)
Purchase piker
Nurrber Amve lragea se) Client Cost Price per share Value on Unrealized CM investmerrt Holdng
Ncicing of shares share investment (1) basis (1) on lul 31 (5) Jul 31 (S) coin °floss (I) return (s) period
Total reinvested 394.479 13.648 5,383.94 13.640 5,380.69 -3.25
EAI: 33,930 Current yield: 5.89%
Security total 4,888.446 13.459 60,407.99 65,791.93 66,678.40 88646 6270.40
DOUBLE LINE TOTAL RETURN
RIND INSTL
Symbol: DEILTX
Trade date: /an 29, 13 12,498.155 11.379 142229.00 142229.00 10.920 136,479.85 -5,749.15 LT
Total reinvested 818.793 10.975 8,986.68 10.920 8,941.22 -45.46
EAI: 36,232 Current yield: 4.29%
Security total 13,316.948 11.355 142229.00 151,215.68 145,421.07 -5,794.61 3,192.07
EATON VANCE FLOATING
RATE ADVANTAGE CL 1
Symbol: SFAX
Trade date: /an 29, 13 7,524.150 11.180 84,120.00 84,120.00 10.810 81,336.05 -2,783.95 LT
Total reinvested 517.044 10.993 5,683.95 10.810 5,589.25 -94.70
EAI: 34,213 Current yield: 4.85%
Security total 8,041.194 11.168 84,120.00 89,803.95 86,925.30 -2,878.65 2.805.30
HARBOR HIGH YIELD 80 ED
INSTITUTIONAL CL
Symbol: NYFAX
Trade date: Jan 29, 13 2.660.657 11.239 29.905.78 29,905.78 10.300 27,404.77 -2,501.01 LT
Total reinvested 273.914 10.510 2.878,88 10.300 2,821.31 -57.57
EAI: 11,596 Current yield: 5.28%
Security total 2,934.571 11.172 29,905.78 32,784.66 30226.08 -2,55858 320.30
HS8C TOTAL RETURN
RIND CLASS I
Symbol: HTRIX
Trade date: Jan 29, 13 3858.567 10.289 39,704.65 39,704.65 10.470 40,399.19 694.54 694.54 LT
EAI: 4764 Current yield 1.89%
IPMORGAN UNCONSTRAINED
DEBT FUND CLASS SELECT
continued next page
SDNY GM 00021522
CNP700030058410 35 NP7000195794 C0004 0715 030575004 Y123571550 0003C0 Paga 9 of 14
CONFIDENTIAL
EFTA 0(1132142
EFTA01274349

*DUBS Strategic Advisor Account name: GHISLA1NE MAXWELL Your A sandal Advisor,
UKly Friendly account name: Indiv V49935006 SCOTT STACK MANLYLE CASRIEL
Ju 2015
Account number: Y1 23571 S5 212.821.7000/800.308.3140
Your assets . Fixed income . mutual funds (continued)
Purchase Arad
Number Averaw peke Client Cost Price per share value on !Are/need 044 Investmest Molting
Haring of shares per sham (5) investment CS) bask (1) on ltd 31 (S) Jul 31 (1) spin orlon (S) ,.turn (5) period
Symbol..1SISX
Trade date: /an 29, 13 4,784.8641 10260 49,092.71 49.092.71 9.870 47,226.61 -1,96910 LT
Total reinvested 319.285 10.097 3,22405 9870 3,151.34 •72.71
EAI: $2,751 Current yield: 5.46%
Security total 5,104.149 10.250 49,092.71 52,316.76 50,377.95 -1,93981 1,285.24
METROPOLITAN WEST TOTAL
RETURN BOND FUND CLASS I
Symbol: MWTIX
Trade date: Oct 24, 13 7,192.344 10.709 77,030.00 77,030.00 10.850 78.03693 1,006.93 LT
Total reinvested 237.932 10.861 2,584.35 10.850 2,581.56 -2.79
EAI: $1,575 Current yield: 1.95%
Security total 7.430.276 10.715 77,030.00 79,614.35 80.618.49 1,004.14 3.598.49
RIDGEWORTH SEUL FLOATING
RATEHIGH INCOME FUND
CLASS I
Symbol: SAMBX
Trade date: Jan 29, 13 6,502.655 9.039 58,784.00 58,784.00 8900 57223.36 -1,560.64 LT
Total reinvested 419.260 8.932 3244.92 8.800 3,689.49 -55.43
EAI: $2,796 Current yield: 4.59%
Security total 6,921.915 9.033 58,784.00 62,528.92 60,912.85 -181607 2,128.85
T ROWE PRICE
INSTITUTIONAL FLOATING
RATE F CLASS
Symbol: PFFRX
Trade date: /an 29, 13 5,394.060 10.270 55,397.00 55,397.00 10.120 54,587.88 -809.12 LT
Total reinvested 307.913 10.172 3,132.21 10.120 3,116.06 -16.13
EAI: $2,446 Current yield: 4.24%
Security total 5,701.973 10.265 55,397.00 58,529.21 57,703.96 -825.25 2,306.96
Total $686,76841 $730,455.76 5713,119.96 417,33530 526.35135
Total estimated annual income: $31,165
CNP70003005841036 HP7000195794 00004 0715 030575004 Y123571 550 COWneGm0002Illais 10 of 14
CONFIDENTIAL
EFTA_00132143
EFTA01274350

UBS Strategic Advisor Account name: GHISLAINE MA (WELL Your Financial Advisor:
*DUBS Friendly account name: Indry vA9935006 SCOTT STACK KIM LYLE CASRIEL
July 2015 Account number. Y I 23571 55 212-821-70001800-308-3140
Our asses
Non-traditional
Mutual funds
kta. to rive>rt4 4 The iota ct a re n,,,steo jvoends 11 does not mtluCk arty rest ovicenos. it is rat a tae Onttalezed (00 gas or rots is the (Afferente between the current value andt re cost ban and would
lot to the purpOseS of deternintno told n? pencils or cost bash. The shares you reCeiee tenth hme you generaty be your tenable Crain or loss if the Set Linty was said on IM (10 The unrealled (tad Gan Or loss
reinvest d %lama become a separate tax lot. may need to be adusted for return of capita pariems In order to determine the reautd gain or Ices for tax
reporting purposes
Cost Wm is the total purchase cost of the security. inducing reinvested ci Wends The coil basis may need
tote &dustedfor return ci capital payments in order 13 Cettanne the aC4uSteclCOSt Mrs 10r ten re0Onn; investment return is the current value minus the avount you invested. it does not include shares that are not
purposes. reflected on your statement, inctudng shares that nave been realized as either a gam or a toss it also does
not include cash dvdends that were not reinvested.
nurchaSe
ysjcrOer se Cost Puce per Share value on unreaired (tan irnestrnent Hold no
woldng of es Areverr ittp.fare ) ineestrneCnIlielnill basis (S) on iu 3i ($) Jul 31 (1) gain or loss (S) return (5) period
GATEWAY FUND CLASS Y
Symbol. GTEYX
Trade date: Jan 29, 13 1,089.208 27.580 30,040.36 30,040.36 30.200 32,894.08 2,853 72 LT
Total reinvested 32.350 29.658 959.46 30.200 976.97 17.51
EAL 4700 Current yield 2O7%
Security total 1.121.558 27.640 30,040.36 30,999 82 33,871.05 2,871.23 3.830 69
Your total assets
Percentage ci Cost Esignated Unreakzed
Yalu. On 10 31 (s) your account 0316 (f) annual mccrne gain or loss (I)
Cash Cash and money balances 2.14 2.14
Equities Mutual funds 277,525.98 2711% 252,115.80 5.882.00 25,710.17
liked income Mutual funds 713,119.96 69.58% 730A55.76 31.165.00 -17.335.80
Non-traditional Mutual funds 33271.05 331% 30.999.82 700.00 2.07123
Total $1.024,1319.13 100.00% $1,013,573.52 $37,747.00 $11,245.60
Account activity this month
Date Activity Description Amount (S)
Deposits and other fends audited Jul 27 Transfer FM Y1 235750100 1300.00
Total deposit and other funds credited $1.300.00
SDNY GM 00021524
C HP7C00?3051341097 NV7003195794 00034 0715 030579004 Y123571550000000 Page 11 of 14
CONFIDENTIAL
EFTA_00132144
EFTA01274351

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Handal Advisor:
Friendly account name:Incliy VA993S006 SCOTT STACK MANY LYLE CASR1EL
iuy
2015 Account number. VI 23571 SS 212.821.7000800.308.3140
Date Adair/ Description AMMO (S)
Dividend and interest income
Jul I Dividend METROPOUTAN WEST 10141. RETURN BOND FUND CLASS I AS OF 093015 129.31
JulI Dividend RIDGEWORTH SEIX FLOATING RATEHIGH INCOME FUNDCLASS I AS OF 238.9
061301S
Jul I Dividend DOUBLE UNE TOTAL RETURN FUND INSTL AS OF 063015 503.86
Jul 1 Dividend COHEN & STEERS PREFERRED SEC & INC FUND I AS OF 063015 325.92
Jul I Dividend EATON VANCE FLOATING RATE ADVANTAGE CLIAS OF 06130/15 335.27
Jul 1 Dividend CLEARBRIDGE DIVOEND STRATEGY FUND CLASS I AS Of OE/ 30f 15 282.85
Jul 1 Dividend T ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS AS OF 0930/15 198.01
Jul 1 Dvdend BLACKPOOL HIGH VELD BOND I AS OF 093015 277.79
Jul 1 Dividend HSBC TOTAL RETURN FUND CLASS I 19.29
Jul 10 Dividend SIT DIVIDEND GROWTH FUNDCLASS I AS OF 07/0915 206.69
Jul 30 Dividend JPMORGAN UNCONSTRAINED DEBT FUND CLASS SELECT 122.20
Total taxable dividends 92440.10
Total dividend and interest income 92440.10
Date ACtiboty Desciption Amara IS)
Fees Jul 24 Fee Charged QUARTERLY FEE •1,297.86
Total professional management fees 4129726
Date Mikity Descdpbon Amount
Other funds debited Jul 20 Transfer JOURNAL TO VI 23575 GHSLAINE MAXWELL -7,629.64
Total other funds debited 47.62944
Investment tionsoctions
For more infonnaion about the Dine value Shaven for reStrICtedWurities, see important intamitirt about
your stamen at the end of this clocunent.
Proceed, Iron Funds
nutriment vathdravai fa Accrued
Date *city DeStrIpUon Ouanity Whit, (f) Pike CO upespoitex pg investments OCQCPI (5) intereSt (f)
Jul I Reinvestment METROPOUTAN WEST TOTAL RETURN BOND 11.962 -129.31
FUND CLASS I DIVIDEND REINVESTED AT 10.81
NAV CN 0613015 AS OF 093015
Jul 1 Reinvestment RIDGEWORTH SED( FLOATING RATEHIGH 27.057 -238.91
INCOME FUND CLASS I DIVIDENDRONVESTED
AT 8.83 NAV ON 063015 AS OF 063015
Jul 1 Reim...stmt.-at DOUBLE LINE TOTAL RETURN FUND INSTL 46.353 -503.86
DVIDEND REINVESTED AT 10.87 NAV ON
06/ 30/ IS AS OF 06/3015
continued next page
CNe70X0009341038 Ne7000I 95794 00004 0715 030575004 VI 2357l 150 0001ftlymt0002Itoss 12 of 14
CONFIDENTIAL
EFTA 00132145
EFTA01274352

UBS Strategic Advisor Account nanov: GHISLAINE MAXWELL You r Maandag Advlsor:
* UBS friendly account name: Indiv.V49935006 SCOTT STACK MARY LYLE CASRIEL
July 2015 Account number. YI 23571 SS 212-821-7030/800-308-3140
Account activity this month kontrivecri
lavestinent trinsactions (continueel)
Pecceeds Icon Funds
imestment vilthielrawn fix Maued
Date Acbaly Desciption Outenty Valse ($) Prke tv:insteken (I) inve5Imen1500uOt (S) Interest (S)
Jul 1 Rein wstment COHEN & STEERS PREFERRED SEC & INC FUND I 24.035 -325.92
CWIDEND REINVESTED AT 13.56 NAV ON
06136115 AS OF 06130/15
Jul 1 Reinsestment EATON VANCE FLOATING RATE ADVANFAGE CL 30.929 -335.27
I DIVIDEND REINVESTED AT 10.84 NAV ON
Ø3611S AS OF 06361IS
lul 1 Rein wstment CtEARBRCGE DIVIDEND STRATEGY FUND CIASS 14.257 -282.85
I DIVIDEND REINVESTED AT 19.84 NAV ON
0836115 AS Of 0690/15
Jul I Reinvestment T ROWE PRICE INS11TUTICNAL FLOATING RATE F 19.547 -198.01
CLASS DIVIDEND REINVESTED AT 10.13 NAV ON
06I3C, IS AS OF 0E13/3/15
Jul 1 Renwstment BLACKROCK HIGH mELD BOND I DIVIDEND 35.342 -277.79
REINVESTED AT 7.85 NAV ON 093015 AS OF
06/ 30,15
Jul 30 Rainsostmant JPMORGAN UNCONSTRAEVE0 DERT FUND 12.394 •122.20
CLASS SELECT DIVIDEND REINVESTED AT 9.86
NAV ON 07/29/15
Total -3241412
Date Adwity Descrobon Anpunl(S)
Money balanoe activities Jen 30 latente forward S7A03.06
Jult Deposit UBS BANK USA DEPOSIT ACCOUNT 19.29
Jul 13 Deposit UBS BANK USA DEPOSIT ACCOUNT 206.69
Jul 21 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 07/20(15 -7.629.64
Jul 28 DepoPt UBS BANK USA DEPOSIT ACCOUNT 2.14
Jul 31 Closing UH tank USA Depotis Account $2.14
Ine UBS Bant USA DepO9t ACCOUN IS your orlmary swee0 cObon
SDNY GM 00021526
CNP7001:90055410B9NP70C0195794 00004 WIS 030575004 `N23571550000000 Pap 13 of 14
CONFIDENTIAL
EFTA 00132146
EFTA01274353

*UBS
Your notes
""—="7,====;:%"'"°°°'""-- -"2"" " °' ''
CONFIDENTIAL
EFT,00132147
EFTA01274354

Important information about your statement
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SDNY_GM_00021528
CONFIDENTIAL
EFTA JX/132148
EFTA01274355

Important information about your statement (continued)
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SDNY_GM_00021529
CONFIDENTIAL
EFTA 00132149
EFTA01274356

1385 Financial Services Inc UBS Strategic Advisor
UBS 299 Park Avenue
25th Floor
New York NY 10171.0002 August 2015
CW70057647190615 VI 0
GH1SLAINE MAXVVEU.
116 E 65TH STREET
NEW YORK NY 10065.7007
Account name: GHISLANE MAXWELL
Friendly account name: Incliv.V49935C06
Account number: _3571 SS
Your financial Advisor:
SCOTT STACK MANILYLE CASRIEL
Phone. 212.821.7000800.308.3140
Questions about your statement? Value of your account
Call yocir tinan:la Advisor or the
RMA ReSOurCeLine at 800-RMA-1000, on July 31 (1) on August 31 (3)
account 029323571
Your assets 1,024,819.13 1,003,634.71
Visit our websIte: Your liabilities 0.00 0.00
www.ubstomtlinancialservices
Value of your account 51,024.1319.13 31,003,634.71
Sources of your account growth
Tracking the value of your account during 2015
Value of your account
at year end 2014 31,011812.53
S Thousands
Net deposits and
withdrawals -$10,181.59
1 0•1 1 9 1,0•2 4.9 10•0 36
Your rivestmen return:
MO:lendand
interest income 122,493.43
Change in
market value 420486 66
Value of your accotnt
on Aug 31.2015 $1,003.63471
Dec 2014 A12015 Aug 2015
SDNY GM 00021530
NNmber SIPC CNP70o000057647I9NP700019369800034 MIS 030575004 YI 23571550 000000 Page 1 of 12
CONFIDENTIAL
EFTA 00132150
EFTA01274357

SUBS
UBS Strategic Advisor Account name: GHISLAINE MAXWEU. Your II namial Advisor.
Friendly account name:Indiy V499350% SCOTT STACK MANL YLE CASRIEL
August 2015 Account number: Y I 23571 55 21242 I -7000800-308-3140
Your account balance sheet
Summary of your assets
Value on Percentage of
August 31 ($1 your XEOunt
A Cash and money balances 0.00 0.00% Your current asset allocation
B Cash alternatives 0.00 0.00%
C Equities 262,312.54 26.14%
D Fixed income 708,393.23 70.58%
E Non-traditional 32,928.94 3.28%
F Commodities 0.00 000%
G Other 0.00 000%
Total assets $1,003,634.71 100.00%
Value of your account 51,003,634.71
Eye on the markets
Percentage Change
Index August 201 5 Year to date
S&P 500 -6.03% -2.88%
Russell 3000 -6.04% -2.61%
MSC - Europe, Australia & Far East -7.35% 0.14%
Barclays Capital U.S. Aggregate Bond Index -0.14% 0.45%
Interest rates on August 31, 2015
3-month Treasury bills: 0.04%
One-month LIBOR: 0.20%
CNP70003005764720NP700319069803634 OBI 5 030575004 VI 23571550C0My_Gmixmittlie 2 of 12
CONFIDENTIAL
EFTA_00132151
EFTA01274358

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Itsandal Advisor:
UBS Friendly account natne:Indiv vag9350o6 SCOTT STACKMANLYLE CASNEL
August 2015 Account number. Y1 23571 55 212-821-7000/800-308-3140
Change in the value of your account Summary of gains and losses
August 2015 (Si Year to date (1) Values reported below exclude products for which gala and losses are not classified
Realized gains and losses Unrealized
Opening account value 91,024,819.13 $1,011,812.53
August 2015 (1) Year to date ($) gains and kisses (5)
Deposits, including investments
transferred in 0.00 1,300.00 Short term 0.00 0.00 -842.00
Withdrawals and fees, Long term 0.00 0.00 -11,304.15
including investments transferred
Total $0.00 $0.00 -$12,146.15
out -21.43 -11,481.59
Dividend and interest income 2,228.80 22,490.43
Cash activity summary
Change in market value -23,391.79 -20,486.66
See Account sanity Nm MOW) for dela Is. &dances in your Sweep 00M are includedIn the °penis; and
Closing account value $1,003,634.71 $1,003,634.71
closing [glances value. FDIC insurance apses only to deposits at UBS Bank USA, not to depOids at MIS AG,
Stamford Branch or bank deposits placedltimuch the UBS International cepa, Account pogrom SIPC
protection adios to money mortal sump fund holdings but not bank deposits. See important information
Dividend and interest income earned abet/t your statement on the last two pages cf this document for (*Luis
August 2015111 Year to date IS/
For purposes of ins statement, 'a...ally of interest and clindena income nas been determined from a US Opening balances $2.14 $9,359.42
tar reporting PSIWeCtives. Baca upon Ow residence of the account hada, account type, or product type,
some interest and dvidend payments may not be subject to United States (US) ardor Puerto Rico (PR) Addkions
income tan. The dent mom* statement is not intended to be used and tempt be feted uP3n la let
purposes. Clients should refer to the apliectie tax reporting forms they recent Born UBS annualy, such as Deposits and other funds credited 0.00 1,300.00
the Forms 1099 and the ROMS 480, for tat reporting iMoimauon- It Is the prance of UBS to rile the
aXhcatre tar reporting loans WIts the US attend Revenue Service and PR Treasury Depannynt. end in Dividend and interest income 2,228.80 22,490.43
such forms accurately classify &Mends Well inteest attar tamp or tamtablt Income. Pleat COMM year
indedual tar prepare,. Total additions $2,228.80 $23,790.43
August 2015(31 Year to date (S) Subtractions
Taxable dividends 2228.80 19,941.63 Professional management fees and
related services 0.00 -3,830.52
Long-term caporal gains 0.00 761.63
Other funds debited -21.43 -7,651.07
Taxable interest 0.00 0.89
Funds withdrawn for investments
Total current year $2,228.80 $20,704.15 bought -2,209.51 -21,668.26
Prior year adjustment 0.00 1,786.28 Total subtractions -$Z230.94 -$33,149.85
Total dividend & interest $2,228.80 $22,490.43 Net cash flow -$2.14 -$9,359.42
Closing balances $0.00 $0.00
SONY GM 00021532
CdP70303005764721NP700019869800C04 0815 030575004 Y123571550000000 Page 3 of 12
CONFIDENTIAL
EFTA_00132152
EFTA01274359

*UBS UBS Strategic Advisor Account name: GRISLAINE MAXWELL Your financial Advisor.
Friendly account name:Indiv Vi19939B06 SCOTT STACK MANLYLE CASRIEL
August 2015 Account number. Y1 23571 $5 212-821.7CC0/800-308-3140
UBS Bank USA Deposit Account APY
Interest Period Jul 8 - Aug 6
Opening UBS Bank USA Deposit balance Jul 8 37,422.95
Closing UBS Bank USA Deposit balance Aug 6 $21.43
Number of days in interest period 30
Average daily balance S3,020 OS
Interest earned 30. 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 you
France' Advisor or Branch Manager You Can find a ful description of the alternative
investment objectives in important information about your sratementat the and of this
document
Your return objective:
Current income &capital appreciation
Your risk profile:
Primary Moderate
In vestment eligibiLty consderatx>n None selected
Your account instructions
• You account cost basis default closing method is FIFO, First In, First Out.
CNP7C008005764722 NIT0C0193698 C0004 CRIS 030575004 y123571550 CONFAY_GM_00021S, 4 Of 12
CONFIDENTIAL
EFTA_00132153
EFTA01274360

UBS Strategic Advisor Account nanne: GHISLAINE MAXWELL Your Bimodal Advisor:
*UBS
Friendly account name:Intim v49935C06 SCOTT STACKMANLYLE CASNEL
August 201 5 Account number. Y1 23571 55 212-821-7000800-308-3140
Your assets
Some pnces, income and current vaues shown may be approximate. As a *Sulk gam anCllOsses ma/ 001
be accurately reflected. Set Anp of tint inkolenabOP atiour your statement a the end of ths docurnem for
mare into rnaa on.
Cash
Cash and money balances
Openng belanCe Closing bateiCe enceper share Average Dull:Jena Interest Days in
sicking on Aug 1(S) on Aug 31 (I) on Aug 31 CS) rate period period cap amount CS)
LIBS BANK USA DEP ACCT 2.14 0.00 250,000.00
Equities
Mutual funds
TOW reinvested is me tota cf at renvesteddvidends It does not include any cash &olden& rt is not() lm Lavetbeed (tae) gam or leis is the dfferenbe teeween the current value and the cost bags and would
lot for the purposes of determining Poid ng periods or cost basis. The shares you receive nth hme you genet,/ be your tatade gain or loss 11 the sec unty was 1010 Co the date The unrealized (tad) gan Or 1055
revueSI dvdtnrh become a separate tax lot. may need to be aluSted for return of capita payments in order to determine the reeked gain o as for tai
reporting purposes.
Cost basilis the total purchase cost of the security, inducing reinvested d wdends The COO baSiS nut/ need
to be eluded fcc return of (801S Payments in order to determine the atiusted cost batistelac renonng investment teem is the current value minus the amount you integer!. It does not include shales that ale not
purposes. reflected On rout statement. inducingshares that have teen realized as either a can or a loss It also cees
not Nduck cash dudends that were not reinvested.
Purchase price'
Nuslh eesr A v e r asctipa fr:(cse) Client Cost Price per share Value on UnrealizedOM
itcldrig of per investment dl basis ft) on Aug 31(P Aug 31 (S) gain or loss (S) Imreetsulrrnne 0n1t Hr6edricndg
CLEARBROGE DIVIDEND
STRATEGY FUNDCLASS I
Symbol:SCIPYX
Trade date: Jun 26, 13 1,179.249 16.769 19, 776 00 19,776.00 18.8.40 22,217.05 2,441.05 LT
Trade date: tan 14, 14 296.210 18.470 5.471.00 5,471.00 18.840 6580.60 109160 LT
Trade date: tan 15, 14 283.181 18.549 5253.00 5,253.00 18.8470 5,335.13 82.13 LT
Trade date: Jan 16, 14 282.731 18.529 5239.00 5239.00 18.840 5,326.65 87.65 LT
Trade date: Jan 17, 14 298.430 18.469 5,512.00 5,512.00 18.840 51:632122;Q 110,42 LT
Total reinvested 69.686 19.793 1379.32 18.840 .66.44
EAI: 1884 Current yield I.95%
Security total 2,409.487 17.693 41,251.00 42830.32 45,394.73 2,764.41 4,143.73
COLUMBIA CONVERTIBLE
SECURITIES FUND CLASS Z
continued next page
SDNY GM 00021534
Ctle7COOE005764723 NP7003158698 C0001 OBIS 0305750)4 Y123571550000000 Page 5 of 12
CONFIDENTIAL
EFTA_OOI 32 I 5,t
EFTA01274361

BS
*U UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your it sandal Advisor:
Friendly account name: Indiv V49935006 SCOTT STACK MANLYLE CASRIEL
August 201 5 Account number. Y1 23571 55 212.821.7000/800.308.3140
Your assets Equities . Mutual funds (continued)
Purchase pure
Number Along. once Client Cost Price per Shay Value on unrealised Rae imestmem Hddng
Hddng of shares per share (S) invettherrit (S) basil (I) al Aug31 (I) Aug31 (5) spin orlon (5) plum (5) period
Symbol: NOAX
Trade date: Dec 19,13 1,147.177 17.890 20,523.00 20323.00 18.030 20,683.60 160.60 LT
Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,942.00 18.030 15,152.05 -289.95 LT
Total reinvested 173.913 19.224 3,343.32 18.030 3,135.65 -207.67
EAI: 41,173 Current yield:3.01%
Security total 2,161.470 18.417 36,465.00 39,80832 38,971.30 -837.02 2,506.30
HARBOR CONVERTIBLE
SECURITIES FUND CLASS I
Symbol: HACSX
Trade date: Jan 29, 13 1,872.780 10.250 19,196.00 19,196.00 10.630 19,907.65 711.65 LT
Trade date: kin 17, 13 960.534 10.489 10,076.00 10,076.00 10.630 10,210.48 134.48 LT
Total reinvested 192.959 10.622 1049.78 10.630 2,051.15 1.37
EAI: 4684 Current yield 2.13%
5/easily total 3.026.273 10.350 29272.00 31,321.78 32,169.28 847.50 2,897.28
JP MORGAN INTREPID
EUROPEAN INST
Symbol: kW
Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 24.750 10,777.43 703.43 LT
Trade date: Aug 6, 13 439.831 23.286 10242.00 10,242.00 24.750 10,885.81 643.81 LT
Total reinvested 33.043 24.353 804.71 24.750 817.81 13.10
EAI: 4812 Current yield 3.61%
Security total 908.326 23.252 20,316.00 21,120.71 22,481.06 1,360.34 2.165.05
MATTHEWS ASIA DIVIDEND
FUND INSTL
Symbol: MIPIX
Trade date: Jan 29, 13 2.156431 14.781 31,876.33 31,87633 15.430 33273.73 1,397.40 LT
Trade date: Feb 1, 13 481.951 15.001 7230.21 7230.21 15.430 7,436.50 20629 LT
Total reinvested 85.781 16.379 1,405.09 15.430 1,323.60 -81.49
EAI: 41,051 Current yield:2 50%
Security total 2,724.163 14.871 39,106.54 40,511.63 42,033.83 1,522.20 2,927.29
srr Divvy,* GROWTH FUND
continued next page
CNP70303005764724NP7000193098 000040015 030575004 Y123571550 CO5Inigy_G M_00021kBe 6 of 12
CONFIDENTIAL
EFTA_00B.2 155
EFTA01274362

UBS Strategic Advisor Account natty: GHISLAINE MAXWELL Your Pi nodal Advisor:
*UBS Friendly account name: Indiv v49935006 SCOTT STACKMANLYLE CASRIEL
Au.;t,A 2201:
Account number. YI 23571 55 212-821-7000'800-308-3140
Your assets . Equities . Mutual funds (continued)
Purchase pow
rourroer Average pore Client Cost Price per share Value on Unrealized (tan Investment Hold ng
Hddng of shares per share (1) investrnenl (4) basis 3) co Aug31 (5) Aug31 (t) gain or loss (S) return (t) period
CLASS'
Symbol: SOVGX
Trade date: Mn 29, 13 2,333.831 15.430 35,941.00 35,941 00 16.730 39,044.99 3,103.99 LT
Trade date: Jun 11, 13 624.804 16.569 10353.00 10,353.00 16.730 10,452.97 99.97 LT
EA': 1745 Current yield 151%a
Security total 2,958.635 15.647 46294.00 46294.00 49,497.96 3,203.96 3203.96
TORTOISE M.P & PIPELINE
FUND CLASS INSIL.
Symbol: TOM
Trade date: Lon 29, 13 2.296 774 13.248 30,429.04 30,429.04 13.830 31,764.38 1,335 34 1335.34 LT
EAI: 1533 Current yield I.68%
Total 1243.133.58 125111520 1262.312.54 $10.196.73 $19.178.96
Total estimated annual income: $5,882
Fixed income
Mutual funds
Tots: reawtsted n the tote of al reinvested Modena. n does not include airy cash dincends. n is not a lintenzed (rag win or los tS the cIfference between the current vague and the cost basis and ittoted
ter lot for the purposes of determinng hdcing hoods or cost basis. the shares you receive each time you gainer/Ay be raw Rohde gain a og if the security was SOW CO INS date. The unreal/ad ONO On Cr 'O15 may
reinvest cl Valeria become a separate tax tot. need to be agutted for return of captti payments in sae to determine the realised ga n or loss foe '65
spoiling pumoses
COP bee d the Iola purchase cost of the security. inducing reinvesteddvdends Ire cost basis may
need to be a:Oustedfor return ci capital payments in order to hetermne the adl tested cost basis for tax Invent/sent leUM n Ihe current value anus the amount you invested. R does nag Maude shares that are not
ref:Relic purpose. reflected co your statement, indudrxy shares that hare been matted m either a gam or a tat it also does we
include cash doidends that were not reinvested
Purchase price'
ran-tier Avelgt pace Client Cost Price per share value on Unredized diat) Inuetnient Hddng
Hddng of shares per share (3) investment (S) basis(%) m Aug31 CS) Aug31 (I) gain or loss OS return (5) period
AVENUE CREDIT STRATEGIES
FUND CLASS INSTL
Symbol. ACSSX
Trade date: Nov 12, 13 910.736 11.270 10261 00 10.264 00 10.390 9.462.55 -80145 LT
Trade date: Nov 18, 13 912.566 11.300 10,312.00 10,312.00 10.390 9,481.56 -830.44 LT
Trade date: Nov 25, 13 911.661 11.319 10320.00 10320.00 10.390 9,472.16 .847.84 LT
Total reinvested 200.594 11.093 2,225.22 10.390 2,084.17 .141.05
continued next page
SDNY GM 00021536
Cf1P70309305764 725 NPT000193698 00(04 MIS 030579004 Y123571550 000000 Page 7 of 12
CONFIDENTIAL
EFTA 01)132156
EFTA01274363

BS
*U UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Knands1 Advisor,
Friendly account name: Indiv V49935006 SCOTT STACK MANY LYLE CASRIEL
August 201 5 Account number. Y1 23571 55 212.82l-7000/800.308.3140
Your assets t Fixed income . Mutual
funds (continued)
Purchase puce'
Hurrbet mein pike Client Cost Price per share Value On unrealized 044 investment Hddng
Hddng of shares poi sham (S) investment (1) Oasis(!) on Aug 31 (1) Aug 31 (1) coin orlon (1) return (5) potion
(Al: 11,385 Current yield: 4.54%
Security total 2.935.557 11.283 30,896.00 33.121.22 30,500.43 -2,620.78 -395.56
8LACKROCK HIGH HELD
BOND I
Symbol: 8HYIX
Trade date: Jan 29, 13 4,811.156 8.200 39,451.48 39,451.48 7.680 36,949.67 -2,501.81 LT
Trade date: kin 27, 13 2.481.156 7.959 19'50.00 19,750.00 7.680 19.055.28 -694.72 LT
Total reinvested 757.805 8.036 6,135.59 7.680 5,819.94 -31565
EAI: $3,470 Current yield: 5.61%
Security total 8,050.117 8.116 59201.48 65,337.07 61,824.89 -3,512.18 2,623.41
COHEN & STEERS PREFERRED
SEC & INC FUND I
Symbol: CP/4X
Trade date: /an 29, 13 3,002.068 13.487 40,490.57 40.490.57 13.530 40,617.98 127.41 LT
Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.530 10,020.66 102.26 LT
Trade date: fun 14, 13 751.274 13.309 9,999.02 9,999.02 13.530 10,164.74 16532 LT
Total reinvested 418.491 13.647 5,711.46 13.530 8662.18 -49.28
(Al: 13,949 anent yield: 5.94%
Security total 4,912.458 13.460 60,407.99 66,119.45 66,465.55 34611 6,057.57
DOUBLE UNE TOTAL RETURN
FUND INSTL
Symbol: DI3LTX
Trade date: Jan 29, 13 12,498.155 11.379 142229.00 142,229.00 10.890 136,104.90 -6,124.10 LT
Total reinvested 866.966 10.972 9,512.73 10.890 9.441.26 -71.47
(Al: 46,148 Current yield. 4.22%
Security total 13.365.121 11.354 142229.00 151,741.73 145,546.16 -6,19857 3,317.16
EATON VANCE FLOATING
RATE ADVANTAGE CL I
Symbol: EIFAX
Trade date: /an 29, 13 7,524.150 11.180 84,120.00 84,120.00 10.660 80207.43 -3,912.57 LT
Total reinvested 549.919 10.982 6,039.33 10.660 5.862.14 -177.19
continued next page
0/P70008005764726 NP7000I 93698 0003, 01315 030575004 VI 2337185000MINGM00021%/e I of 12
CONFIDENTIAL
EFTA 00132157
EFTA01274364

(SUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your III sandal Advisor:
Friendly account name: Indiv V49935006 SCOTT STACKMANLYLE CASRIEL
AuguSt 201 5 Account number. VI 23571 55 212-821-7000/800-308-3140
assets . Fixed income .
Your Mutual funds (contrived)
Purchase Cad
Humber Average pnce client Cost Price per share Value on Unrealized (tad investment Holdng
Hddng of shares per share ft/ investment (1) basis (S) an Aug 31 (1) Aug 31 (5) gain °floss (1) return (5) period
EAI: 34,239 Current yield: 4.93%
Security total 8,074.069 11.167 84,120.00 90,159.33 86,069.57 -4,089.76 1,949.57
HARBOR HIGH YIELD BD FD
INSTITUTIONAL CL
Symbol. HYFAX
Trade date: Ian 29, 13 2.660.657 11,239 29,905.78 29,905.78 10.130 26,952.45 -2,95133 LT
Total reinvested 273.914 10.510 2,878.88 10.130 2,774.75 -10/.13
(Al: 11,596 Current yield: 5.37%
Security total 2,934.571 11.172 29,905.78 32,784.66 29,727.20 -3,057.46 -178.58
HSBC TOTAL RETURN
FUND CLASS I
Symbol: MD(
Trade date: Jan 29, 13 3,858.567 10.289 39.704.65 39,704.65 10.360 39,974.75 270.10 270.10 LT
EAI: 4764 Current yield 1.91%
JPMORGAN UNCONSTRAINED
DEBT FUNDCLASS SELECT
Symbol: JSISX
Trade date: Ian 29, 13 4,784.864 10.260 49,092.71 49,092.71 9.780 46,795.97 -2,29634 LT
Total reinvested 331.301 10.085 3,341.45 9.780 3240.12 -101.33
(Al: 42,711 Current yield: 5.42%
Security total 5,116.165 10.249 49092.71 52,434.16 50,036.09 -2,398.07 943.38
METROPOLITAN WEST TOTAL
RETURN BOND FUND CLASS I
Symbol: MWTIX
Trade date: Oct 24, 13 7,192.344 10.709 77,030.00 77,030.00 10.510 77,749.24 719.24 LT
Total rebrentrd 250.228 10.861 2,717.76 10.810 2,704.96 -12.80
EAI: 41,540 Current yield: 1.91%
Security total 7,442.572 10.715 77,030.00 79,747.76 80,454.20 706,44 3,424.20
RIDGEWOR11-I SEIX ROATING
RATEIIGH INCOME FUND
CLASS I
continued next page
SONY GM 00021538
CNPM001005764777Nr1OCOI93698 COON IS 030575004 YI23571550000000 Page 9 of 12
CONFIDENTIAL
EFTA_00132158
EFTA01274365

*UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your 11n odal Advisor,
Friendly account name:Indiv V49935006 SCOTT STACK MANILYLE CASRIEL
August 2015 Account number: Y1 23571 55 212.821.7000/800.308.3140
Your assets . Fixed income . Mutual funds (continued)
Purchase price
timber Arcing pent Client Cost Price per Ogee Value on Unrealized0dg Investment Hefting
Hddng of :hates per share(!) investment (3) basis (S) en Aug31 (T) Aug 3 (5) gainOr1031 (5) return (5) period
Symbol: SAMBX
Trade date: Ian 29, 13 6.502.655 9.039 58,784.00 58,784 00 8.690 56,508.07 -2,275.93 LT
Total reinvested 446.270 8.924 3,982.61 8.690 3,878.09 •104.52
EAI: 32,828 Current yield: 4 68%
Security total 6,948.925 9.033 58,784.00 62,766 61 60,385.15 -2,380 45 1.602.16
T ROWE PRICE
INSTITUTIONAL FLOATING
RATE F CLASS
Symbol: PFFRX
Trade date: Jan 29, 13 5394.060 10.270 55,397.00 55,397.00 10.030 54,102.41 -1,294.59 LT
Total reinvested 329.594 10.168 3351.62 10.030 3,305.83 -45.79
EAI: 12,472 Current yield- 4 31%
Security total 5.723.654 10.264 55397.00 58,748 62 57,408.24 -1,340.38 2,011.24
Total $686,768.61 3732,665.26 $708,393.23 424,272.00 3,21.624.62
Total estimated annual income: $31,102
Non-traditional
Mutual funds
Tc:ai re.nvestcd ES the 'old dal reinvested dvidends n acts not include any cash declends. it is not a lac Onreglard (WO gain or Ar.s rf lit difference between the current nitre and t* cost oars aid would
lot ICI the purposes of deverrrtning ncidng periods or cost basis. The shares you receive each titre you ceneraty be your tenable gan a lett it the secuity was sad co ths date. The unrealueclgeo4 San 0 loss
reinsest dvdtinds become a separate tax lot may need 10 be alvsted for return of caplet payrnems in order tO bete emir* tne reaszed gain or loss for tax
reporting purposes.
Cost ban is the tom purchase cost of the SeCurity. indudng reinveSteddudends The COSI basis may need
lobe &tuatara return cil captal ponents in order to oeternne the adustea cost Oasis for tar rePOnIN InieSttnent leftiO r Is the current value Inns the amount you I nreStect It does not 011(lutTe shares that are not
Purposes. reflected co your statement, includngstwes that nave teen (tallied as either a win a a loss. It also does
not include cash dadencli that were not reinvested.
Purchase price
moron Arcing puce Client Cost Pnce per shoe Value on unrealized QM imesunent Holdrg
ticking of shares per share (S) investment (5) basis (S) co Aug31 IP Aug 31 CS) gain or toss (S) return (S) period
GATEWAY FUND CLASS Y
Symbol. GTEYX
Trade date: San 29, 13 1,089.208 27.580 30,040.36 30,040.36 29.360 31,979.14 1,938.78 LT
Total reinvested 32.350 29.658 959.46 29.360 949.80 -9.66
(Al: 3700 Current yield 2.13%
Security total 1.121.558 27.640 30,040.36 30,999 82 32,928.94 1,929.12 2.88858
CHP7C0C030$764728 NP7000193698 00034 Cell 50305755004 Y1235715500000,wGiummilan 10 Of 12
CONFIDENTIAL
EFTA_00132159
EFTA01274366

UBS Strategic Advisor Account nenne: GHISLAINE MAXWELL Your Nnandal Advisor.
UB Friendly account name:Indtv V49935006 SCOTT STACKMANLYLE CASRIEL
S August 201 5 Account number: Y I 23571 55 212-821-70301800-308-3140
YOlif aSSe1.5(contmued)
Your total assets
focentage d Cost Estmste0 utsteXtze0
iahe on Aug 31 (i‘ yOur ttccunt basis (I) annua) inccme IN 9aln or IOU (1)
Equities Mutual funds 262.312.54 26.14% 252,115.80 5.882.00 10.196.73
11xed income Mutual funds 708,393 23 70.58% 732.665.26 31.102.00 -24272.00
Non-traditional Mutual funds 32,928.94 328% 30,999.82 700.00 1.929.12
Total $1,003,634.71 100.00% 51,015,780.88 537,684.00 -512,146.15
Account activity this month
Date Aaldry Desce4I00
Dividend und interest imoorne
Taxab4 dmdencls Aug 3 Dividend METROPOLITAN WEST TOTAL RETURN BOND FUND GASS I AS OF 07131/15 133.41
Aug 3 Dividend RIDGEWORTH SEIX FLOATING RATEHIGH INCOME FUNDCLASS I AS Of 237.69
07131/15
Aug 3 Dividend DOUBLE UNE TOTAL RETURN FUND INSTI. AS OF 07131115 526.05
Aug 3 Cmdend COHEN & STIERS PREFERRED SEC & INC FUND I AS OF 07131/15 327.53
Aug 3 Dividend EATC49 VANCE FLOATING RATE A DVANTAGE CL I AS OF 07131/15 355.38
Aug 3 Cividend T ROWE PRICE INSTITUTIONAL BOATING RATE F CLA,SS AS Of 07/31/15 219.41
Aug 3 Dividend BLACK ROCK HIGH YELD BOND IA5 OF 0713015 292.64
Aug 3 Duldend HUK TOTAL RETURN FUND CLASS I 19.29
Aug 28 Ovidend 1PMORGAN uNccriSTRAINED LEBT FUND CLASS SELECT 117.40
Total taxable dividends 82228.80
Total dividend und intenst income 12228.80
os< Anlwly cescepeon Amounl (S)
Otter funds debited Aug 18 Transfer JOURNAL TO Y1 23575 GHSLANE wooneELL •21.43
Total other funds debited -$2143
SDNY GM 00021540
CNP700C6005764729NP7000193698 00004 OB15 030175004 Y123571550000000 Page 11 of 12
CONFIDENTIAL
EFTA_00132160
EFTA01274367

*UBS
UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your linandd Advisor:
Friendly account name: Indiv V49935006 SCOTT STACK MANY LYLE CASRIEL
August 201 5 Account number. Y1 23571 55 212-821.7000/800-308.3 140
Account activity this month (continued)
Investment transactions
For more information about the pocelvalue shown for restricted securities. see Important information stout
your Ilaterxere at the end of this clocunent
PIOCted5 WOW Funct
inwestment vAthdrane for Accrued
Date Actnity Descdpbon Owwitity vane (S) Price (S) warnactican (S) imestrneMsbotaffit CD interest (S)
Aug 3 Reinvestment METROPOLITAN WEST TOTAL RETURN BOND 12.296 -133.41
FUND CLASS I DIVIDEND REINVESTED AT 10.85
NAV ON 07131/15 AS OF 07/31115
Aug 3 Reinvestment RIDGEWORTH SEC( FLOATING RATEHIGH 27.010 -237.69
INCOME FUND CLASS I DR/IDENDREINVESTED
AT 8.80 NAV ON 07/31/15 AS OF 07/31115
Aug 3 Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL 48.173 -526.05
CIVIDEND REINVESTED AT 10.92 NAV ON
07131/IS AS OF 07/31115
Aug 3 Reinvestment COHEN & STEERS PREFERRED SEC & INC RJND I 24.012 -327.53
CWIDEND REINVESTED AT 13.64 NAV ON
07/31115 AS OF 07/31/15
Aug 3 Reinvestment EATON VANCE FLOATING RATE ADVANTAGE CL 32.875 -355.38
I DIVIDEND REINVESTED AT 10.81 NAY ON
07/31115 AS OF 07/31115
Aug 3 Reinvestment T ROWE PRICE INSTITUTIONAL FLOATING RATE F 21.681 -219.41
CLASS DIVIDEND REINVESTED AT 10.12 NAV ON
07/31/15 ASOF 07/31115
Aug 3 Reinvestment BLACK ROCK HIGH MELD BOND I DIVIDEND 37.374 -292.64
REINVESTED AT 7.83 NAV ON 07/3 V IS AS OF
07131115
Aug 28 Reinvestment 1PMORGAN UNCONSTRAINED DEBT FUND 12.016 -117.40
CLASS SELECT DWIDEND REINVESTED AT 9.77
NAV ON 08/27715
Total -$2.209.51
Date Aarvity Description Arrount (I)
Money balance activities faI31 Balance forward $2.14
Aug 4 Deposit IRS BANK USA DEPOSIT ACCOUNT 19.29
Aug 19 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 0811&15 .21.43
Aug 31 Closing UBS Bank USA Deposit Account S0.00
The UBS Bank USA Deposit Account Is your primary sweep colon
ENP7C009005764730NP70C0199638 00004 CEOS 030575004 Y12357155000Myokt0002Ifibaq 12 of 12
End of statement for account number Y1 23571 SS
CONFIDENTIAL
EFTA 00132161
EFTA01274368

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min Man ri maned vake fats* resigned not tr maand connection wit the ~ration of vain eicktOng
potyaniS Of 026 Styytace oar To the eairn eta option toetoon, has been ncirled conlinnitons
• priciimisto Fixes ckplond la faunae, rod othe rest, kted seasille it Olt* lot sat te nix rated preyoudy Ism and to you. aid wit be pmeded to iou
products may be Orr ce aver than te pro that you may be substantial., less tan the imputed via town pump* on rand
would xtually rectve in the market laces are Played
Irwin:um seed pry sources much we bekeee to te • In. IneinerAd) nara, airmatyiolds and rats. An gnat Pang
restlok, lit we do not gamin tee aloracy estimate of amid ncome is based on anent eariand pay am «gaged in tort telhg nasty you may Mar a
- Wo nab no te dosngprw when *rabbi. er the and Memo Awn waning the ,00rstift will be held for chage ekae to anal lacewing costs fatal palcula
mcan or the bid ail ask aces Ice 'Pad securers and one year from mammal date or ant natural, this stony
optorn or on k bd prces la OTC wanes eimate 6 on 3 gurailine. aXuraq aid ccntnaed
- Let atm./ trabd rearms maybe aced rung a riCOme se not g,uraueed Open onion
valatien In004 ce toms; resem ;rice we obtaeed - Est Mated anus income an armor Weal for afar Regaling Open cir igoodaileariailod• owlets that wore not
Mint nol Plea an atia mate puce or Mkt 111”501 Wanes mud haute dream of ;recta or pelted byte Patient date opat buy ad sell Rop
- Conan positions may appear ~lout apnoea)] mil coati gard in whit cafe the eet name Lan current ceders we taxed by the 31113UOt of dnidendscr (gab on
show z 'pace was not writable t we am table to yell would be mention ark oydradondsor ambles date uien mewed otherwise
anal a pace for a stony - Eanuted ~al name aid current Weld aid the by you You re rea»mable foe orders the are emicuted die
- 0(5001, Or gashes dencenetnd n arrenoes other actura nanee and held night be lotsera hgher thai t0 )0U1 lateg to cancel emarg open orders
Mt U S dollars are ref tad a the eritagerae as of the esiknate1 amain
the assonant date - An ea endre of irmaleed incomeWaded andor Tax withirldhp on ~ono amen UBE Financial
- For dawn sedates nadec n non<c"rm'n9 mend dated byte ogee matse vat» nor Senate' IRAS
den,mn3hcos. ace aid Warty dace mhe)mat hat balance 6 b3Sed as the last dunand or maw Tedeal tar Uri retires UETS blanket Servias to ~hold
been waned» Innate proper %maim payment made by tenter an manes the Maw tai from yes unable PA diprIbut crd tut you may
To Obtain castm gasact whon talable mrt yea secret indmons wil be hold'« one you ban th• eat nor lobe. mare lay wagon or kismet you nay
tenant thew statement dae or vita ~My Aoaeatt ald Pea to hamla wilatold a era. B el a leed ~wit as
waned pal re not guadrifted you choose Yd/ Paton wit remain si ef feCt unta retied
• Prima Inecamims and euaind Breda Panto by you You mayrealm your tipdm a any Ono by ~mg
-mestmare :aunt (nclidng direct pm:Paton • Asset not hold Tay USE Financial Swaim Conan anew Mann a pu do not ham crotch inerte tar
argon aid realestate nrstmertt trust wane* and anal are rot hen byte~ an not mitt, te ants wafted from your dimbutions. you maybe recant,* f
finalised preguaS ferried., hght Mgt/ (elan possess«, or enrol Cher asses re dotted al yam the mime« of blenXedir yOu may nar pen nat A ten
struck/oil prabas han nee Dom mgarined mt. the statenent for irdonnitional ~Mel ont Postal, an moults witted and your estimated la payments arrest
5.3.11*, and Exchange Canmssi:n ce under any state •pas presented re pcnitd byte issung firm UK eta CO yea iambligatig
learriteS PM We prOnle eStmred valises la Sainte • liana Segos is not repOnSbili 10e this &amain
meunen ~tom aid stamina prodan eOr and does int 5uarallte is aaanCy niese assets aenOt Privacy
atrial ionalputmently Am/racy e ro19unnl(Cd protected by SVC a to anwi suppananial SaC To aten a copy of ar merino (Wm Panty Amity prize
- Shea value maydale stswitalla from axes if ay pommy contact your F natal Admor «Meow wedre at
at itch inmate resestrnero smutty« structured ~iv unecnignianeetra
picdtád maybe touVit a we and do not ~nth • Restnar sharing and addkkanaleompensadom
represent the vale you may receive upt Imo:Salon - m additim to comminom on tas* ad MI tom IBS Strad Sorykos k not a bair The WA. Emma
- Thal piny mutates of vim are as of a deem <Jae nowt/ in connection with the datrtuton of tranua Senices Most BSA and MIA re beca «ape aX0a115
aid re applied w UBS inkroal Servos on a ray lar funds to our dents we alder our atria! realm ello t provde access to bat rid saven dei prodinS
baus by an notponcient valuation Inn (*eau. fl og tynents trom desbutors ~or through anaigemints wit affautod bras all citer tit
- issue gown pannier ce spats« adman whet d asolm cl the metal funds that we soli These party baiet and provides access to rasar« rd truly
ay. are Peplied to the Fern by te Ott general anants debased an two (Tiernan aerporonts fJ prodals isted by unatf dated tad Carty innana
pain« or bettor and may be attain based en The Wawa of latedbyuBS 01 a partcuLa camel fund contras through nvran0e agency ~Mama utS
Ohre* Manton from that usedbytad patio to Iamb to me dents. an Id the me mite of a Fmnial Satan in
date thee remtod tabor patwIr Medal find lamb% Sh1rOt h€41 a ren lion
- You cal obtain anal itcrmaton regadng the - We an cm at Aite arp melee retnakng and inetimpt. man. and annuly Brahman
~logy used to determine the minute of vas ormtknprocesung lees n wradefaton lor urger rot IOC insured • No bat* guarantee May lose vake
and the dace of the hformacon PLR Is te bate foe the asemt sakes tut we proud* to ten auai funds
Mtn. by ants:Pig your Anoxia Adisor Thew fen gene" are pad tan imenor awn in the RFM Rtisourceinpaginani account Business SeviCin
mutual laid rid are stied dolt< anaal based on the ~um BSA. WM and untamed Resoace hariagantnt
SDNY_G M_0002 154 3
CONFIDENTIAL
EFTA 00132163
EFTA01274370

UB5 Financial Services Inc. UBS Strategic Advisor
*UBS 299 Park Avenue
25th Floor
New York NY 10171.0002 September 2015
Cm-70055265270915>P Y1 0
GHISLA1NE MAXWELL
116 E 65TH STREET
NEW YORK NY 10065.7007
Account name: GHIStANE MAXWELL
Friendly account name: Indio. V49935006
Account number V 1 23571 SS
Your linancial Advisor-
SCOTT STACK MANILYLE CASRIEL
Mono 212-821-70001800-308-3140
Questions about your statement? Value of your account
Call your Financial Advisor- or the
RMA nesourceline at 800-RMA-1000, on August 31 (3) on September 30(4)
account 029323571.
Your assets 1,003,634.71 987,050.49
Visitour website: Your liabilities 0.00 0.00
www.ubstomlfinancialservices
Value of your account 11,003,634.71 $997,050.49
Sources of your account growth
Tracking the value of your account during 2015
Value of your account
S Thc TrAndS at year end 2014 31,011812.53
Net deposits and
withdrawals -31020089
' 6'1 A 1003 6 987.1
Your IIVIStilleil t return
• •
Diwlendantl
interest income 125874.43
Chan, in
market value .140,535 58
Value of your account
on Sep 30. 2015 $987,050.49
Dec 2014 Aug 2015 Sep 2015
SONY GM 00021544
Member SIPC CNP700090055265.27m7000303390 00004 0915 030575004 v123571550 100000 Page 1 of 14
CONFIDENTIAL
EFTA 00132164
EFTA01274371

UBS UBS Strategic Advisor Account name: GHISLAINE MAXWEU. Your K Randal Advisor.
Friendly account name: Indiy V499350% SCOTT STACK MANL YLE CASRIEL
September 2015 Account number: Kt 23571 55 212-82 14000/ 800-303.3 140
Your account balance sheet
Summary of your assets
Value on Percentage of
September 30 (8) your XCOUnt
A Cash and rrxmey balances 0.00 0.00% Your current asset allocation
B Cash alternatives 0.00 0.00%
C Equities 251,297.86 25.46%
D Fixed income 703,116.55 71.23%
E Non-traditional 32,636.08 3 31%
F Commodities 0.00 000%
G Other 0.00 000%
Total assets $987,050.49 100.00%
Value of your account $987,050.49
Eye on the markets
Percentage change
Index September 2015 Year to date
S&P 500 -2.47% -529%
Russell 3000 -2.91% -545%
MSC I - Europe, Australia & Far East -5.04% -4.91%
Barclays Capital U.S. Aggregate Bond Index 0.68% 1.13%
Interest rates on September 30, 2015
3-month Treasury bills: 0.00%
One-month LIBOR: 0.19%
CNP70009006526528 Ne70C0303380 00084 0915 030575004 `112357155010aPit GM 00021!$P 2 of 14
CONFIDENTIAL
EFTA 00132165
EFTA01274372

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Financial Advisor:
UBS Friendly account name:Indiv.V49935006 SCOTT STACK mAre Lai CASRIEL
September 2015 Account number. Y1 23571 55 212-821-70001800-308-3140
Change in the value of your account Summary of gains and losses
September 2015(S! Year to date (I) Values reported tercet <Elute products for which gans and losses ale not classified.
Realized gains and losses Unrealized
Opening account value $1,003,634.71 $1,011,812.53
September 2015 (1) Year to date (1) gains and losses (I)
Deposits, including investments
transferred in 0.00 1,300.00 Short term 0.00 0.00 -1,298 45
Withdrawals and fees, Long term 0.00 0.00 -30,896.62
including investments transferred $0.00
Total $0.00 -$32,195.07
out -19.30 -11,500.89
Dividend and interest income 3,484.00 25,974.43 Cash activity summary
Change in market value -20,048.92 -40,535.58
See Account sant the MOM?) for decals Banes in your Sweep OpS Pm are includedIn the cpenrg and
Closing account value $987,050.49 $987,050.49 closing balances rare. FDIC Insurance *pees only to deposits at UBSElarth USA, not to departs a UBS 44
Stamford Branch or bank deposits pared through the UBSInternitiond Deport Account pograin SIPC
protection applies to money market sweep fund holdings but not bark dtpotilt See important ingormarion
Dividend and interest income earned about your statement an the teat two pages d this document for details.
September 2015 (1) Year to date IS)
For purposes of ths statement to ttaly of Inieftfl and diadem" income has been °tremens from a US Opening balances $0.00 $9,359.42
tat reporting perspective. Bawd upon the residence of the account hoktoc acount type, or product type,
sane interest ardor dvidend payments TN not be subject to United States (US) ardor Puerto Rico (FR) Additions
Income tarn. The (lent monke i flatemeM is not intended to bt used rid camel be Irked upon for to
purposes. Clients should Wet to the appletle tax reporting loam they teethe Iran U€S smugly, such as Deposits and other funds credited 0.00 1,300.00
the F0rmS 1099 and the Fern 480. for tat epprong information_ n Is the padre d u85 to rile the
appiiratte to mooning forms with the u5 Interred Revenue Senice and PR Treasury Depart/rent and in Dividend aid interest income 3,484.00 25,974.43
such forms accurately classify dalends arida interest at tae ereitipt or taut* Warne. Plate consult yew
inctedual tar prepare,. Total additions $3,484.00 S27,274.43
September 2015 Year to date (S) Subtractions
Taxable dividends 3,484.00 23,425.63 Professional management fees and
related services 0.00 -3,830.52
Long-term caprla I gains 0.00 761.63
Other funds debited -19.30 -7,670.37
Taxable interest 0.00 0.89
Funds withdrawn for investments
Total current year $3,484.00 S24,188.15 bought -3,464.70 -25,132.96
Prior year adjustment 0.00 1,786.28 Total subtractions -$3,484.00 -$36,633.85
Total dividend & interest $3,484.00 $25,974.43 Net cash flow $0.00 -$9,359.42
Closing balances $0.00 $0.00
SDNY GM 00021546
0070003006526579Ne7OCOXG380 COCOS 0915 030575004 Y123571550100300 Pegs 3 a 14
CONFIDENTIAL
EFTA_00132166
EFTA01274373

UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your financial Advisor
Friendly account name:Indiv V49939;06 SCOTT STACK MANLYLE CASK'.
September 2015 Account number. YI 23571 55 212 -82I.7CCOf 800-308-3140
UBS Bank USA Deposit Account APY
Interest Period Aug 7 - Sep 7
Opening UBS Bank USA Deposit balance Aug 7 $21.43
Closing UBS Bank USA Deposit balance Sep 7 $0.00
Number of days in interest period 32
Average daily balance $7.97
Interest earned $0. 00
Annual percentage mid 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 with to change them, please contact you
France' Advisor or Branch Manager. You can find a full description of the alternative
investment objectives in important information about your sraremenrat the end of this
document
Your return objective:
Current income & capital appreciation
Your risk profile:
Primary Moderate
investment eligibility conseleratvon None selected
Your account instructions
• Your account is currently coded for margin.
• You account cost basis default closing method is FIFO, First In, First Out.
CNP7C00)2306526530 NM000303380 COON 0915 030575004 Y123571 $50 1°4614YGM00021Vige 4 of 14
CONFIDENTIAL
EFTA_00 I 32 I 67
EFTA01274374

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your /I nandal Advisor:
;It UBS Friendly account newt.: Indiv v49935006 SCOTT STACKMANLYLE CASRIEL
September 2015 Account number. Y1 23571 55 212-821-7000'800-308-3140
Your assets
Some pnces, income and current vaues ShOwn may be approximate. AS a its ul. gam and lOsses may nol
be accuralely refkcled. Set hepodent infonveaen about your sferenierr a the end of ths dxumem for
more infornason.
Equities
Mutual funds
Total recovestal is the Iota d at reinvested dvelenck II does rot incluoe any cash chideWs. t is not a la Unrealezed (far) gam or loss is the dfference between the c urrenl value and t le cost bass and would
lot for the purposes of determining hoid rig periods or cost basis. The shares you receive earl tee you genera be your tarifa* gan of loss if the serially was sold On this date. The unreaszed (tag gan or loss
reinwsi dudench become a separate tax lot. may need 10 be aersusted for return of Pitted Paimems In Older 10 determine the maze:loin or las for tax
reporting purposes.
Cost bass is the tots purchase cost of the security, inducing ranvesteddvdends The cost basis may reed
to be adusted Ice return Cl capta pawl-rents inorder to determine the adusted cost bars for to reporting 3n/earned"( return Is the current value minus the arount you invested. It does not include shales that are net
pfiposts. reflected on your statement, includ ng shares that have been rearzedaS either a gin ce a loss It aso &es
not include rash dodencls Mai were nob nvested
Purchase twee
aht k;iTwo ApvetliasphearPer (irse) Client Cost Price Der Share Value on Unrealized08J imestment Herring
isching investment 01 bait (S) On Sep30(1) Sep 30 CS) grain or loSS (3) return 01 period
CLEARBROGE DIVIDEND
STRATEGY 101,0CLASS I
Symbol. SOPYX
Trade date: Jun 26, 13 1,179.249 16.769 19,776 00 19,776.00 18.450 21,757.14 1,981.14 LT
Trade date: Jan 14, 14 295.210 18.470 5,471.00 5,471.00 18.450 5.465.07 -5.93 LT
Trade date: Ian 15, 14 283.181 18.549 5253.00 525300 18.450 5224.69 -28.31 LT
Trade date: Jan 16, 14 282.731 18.529 5239.00 5,239.00 18.450 5,216.39 -22.6! LT
Trade date: Jan 17, 14 298.430 18.469 5,512.00 5,512.00 18.450 5,506.03 -5.97 LT
Total reinvested 69.686 19.793 1,379.32 18.450 1285.71 -93.61
EAI: 1884 Current yield 1.99%
Security total 2A09.487 17.693 41251.00 42.630 32 44,455 03 1,824.77 3204.03
COLUMBIA CONVERTIBLE
SECURITIES FUNDCLASS Z
Symbol. NC IA.X
Trade date: Dec 19, 13 1,147.177 17.890 20,523.00 20,523.00 17.230 19,765.86 •757.14 LT
Trade date: Feb 19, 14 840.380 18.969 15,942.00 15,912 00 17.230 14,479 74 -1,462.26 LT
Total reinvested 190.942 19.094 3,645.93 17.230 3289.93 -356.00
(Al: 31,183 Current yield' 3 15%
Security total 2,178.499 18.412 36,465.00 40,110.93 37,535.53 -2,575 40 1,070.53
continued next page
SDNY GM 00021548
CelP7C00306576531 NP7003303390 00001 0915 030575004 Y17357155010000) Page S of 14
CONFIDENTIAL
EFTA 00132168
EFTA01274375

SUBS
UBS Strategic Advisor Account name: GHISLA1NE MAXWELL Your II sandal Advisor:
Friendly account name: Indiv V49935006 SCOTT STACK MANLYLE CASIVEL
September 2015 Account number. VI 23571 S5 212.82 I-7000/1300-3C8•3140
Your assets . Equities . Mutual funds (continued)
Purchase puce'
Number AlltI4W price Client Cost Price per share Value on unrealized 0a4 'mese:nerd Hddng
Hddng of shares per (5) investment CS) bask (I) on Sep 30(1) Sep 30 (I) coin aloe (I) return (S) period
RUBOR CONVERTIBLE
SECURITIES FUND CLASS I
Symbol HACSX
Trade date: Jan 29, 13 1,872.780 10250 19,196.00 19,19600 10.430 19,533.09 337.09 LT
Trade date: Jun 17, 13 960.534 10.489 10076.00 10,076.00 10.430 10,018.37 .57.63 LT
Total reinvested 202.030 10.622 2,146.02 10.430 2,107.17 -38.85
EAI: 1%8 Current yield 2.11%
Security total 3,035.344 10.351 29272 .00 31,418.02 31,658.63 240.61 2,386.63
JP MORGAN INTREPID
EUROPEAN INST
Symbol: .IFEIX
Trade date: Aug 1, 13 435.452 23.134 10,074.00 10,074.00 23.990 10,446.49 37149 LT
Trade date: Aug 6, 13 439.831 23.286 10242.00 10242.00 23.990 10,551.55 309.55 LT
Total reinvested 33.043 24.353 804.71 23.990 792.70 •12.01
EAI: 1812 Current yield 3.73%
Security total 908.326 23.252 20,316.00 21,120.71 21,790.74 670.03 1,474.74
MATTHEWS ASIA DIVIDEND
RJND INSTL
Symbol. MIPIX
Trade date: Jan 29, 13 2,156.431 14.781 31,876.33 31,876.33 14.910 32,152.38 276.05 LT
Trade date: Feb 1, 13 481.951 15.001 7230.21 7230.21 14.910 7,185.89 -44.32 LT
Total reinvested 92.295 16.294 1,503.91 14.910 1376.12 427.79
EAI: 1677 Current yield 1.66%
Security total 2,730.677 14.872 39.106.54 40,610.45 40,714.39 103.94 1,607.85
SIT DIVIDEND GROWTH FUND
CLASS I
Symbol: SDVGX
Trade date: Jan 29, 13 2.333.831 15.400 35,941.00 35,941.00 16.230 37,878.07 1,937.07 LT
Trade date: Jun 11, 13 624.804 16.569 10353.00 10353.00 16.230 10,140.57 -21143 LT
(Al: 1745 Current yield 1.55%
Security total 2,958.635 15.647 46294.00 46294.00 48,018.64 1,724.64 1,724.64
continued next page
CNP70009006526532 NP700030338000004 D315030575001'1123371 s301°4014YGPv100021%.4 6 of 14
CONFIDENTIAL
EFTA 00132169
EFTA01274376

UBS Strategic Advisor Account name: GHIS(.AINE MAXVVEU. Your Financial Advisor:
UBS Friendly account narne:Indiv v49935006 SCOTT STACKMANLYLE CASRIEL
September 2015 Account number. Y1 23571 55 212-821-70001800-308-3140
assets . Equities .
Your Mutual funds (continued)
Purchase paw
Nurroa Arerary axe client Cost ence per share value on unrealized 0a.) mostment Hdd ng
HcIdng of shares per share (I) investment (f) bedsit) on Sep 30(9) Sep 301f) gain or toss Of return (S) period
TORTOISE MI) & PIPELNE
FUND CLASS INSTL
Symbol. TORIX
Trade date Jan 29, 13 2.296.774 13.248 30,42904 3042904 11.810 27,124.90 -3,304,14 -3304.14 LT
EAI: 3533 Current yield 1 96°/.
Total 5243.133.58 $252.613.47 $251297.86 -$1,315.61 $8,164.28
Total estimated annual income: 55.502
Fixed income
Mutual funds
Tote/ reinvested h the fold pi al reinvested dvxknds n does not include any cash dvlends, n is not a Unrealeed (rarTgain or Ices is the diligence between the current value and the cost basis and woukl
tar lot for the purposes of determIn no hdcing periods or cost bags. The shares you receive each time you gentralY be your lasaae Ohn a loss d the security was sold on this date. The unreerized Ras) Cran of loss may
reinvest chidenct become a separate tar need to be a4usted for return of capita cow-mills in order to detenrine the realised gan or foss fa far
Cost And d the total purchase cost of the security. indudng reinvested dvdends The cost basis may reponiniaputpcits
need to be ousted for return d cepts payments in order to deterrnne the alustedcost basis for Is. investment recur it Ihe current vduerrfnus the amount you inverted t does not include shares that are not
reporting purposes. reflected on you statement, indudng shares that hare been ma 'red as either a gan a a toss It iso does not
include cash eigdenCIS that were not reinvested
Purchase towel
Norther Average price Client Cost Rice per Shale value on unrealized (tail tmestrnent Had rba
Hddng of shares per share ft investment II) basis (1) on Sep 30 (4) see 30 (s) gain or las (S) return (5) Pthol
AVENUE CREDIT STRATEGIES
FUND CLASS INSTL
Symbol. ACSBX
Trade date: Nov 12, 13 910.736 11.270 10,264.00 10,264.00 10.070 9,171.11 -1,092.89 LT
Trade date: Nov 18, 13 912.566 11.300 10,312.00 10,312.00 10.070 9.189.54 -1,122.46 LT
Trade date: Nov 25, 13 911.661 11.319 10220.03 10220.00 10.070 9,180.43 -1,139.57 LT
Trade date: Sep 29, 15 36.025 10.079 363.13 363.13 10.070 362.77 -036 ST
Total reinvested 200.594 11.093 2225.22 10.070 2,019.98 -205.24
EAI: 11,402 Current yield. 4.69%
Security total 2.971 582 11.268 31259.13 33,484.35 29,923.83 -3,%0.52 -1,335.30
8LACKROCK HIGH YIELD
80ND 1
Symbol. PHYIX
continued next page
SONY GM 00021550
CHP7030?305526533NP700330.3380 00004 09IS 030575004 Y123571550100000 Page 7 of 14
CONFIDENTIAL
EFTA 00132170
EFTA01274377

*UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Hounds Advisor,
friendly account name: Indiv V49935006 SCOTT STACK MANLYLE CASRIEL
September 2015 Account number. Y1 23571 SS 212.821.7000/800.308.3140
Your assets . Fixed income . Mutual funds (Continued)
Purchase pace'
Number Average price Client Cost Price per share Value on unmanned OM imestment HoldIng
Hai dog of stores pustule: (3) investeremt CS) basil (I) on Sep 30(1) Sep 30 (S) spin otiose (S) !cum (0 period
Trade date: fan 29, 13 4,811.156 8.200 39,451.48 39,451.48 7.420 35,698.78 -3,752,70 LT
Trade date: Jun 27, 13 2,481.156 7.959 19,750.00 19.75000 7.420 18,410.18 -1,339.82 LT
Total reinvested 795.377 8.076 6,424.14 7.420 5,901.70 -52144
EAI: $3,453 Current yield: 5.75%
Security total 8,087.689 8.114 59201.48 65,625.62 60,010.65 -5,614.96 809.18
COHEN & STEERS PREFERRED
SEC & INC FUND'
Symbol: CPXIX
Trade date: Jan 29, 13 3,002.068 13.487 40,490.57 40,490.57 13.420 40287.75 -20182 LT
Trade date: Feb 6, 13 740.625 13.391 9,918.40 9,918.40 13.420 9,939.19 20.79 LT
Trade date: Jun 14, 13 751.274 13.309 9,999.02 9,999.02 13.420 10,082.10 83.08 LT
Total reinvested 442.817 13.641 6040.59 13.420 5,942.60 -97.99
EAI: $3,970 Current yield: 5.99%
Security total 4,936.784 13.460 60/107.99 66,448.58 66251.64 •19694 5,843.65
DOUBLE LINE TOTAL RETURN
FUND INSTL
Symbol: D8LTX
Trade date: )an 29, 13 12,493.155 11.379 142,229.00 142,229.00 10.940 136,729.82 -5,499.18 LT
Total reinvested 911.521 10.968 9,997.93 10.940 9,972.04 -25.89
EAI: $6,101 Current yield: 4.16%
Security total 13,409.676 11.352 142,229.00 152,226.93 146,701.85 -5,52507 4,472.86
EATON VANCE FLOATING
RATE ADVANTAGE CL I
Symbol: SFAX
Trade date: )an 29, 13 7,524.150 11.180 84,120.00 84,120.00 10.510 79,078.82 -5,041.18 LT
Total reinvested 584.916 10.%2 6,412.40 10.510 6,147.47 -264.93
EAI: $4,273 Current yield: 5.01%
Security total 8,109.066 11.164 84,120.00 90,532.40 85226.28 -5,306.11 1,106.29
HARBOR HIGH YIELD Be FD
INSTRUTONAL CL
Symbol: HYFAX
contincted next page
CNP70303005526534 NP7000303380 00004 0915 030575004 VI 23571550 109g0hyGEL0002itylt a of 14
CONFIDENTIAL
EFTA 00132171
EFTA01274378

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your PI/sandal Advisor:
UB friendly account name: Indiv.V49935006 SCOTT STACKMANLYLE CASRIEL
S September 2015 Account number. Yt 23571 55 212-821-7000/800-308-3140
assets . Fixed income .
Your Mutual funds (contnued)
Purchase PIKE
Number Average price Client Cost Price per shore value on Unrealized OM imestment Noldng
ulddng of shares per ($) investment (1) basis (1) on Sep 30($) sty 30 (s) gain orlon ($) return (5) period
Trade date: /an 29, 13 2,660.657 11.239 29,905.78 29,905.78 9.720 25,861.58 -4,04420 LT
Total reinvested 311.977 10.430 3,254.18 9.720 3032.42 -221.76
EAI: 31,602 Current yield: 5.54%
Security total 2.972.634 11.155 29,905.78 33,159.96 28,894.00 426696 -1.011.78
HSBC TOTAL RETURN
FUND CLASS I
Symbol: HTRD(
Trade date: Jan 29, 13 3,858.567 10.289 39,704.65 39,704.65 10.060 38,817.18 -887.47 -887.47 LT
EAI: 3745 Current yield 1.92%
JPMORGAN UNCONSTRAINED
CEBT FUNDCLASS SELECT
Symbol: JSISX
Trade date: Mn 29, 13 4,784.864 10.260 49,092.71 49,092.71 9.700 46,413.17 -2,679.54 LT
Total reinvested 336.575 10.079 3,392.61 9.700 3264.78 -127.83
EAI: 42,596 Current yield: 5.23%
Security total 5,121.439 10.248 49,092.71 52,48532 49677.95 -2,807.37 585.24
METROPOUTAN WEST TOTAL
RETURN BOND FUND CLASS I
Symbol: MWTIX
Trade date: Ott 24, 13 7,192.344 10.709 77,030.00 77,030.00 10.830 77,893.08 863.08 LT
Total reinvested 262.242 10.858 2,847.63 10.830 2,840.08 -7.55
EAI: $1,521 Current yield: 1.88%
Security total 7,454.586 10.715 77,030.00 79,877.63 80,733.16 855.53 3,703.16
RIDGEWORTH SEIX FLOATING
RAIEFIGH INCOME FUND
CLASS I
Symbol: SAMBX
Trade date: /an 29, 13 6,502.655 9.039 58,784.00 58,784.00 8.570 55,727.75 -3,05625 LT
Total reinvested 474.392 8.910 4226.99 8.570 4,065.54 -161.45
EAI: 42,847 Current yield: 4.76%
Security total 6,977.047 9.031 58,784.00 63010.99 59,793.29 -3217.70 1,00929
continued next page
SDNY GM 00021552
Ctie703093C65.76535Nr70o030338o 00034 09i 030575004 vi2357i S50100000 Page • of 14
CONFIDENTIAL
EMU/0I32172
EFTA01274379

*UBS
U BS Strategic Advisor Account name: GHISLAINE MAXWELL Your K nancial Advisor
Friendly account name: lodo, V4993%06 SCOTT STACK MANLYLE CASRIEL
September 201 5 Account number. Y1 23571 55 212-821.7000/800-308-3140
YOLK assets Fixed income . Mutual funds
(continued)
Purchase pace
Writer Average pxe Client Cost Price per duce Value on unrealized0as) trnestrnent ricking
Hddng of shares per share 9) Tontine's' (I) basis el) on Sep 30 (1) Sep 30 (1) gain or loss (S) return (I) Period
T ROWE PRICE
INSTITUTIONAL FLOATING
RATE F CLASS
Symbol: PFFRX
Trade date: Ian 29, 13 5,394.060 10.270 55,397.00 55,397.00 9.940 53,616.96 -1,780.04 LT
Total reinvested 349.071 10.161 3,546.97 9.940 3.469.77 •77.20
EAI: 12.464 Current yield: 4 32%
Sectoity total 5,743.131 10.263 55,397.00 58,943.97 57,086.72 .1,857.24 1,689.73
Total $687,131.74 $735.500.40 $703.116.55 -$32,383.81 115.92421
Total estimated annual income: $30,974
Non-traditional
Mutual funds
Total fern...sled is the total Cl al reinveSteddsvdends 4 dots not include arty (W OWdendS. 4 is natal& UnrealgtOadiOgaon Or lOss r) the difference between the current value and the cost ball did would
lot for the purposes of determining Wiring periods or cost basis. The shares you recent each time you generals/ be your late gain or loss if the sec tatty was sold on this date. The unrealged (tad gan or loss
reinvest d %Wend; becomes separate tax be may need to be adjusted for return of captd payments In order to determine the realized gain or loss for tax
Cost 04S4 is the totg purchase cost of the security. inducing renvesteddwlends The cost basis may need reporting purl:uses
to be adjusted for return or caplIcl payments in order to deterinne the adjusted cost bans toe tar reporswg Investment sewn is the current value minus the amount yOulMtSted It cbes not include shares theta* not
purposes reflected on your statement, includnbshares that nem been resizedas either a cam or a loss it also 03es
not induce cash d 'Mends that were not lei wooed
Purchase pooh'
morber Average pace Client Cost Pnce per share value on untenureddm/ inrestmem Hddng
Hddng of shares per skate ($) investment (S) basis (s) on Sep 30(3) Sep 30 IS) gain Of 1011(1) return (S) period
GATEWAY FUNO CLASS Y
Symbol. GTEYX
Trade date: Jan 29, 13 1089.208 27.580 30,040.36 30,040.36 28.980 31,565.24 1,524.88 LT
Total reinvested 36.951 29.535 1,091 37 28.980 1,070.84 -20.53
EAL 1713 Current yield 2.18%
Security total 1,126.159 27.644 30,040.36 31,131 73 32636.08 1,504 35 2.595 72
CNP700C9305526536NP70C0303380 COON 0915 030575004 Y123571550101MyGht mullling 10 of 14
CONFIDENTIAL
EFTA 00132173
EFTA01274380

(SUBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your II nandal Advisor:
Friendly account name:10(1,y v49935006 SCOTT STACKMANYLYLE CASNEL
September 2015 Account number. Y1 23571 55 212-821-7000/800-308-3140
assets
Your (contnuedi
Your total assets
PeKentaged Cost Estimated Unseat/NJ
vdue on Sep 30(0 your %count basis annul infant (5) on or loss IS/
Equities Mutual funds 251,297.86 2546% 252,613.47 5.502.00 -1,315.61
fixed income Mutual funds 703,116.55 71.23% 73%500.90 30.974.00 -32,383.81
Non-traditional Mutual funds 32,636.08 3.31% 31,131.73 713.00 1.504.35
Total $987,050.49 100.00% $1,019,245.60 $37,199.00 -S32,195.07
Account activity this month
Date Actluty Descnotion Amount (I)
Dividend and interest income
Taxable dividends Sep I Dyrdend METROPOUTAN WEST TOTAL RETURN BOND FUND CLASS 1AS OF O&3 it 15 129.87
Sep I Dividend RiCGEWORTH SEIX FLOATING RATEHIGH INCOME FUND CLASS I AS OF 244.38
08131115
Sep I Dividend DOUBLE LINE TOTAL RETURN FUND INSTL AS OF 0931/ IS 485.20
Sep I Dvidend COHEN & STEERS PREFERRED SEC & INC FUND 1AS OF 08131115 329.13
Sept Dvidend EATON VANCE FLOATING RATE ADVANTAGE CLI AS OF 08/31/15 373.07
Sep I Cividend r ROWE PRICE INSTITUTIONAL FLOATING RATE F CLASS AS OF 05/31/15 195.35
Sept Dvidend BLACK ROCK HIGH YIELD BOND I AS OF 08/31,15 288.55
Sep I Dvidend HS8C TOTAL RETURN FUND CLASS I 19.30
Sep ICI Dividend MATTHEWS ASIA DVIDEND FUND INSTL AS OF 09'17)15 98.81
Sep 23 Cividend COLUMBIA CONVERTIBLE SECURITIES FUND CLASS Z AS OF 09122/15 302.61
Sep 25 Cividend HARBOR 1IGH YIELD BD FDINSTITUTIONAL CL AS OF 09124115 375.30
Sep 25 Cividend HARBOR CONVERTIBLE sEcteinEs FUND CLASS I AS OF 0924115 %.24
Sep 29 Cividend .1PMORG AN UNCONSTRAINED CEBT FUND CLASS SELECT 51.16
Sep30 Cividend GATEWAY FUND CLASSY 131.90
Sep30 Cividend AVENUE CREDIT STRATEGIES FUND CLASS INSTL 363.13
Total taxable dividends 13.4114.00
Total dividend and interest income $3,484.00
ly ti,;(rpton AMOLs11M
Other funds debited Sep 3 Transfer JOURNAL TO Y1 23575 GHSLAINE MAXWELL .19.30
Total other funds debited -$1930
SONY GM 00021554
CONFID C H E P703 N 070065 T 26537 I N A V7003 L 30338 0 00004 0915 030575004 Y123571550100000 Page 11 of 14
EFTA_00 I 32 I 74
EFTA01274381

*UBS UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Knancial Advisor
Friendly account namo:Indiv V49939X6 SCOTT STACK MANLYLE CASRIEL
September 2015 Account number: Y1 23571 55 212-821-7C00/800-308-3140
Account activity this month (continued)
Investment transactions
roe more Information about the price/ value shOWII for reurIcted securities, see (mporreor information about
your :tatement at the end of this &acumen%
PIOCetdS from Funds
',west-rent vatheaven for Accrued
03Ie ACtimly Description Quantity vdue (t) Emcee%) transactions (5) rnvesvnents troop (5) ireerest (5)
Sep Reinvestment METROPOLITAN WEST TOTAL RETURN BOND 12.014 -129.87
FUND CLASS I DIVIDEND REINVESTED AT 10.81
NAV ON 08/31/15 AS OF CO 31/15
Sep 1 Reinvestment RIDGEWORTH SEC( FLOATING RATEHIGH 28.122 -244 38
INCOME FUND CLASS I DIVIDEND REINVESTED
AT 8.69 NAV ON 0831/15 AS OF 0831/15
Sep I Reinvestment DOUBLE UNE TOTAL RETURN FUND INSTL 44.555 -485.20
DIVIDEND REINVESTED AT 10.89 NAV ON
09/31/15ASOF 013/31/15
Sep 1 Reinvestment COHEN & STEERS PREFERRED SEC & INC FUND I 24.326 -329.13
DIVIDEND REINVESTED AT 13 53 NAV ON
08/31115 AS OF 0.931/15
Sep 1 Reinvestment EATON VANCE FLOATING RATE ADVANTAGE CL 34.997 -373.07
I DIVIDEND REINVESTED AT 10.66 NAV ON
08/31/15 AS OF 013/31115
Sep I Reinvestment T ROM PRICE INSTITUTIONAL FLOATING RATE F 19.477 -195.35
CLASS DIVIDEND RENVESTED AT 10 03 NAV ON
08/31/15 ASOFOS31/15
Sep I Reinvestment BLACKROCK HIGH YIELD BOND I DIVIDEND 37.572 -288.55
REINVESTED AT 7.68 NAV ON 0831/15 AS OF
03/31/15
Sep 18 Reinvestment MATTHEWS ASIA DIVIDEND FUND INSTL 6.514 -9881
DIVIDEND REINVESTED AT 15.17 NAV ON
17115 AS OF O9' 17/15
Sop 23 Reinvestment COLUMBIA CONVERTIBLE SECURITIES FUND 17.029 .302.61
CLASS Z DIVIDEND REINVESTED AT 17.77 NAV
ON 09 23 IS AS OF 0927115
Sep 25 Reinvestment HARBOR HIGH YIELD BD ED INSTITUTIONAL CL 38.063 -375.30
DIVIDEND REINVESTED AT 9.86 NAV ON
09124/15 AS OF 0924/15
Sep 25 Reinvestment HARBOR CONVERTIBLE SECURITIES FUNDCLASS 9.071 -9624
I DIVIDEND REINVESTED AT 10.61 NAV ON
0924/15 ASOF 0924/15
continued' next page
CNP7C003306526538NP70C0303380 00001 0915 030575004 Y123571S50 1006ffiyfilk0002Resis 12 of 14
CONFIDENTIAL
EFTA 00132175
EFTA01274382

UBS Strategic Advisor Account name: GHISLAINE MAXWELL Your Mnandal Advisor:
UBS Friendly account narne:Indiv V49935C06 SCOTT STACKMANLYLE CASRIEL
September 2015 Account number. Y I 23571 55 212-821-7C00/800-308-3140
Account activity this month rcontrueco
Investment transactions (continued)
Pnaeeds lam Funds
Inwstment vatbdrami is Mulled
Date &nay Desaption ()amity vS ue CO PAO 0) transactions (s) invesenentsb0uget (S) ireereSI (1)
Sep 29 Reinvestment JPMORGAN UNCONSTRASNED DEBT FUND 5.274 -51.16
CLASS SELECT DIVIDEND REINVESTED AT 9.70
NAV ON 09/28/15
Sep 30 Reinvestment GATEWAY FUND CLASS Y DIVIDEND 4.601 -131.93
REINVESTED AT 28.67 NAV ON 09129/15
Sep 30 Reinvestment AVENUE CREDIT STRATEGIES FUND CLASS 114511. 36.025 -363.13
DIVIDEND REINVESTED AT 10.08 NAV ON
0912 9 IS
Total .13.464.70
Date Activity Descripticn Amount (S)
Money balance activities Aug 31 Balance forward $0.00
Sep 2 Deposit UBS BANK USA DEPOSIT ACCOUNT 19.30
Sep 4 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 0,03115 -19.30
Sep 30 Closing MIS Bank USA Deposit Account 10.00
The UBS Bent USA Deposit Account Is your wintery sweep °pion
Unsettled transaction activity
The idiowng transaction(s) are Dendng settlement
Trade Setlement
die date ACtlety Description Quantity MCI I war (3) amount (5)
Sep 30, 15 Oct 01, 15 Sold HARBOR HIGH YIELD 8D FD INSTITUTIONAL CL -2,972.634 9.720 28,894.03
FBOID 52738913881
Sep 30, 15 Oct01, 15 Sold AVENUE CREDIT STRATEGIES FUND CLASS INSTL -2,971.582 10.070 29,923.83
FBOID 52738921397
Sep 30,15 Oct01, 15 Sold BLACK ROCK HIGH YIELD BONDI -8.087.689 7.420 60,010.65
FBOID 52738913196
Total pending investments sold $118,828.48
SONY GM 00021556
CHP700030065265.39NP700030330000004 C915 030575004 Y123571550100000 Page 13 of 14
CONFIDENTIAL
EFTA 00132176
EFTA01274383

Your notes
CNP70003006526540NP7003303340 00004 0915 030575004 YI 23 571 550 109gtlyyGEL0002rpin 14 of 14
End of statement for account number Y1 23571 55
CONFIDENTIAL
EFTA_00132177
EFTA01274384

Important information about your statement
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SDNY_GM_00021558
CONFIDENTIAL
EFTA 00132178
EFTA01274385

Important information about your statement
(Continued)
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SDNY_GM_00021559
CONFIDENTIAL
EFTA 00132179
EFTA01274386