EFTA00022423.pdf
1.65 MB
Extraction Summary
3
People
6
Organizations
2
Locations
0
Events
2
Relationships
0
Quotes
Document Information
Type:
Ubs resource management account statement
File Size:
1.65 MB
Summary
UBS financial statement for Ghislaine Maxwell for November 2016 showing a significant reduction in assets from ~$15.7 million to ~$1.5 million. The statement details a $50,000 payment to law firm Haddon, Morgan and Foreman and a massive transfer of over $14 million (cash and securities) to another account (Y1 36512 2100). The document also links Maxwell to Epstein-controlled entities 'Pot & Kettle, LLC' and '116 East 65th Street LLC' via incoming transfers.
People (3)
| Name | Role | Context |
|---|---|---|
| Ghislaine Maxwell | Account Holder |
Owner of the UBS Resource Management Account.
|
| Scott Stackman | Financial Advisor |
Listed as financial advisor on the UBS statement.
|
| Lyle Casriel | Financial Advisor |
Listed as financial advisor on the UBS statement.
|
Organizations (6)
| Name | Type | Context |
|---|---|---|
| UBS Financial Services Inc. | ||
| Pot & Kettle, LLC |
Transferred funds to Maxwell's account on Nov 9.
|
|
| 116 East 65th Street LLC |
Transferred funds to Maxwell's account on Nov 9. Entity associated with Epstein's NYC property.
|
|
| Haddon, Morgan and Foreman |
Recipient of $50,000 withdrawal via Wells Fargo Bank.
|
|
| Wells Fargo Bank, NA |
Bank used for the transfer to Haddon, Morgan and Foreman.
|
|
| Putnam Short Duration Income Fund |
Securities held and transferred out of the account.
|
Locations (2)
| Location | Context |
|---|---|
|
UBS Private Wealth Management office.
|
|
|
Mailing address for Ghislaine Maxwell.
|
Relationships (2)
Payment of $50,000 to the law firm.
Received funds from the LLC associated with Epstein's property.
Full Extracted Text
Complete text extracted from the document (5,895 characters)
UBS Financial Services Inc.
Private Wealth Management
299 Park Avenue
25th Floor
New York NY 10171-0002
Private Wealth Management
299 Park Avenue
25th Floor
New York NY 10171-0002
Account name: GHISLAINE MAXWELL
Friendly account name: Ind:Cash/Saving
Account number: [REDACTED]
Friendly account name: Ind:Cash/Saving
Account number: [REDACTED]
Your Financial Advisor:
SCOTT STACKMAN/LYLE CASRIEL
Phone: 212-821-7000/800-308-3140
SCOTT STACKMAN/LYLE CASRIEL
Phone: 212-821-7000/800-308-3140
Resource Management Account
November 2016
November 2016
GHISLAINE MAXWELL
P.O. BOX 308
TEANECK NJ 07666-0308
P.O. BOX 308
TEANECK NJ 07666-0308
Questions about your statement?
Call your Financial Advisor or the RMA ResourceLine at 800-RMA-1000, account 029023575.
Call your Financial Advisor or the RMA ResourceLine at 800-RMA-1000, account 029023575.
Visit our website:
www.ubs.com/financialservices
www.ubs.com/financialservices
Value of your account
on October 31 ($) on November 30 ($)
Your assets 15,699,173.12 1,468,134.79
Your liabilities 0.00 0.00
Value of your account $15,699,173.12 $1,468,134.79
on October 31 ($) on November 30 ($)
Your assets 15,699,173.12 1,468,134.79
Your liabilities 0.00 0.00
Value of your account $15,699,173.12 $1,468,134.79
Tracking the value of your account
[Graph showing drop from 15.7M to 1.5M]
[Graph showing drop from 15.7M to 1.5M]
Sources of your account growth during 2016
Value of your account at year end 2015 $6,144,731.58
Net deposits and withdrawals -$4,744,108.00
Your investment return:
Dividend and interest income $60,493.47
Change in market value $7,017.74
Value of your account on Nov 30, 2016 $1,468,134.79
Value of your account at year end 2015 $6,144,731.58
Net deposits and withdrawals -$4,744,108.00
Your investment return:
Dividend and interest income $60,493.47
Change in market value $7,017.74
Value of your account on Nov 30, 2016 $1,468,134.79
Page 1 of 8
Your account balance sheet
Summary of your assets
Value on November 30 ($)
Percentage of your account
A Cash and money balances 0.00 0.00%
B Cash alternatives 1,468,134.79 100.00%
C Equities 0.00 0.00%
D Fixed income 0.00 0.00%
E Non-traditional 0.00 0.00%
F Commodities 0.00 0.00%
G Other 0.00 0.00%
Total assets $1,468,134.79 100.00%
Value of your account $1,468,134.79
Summary of your assets
Value on November 30 ($)
Percentage of your account
A Cash and money balances 0.00 0.00%
B Cash alternatives 1,468,134.79 100.00%
C Equities 0.00 0.00%
D Fixed income 0.00 0.00%
E Non-traditional 0.00 0.00%
F Commodities 0.00 0.00%
G Other 0.00 0.00%
Total assets $1,468,134.79 100.00%
Value of your account $1,468,134.79
Eye on the markets
S&P 500 3.70%
Russell 3000 4.48%
MSCI - Europe, Australia & Far East -1.98%
Barclays Capital U.S. Aggregate Bond Index -2.37%
Interest rates on November 30, 2016
3-month Treasury bills: 0.48%
One-month LIBOR: 0.62%
S&P 500 3.70%
Russell 3000 4.48%
MSCI - Europe, Australia & Far East -1.98%
Barclays Capital U.S. Aggregate Bond Index -2.37%
Interest rates on November 30, 2016
3-month Treasury bills: 0.48%
One-month LIBOR: 0.62%
Page 2 of 8
Change in the value of your account
November 2016 ($) Year to date ($)
Opening account value $15,699,173.12 $6,144,731.58
Deposits, including investments transferred in 11,570.91 14,847,792.86
Withdrawals and fees, including investments transferred out -14,250,000.00 -19,591,900.86
Dividend and interest income 7,390.76 60,493.47
Change in market value 0.00 7,017.74
Closing account value $1,468,134.79 $1,468,134.79
November 2016 ($) Year to date ($)
Opening account value $15,699,173.12 $6,144,731.58
Deposits, including investments transferred in 11,570.91 14,847,792.86
Withdrawals and fees, including investments transferred out -14,250,000.00 -19,591,900.86
Dividend and interest income 7,390.76 60,493.47
Change in market value 0.00 7,017.74
Closing account value $1,468,134.79 $1,468,134.79
Dividend and interest income earned
November 2016 ($) Year to date ($)
Taxable dividends 7,389.93 58,282.12
Taxable interest 0.83 37.62
Total current year $7,390.76 $58,319.74
Prior year adjustment 0.00 2,173.73
Total dividend & interest $7,390.76 $60,493.47
November 2016 ($) Year to date ($)
Taxable dividends 7,389.93 58,282.12
Taxable interest 0.83 37.62
Total current year $7,390.76 $58,319.74
Prior year adjustment 0.00 2,173.73
Total dividend & interest $7,390.76 $60,493.47
Cash activity summary
Opening balances $0.00 $2,010,294.62
Additions
Deposits and other funds credited 11,570.91 14,847,792.86
Dividend and interest income 7,390.76 60,493.47
Proceeds from investment transactions 10,711,496.79 28,050,955.06
Total additions $10,730,458.46 $42,959,241.39
Subtractions
Checks and bill payments 0.00 -3,000,000.00
Other funds debited -10,711,496.79 -13,053,397.65
Funds withdrawn for investments bought -18,961.67 -28,916,138.36
Total subtractions -$10,730,458.46 -$44,969,536.01
Net cash flow $0.00 -$2,010,294.62
Closing balances $0.00 $0.00
Opening balances $0.00 $2,010,294.62
Additions
Deposits and other funds credited 11,570.91 14,847,792.86
Dividend and interest income 7,390.76 60,493.47
Proceeds from investment transactions 10,711,496.79 28,050,955.06
Total additions $10,730,458.46 $42,959,241.39
Subtractions
Checks and bill payments 0.00 -3,000,000.00
Other funds debited -10,711,496.79 -13,053,397.65
Funds withdrawn for investments bought -18,961.67 -28,916,138.36
Total subtractions -$10,730,458.46 -$44,969,536.01
Net cash flow $0.00 -$2,010,294.62
Closing balances $0.00 $0.00
Page 3 of 8
UBS Bank USA Deposit Account APY
Interest period Oct 7 - Nov 6
Opening UBS Bank USA Deposit balance Oct 7 $0.00
Closing UBS Bank USA Deposit balance Nov 6 $0.00
Number of days in interest period 31
Average daily balance $47,834.05
Interest earned $0.83
Annual percentage yield earned 0.02%
Interest period Oct 7 - Nov 6
Opening UBS Bank USA Deposit balance Oct 7 $0.00
Closing UBS Bank USA Deposit balance Nov 6 $0.00
Number of days in interest period 31
Average daily balance $47,834.05
Interest earned $0.83
Annual percentage yield earned 0.02%
Your investment objectives:
Your return objective: Current income & capital appreciation
Your risk profile: Primary - Moderate
Investment eligibility consideration - None selected
Your return objective: Current income & capital appreciation
Your risk profile: Primary - Moderate
Investment eligibility consideration - None selected
Your account instructions
Your account cost basis default closing method is FIFO, First In, First Out.
Your account cost basis default closing method is FIFO, First In, First Out.
Page 4 of 8
Your assets
Cash alternatives
Money market funds
UBS PRIME RESERVES FUND
Value on Nov 30 ($) 1,468,134.79
Estimated annual income ($) 7,327.00
Total $1,468,134.79
Cash alternatives
Money market funds
UBS PRIME RESERVES FUND
Value on Nov 30 ($) 1,468,134.79
Estimated annual income ($) 7,327.00
Total $1,468,134.79
Account activity this month
Date Activity Description Amount ($)
Deposits and other funds credited
Nov 1 Transfer JOURNAL FROM Y1 23572 GHISLAINE MAXWELL 83.29
Nov 1 Transfer JOURNAL FROM Y1 23568 GHISLAINE MAXWELL 806.52
Date Activity Description Amount ($)
Deposits and other funds credited
Nov 1 Transfer JOURNAL FROM Y1 23572 GHISLAINE MAXWELL 83.29
Nov 1 Transfer JOURNAL FROM Y1 23568 GHISLAINE MAXWELL 806.52
Page 5 of 8
Account activity this month (continued)
Deposits and other funds credited (continued)
Nov 1 Transfer JOURNAL FROM Y1 23574 GHISLAINE MAXWELL 10,680.70
Nov 9 Transfer JOURNAL FROM Y1 23679 POT & KETTLE, LLC 0.05
Nov 9 Transfer JOURNAL FROM Y1 23692 116 EAST 65TH STREET LLC 0.35
Total deposits and other funds credited $11,570.91
Deposits and other funds credited (continued)
Nov 1 Transfer JOURNAL FROM Y1 23574 GHISLAINE MAXWELL 10,680.70
Nov 9 Transfer JOURNAL FROM Y1 23679 POT & KETTLE, LLC 0.05
Nov 9 Transfer JOURNAL FROM Y1 23692 116 EAST 65TH STREET LLC 0.35
Total deposits and other funds credited $11,570.91
Dividend and interest income
Taxable dividends
Nov 1 Dividend PUTNAM SHORT DURATION INCOME FUND Y AS OF 10/31/16 2,463.57
Nov 30 Dividend UBS PRIME RESERVES FUND 4,926.36
Total taxable dividends $7,389.93
Taxable interest
Nov 7 Interest UBS BANK USA DEPOSIT ACCOUNT AS OF 11/04/16 0.83
Total taxable interest $0.83
Total dividend and interest income $7,390.76
Taxable dividends
Nov 1 Dividend PUTNAM SHORT DURATION INCOME FUND Y AS OF 10/31/16 2,463.57
Nov 30 Dividend UBS PRIME RESERVES FUND 4,926.36
Total taxable dividends $7,389.93
Taxable interest
Nov 7 Interest UBS BANK USA DEPOSIT ACCOUNT AS OF 11/04/16 0.83
Total taxable interest $0.83
Total dividend and interest income $7,390.76
Other funds debited
Nov 21 Withdrawal FEDERAL FUNDS TO Haddon, Morgan and Foreman, AT WELLS FARGO BANK, NA -50,000.00
Nov 28 Transfer TO Y1 36512 2100 -10,661,496.79
Total other funds debited -$10,711,496.79
Nov 21 Withdrawal FEDERAL FUNDS TO Haddon, Morgan and Foreman, AT WELLS FARGO BANK, NA -50,000.00
Nov 28 Transfer TO Y1 36512 2100 -10,661,496.79
Total other funds debited -$10,711,496.79
Investment transactions
Nov 1 Reinvestment PUTNAM SHORT DURATION INCOME FUND Y -2,463.57
Nov 3 Bought UBS PRIME RESERVES FUND -11,570.51
Nov 9 Bought UBS PRIME RESERVES FUND -0.83
Nov 10 Bought UBS PRIME RESERVES FUND -0.40
Nov 1 Reinvestment PUTNAM SHORT DURATION INCOME FUND Y -2,463.57
Nov 3 Bought UBS PRIME RESERVES FUND -11,570.51
Nov 9 Bought UBS PRIME RESERVES FUND -0.83
Nov 10 Bought UBS PRIME RESERVES FUND -0.40
Page 6 of 8
Account activity this month (continued)
Investment transactions (continued)
Nov 21 Sold UBS PRIME RESERVES FUND 50,000.00
Nov 28 Sold UBS PRIME RESERVES FUND 10,661,496.79
Nov 29 Transfer PUTNAM SHORT DURATION INCOME FUND Y TO Y1 36512 2100 -3,538,503.21
Nov 30 Reinvestment UBS PRIME RESERVES FUND DIVIDEND -0.36
Nov 30 Reinvestment UBS PRIME RESERVES FUND DIVIDEND -4,926.00
Total $10,711,496.79 -$18,961.67
Securities transferred out -$3,538,503.21
Investment transactions (continued)
Nov 21 Sold UBS PRIME RESERVES FUND 50,000.00
Nov 28 Sold UBS PRIME RESERVES FUND 10,661,496.79
Nov 29 Transfer PUTNAM SHORT DURATION INCOME FUND Y TO Y1 36512 2100 -3,538,503.21
Nov 30 Reinvestment UBS PRIME RESERVES FUND DIVIDEND -0.36
Nov 30 Reinvestment UBS PRIME RESERVES FUND DIVIDEND -4,926.00
Total $10,711,496.79 -$18,961.67
Securities transferred out -$3,538,503.21
Money balance activities
Oct 31 Balance forward $0.00
Nov 2 Deposit UBS BANK USA DEPOSIT ACCOUNT 11,570.51
Nov 4 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 11/03/16 -11,570.51
Nov 30 Closing UBS Bank USA Deposit Account $0.00
Oct 31 Balance forward $0.00
Nov 2 Deposit UBS BANK USA DEPOSIT ACCOUNT 11,570.51
Nov 4 Withdrawal UBS BANK USA DEPOSIT ACCOUNT AS OF 11/03/16 -11,570.51
Nov 30 Closing UBS Bank USA Deposit Account $0.00
Page 7 of 8
Your notes
End of statement for account number Y1 23575 55
Page 8 of 8
End of statement for account number Y1 23575 55
Page 8 of 8
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