EFTA01597495

085 Financial Services Inc Private Wealth Management SUBS 299 Park Avenue 26th Floor New York NY 10171-0002 Business Services Account January 2020 ANP7060770913 0120 Y1 0 ELLMAX, LLC 139A CHARLES ST APT 233 Account name: ELLMAX, LLC BOSTON MA 02114-3252 Friendly account name: ELLMAX LLC Account number: 1 23680 SS Your Pinandal Advisor. SCOTT STACKMANLYISCASRIEL Questions aboutyour statement? Call your Financial Advisor or the Value of your account ResourceLine at 800-762-1000, on December 31 (S) on January 31 (3) account 029023680. Your assets 0.62 0.62 Visit our website: Your liabilities 0.00 0.00 www.ubs.cornifinancialservices Value of your account $0.62 $0.62 Items for your attention Help protect yourself from fraud and review bank, credit card, and brokerage statements regularly. Also, get your free credit report annually from Sources of your account growth www.annuakreditreportcom. Tracking the value of your account during 2020 Value of your xcount s Thousands at yea end 2019 Yam investment retum. $062 962 87.5 Change in market value Value of your account on Jan 31. 2020 $0.62 168 11.8 00 00 Dec 2014 Dec 2015 Dec 2016 Dec 2017 Oec 2018 Dec 2019 can 2020 SDNY GM 00009828 Member SIPC Atf7C002000770913 NP9100073553 00001 0120 00C030000Y123680550 COODCO Page 1 of 6 CONFIDENTIAL EFTA01597495 Your fineodri Advisor: *UBS Business Services Account January 2020 Account name: CLLMAX,LLC Friendly account name: CLIMAX LLC Account number. Y1 23680 S5 SCOTT STACKMAFILYLE CASRIEL Your account balance sheet Summary of your assets Value on Percentage of January 31 ($) your account A Cash and money balances 0.62 I CO 00% Your current asset allocation • B Cash alternatives 0.00 0.00% 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 30.62 100.00% A Value of your account $0.62 Eye on the markets Percentage change Index January 2020 rear to date 58P 500 404% 404% Russell 3000 -0.11% 411% MSC I - Europe, Australia & Far East -2.08% -2.08% Barclays Capital U.S. Aggregate Bond Index 1.92% 1.92% Interest rates on January 31, 2020 3-month Treasury bills: 1 50% One-month LIBOR: 1 66% AW20002000T7091e Nra300023553 00001 0120 000030000 Y123680550 oNitifire_okt0000saNe 2 of 6 CONFIDENTIAL EFTA01597496 Account name: ELLMAX, LLC sUBS Business Services Account Your Mnodal Advisor: Friendly account nan*: ELLMAX IIC SCOTT STACK MANLYLE CASRIEL January 2020 Account number: YI 23680 55 Change in the value of your account January 2020 (Si Year to date (1) Opening account value $0.62 $0.62 Closing account value $0.62 $0.62 Your investment objectives: You have identified the following invesanent objectives for this account if you have questions about these objectives, disagree with them, or wish to change them, please contact your Financial Adwsor 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: Pommy • Moderate Investment eligibility consideration - None selected Your account instructions • Your account cost bass default closing method is FIFO, First In, First Out. SDNY GM 00009830 Ate700020007709i5 NPV00023553 00001 0120 00CC00000 Y123680550000000 Page 3 of 6 CONFIDENTIAL EFTA01597497 *UBS Your notes Ari3001G000709.4N Nun, 53 000 0120 p00000000,23664550 ..MINYGM000096Ng• 4 of 6 CONFIDENTIAL EFTA01597498 SUBS Business Services Account Account name: ELLMAX, LLC Your Nnancial Advisor: Friendly account name: ELLMAX U_C SCOTT STACK MANLYIE CASRIEL January 2020 Account number: Y1 23680 55 Your assets Some pnces, income and current yd." shown may be approsinede As a 'mull, grins and losses ma/ not be accuisely reflected. See important information Pea/feaststatement a the end of tNs document for more inform»on. Cash Cash and money balances Opening balance Closing balance vice per share Average °hide«, interest Dees in on tan 1 pij on San 31 (I) on San 31 (S) rate period period 0.62 0.62 Your total assets Percentages COP Estimated unrealized vim on ran 31 (SI pour xcOunt teak (S) annual itxcene (S) gan or bIS (1) Cash Cash and money balances 0.62 100.00% 042 Total $0.62 100.00% 5O.62 SDNY GM 00009832 Att7C002000n0917 NP8300023553 03001 0120 006036000 Y123680550 COCO® Page 5 of 6 CONFIDENTIAL EFTA01597499 *ilF1S Your notes M ./000i000MM . , 0000, 3563 COM 0,20t00.0CO3 i3680SSOCO.My 000.f.• 6 of 6 ad of statement for account numb. YI 23680 S5 CONFIDENTIAL EFTA01597500 Important information about your statement LBS Fiuncial kmices ex. (the Firma LBS Financial hear from youno later than 60 clays after the Fern capacity. A ful copy of the polio; sordeg is available income or rears and mayn't keep pace yeah Services), is a member of all prixipi socvdy, corny* sent you the fist statement on which the error or Loon request. inflation andoptions exchanges UBS Financial Services and LBS pobtem *awed. • Moderate: Waling to accept sane risk to pampa' and Bale USA are ifdirect stbskloies d LBS AG and — Provide you name ad accurst number Of any). Neither the SIPC protection nor the supplemental tolerate sane volatlity to seek hider returns affiliates of LBS Smuts LLC. The Firm's fru/nal — Desube the error or the transfer you re inure protection apply to: • asgressne: Willing to matt hip risk to principal and statement is available upon request. The Firm's execute* about. ad eiplat as clearly as you can why you • Certain financial assets antrolkd by (and ext.:led in high volatility to seek high teR over time. Offices are at: beano it is an error a why you andMOM you account value) but held away from UBS Financial • mostowntiagibrity Consicloratan: d selected, a Services. For burn* certain (0 insurance products. portion of the portfolio for that atom may include UBS Financial Services ex. — Provide the dolt, amore of the suspected error. ixludrg vaiabl rates, and 6i) shares of mutual complex 'trawl:es, limited liguidty and greater 1200 Harbor Boulevard funds registered nthe name of the account holder on sobriety. Weehawken. N107086 The Firm Or Cad Issuer will investigate you complaint the books of the issuer Or Vander agerrJ; and willcorrect dry error promptly For ahged errs • hvestmmt contracts a rreestment Serest, {e.g. Statement "householdirer This statement represents the ony officialrecord of you' nhgNng LOS Visa•debe cad transactions, 4 we take Imbed panne-etas and private placements) that se We may COnSOkiate A tetrad account statements with Les Financial Services accoura Other records, except more than 10 business days tO do this, we will credit not registered under the Securities Act of 1933; the same address in the same envelope. e g. because °thetal tax drulternS, cantering callting data should you accant fa the imam you thank is in mum, so that • Commodities contracts (e.g., foreign exchange and they have owners who also mantas ;ore account rot be reed upon. If you beige, there ban error or you will have the use of the money &rig the tine it precious metal contacts), nclaing fumes contracts relationships wth other clients at the sane add-ess. If motion, pleas* report it immediately in wring ea the takes us to complete as nestgatein. and Calvvirry option Central% ad you peter to receive ndividual statements (tweed n Branch Manager of the office serving your account. • Depose accounts (except certificates of deposit) at (BS separate /metopes, you may decline householdng by Please male all checks payable to the Firm or the Bak USA, LBS AG U.S. branches and barks in the (tang your Fruncial Advisor Although all hams shown are intended to be accurate, financial ristituten indicated on the front of this FDIC erred Deposit Program. sttement data shook' not be used for tar imposes. Rey statement. In addition to regular account fees, accounts The 51K protection and the supplemental protection do Friendly moue name sold, on yes-end lax totem go., loan 1099, 5498, may be .Meet to mantenarce lees charges for late not appy to these assets awn d they otherwise appear The Friendly account None 6 a customizable • 'withal** 10425, etc.) when preparing your tax return. The Fern 6 payment for securities purchases and charges fa unpaid CC yds statements. The 51K protectionand the chosen by you to assist you with ye's' recordkeepio. moored by law to report to tie IRS all taxable dnidenok, amounts n cash accents. Accounts that are transferred stoplemental protection do not protect against charges It, no legal effect on your account, is not Mended to reportable nal-taxable dividends and taxable interest to other nstilutiten may be subject to a trader fee. in the market value of you revetments (whether as a reflect any strategy, predict rearnmerdation, earned on seas-nes held in your mask net proceeds result of market movement. muer banknotcy inestment objective a risk polite associated wth you- on sale transactions, ad cost basis an omen cowed UtS Sweep Options otherwise) accunts. and is not a prance a gJaraxee that wealth, securities UBS offers options for sweepeg cash balances to bait or any 1inarxiA results. can et willbe achieved. All deposit accanes at nanaffiated banks and abated Dividend Reinvestment Program (DRIP) investments invoke to risk of loss, ex kdro the ritk of COmmUtliCatiOna with the Firm banks and money make) mutuality:Is (Money funds). The pace reflected is an average prce. You may obtain loss of the trait investment. You can change your • Please re-confer., any Oral (Orrirrunicatictis n veiling Deposit accounts at LBS Bark USA and non-affiated the actual price km yam Financial Advisor. Only whole Fria* accost names through Onine Services a by to further protect your reps, including your rights banks panicipaing ti t a LBS FDICansured Deposit shires are purchased under DRIP; partial shares will be contacting your Finarcial Minor. under the Secuities Mesta Protection Act OSA). Program are FDIC-insured n accordance with FDIC rules. sold and the cash will be deposited in your account. We • I the Bruneitl inttution on the top left of the front For more iltamaiian please visit veterfik.9:n. Deposit chodend reinvestment price :belied by to issur may Account overview of this statement isnot Les Financial Services, LBS accounts at WSAG Stamford Branch and shares of deter from the market price a which the partial shares • Value of tors wountIportfofio Net of assets and Financial Services caries you account a clearing Money Funds are not in-redby the FDIC. a-e sold liabilities broker by arrangement with the indicated intedion • Assets Includes available cash balances. vakes for We Wormedyou of this relationshb when you Bak deposits are not protected by SIPC. Money Fond Calvin-Feta dunes :re protected by SIPC See -1.)85 lnancie Services restricted security (est), and Global Tine Deposits. opened this Accent In this raw, your finds and Orly whole units maybe held in yam secondly:0 are Account Protection' below. unrealized marks to market and certain assets ibt held secuties are located at UBS Financial Sweets and rot meted to a partial unit as a result of a dividend payment to. the Finn. Does not nckxle unpiced securities:assets the Mak"rg broker, ad you crust make a report • otherwise, the Firm will either sell grid tries at Upon your regain balances n the bank deposes may be at the end of the prior and oat statement prods. or of ay tar te meson to both ferns. market vice a accept an anoint deterinned by a private investments, invested nod options and • As *sorbed n the accost ag-eements, youmust wihdrann and shares of a Money Fund may be registered dea-rg agency, and freer yore account. liaidated, end the proceeds returned to you or you ~deal, stock options. notify us of any errors or fraud involving checks • Liable's. Voldes debit balances, *sundry margin reflected on your statement beta) 30 days after it was martinaccent. Investment objectives mailed a made mettle. bats, credit re, short account balances The nvestment objecuros and risk profile are specific to • Cashatoney balances Total of uninvested avalable • Please direct arstonw carotenes or nouries to the Futter nkonaton about available sweep options, each account and may vary between you. accounts. reludig current interest rates and yields, is evadable at cash balances, plus deposit balances at affiliated and Film's Client Relations Department at 201.352-1699 Please advise the Finnan:may in writing of an vieww.ubs comrsarepyields, from yore intend.' Advisor nahallikated banks, and money market mortal had or toll-free at 800-354-9103, 8:00 A.M. to 600 P.M significant change in you lino eizA situation or by eating KO-7621000. sweep balances. at the close of the statement period. ET Monday through Friday, or in witio to WS investment objectives_ For each account held, you Financial Services ls. , Client Relations Department, Non•Corrrtirley bee credit balances in you account are choose are of the Ioeowing investrnme objectives: not segregated from other balances and the Fern may P.O. Box 766UnionC ity,1107087. US$ Financial Services account protection • Prorkce Current fname: Investments seeking the the Firms a inerrber of the Secretes bosh". Protection use any these fords in the ordinay cane of its • All itatellentS shall be cleaned complete and accuse generation Of income Caly. banns These finds are payable upon your Orland. not objected to ri writing whit 60 days. Corporation (Sip, witch protects securities custonwn • Achill,* °pea/Appreciation: Mestments seeking o1 is rearben up to 1%0,000 (adding 5250.000 for 11-es total is ircbded in the anent period closing value. • For TTY services: Cal 844-612-0986 a from outside clams for ratal0 bplanatory broth.", available upon growth of or:idealrather than the generation of the US Call201-332.1495 ncome. tending information • h case of errors or cunt:xis about an electronic request a at raw strorg. The SIK asset protection ferns apply to A accounts that you hold in a particular • Produce Combination ofincome and Capital Fa detailed information on the Finis lending practices funds transfer (U1), bill parent or LIES Vise debt appreciation Investments seeking both the generation ad disc bsures, refer to you Client Relationshp cad transactions, cal 800-262-1000, or carte to UBS capacity- The Firm, together with carton athletes, has also of income and growth of principal. Agreement a Account Agreement and the General F etanoial Services lx., 1000 Harbor Bed, 61h floor, Terms and Ca-ditions LOS Statement of Credit Practices Weehawken.. Ni 07086, Attn: b.INSSA Services. Purchased supplemental inmate*. The maxims., Entttil payable to at eligbk chums, colectivey under Overall risk profiles mailable n Agrtem ants andDiscbsures tie protection is 5500 million as of Detester 10, 2016. • Connotive- Seeks to martin initial prix0al, with at lyvnv ohs eornlareconnAnclov•ws Call a write as soon as saran, 1 you think as km risk and minify to the accost overall, even 0 statement a receipt is wag a e you need more Weed to the pale y conditions and inlet:as, cash a theFinn i hither protected fa up to 11.9 million in the that means the account does not generate information about a transfer on the sinner or rice's* The Fein or Card Issuer (as appkable) must aggregate for al you accounts held in a wieder SDNY_GM_00009834 CONFIDENTIAL EFTA01597501 Important information about your statement (continued) Yam assets — Fa certain wanes trading in non-conforming • Est (estimated) inane, current yields and rates - We receive comansafin fromLes sank USA LES Your statement rites secieities arid other assets held denamhations, price ad qualthy Pace value) may An 'Venal. of XVIA31 iN01110 is bated <in Current AG Stanford Branch and non.attiliated barks in the attars a the end of the statemere period. You have been adjusted to facilitate poster valuation. dnickecl and nterers rates. assuming the securities will throup our cash sweep grogams. The may ask for delivery of curly rod seorities at ay time. To obuin cumnt <Natal 'XIS, when avalnle. contact be hell For one year from statement date or Lail compensation may bean-a-thy per account fee cc You may receive oscines used as ban cabinet after your Fruncial Adveux. maturity. The *statute eS crib, a guideline; aCataq may be a percentage of average daiy depose parting any balaxe the on them. Any securities and continued income are not guaranteed. balances. 'conferred to the Fins ding the statement period are • Private immune*, and auusafred products. — Estimated anal ware and current yield for listed at market value as of the end of the statement Private imestnent sea amps (inclArg diet! certain types of mashies could include a return of Activity period. Partkipation program and real tdate notilreleng trust airkPal a capital gains et which case the est 1-donna:on regarding corirrissions and other charges • Cost bash. In deterinning the cost basis of the securities) and stiuctsed prodats are goner* higtey income (and current yieldi would be overstated. attuned n (cramkin with the execiSion of trades, securities included in this statement, where indicated ieiµvid Certain structuredproducts hhe not teen — Estimated a-rual income and current yield and the including option transactions has been Mooed on with the nierber -1.• U3S F natal Sennas has relied registered wets the Securities and Exchange actual incase and yield midst be bear Cr huller confirmations previously furnished to yOu. and will be as information obtained from sources other than LES Commissioner under any state securities laws. We than the estenated anoints. provided to you aroma!), on request. Financial Stevan axiality :dominion from another provide estenated values for prince imminent — An estenaee of arnalind ixome favidend ands Irma that you may haw aovickd to van Financial *curries and 'audited products for Wormannal interest) derided by the current made Short selling Advisor. The Filth does rot indeperelently verify a pu-wusady. Accuracy is not guaranteed. valeraverage balance is based on the last dividend if you are engaged n short selling a security, you may gaarawee the xosay or validity of any information • vain Mirydiffer "Swami* from prices, e or merest parent made by the :soar and :cur a cturm de to wean borrowing costs fa that provided by SeurCeS other than LES Fiuncial Services. any, at width a private invest mint Xtuityor attunes tie washin/deposes will be held for one paticulasecLeky. h ackliko, although LES Financial Services general, structured product maybe boujsl a sold and do war from the slaloming date or unto maturity. updates this ton as it is received. the Fern riot necessarily leaner* the vi you May recent Accuracy and continued yield are not guaranteed Open orders does rot provide any assurances that the erformalion upon liquidation. Regarding open or • ipod.iicancelled • ceders that under -Cost basis' ard 'Unrealeed gadloss' is — Thad party estimates of value are as of a certain • Assets not held by UNFinancial Services. Certan were not executed by the statement dale, open buy and aatarae as of the date of this stamen. As such. date at are supplied to UBSFina-eial Services on a assets are not held by the Fin. and not withn the sea stop orders are reduced bj theanoint of dividends Please do not rely on this information betake regular basis by an independent volution Ion Fines possession or control. Thew assets are or norms an an ex.di:dads a coonghls date sans pichase a sale decisions, for tar purposes a — issuer, general partner or spook( estenated values, displayed on your statement for Wormational intnxted otherwise by you. You are response?* to otherwise. Accounts transferred to the Fim may it ay, are stelPlied to the Fins by the issuer, purposes only. Positions and values presented are Orden that are executed de to you laikee to cancel reflect gingko% h Hawn On only for the defied of general partner or sponsor and may be cabaated provided by tie issung fern. UBS f nancial Services is eating open orders. tine they are the Fein. More historical based on Efferent information from that used by not reparable for this Warns:on at does not edarnation can be added by year Financial Adritor. third parties to derive thee esimaied values. guarantee as accuracy. These assets are not protected Privacy • Unrealised gains/losses. When data is available, — You can Wain additional idarnatiri regarding by SIPC or the Fifis supplemental SIPC coverage. To obtain a copy of as current Client Privacy Notice, estimated streaked ganelosses are calculated fa the melhoglologo used to determine the estimate of please contact you Financial Advisor or visit as webste ndividal security lots. The transaction data for value and the dace of the information that is the • R•Vertiti shoring and additional compensation. at wwwohi tonvorevarynosec ndivicbal lots may or may not reflect canntsire, basis for the estimate by contactigyour Financial - n addition to commissions on sales and 12b1 fees — LBS Financial Services is rot aback. The RMA. Busiest charges ardor facility reorganisation rants Ad tor. received n connect in the distress:on al mutual Services Account BSA and IRMA are brokerage Dividend and other thrive:orient lots and systematic — Third party estimated values may be reflected as finds to our clients we andor as affiLate receive accounts wheel provide access to banking sakes and PirCEOw lots re each combined to display one 'We priced' in several situatern: when an reverie shying moments from disubators ardor procists Ihroagh arrangements with affiliated banks averaged lot. The 'Trade date' totempresents the • dent valuation Inn has not suppled a is adviscn of the flaunt finds that we sell. These and other ihicluany bath, and provide' Excels to crignal transaction trade date. inside to assign a valet when we become aware maws are based on two different correpoinents: ld insurance and annul, products issued by unaffiliated • Callable mashies Bonds and preferred staid that that a material event has penned that may call a the arm um of sales bytes of a partcular mutual tad. arty mane«opines throat insurance the issuer cats for easy redemption wit be selected prigusy reported vela into queSten, Cr when a fund famity b our clients; and GO the asset value of a agency subsidiaries of UBS Financial Services hc. imparts* by lot from among at teatimes of that yaks woad be highly speculative due to **nature particular mutual find Imiys shares held at the — ragmen; Mace, and may proctrIsi a* held in our name or n nornnee narne for on of the security. fern. — Not FDIC inswed • No bark guarantee. May bee vale dents Call feature infarrution is *tared from third — When neither an issuer, general partner or sponsor - We and our affiliate also receive network na and — IMA. Resource Management Account Business parties and its accuracy is not guaranteed. Other call wirruted value nor a thedpaty estinund al* is amid.* prixesseg lees n consideration for transfer Service, Account ESA, IRMA and international Resource features may exist which could *NCI yield; complete provided, the vat* of the wanly MI be Offerers agent services that we provide to the mutual funds. Management Account are registered service marks of information wilt be provided upon request- from its purchase price Mew fees annals are paid from Minter assets n LBS Financial Services Inc • price/value. Prices osplayed fa secure:es and other — tarbutcns to date may avlude:turnof tie (thud fund and are a ficed dollar amidst based — YEA a a registered trademark owned by Vila products maybe higher a lower than the peke that capital income or both on the number of awes at the broker -dealer International Service Association arl used Isar you would actually receive in the market Prices are — 'Orgnal ink size' represent the :W el offering hold.g manual finis of that find ferny. !cense The LBS Visa trade cards and the LBS visa obtained from various third party sources *Nth we price per cnit ad may not refled your cost basis - h ad4tion to <termini:ins received in arrection debit cads ye issued by LBS Bank USA with blew to be reliable, but we do not ?sank* thee — DPP and unlisted REff stare:es are not listed on a with the sale or diarbutin of 'minty convects and permisscn from Visa U.S.A. Incomorated All oda accuracy. national securities exchange, and are generaly unit nestment trust cries to or clients, we ardor trademarks, registered trademarks, sense marks and — We genera/4y use the tang price when available cc illiquid ad even l they can be sold. the price at oats. 'Witte revert* sharing compensation registered service minks are of their respective the mend the bid and ask prices ice listed reared may be less than the per share estenated from many of the nsurance companies in:kw/rein companies. securities at options a coy bid prices la OTC value prorated in the acccura statement. the a-nuity contracts, 'Mattes of the 'narance wardin. convent or sponsors of the unit Montagne buds LBS Fauncial Services Iris. Rev. 201810 — Less activey traded securities retry be priced using a • Rest/laid securities. Restricted sectaies generaly we &abut*. valuation model a the most recent price we are not currently elgbk for pubic sale UEIS F haricot - h Slain to COmmiSn3n5 received from the donned and may not reflect an actual market price Services uses the maket price of the itresincted stock purchase and sale of MASIra es lurch. we odor ar or vase. of the same Mine as an imputed vale fa the affiliate receive an asset-based revenue sharing — Certan positions may appear walla' a price and restricted stock for purpo*s of fres statement only. To payment from Neugiares distributors, as vale as will show as 'prke was not mailable' a we are to extern that restricted secant are elrgble for sae, finding for technology development, traineg and unable to cbton a price fa a mosey. the vat* received may be substantially less than the education. — Deposits ce sentries cknomnated n currencies (wed vale shown. - Our aft bates also receive trading commissions at other than U.S. dollars ae reflected a the excharge other compensal ken from mgdual funds and aware rate as a the statement date. companies whose Waist we dolatute. SDNY_GM_00009835 CONFIDENTIAL EFTA01597502 IJBS Financial Services Inc SUBS Private Wealth Management 299 Park Avenue 26th Floor Business Services Account New York NY 10171-0002 February 2020 ANF70007238290220 Y1 0 CLIMAX, LLC 139A CHARLES ST APT 233 Account name: ELLMAX, LLC BOSTON MA 02114-3252 Friendly account name: ELLMAX LLC Account number: 1 23680 SS Your Nnancial Advisor. SCOTT STACKMAN/LYLE CASRIEL Questions about your statement? Call you. Financial Advisor or the Value of your account ResourceLine at 800-762-1000, on January 31(S) on Febniay 28 (3) account 029023680. Your assets 0.62 0.62 Visit oar website: Your liabilities 0.00 0.00 www.ubs.cornifinancialservices Value of your account $0.62 $0.62 kerns for your attention Help protect yourself from fraud and review bank. credit card, and brokerage statements regularly. Also, get your free credit report annually from Sources of your account growth www.annuakreditreport.com. Tracking the value of your account during 2020 Value of your acount s Thousands at yea end 2019 Your investment return: 30.62 96.2 87.5 Change in market value soco Value of your account on Feb 28, 2020 $0.62 168 11.8 0.0 0.0 00 Dec 2014 Dec 2015 Dec 7016 Dec 20r 7 Dec 2018 Dec 2019 len 2020 Feb 2020 SDNY GM 00009836 Member SIPC Ate7OXQ0C0723829NIM00056350 00001 0220 DOCC00000Y123680550 C00000 Page 1 of 6 CONFIDENTIAL EFTA01597503 SUBS Business Services Account February 2020 Account name: ELLMAX, liC Friendly account name: ELIMAX LLC Account number. Y1 23680 S5 Your timodal Advisor: SCOTT STACKMO/LYLE CASRIEL Your account balance sheet Summary of your assets Value on Percentage of February 28(1) your account A cash and money balances 0.62 100.00% Your current asset allocation • B Cash alternatives 0.00 0.00% C Equities 0.00 0.00% D Faed 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 60.62 100.00% A Value of your account $0.62 Eye on the markets Percentage change Index February 2020 Year to date SW 500 423% 427% Russell 3000 419% 429% MSC I - Europe, Australia & Far East -9.03% -10.92% Barclays Capital U.S Aggregate Bond Index 1.80% 3.76% Interest rates on February 28, 2020 3-month Treasury bills: 1 23% One-month LIBOR: 1.52% Ate70002000723830 M000006635000001 0220 000030000 Y:23680550 COYMY_GM_00009859ge 2 of 6 CONFIDENTIAL EFTA01597504 Account name: sUBS Business Services Account EU.MAX,LLC Your rinandal Advisor: Friendly account name: ELLMAX U_C SCOTT STACKMAW:Ili CASRIEL February 2020 Account number: Y1 23680 55 Change in the value of your account February 2020 IS) Year to date fi) Opening account value $0.62 $0.62 Closing account value $0.62 $0.62 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 statementat 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 • Your account cost basis default closing method is RIO, First In, First Out. SDNY GM 00009838 AtrOXI2000723831 NPM00066350 03001 0220 000000000Y123680550 COOOCO Page 3 of 6 CONFIDENTIAL EFTA01597505 *UBS Your notes arom.000R39.IIrv..563500000i 01,0 COOMDOCOv”.....IYGM00009friN. 4 °I . CONFIDENTIAL EFTA01597506 SUBS Business Services Account Account name: ELLMAX. LLC Your Pineedel Advisor Friendly account name: °AMAX LLC SCOTT STACKMANLYLECASRIEL February 2020 Account number: V1 23680 55 Your assets Some prices, income and current vdues sham may be 4:0;04444e. As a null, gains and losses may not teaccursely refleoed. See important information about your stetemem a the end of tins document fa mcee Infornflon. Cash Cash and money balances evening balance Closing baence Pace per share Average Cfrodendrnterest Days in on Feb 1 (1) on Feb 28(1) on Feb 28 (1) rate period period 0.62 0.62 Your total assets Percentage Cl Cost Estimated OrirealatO value on Feb 28 ( your &count Oasis (1) annual intro (1) gan or lots (t) Cash Cash and money Nilsson 0.62 100.00% 0.62 Total $0.62 100.00% $0.62 SDNY GM 00009840 ah1,70002000723833 NPAC0055350 00001 0220 000C000C0 111 23680550 000000 Page S of 6 CONFIDENTIAL EFTA01597507 *UBS Your notes orofoxopoon366,,,, .-1066350C00. OM COM00000, i366.0..., G. °mai.. 6 of 6 CONFIDENTIAL EFTA01597508 Important information about your statement LIESFinancial Services Inc. (the Firma LOBS Financial hear from yOuna later than 60 days after the Firm capacity. A ful copy of the poky waxing is available income or reams arid may not keep pace wth Services), is a member of all cantina srourity, cownodity sent you the fist statement on which the error or Won request. Matra andWins excha-ges UBS Financial Services and UBS problem appeared. • Moderate: Waling to accept sane risk to principal and Bath USA are irdirect absitharies OM AG and — Provkle yaw nave ad accost number (4 any). Nether the SIPC protection nor the applemental tolerate some wlauity 10 seek higher returns affiliates of LEG Skulls U.C. The Firms financial — Dewbe toe the *MX or the Panda you se insure potection apply to: • Aggressive: Willing to accept Ingti risk ki primeval and statement is available upon rawest. The Fern's nectar. about and replan as clearly as you can why you • Certain financial assets controlled by (and Misled in high volatility to seek highrehire over time. OftineS are at: bolero il is an error or why you needmom your account value) but held away from UBS Financial • mvestemnt /EON& Comideratien: II selected, a Marnalion Services. For burn* certain (0 insurance prodsts portion of the portfolio for that acorn may include UBS Fanjet Services ix — Provide the dollar amount of the suspected error. includng etnable amities. and 0i) shares of maks, complex strategin, united liquidly and greater 1200 Harbor Boulevard funds registered nth name of the account holder on ras*. Weehawken. NI 07086 The Firma Cad Issuer will investigate yaw cormilaint the books of the issuer a transfer awe); and will correct any error promptly For eloped taws • hvestmmt contracts or nvestment Mewls fe.g Statement ahouseholdirer This statement represents the ony officialrecord of you imaing Vesa•debit cad transactions, 4 we take tented partnerships and private placements) that me We may consoktate al telexed account statements with Les Financial Services accoura Other records, erupt more than 10 tushess days TO do this, we will credit not registered under the Securities Act of 1933; the same address in the sane envelope. e g. because official tax documents, contenting conflicting data should you ware for the amount you thnk is in errs, so that • Comnodities contracts (e.g., foreign exchange and they have owners who also maintain jon account •oe be retied taxa. Ilyou befieve there is an error or you will have the use of the money dung the trap it precious metal contracts), incluckg roues contracts redatiOnShem wth other clients at the same acidness, ef °motion, pleat report it immediately in roiling to the takes us to carplete os investgaton. ad commolty open contracts; you prefer to receive individual statement mailed n Branch Manager of the office senirg yaw account. • Sectrities on loan toU85 Financial SerkeS; and separate envelopes, you Maydecline househokkg by Please make all checks payable to the Firm or the • Depose accounts (excel owlifantes of deposit) at UBS °aro your Financial Advisor Although all figures shown are Mended to be accurate, financial nstauten ridcated on the from of this Bak USA, UBS AG U.S. branches and bans n the sttement data shouldnot be used kr tax purposes. Rey statement In addition to regular account feet accounts FDIC hsured Deposit PrOGIM. Friendly =cowl name coley on pranend Ix lams, 6 e., Form 1099, 5498, may be abject to mantenace fees, charges for late The SIPC protection and the supplemental protection do The Friendly account fume is a custaniubk 'nickname' 10425, etc) when preparing your tar reborn. Refine' is payment for securities purchases and charges la unpaid neat apply to these assets ewn if they ottenvise appear chosen by you to asset you with yaw recordkerong lt mound by law to report to th IRS all taxable dnidends, >mints n cash accounts. Accosts that at transferred on you statements. The SIPC protection and the has ra legal effect on your account, is not Mended to reportable non-tbable dividends wed unable merest to other nstilutOra my be subject to a trander fee. siaplemental protection do not protect against changes reflect any Wat914 product recommendation. earned on sautes held Pewter octant net proceeds the market rake of your nvestrrants (whether as a investment Objective a risk prolie associated with you on sale umiak:fa and con basis on oaten covered UN Sweep Options result of market movement issuer bankruptcy a accounts. and o not a promee or garnet that weal, securities. UBS offers options for myopic cash balances to bait otherwise). or any financial results. caner willbe achieved. All deposit accounts at nonalauted banks and 'Misted investments. involve the risk of lost riLdng the rid( of Communisations with the Firm banks and money maker mutual finds (Money Funds) Dividend Reinvestment Program (DRIP) loss of the entie investment. You can change your • Please re-confan any oral cornrrunications in writing Deposit accounts at UBS Bait USA and minafflated Rat pry, reflected is en average pee. You mar obtain Primly =aft names through Online Services or by to further protect your r4ii, including your rights banks panicipaing the UBS FDIC-hand Deposit the actual price Pampa Fnarx lel Advisor. Only whole contacting your Financial AcInsor. sunder the Sense*. Investor Protection Act OSA). Program are FPC-insured in visit once with FDIC rules. accordance shies are purchased under DRIP: Pilial shares will be • II the fitanc 41inithikin on the icy lett of Ihe front For more Hamm please Deposit sold and the cash woe be deposited in your Mount. The Account overview of this statement is not Les Financial Services. LOBS accounts at UBS AG Stamford Branch and shares of dividend reinvestment price applied by tie issuer may • Value of you account/portfolio. Net of assets and Financial Services carries yes account as clearing Money Funds are not i -o-red by the FDIC. defer from the market price at which the partial shares liabiGis broker by arrangement win the indicated institution are sold. • Assets include, available cash balances, wakes for We informed you of this relationshb when you Bat deposits ate not protected by SIPC. Money Find dunes in protected by SIPC See 'MS fnancia Servkes restricted security (est 1, and Global Time POWs opened this accost. In the cave your finds and Cadvirefieu Account Protection' below. La-realized mats to market and certain assets mat held searnes are located at UBS Financial Services and rot Only whale units maybe held in yaw account. It you are by the Fin Does not ncktek °naked securities( assets the introdacrg broker, and you must nuke a report reeled to a petal unit as a result casein:den:I payment Upon your request banes in the ban deposal may be at the end of the peke arid °anent Statairont Sarno& a of any error a arusson to both fns. or otherwise, the Firm will ether sell petits units at private investments, invested nod option and • As *sorbed n the accost agreements, youmust wihdrawn and shares of a Money Fund may be market price or accept an amartl detemined by a liaadated, end the proceeds tetanal to you or you merciuble stock options. n:44y us of any errors or fraud involving checks registered clean; agency, and credit you accont. • Liable's. Vrelides debit balances, cutsundng margin reflected on your statement within 30days after it was secisitin account. mailed a made amiable. loans, credit link Shan Xrafit balances Futter nkanstitie about swath* sweep options, Inmenntent objectives • Cashratoney balances Total of uninvested avalabk • Please direct °stoner carotenes or hairies to the The investment objectives and risk profile are specd k to cash balances, plus deposit balances at affiliated and Finis Client Relations Department at 201.3521699 nixing current interest rates and yields, is available at each account and mar vary between you accords. www.ubs comrsiwepyields, from your Fiuncal Advisor non(fluted banks, and gravy market matual fund a toll-free at 6)0.354-9103, 8:00 A.M. to 600 P.M Pkae advise the Firm wreak. in wining of are ex by <Ong KO-7621000. sweep balances, at the close of the statement period. ET Monday through Friday. or in writing to U35 significant change in par financial situation or Nomf orwriOday free credit balances in yaw accord re Chantal Services ex., Client Relations Department, investment objectives Foe each actor had, rca not segregted from other balances and the Fenn may P.O. Bar 766 Union City, M 07087. UN Financial Services account protection choose one of he following investment objectives: the Finn is a matter of the Securain hwstor Protection use any d these finds in the ordinary cone of its • All statements shall be deemed complete and acetate • produce Current Income- Investments wet kg the bushes thour finds are Mel. upon your demand 4 not objected to it suiting within 60 days. Corporation (sec), which protects securbes custonwn generation of income only. of is meerbers up to 1500,000 (nading 1250.000 for This total is Pclided in the cm-rent period closing value. • For TIY services: Cal 844412-0986 or from outside curns for rastt esplanatOey brochure available moon • Attie.* Capital Appreciation: hrestmenes seeking theUS Call20l-352-1495 growth of ant palrather than the generation of Lending infannatien • h case of errors or cuestire about an electronic request a a wawstecorg. the SWC asset protection lints apply to at accents that you hold in a particular income. For detailed information <nth, Finis lending practices firth transfer (EFT), bill paranerit or MS Visa* debit • Prodece Combination ofIncome and Capital and disclosures, refer to your Client Relationshp cad transactions, cal 800-7621000, or wide to UBS capacity. The Firm, together with certain affiates, has also Appreciation- Investments seeking both the generation Agreement or Account Agreement and the General F runcial Services hc., 1000 Harbor Bld, 61h floor, of income and growth of principal. Ten's and Conditions UBS Statement of Credit Practices weehawkon. Ni 07086, Attn: RMNSSA Seryces. Fathered supplemental inflamer. The rnanyins amen payable to at eligteh awls, collectively under available i Agnem ens andDiscbsures at the protection is 1500 million as of Deciliter 10, 2019. Overall risk profiles row sob- romlarroirvtedirck)wrov Call a write as soon as you can, 1 you think yaw • Conservative. Seeks to ennui,initial princoil, with statement a receipt is iwo-g or need more Weed to the policy cerealens and linitalions, cash a information about a transfer on the statement or theFirn es tither protected fa up 10 11.9 milks in the low risk and mlatiby to We account overall even if recent. The ten of Card bluer (as appkable) must aggregate for at your accounts hell in a particular that means the secant does not generate sirditant SDNY_GM_00009842 CONFIDENTIAL EFTA01597509 Important information about your statement (continued) Yam assets — For certain sectsiies trading in non-conforming • Est (estimated) income, anent yields and rates. — Our affiliates also receive trading CiaTtniSSiOrKand Vow statement ermines securities and other assets held densamnehons, price and quantity (lace rake) may An a:Smarr of snot exam is bawd on staren other compensation from mutual funds and Murano* in the accant a the end of the sinners period. You have been adjusted to facilitate proper valuation. drsidrid and nterest rates, assuming the securities will companies whose products we &Ifbute. may ask for delivery of fully pad seonties at any the. To obtain current quotations, when 4,412>k. contact be held for cre yea from statement date or until - We receive oxrcemaiion from vas Berk USA UM You may receive weenies used as loan cobtoal alter your hunch Advil«. matvy. This *agnate is only a guidekne; accuracy AO Stan(*id Branch and twirl dieted bras pining any balance due on them. Ary securities and continued income are not guaranteed. through our cash sweeP1207~. This transferred to the fern during the statement period are • Private inverrnenu end ~awed products. — Estimated taut *come wed care« yield for angensatim may he per accoune fee a listed at market value as of the end of the statement Private rivesVnerd securites (ixbdeng drect certain types of stashes could include a rename of may be a percentage of average daily deposit perfid. POTtiCkarias Program and real estate investment tat Principal a capital gains in which case the est. balsas. • Cost best. lu detennning the cost basis of the securers) and steamed products are genera/ay hgtry income (aid can yieto would be overstated. securities included in this statement where indicated &cud Certain structuredproducts have not been — Estimated a-nual income and current yield and the Activity wit the nurrbo UBS F narcial Sorkin has rebid registered wah the Securities and Exchange actual inctme and yield milts be lower a higher Irritation regarding cornmeal:re and Mhos Marrs on information obtained Irons sources oter than LES Commission or under ary state securities laws. We than the estimated amounts. (loured in «resection with the execution of trades, financial Strokes, eckxling blonnalion from another provide estimated values for prince imminent — An *sterns of a-nualized *come (dividend arda includng colion transactions has been included on Ism or that you may have«aided to you Fnancial monies and structured products for attinaliceral interest) derided by the current mate confirmations previously furnished lo you, and will be Advisor. The Finn does not indeperdoey nerdy a ordy. Acaracy is not guaranteed. valoaraverage balance is based on the last dividend provided to you~lb' on ~ garnet the wry a validity of ay *lamalim provided by sofas other than LES Fisuoxial Services. = vibes mgdiffer substantially from prices, any, at which a private nvestment secudyor or merest payment made by the issuer and Short setting Is ormmes e deposes will be held for ore ackliion, although LESS Financial Strikes genera* structured product maybe bouisl or sold and do year from the statement date or unto maturity. If you ae engaged en short ailing a security. you may gmlates this reformation as it is received, the fem n°1necessary normers the va you may receive Accuracy and corned yield are not guaranteed. bout a charge due to anan barowng costs fa that does rot provide ay assurarces tat the idormation upon liquidation, palicula sienrity. under -Cost bases rd 'Unrealced gadloss' is — Thrd party estimbes of value are as of a certain • Assets not held by UNFinredd Services. Cenan accurate as of the date of this stammers. As such, date and are supplied to UBSFnaxial Sentes ona assets are nor held by the Fin, and not within the Open orders please do not rely on this information to make rears basis by an independent valuation firm lams possession or control. Then assets are Regarding open or socodlitcancellee ceders that purchase a sale decisions, for tar purposes « — Bluer, general partner as spot« estimated vetoes, displayed on you statement foe reformational were not execaed by the summers dar open buy and Mlles wir. Accounts transferred to the finn may if sib are ~lied to fie Firnber the issuer, purposes only. Positions and vales presented se sea stop ceders se reduced by the mount of driedends ref tot gardloss information only for the period of general partner or sponsor arid may be tabulated provided by te isung UBS f nancial Services is or right on an ex.dnAlerit or ex-rights date unless tine they se held x the Fim. More historical based on different information from tat used by not respatiale for this iretarnaton aid does not instructed otherwise by you. You ae responsble for information can be added by your Financial Advisor. third panes to derive *air etiolated yaks,. guarantee ils accuracy. Thew assets are not protected orders that ate executed cis to yaw lekte to cancel • Uesealited gainsileases. When data is available, — You can etuin additional information regarding by SIPC or the fists sablernemal 51K coverage. sating q:en atlas. Sinned sneaked gandlosses re calculated for the melhodobigy used to determine the estimate of rdividal security lots. The transaction data for value and the date of tie information that is the • Ravarara sharing and additional compensation. Privacy individual bh may or mynt reflect canmisstres. basis for the estimate by contactigyour Financial - h ~ice to a:amiss:3ns on sales and 12b.l fees To obtain a copy of ox anent Client Privacy Notice, mages aria security norganintion ewers. Adios. roared n connect on rah the destitution of mutual please taxan sir Francis/ Advisor a mest as Mini% Dividend and other ?investment lots and systematic — Third party estimated values may bereflected as funds co as clients we ardor or atfiLate receive at "wive obs COAVDeiViCV004CV. purchase lois re each combined to display one 'Not priced' in several situations: when an revere. tang~ern frees disobuton sidor — U3S Financial Stryker is rot a bark. The RMA, Business averaged lot. The 'Trade date' coknin presents the • dent valuation lam has not supplied a is advisors of the maul funds that we sell These Services Account BSA and IRMA are brokerage original transaction trade date. unable to assign a value when we become aware amounts se based on two drferem correpoents: CO scans which provide access to barking senates aid • Callable markless Bonds and peelerred stock that that a material cant has occvrod that may call a the amen of sales by LES of a partoular enamel pedals IMaxjt arrangements with affiliated banks the issuer calls for eery redemption wilt selected peennusy reported val.* into question, a when a fund famity X. our clients; and G0 the and vabe of a and other Ihrdparty barks, and provides access to impanialy by lot from among al ware« of that value, would be highly spoulatme the to the nature particular mutual fund family, shares held at the insurance and annety goduns issued by unaffiliated ass* held in our none a in nominee name for ar of the security. fern. thirdparty insurance companies trout instance clients. Call feature information is obtaned from third — When nester an issuer, general partner or sponsor - We and our affiliate also receive networking and seem subsidiaries of UMFinancial Services tt. parties and es accuracy is not guaranteed. Odon all estertatod value nor a Owl-party estimated value is cmnbus pransrg fees n consideration la transfer — hvesvnent, ruin*, ad arnuey predicts: features may east which could affect yield; complete ponied, the vale of the searity wal be Mere« eager* services that we provide to the mutual furds. — Not FDIC insured • No bark guarantee. May lose vale information will be provided upon request from as purchase Prins Rion fees antra* am paid from investor asset in — IMA. Resat« Management Account Dulness • Priem/value. Prkesdeplayed la securities and other — tiarbutons to date' May «ludo rerun of the mutualfad and ere a feud dollar amount based Services Account BSA, IRMA and international Resource prod ects maybe higher or lower than** price that capital, income or both on the number of amounts at the broker-dealer Management Account re registered service mats of you would actually receive in the market. Prims re — • Orgnal unit site represent the ntial offering holding ~seal funds of tatInd Insy. LBS tumid Services INC obtained from various third party sources whit we Vice per unit ad may not reften your cot basis - h acKtion to commissions received inc.:motion — YTS/Size registered tedemalc owned by Vila believe to be reliable, an we do not guarantee thee — DPP and unlisted RUT securities are rot listed on a with the sale or distrbuton of airway tontratt and htematianal Service Association and used under accuracy. national securities ndunge and are generally unit rnestrnent trust snes to our diet, we ancla keno. The LES Via Creistl cads and the LES Visa — We genera/ use he eking price when anibbk a illiquid and even i they can be sold. the price at affiliate receive untrue sharing compensation debit cads se issued by LBS Bark USA with he mean of the bd and ask prices fa listed tamed may be less tun the per spire estmaled from nay of the monoe companies underwriting permission from Via U.S.A. Incorpraled. All other securities td options «coy bid prices for OTC value prodded in the scours statement. the a-nuity contracts, af illates o: the Maxim oedemata, registered trademarks, serrke mats ad securities. companies or spontan of he unit enestmers trusts registered service marks se of their respective — Less activeytrackd securities maybe priced using a • Restricted securities. Restricted secuties generate)/ we dimbute. ~pines. what«. model a the most recent peke we are not ansently elgbk fas pubk sale LOS Financial - h eclInka to commissions received from the obtaned and may not reflect an actual market price Services uses the market price of the urresOcted stod purchase and sale of NextShares lundk we ardor our UN financial Services Inc Rev. 202002 ale. of the same issuer as an imputed value fa the affiliate receive an asset-based revenue sharing — Certan potions may appear *Mae a price and restricted stock for purposes of this statement only. To payment from ~Shares databulors, as wed as will tow aspeke was not available if we are he extent that restricted securities are ebgbk for sate funding for technology development trainig ad unable to obtain a price for a security. the vats received may be substantially less than the education. — Deposits a securities cknomiuted n currencies maned value shorn. other than U.S. dollars re reflected at the excharge rate as of the statement date. SDNY_GM_00009843 CONFIDENTIAL EFTA01597510 085 Financial Services Inc. Private Wealth Management SUBS 299 Park Avenue 26th Floor Business Services Account New York NY 10171-M02 March 2020 aet70011172170320X14 Y1 0 ELLMAx, LLC 139A CHARLES ST APT 233 Account name: FLLMAX, LLC BOSTON MA 02114-3252 Friendly account name: ELLMAX LLC Account number: 1 23680 SS Your Nnandal Advisor. SCOTT STACK MANILYII CASRIEL Questions about your statement? Cal your Financial Advisor or the Value of your account ResourceLine at 800-762-1000, on February 28 (1) on March 31 (1) account 029023680. Your assets 0.62 0.62 Visit our website: Your liabilities 0.00 0.00 vvww.ubs.cornifinancialservices Value of your account $0.62 $0.62 Items for your attention Help protect yourself from fraud and review bank. credit card, and brokerage statements regularly. Also, get your free credit report annually from Sources of your account growth vnvw.annuakreditreportcom. Tracking the value of your account during 2020 Value of your x<ount S Thousands at year end 2019 10.62 Your investment return: 96.2 87.5 Change in market value $000 Vakie of your account on Mar 31, 2020 s0.62 0.0 00 Dec 2014 Dec 2015 Dec 7016 Dec 2017 Dec 2018 eD c019 Feb 2020 Mar 2020 SDNY GM 00009844 Member SIPC MC030300111721 NPX100119583 00001 0320 000000000Y123680550 100100 Page 1 of 6 CONFIDENTIAL EFTA01597511 Account name: ELLMAX, LLC Your Fi modal Advisor: *UBS Business Services Account March 2020 Friendly account name: ELLMAX LLC Account number. Y I 23680 SS SCOTT STACKMANLYLE CASRIEL Your account balance sheet Summary of your assets Value on Percentage of March 31 (1) your account A Cash and money balances 0.62 103.00% Your current asset allocation • B Cash alternatives 0.00 0.00% C Equities 0.00 0.00% D Frxed 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 $0.62 100.00% A Value of your account $0.62 Eye on the markets Percentage change Index March 2020 Year to date S&P 500 -12.35% -19.60% Russell 3000 -13.75% -20.90% MSC I - Europe, Australia & Far East -13.25% -22.72% Barclays Capital U.S. Aggregate Bond Index -0.59% 3.15% Interest rates on March 31, 2020 3-month Treasury bills: 0 10% One-month LIBOR: 0.99% at•200030017172l8 NP70001i9S83 0000l 0320 000000000)112368(650 I NMY_GM_000098itge 2 Of 6 CONFIDENTIAL EFTA01597512 Account name: EU.MAX, LLC UBS Business Services Account Your Pinodal Advisor. Friendly account name: EWVIAX IIC SCOTT STACK MANLYLE CASRIEL March 2020 Account number: Y1 23680 SS 242424-440.900-ne-34.40 Change in the value of your account March 2020 ($) Year to date (t) Opening account value $0.62 $0.62 Closing account value $0.62 $0.62 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 Achisor 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: Primary • Moderate Investment eligibility consideration - None selected Your account instructions • Your account cost basis default closing method is FIFO, Arst In, First Out. SDNY GM 00009846 Ate7C003001117219 NP70001I9S83 03001 CO20 000000000 YI 23680550 100100 Page 3 of 6 CONFIDENTIAL EFTA01597513 *UBS Your notes nw>000400, >120 n444:4, '6443 4404. 0310 .4040004 v,,344:644 ',if., G. 00009.44 4 6, 6 CONFIDENTIAL EFTA01597514 Account name: CLIMAX, LLC Business Services Account Your Masada Advisor: 4tUBS March 2020 Friendly account name: ELLMAX LLC Account number: r 1 23680 55 SCOTT STACK MANILYLE CASRIEL Your assets Some pnces, income and current vdues shown may to approximate. As a lesult gains and losses may not to accurately reflected. See Important information about your statement a the ended this docurrem for nave Intorno on. Cash Cash and money balances Ccering IsdanCe Closing Wallet Pike per Share Aterage 0.00.ndinterest Days el on Mar 1 (S) on Mar 31 (S) on Ma 31 (5) rate period period 0.62 0.62 Your total assets Percentage ca Cost Enirmted Unreadzed value on Mar 31 (S) your account bens (5) annual interne (5) grin or loss (S) Cash Cash and money balances 0.62 100.00% 0.62 Total $0.62 100.00% 3O.62 SDNY GM 00009848 A 410003001117221 NPM00119583 00001 0320 CO0000000 Y123680$50 1001t0 Page S of 6 CONFIDENTIAL EFTA01597515 ,SUBS Your notes AN:1000300in 7222 NP7303119583 00031 0320 000300000 Y123680550 1C%NlY_GM_000098PA0 6 of 6 End of statement for account number Yi 23680 SO CONFIDENTIAL EFTA01597516 Important information about your statement UE6 Financial Services inc. (the Firma (13S Financial hear from youno later than 60 days after the Firm capacity. A ful copy of the polio; eating is available income or reams and may not keep pace wdn Services), a a mutter of all principal storey, covirnacky sent you the fist statement on which the nor or upon wit. inflater. andWires excha-ges UBS Manual Services and UBS pobtem appeared. • Moderate: Wiling to accept sane risk to principal and Bark USA are i -direct absklaies of 1185 AG and — Provide your name ad accoun number nry. Nether the SIPC protection nor the suoplememal tolerate some volatlity to se* higher returns affiliates of LEG Searkes U.C. The Firm's financial — Dewbete Oita or IS Wander you re inure protection appal to: • Aggressive: Willing to accept high risk to primeval and statement is available Won request. The Firm's execute* about, ad eaplin as clearly as you can why you • Certain financial assets controlled by (and ext.:led in hit,KIM, to Seek highrelines over tine offices are at: believe h is an error or why you need more you- account realist held away from UBSFintercist • Monotone fryibliey Coraidernen: If selected. a information. Services for example certain (0 insurance prodacts portion of the donor* for that asunt may include UBS Marxist Strokes Sex. — Provide the dolls. amount of the suspected error. inducing variable aauites. and OD shares of mutual corrplex strategies, united liquidly and germ 1200 Hats Boulevard funds registered in the name of the axon holder on voleirky. Weehawken NI 07086 The Firma Cad Issuer will investigate your complaint the books of the issuer a transfer agerrJ; and will tarot wry error promptly for atoned errors • hvesunmt contracts or rwestment Swot W.g., Statement "householdince This statement represents the onbr officialrecord of you reviving UBS Vaaedebe cad transactions. 4 we take Imbed partnerships and private placements) that are We may consoktate d1tetrad account StateraintS with Les Financial Services account Other records, /wept more than 10 banns days to do this. we will credit not registered under the Securities Act of 1933; the same address in the same e.g. because official tat documents, cleaning coralkting data should your account for the /mount you think is in errs, so that • Commodities contracts (e.g., foreign exchange and they have owners who also maintain joint account not be refed moon. Ilyou beleve there ban error or you will have the use of the money during the tine it precious metal contracts), includig futres contracts relationships wth other clients at the same ackkess. ef °motion, please report it immediately in asking to the takes us to complete av rwentigeon. and commodity option contracts, you prefer to receive individual statement mated n Branch Manager of the office serving you account. • Smarties on loan to VW Financial Strokes; and separate envelopes, you !My decline householdrg by Please make all checks payable to the Finn or the • Depose accounts (excel owlif juges of deposit) at ka5 (Ong yes Financial Advisor Altough all lions shown re intended to be accurate, financial onSUILOOrb indicated on the front of this Bak USA, UM AG U.S. branches and banks n the statement data shouldnot be used for tat purposes. Rely statement. In addition to regular account fees, accounts FDIC hsured Deposit Program. Friendly account name sole* on yes-end lac kerns, 6.4., form 1099 1498, may be se.bect to mantenerce feet changes for late We Slit protection and the supplemartal protection do The Friendly account name es a customizable 'to:knave' 10425, no) when preparing your tar return. The Fern is payment for securities purchases and charges fa tread • ot apply to these assets wenifew othewise appear chosen by you to assist you with your recordkeepig. requited by law to report to the IRS all taxable thiclords. amounts n cash accosts. Accounts that are transferred on you statements. The SiC prOliCtian and the Ns no legal effect on your account, is not intended to reartabb ma-taxable dividends and taxable Serest to other nstautOnS may be subject to a translw fee. erredm secaties held n yotr octant net proceeds supplemental protection do not protect again changes reflect any strategy, product recommendation. n the market value of you invert/Ms (whether as a inestment objective a risk pro/le associated with your on sale turoadons, and corn basis on crun cowered UtS Sweep Options result of market movement mean bankruptcy a accounts and a not a promise a garnet that we*, seasilies UBS otters options for sweepng cash balances to bark otherwise). or any financial results. can or willbe achieved. All deposit accounts at nernaHauted banks and *Mated irt.Itriliglts involve the risk of loss, ex Lang the risk of Ccenmunications with the Firm banks and money maker moral finds (Money funds). Dividend Reinvestment Programs (DRIP) loss of the retie investment. Toucan change your • Neese re-col-Ann any oral cornrrunicaticets n writing Deposit accounts at IBS Bann USA and non-affiated Th. price rationed it an average price. You may obtain Friend& secant names through Online Services or by to further protect your rights, including your rights banks panic:pang ruhe UBS FDIC-ensued Deposit the actual price from you Financial Adviser. On/en/wee contacting your Financial Advisor. under the Securities Mesta Protection Act *SA). Program are FDIC-inured in accordance with FDIC rubs. shies are purchased under DRIP; pallid shares will be • I the &linoirl iwaution on the top lett of the front Fa net idanratior please vial awnv.fde.ese. Deposit std rd the cash will be deposited in you account. We Account overview of this statement isnot Les Financial Services. llIS accounts at UBS AG Stamford Branch and shares of dividend reiwestment price supplied by the issuer may • Value of Oaf awoundporttafid Net of assets and Financial Services orris your account a clearing Money funds we not re-red by the FDK. differ from the mark* price at which the partial shares liabilities tn:ker by arrangement wt the indicated reasAion are sold. • Assets Includes available cash balances, vakes for We Wormed you of this relationshb Met you Bak deposits., not protected by WC. Money Fad shoves are protected by Slit See -UBS FnnciS Sakes restricted security (est), and Global Time Deposes opened this !Can. In this case your fads awl Cadvin4eu Account Protector below. trrealized mats to market and certain assets riot held secuites are located at UBS Financial Services and rot On& whole unis maybe held in you account. F you are by the faro. Does not include unpiced securities( assets the nrookxrg broker, rd you must make a report MOS to a panial vat as a result of a dividend payment as the end of the priar and 0.intit statement paw ls. a of wry error a mason to both frms. Upon you acmes, balances in the bark deposes may be or otherwise, the Firm will ether sell patiel ranks at private investments, invested stock option and • As descrbed n the account na re...coots. youmust wackarm ad shares of a Money Find may be market pice or accept an anoint determined by a liardated, and the proceeds returned to you or you wierciubb stock options. noddyus of any *liars or fraud involving checks registered clearing agency, and credit you accost • Liable's Melees debit balances, cumandrg margin reflected on your statement with:" 30days after it was secuites account. mailed a made mutable. WM. Credit lie, short accent balances hither neomycin about available sweep options, Inveslanent objection • Cashmoney balances Total 01 uninvested available • Please direct customer carolers or rkuries to the the Sestrnert objectives and risk profile are speak to cash betakes, plus deposit balances at affiliated and Film's Client Relations Department at 201.352.1699 roludng current interest rates and yields, a avelable* each account and may ray between you- accuses. wwwas comes...Nay:Ms, hom you Fnncal Advises • orvallikated hanks, aid money market MAW fUld a toll-free at 800.354-9103, 8:00 A.M. to 600 P.M Please sense the FilbprOrray ih amino of arty a by calIng KO-7621000. sweep balances, at the close of the statement period. ET Monday through Friday. or in writig to 1.85 significant change in your financial situation or financial Services erx.. Client Relations Department, Nori•CorrroOdry free credit balances in yos account are investment objectives. Foe each account held. You not segegwed from other balances and to Fern may P.O. Box 766 Union City, M 07087. UN Financial Services account protection choose ate of the following investment objectives: The Firm is a member of the Securcies hest.* Protection use any rid these funds in the ordirtay cone of its • All statements shall be deemed cow*e and atom • Produce Current Income- Investments seeking the bins those finds are payable upon your demand. 4 not objected to nulling within 60 days. Corporation (sro, which protects securaies erosionen generation ce income only. of is northern up to 1500,000 (nduding 1250.000 for Thes total is ircladed in the anent period closing value. • For TIT services: Cal 844412-0986 or from outside dams for cash) baslanatory brochure makable upon • Achieve Capital Appreciation: hvestrnents seeing the US CO201-332.1495 growth of woo Oatrather than the generation of Lending information • le ase of errors or cuestas about an electrak request a at mew Nocorg. The SWC asset protection tires apply to al scouts that you hold in a particular income. For detailed iicrmation an the Fm's legeng practices fads transfer (U1), bill payment or UM Visa* debit • Produce Combination ofIncome and Capital and disclosures, refer to your Client Rolsoonshp card transactions, cal 800-2621000 or write to UBS capacity. The Firm, together will certaM artiates,has also Appreciation Investments seekirg both the generation Agreement or Account Agwrnent and the General F Le-uncial Services lx., 1000 Harbor Bind, 6th floor. of income and growth of principal. Tams and Conditions Les Statement of Credit Practices weeharAcon. NI 07086, Atm: RIANEGA Serva4. pschawd supplemental insuwict the marirun arrant payable to al eligble dint collective& under available nAgmements and0ath:cues a this protection a SSOOmillian as of Detente( 10, 2019. Overall risk profiles zetsw rib tom,men nfrliwkwgo. Call a write as soon as you can, if you think yas • ConsewaM'e. Seeks to nunta'n ntial prixpul, with statement a recta 6 vra-g or a you need more Salmi to the potty conditions and lineations, cash a information about a transfer on the statement a the Fern et further protected For up to 519 million in the low Sc and volatiry to We account overall, even if wept. The lam or Card Issue (as appkable) must aggregate for all your accounts held in a partnaar that men the account does not generate signifier* SDNY_GM_00009850 CONFIDENTIAL EFTA01597517 Important information about your statement (continued) Yin assets — For certain sectrees trading in nonconforming • Est. (estimated) income, current yields and rates. - Our affiliates also receive trading CPTIlliSSiOrd ad Vow natement ermines securities and other assets held denemhatons. mice argil quantity (lace hake) may An ennuie of anal i come in bawd on anent other compensation from mutual funds and mutant.* in the accant a the end of the statement period. You have been adjusted to facilitate proper valuation. divided and nterest rates, assuming the shanties will companies whose products we distrbute. may ask for delneY of fully pad seaMties at anytime. To obtain current quasi:ens, when haltIe contact be hen for cre yea from statement date or until - We receive cone ensal ion fromUK Brie USA, UM You may receive wastes used as loan tetanal alter your 'mix id Advil«. matuney. The estmate is ion bp a guideler; accuracy AO Stmtord Branch. nd nonaffiliated bares pang any balance <Le on them. Am securities and continued income are not guaranteed. through our cash sweep brogans. This ~erred to the film dreg the statement period are • Private headmen and ~awed products. — Estimated arnual acre wed cement yield for anwertialen may be a mean* per account foe or listed at market value as of the end of the statement Private Mesa-nerd securities (exuding dreCt certain types of mashes coed include a return of may be a percentage of average daily deposal perkd. PaehdialenInward and real estate nvestment trott principal cr septa' gain in which caw the est. batman. • Cost bath, ludelmnnirg the cost basis of the teturited and structured products are generat' hgtity income (aid dirndl Welch would be overstated. se:train included in this statement, where indicated diceud Certain structeed products haw not been — Estimated aria name and current yield ad the Activity wit the number 'I,' UBS Enantal Senkos has relied registered with the Securtin and Exchanges actual income and yield might be lower or higher Information regarding cornmeal:a and other charge on information obtained iron sources ester than LES Commession or under ary state securities laws. We than the %tented amounts incurred in wriest ion with te exoutiOn of trade, Financial Strokes, irekxling inonnalion km another provide *alienated takes for pinto imminent — An Mims of arnualized income (dividend anda includng option transactions has been kluded on Ism or that you ma/hawprovided to you Fnancial wanes and structired products for ramnational interest) derided by the current mate confirmations previously furnished lo you, and will be Advisor. The Firm does no. indeperdotly verify or oat. Acancy is not guaranteed. valearaverage balance is based on the last dividend provided to you promptly on regent. garnet the wry cr validity of so nlormalian provided by sources other than LES Financial Services = valets may differ "-bumially from prices, any, at which a private nvestment secudya or merest payment made by the isiver and Short selling MIMS* sectabies1~ will be held for or.. h ackleco, although LESS Financial Strikes gents" structured product maybe bce4 4 or sold and do year from the statement date or um' matuity. If )CO ar• engaged in short selling a 'suety, you may testate, this reformation as it is received, the Fem not reCesa segment the va you may receive Accuracy and connued yield se not gavanteett hour a charge due to certainborrowing costs for that does rot provide any assurances tat the information upon liquidation particular astray. under -Cost base' ard -Urvealetd gallon' is — Thrd party estimates of value are as of • Assets not held by UBS Pinndal Sodas. Cenan accurate as of the date of this statement. As such, date and are supplied to UBSFinakeal Sentes on a assets are not held by the Fern and not withn the Open orders phase do not rely on tit information bake regis basis by an independent valuation firm Fern's possession or control. These assels are Regarding open or egood.ticarxellecr orders that purchase a sale decisians, for tar purposes a — issuer, general partnern sponsor estimated vales, displayed on you gateman' For reformational were not neared by the statement date open buy and rd nil...Q. Accounts cambered to the finn may il enl, are ~fed to the Firm by the issuer. purposes only. Positions ad vales presented are tel stop orders re replaced by the mount of &Merck ref beet %W West ire°tension only for the period of general partner or sponsor arid may be calculated provided by te issung fem. UBS f nancial Services is or nghts on an ex. Olden* ix ex-rights date Men tine they se herb the Fim. More historical based on different information from tat used by not respamble for this inkerriatm and does not instructed otherwise by you. You are reap:amble for information can be added by year Financial Advisor. third panes to derive thee estmaied values. guarantee els '<curry. Thew assets are not protected orden that are executed due to your failure to cancel • neaten:ad gainsflesses. When data is available, — You can dxain additional infomation regardng by SIPC or re Finn's supgernemal 51K coverage. existing open orders. Sensed In-raked ganntosses are cakubted for the ~hobby& used to determine the estimate of rdividul security lots. The transaction data for value and te date of tie info-matkin that a the • Rasserve sharing and additional oorrepensation. Privacy ndffdeal bis may or may not reflect canmissims, basis for the estimate by contactigyour Financial - h ~ice to recurrent on sales and 12b.l fees To obtain a copy of ox current Client Privacy Notice, doges ace security reorgandation tents Ad tor. recent-O n connedco with the disobson of mutual phase corned yam Financial Advise «visit or webs.* Dividend and other ?investment lots and systematic — Third party estimated makes may be reflected as fads to as clients we andlor or attikate receive at WWW SAS COTTeiVolCVDskv. PANKOW lots re each combined to dePlaY one 'Ng priced' in several etuatkre: when in revere. sharing ~eras from distrbuton anclor - U3S Final-Kist Sink", is rot a bark. The RMA. Business averaged lot, The 'Trade date' totempresents the • dent valuation fem has not supplied a is advisors of the nusal KOS Mat we sell. These Service, Account BSA and AMA are brokerage original transaction trade date. unable to assign a value when we become aware manta are based on two deferent corriponents: CO accounts wench provide access to baring services and • Callable marithes Bonds and preferred stock that that a material event has occvrod that may call a the moue of sales by LES of a pancular initial products ihr~ avangements with affilifried banks the issuer cats for ray redemption wit be selected presiausbe repotted vala into question, Cr when a fired famity Se our clients; and G0 the asset vex of a and otter lined-pat, barks, and provides access to imparbabe by lot from among al ware« of that value would be highly speculative the to the nature particular mutual fad family's shares held at te nominee and enmity produces issued by unaffiliated 6SLe held in our rase or n nominee name for or of the security. lem. thirdparty estate companies trout instare clients. Call feature information is obtained from third — When neither an issuer, general partner or sponsor - We ad ow affiliate also receive network rig and agency subsidiaries of UBSfinancial Services hc. patties and es accuracy is not guaranteed. Oder all metaled value nar a 0wd•paty estemated value is melbas goosing fees n consideration for wander - hvestment, murnid, ad saucy products. features may exist Moth could affect yield; complete ponied, the vale of the searity wal be &Inert agera wares that we provide to the reseal funds - Not FIX insured • No bark guarantee* May base vela information wit be provided upon relent from as puthaw take Those fees genera/by am paid from investor assets in - IMA Inouye Management Account Dustless • Price/value. Pekesdeployed la securities and other — tgrbutcns to date may elude mum of the ~tun fund and se a ficed dollar xenon based Services Account BSA. IRMA and intonational Resource produce maybe higher or lower tend* price that capital, ixome or both on the nunhood accomts at the bnaterdealer Manzgemera Account are registered service mats of you would actually recent in the market. Prim re — • Orgnal ink size represents the heel offering holdng maul funds of tat fund family. U3S Frundat Service Inc. obtained from various third party sources which we Price per ont ad may not refled your cop basis - h addition to commissions masked inane/notion - VISA is a registered trademark owned by V/S3 believe to be reliable, but we do not guarantee thee — OPP and united REfr securers are not listed on a with the tale or distrbutm of ~way convicts and international Service Association and used under accuracy. national securities octunge and are generally emit rnestrnent trust urns to ou slier" we ardor Ions., The LOS Via cede cards and te LES Visa — We genera, use eve eking price when available a illiquid and even i they can be sold. the price as affiliate f«.?6, ream* sharing ~Madan debit cards are issued by Ungar* USA with the mean of the hd and ask prices la listed received may be less tan the per spire estmaled from many of the nsurance companies underwriting permission from Via U.S.A. Incorpraled. All other securities and options «cob, bid prices for OTC value voided in the account statement. the a-nuity contracts, afffiates o: the instance oedemata, registered trademarks, service marks ad sea/Mies. ~runes or sporron e he unit niestmerd trusts renewed service marks are of their respective — Less activey traded securities maybe priced using a • Restricted securities. Restricted secrets genera»), we ditnbute. ompanies. vabatun model a the most recent peke we are not orrently eighe la pubic sale UBSFinanoal — h addition to commissions received from the aimed and may not reflect an actual market price Services uses the market price of the trrestricted stock purchase and sale of NectShares hinds we ardor ar UN financial Services Inc Rev. 2O2OO2 o vabe. of the same issuer a an 'reputed value for the affiliate receive an asset-based revenue sharing — Cotan positions may appear *Moe a price and restricted stork for swoons of this dormers only. To payment from ~Rum disktmors. as ma as will show aspeke was not available if we are te count that restricted sectrities are eligible for sale, funding for technology development trainig and unable to *tan a price for a security. te vibe received may be tubstantially ins than the education. — Deposits or searifies denominated n curroxies imputed vaks shown. other tan U.S. dalas re reflected a the exchange rate as of te statement date. SDNY_GM_OOOO9851 CONFIDENTIAL EFTA01597518 085 Financial Services Inc SUBS Private Wealth Management 299 Park Avenue 26th Floor Business Services Account New York NY 10171-0002 April 2020 AMP70077353410420 Y1 0 CLIMAX, LLC 139A CHARLES ST APT 233 Account name: ELLMAX, LLC BOSTON MA 02114-3252 Friendly account name: ELLMAX LLC Account number: 23680 SS Your Anandal Advisor. SCOTT STACK MAN/ LYLE CASRIEL Questions aboutyour statement? Cal your Financial Advisor or the Value of your account ResourceLine at 800-762-1000, on March 31 (S) on April 30 (S account 029023680. Your assets 0.62 0.62 Visitour website: Your liabilities 0.00 0.00 vvww.i.es.cornifinancialservices Value of your account $0.62 50.62 Items for your attention Help protect yourself from fraud and review bank, credit card, and brokerage statements regularly. Also, get your free credit report annually from Sources of your account growth ..wiwannuakreditreport.com. Tracking the value of your account during 2020 Value of your xcount S Thousands at yea end 2019 30.62 Your investment return: 96.2 87.5 Change in market value 9000 Value of your account onApr XI, 2020 $0.62 16.8 11.8 0.0 0.0 00 Dec 2014 Dec 2015 Dec 2016 Dec 2017 Dec 2018 Dec 2019 Ms 2020 Apt 2020 SDNY GM 00009852 Member SIPC m870302000735341 NIMCOC65344 03001 0420 000000000\1236805.50 1:00000 Page 1 of 6 CONFIDENTIAL EFTA01597519 sUBS Business Services Account April 2020 Account name: LL_MAX, LLC Friendly account name:lll.MAXLLC Account number Y1 23680 S5 YourPinada' Advisor: SCOTT STACKMANLYLE CASRIEL Your account balance sheet Summary of your assets Value on Percentage of April 30 (1) you account A Lash arid money balances 0.62 IC0 00% Your current asset allocation • B Cash alternatives 0.00 0.00% 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 $0.62 100.00% Value of your account S0.62 Eye on the markets Percentage change Index April 2020 Year to date S&P 5CU 12.82% -9.29% Russell 3000 13.24% -1a42% MSC I - Europe, Australia Be Far East 6.54% -17.66% Barclays Capital U.S Aggregate Bond Index 1.78% 4.98% Interest rates on April 30, 2020 3-month Treasuy bills: 0 10% One-month LIBOR: 0 33% MD70002000735342 NVO;0065344 00001 0420 001X00000 Y123680550 eetigt#1YOM0000989396 2 of 6 CONFIDENTIAL EFTA01597520 sUBS Business Services Account Account name: Your Mnandal Advisor: Friendly account n ante: EL MAX lLC SCOTT STACK MANLYLE CASRIEL April 2020 Account number: r 1 23680 55 Change in the value of your account April 2020 al Year to date (1) Opening account value $0.62 $0.62 Closing account value $0,62 $0.62 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 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 eligibility consideration - None selected Your account instructions • Vote account cost basis default closing method is RIO, Arst In, Rrst Out. SDNY GM 00009854 AN,70702000735343 NP 344 DOW 0420 008000020 Y123680550 000300 Page 3 of 6 CONFIDENTIAL EFTA01597521 *UBS Your notes ...,002.0.3...00E53..00.6.0.000000,36.50,.. G. 000.,gge 0 of 6 CONFIDENTIAL EFTA01597522 Business Services Account Account name: EWV1AX,LLC Your Nnandal Advisor: *UBS April 2020 Friendly account name: ELLMAX LLC Account number: Y1 23680 55 SCOTT STACKMAP:LYLE CASRift Your assets Sane prices, income and current vdues shoat, may be appnaanate As a us ult. gams and losses May not be 8CWrarely reflected. See important information about your statement at the end of this document to more Inlomiston. Cash Cash and money balances Opening baance Closing barrICe Pace per share Average DoidenO mterest Days in on Apr 1 Oa on Apt 30 (5) 00 Apr 30 01 rate period period 0.62 0.62 Your total assets Percentage cl Cost Estimated Unrealized Value on Apt 30(5) your account basis (5) annual income (5) 9an or losS (5) Cash Cash and money balances 0.62 100.00% 0.62 Total $0.62 100.00% 30.62 SDNY GM 00009856 AtP200020C0735345 OP7OCOOSS344 00031 0420 000000000 Y123680550 0000W Page 5 of 6 CONFIDENTIAL EFTA01597523 *ilBS Your notes ..."O.1000.63.of.00306,3o.C.. 00,0C.00.000,i36.550,,,,, GM 000.fpge 6 of 6 CONFIDENTIAL EFTA01597524 Important information about your statement UE6 Financial Services ht. (the Firm or L€S Financial hear from ycuno later than 60 days after the Firm capacity. A fug copy of the polio; wadng is availitile income or reams and may not keep pace web e a mutter of all prixipal snaky, convey* tent you the fret statement on which the east or soon reams. inflation andoptions exchanges UBS Financial Services and UBS pobtem appeared. • Moderate: Waling to accept sane risk to principal and Bank USA are indirect absklaies of 1185 AG and — Provide you- name ad account number (4 any). Nether fie SIPC protection nor the supplemental tolerate some volality to seek higher returns affiliates of LEG Stones U.C. 71* f inn's financial — Dew be Ow OfRN or IS trend., you se insure protection appear to: • Aggresske: Willing to except hit risk to primeval and statement is available eon request. the Fire's execute* about, and avian as clearly as you can why you • Certain financial assets controlled by (and ixbded in Offices are at: bit,nob, to seek highMUTH Over time. believe it is an error a why you MOO more your account value) but held away from UBS TillterCig • franostawnt Welly Conaeleration: If selected a information. Services. For Nam* certain (0 insurance prodals. portion of the portfolio for That acorn may include UBS Finarxial Services Sex. — Provide the dolt. amount of the suspected error. inducing variable ama(n. and 6i) shares of mie* COrnplex strategies, limited liquidly and greater 1200 Harbor Boulevard funds registered in the name of the axon holder on wish*. Weehawken NJ 07086 The Firma Cad Issuer will investigate yam complaint the books of the issuer or transfer egad; and will correct ay error premptly for akged errors • hvestment 0:Orates or mestment interests W.g., Statement "bouseltoldiror This statement represents the onbr officialrecord of you. Solving UBS Visandebi cad transactions 4 we take Imbed partnerships and private placements) that are We may consoMiate d1related account statements wFh Les Financial Services account. Critter records, /wept more than 10 busiest days to do this, we will anti not matured under the Securities Act of 1933; the same address in the same eriveksw• e g. because official lac documents, contanng confiding data should you accord la lho renoun you think is in error. so that • Cannodities convects (e.g., foreign exchange and they have owners who also mantas joie accent roe be relied upon. Ilyou be4eve there ban error a you will have the use of the money during the tine it precious metal contracts). includig 'utast contracts relarionships mth other clients at the same acidness. tf ornesion, please report it immediately in twin; to the takes us to complete 02 inniligaton. and cornualty opal contracts, you prefer to receive ndividual statements mailed n Branch Manager of the office serving your account. • Societies on loan toU85 Ft-uncial Services; and separate envelopes, yo., May decline househokkg by Please make all checks payable lo the Firm or the • Depose accounts (except owlif juges of &Pail) at 1.85 Clang your Financial Advisor. Altough all lives shown re intended to be accurate, financial rindul6n indicated on the front of this Bank USA, UM AG U.S. branches and barks in the statement data shouldnot be used for to purposes. Rey statement In addition to regular account fees, accounts FDIC Insured Deposit Progran. Friendly account name sold/ on yearend lax kerns 6.4., form 1099, 5498, may be selaret to mantenarce fees charges for late The SIPC protection and the suppler/mut protection do The Friendly account fume is a customizable 'tn.:knave' 10425, etc) when preparing your tat return. The Fern 6 payment for securities purchases and charges fa tread not apply to these assets even if they otherwise appear chosen by you to assist you with your recordkeming. redired by law to report to the IRS all taxable dnidords, amounts n cash accounts. Accounts that are transferred on you statements. The SiC WOLKtion and the his no legal effect on your account, is not intended to reportable ma-taxable dividends and laxable interest to other nStiluICOS my be subject to a transfer fee. supplemental protection do not protect against changes felled ay strte9Y. Product recceemendanon. end on secants hey rerun recant net proceeds in the maket value of you investments (whether as a imatment objective a risk prof de associated virki you- on sale tunsactons, and cost basis on erten covered MS Sweep Options result of market movement issuer bankruptcy a rau -its. and is not a promise a garnet leat we*, seasities UBS often options for sweepreg cash balances to bark otherwise). or any I inancia results. can or MI6. achieved. All deposit accants at nasalhated banks and affiliated investment. extant the risk of Ion, nicking the risk of Cconmunications with the Firm banks and money market mutual funds (Money funds). Dividend Reinvestment Programs (DRIP) loss of the retie investment. You can change your • Rene re-corium any oral communkations n writing Deposit accounts at IBS Bat USA and non-affiated Thi price reflected is an average prof You may °blew, Bendy account names through Online Services a by to further primed your rights, including your rights banks panicipaing en the UBS FDIC-mused Deposit the smut price from you Financial Adviser. Only whole contacting your Financial Advisor. under the Securities investor Protection Act OSA). Program are FDIC-insured it accordance with FDIC rules. shares are purchased under DRIP: Pantie' thaw will be • I the fmanc 41intaution on the icy lett of the Had For mat Hamelkm, plena visit nwm.fde.gay. Deposit std and the cash wit be deposited in you accost The Apeman overview of this statement isnot Les Financial Services. tEl accounts at UBS AG Stamford Branch and shares of dmidendreenestment price supplied by the issuer may • Value of yeas wountIportiofica Net of assets and Financial Services carries your account as clearing Money Funds are not nandby the FDIC. differ from the mark* price at which Ow partial sham liabilities baker by aerangement with the indicated Praeution are sold. • Assets Includes available cash balances, values for We Wormed you of this relationshb when you Bak deposits ate not protected by WC. Money Find slums ate protected by SIPC See 'MS Filmed Seek*. restricted security test X and Global Time DIPOSPS, opened this accost. In the cases your funds aid Cash•intieu Accord Protector below. trstalinsi mats 10 market and certain assets rot held seasities are located at UBS Financial Services and rot Only whole unks maybe held in yaw account. F you are by the Fim. Does not nciacie °flatted securitieseassets the nvolaceg broker, rd you mist nuke a report entitled a aomi* inil m a result of a dividend paymenl at the end of the pea and turn stateerent periods. or of an/ error a mown to both fns. t an you rapist, tames in the bark deposes may be or otherwise, the Firm will ether sea panel Waif at private ilVOSITOMS, invested gock options and • As desorbed n the accornt evieents, youmust wridrann. ad shares of a Money Fund may be market p-ice a accept an mart deterrrelvd by a ...tut* stock options. realityus of any *nal or fraud involving checks liaidated• end the proceeds retuned to you or you- registered <burg agency, and credit you account. sectritin account. • Saul Nelda debit balances, cutsundrg margin reflected onput statement with:" 30 days after it was mailed or made mutable. bas. credit lie, short *cant balances Father Samson about available sweep options, Investanent objective, • Cashmoney balances Total of uninvested available • Please direct custom& carotenes or inzuries to the The i'westrnent objeclires and risk profile are specific to cash balances, plus deposit balances at affiliated and Finis Client Relations Department at 201.352-1699 roludng current interest rates and yields. is avaeable* each account and may vary between you- accanh. www.uas comrsweepyields, from yam P nand* Advisor napallikatecl banks, ad money market naval fund a toll-free at 800-354-9103, 8:00 A.M. to 600 P.M. Please arise the frill(WWI* in renting of ay sweep balances, at the close of the statement period. ET Monday through Friday. or in writing to 1.85 a. by calIng 8C0-762-1000. significant change in your financial situation or f inancul Service IN.. Client Relations Department NoniCorrrnOdey free credit balances in yaw *cart ate investment objectives. For each account helot you not segegated from other balances and the Fen may P.O. Bar 766 Union City, ha 07067. UN Financial Services account protection choose one of the following invntment objectives: The Finn is of the Securein investor Protection use any rid these funds in the ordinay passe of its • All statements shall be deemed comp** and accuse • Produce Current Income- Investments *Sig the tans Mow find, re payable upon your Bernard 4 not objected to itwaiirng within 60 days Corporation (sro, which protects sea:rein customen generation of income only. of is frherberS up to 1%4000 tindading 5250,000 for We total s irpiaded in the anent period closing value. • For TFY services: Cal 844412-0986 or from outside clams for cas0 explanatory brochure amiable upon • Achieve Capital Appreciation: Investments seeking the US Call201-352-1495 growth of onePal(Awe than the generation of Una* information • In case of errors a cueslions about an electronic request a at wwwstescorg. The SiC asset protection fires appli to al accounts that you hold in a partkular income. For *take, information on the Finis lading practices lords transfer (UM bill payment or UBS Vide debit • Procter* Combination ofIncome and Capital tad disc Mutes refer to your Client Rolatromhp cad transactions, cal 800-762-1000. or write to UBS capathy. The Firm, together with certain athletes, has also Appreciation Investments seeking both the generation Agreement or Account Agreement and the General F'nannal Streets Ix., 1000 Harbor Blvd. 61h flOOr. of income and growth of principal. Terms and Condition; Les Statement of Credit Practices Weehawken, id 07086, Attn: RIMISSA Services. purchased supplemental name. The marivsm eanassll payabk to at eligbk dins collective& under available in Apeements andDiscbsures at this protection is SSOO million as of December 10, 2019. Overall risk profilea www rib conslankarrstranchurros Call or write as Won as you can, 4 you think ma, • Consenweve. Seeks to mantas nelal prin.* with statement a receipt is wag or e you need more Wane to the policy condiions and lititaicen, cash at information Seoul a transfer on the sinners a theFinn es aster protected fa up to 11.9 minim in tie bw Sc and wink to the account overall, even if we've The Fern a Card bluer (as appkable) must for at your account held in a particular that mum the secant does not generate signifiers SDNY_GM_00009858 CONFIDENTIAL EFTA01597525 Important information about your statement (continued) Yin assets — For certain sectrees trading in nonconforming • Est. (estimated) income, current yields and rates. - Our affiliates also receive trading CPTIlliSSiOrd ad Vow natement ermines securities and other assets held denemhatons. mice argil quantity (lace hake) may An ennuie of anal i come in bawd on anent other compensation from mutual funds and mutant.* in the accant a the end of the statement period. You have been adjusted to facilitate proper valuation. divided and nterest rates, assuming the shanties will companies whose products we distrbute. may ask for delneY of fully pad seaMties at anytime. To obtain current quasi:ens, when haltIe contact be hen for cre yea from statement date or until - We receive cone ensal ion fromUK Brie USA, UM You may receive wastes used as loan tetanal alter your 'mix id Advil«. matuney. The estmate is ion bp a guideler; accuracy AO Stmtord Branch. nd nonaffiliated bares pang any balance <Le on them. Am securities and continued income are not guaranteed. through our cash sweep brogans. This ~erred to the film dreg the statement period are • Private headmen and ~awed products. — Estimated arnual acre wed cement yield for anwertialen may be a mean* per account foe or listed at market value as of the end of the statement Private Mesa-nerd securities (exuding dreCt certain types of mashes coed include a return of may be a percentage of average daily deposal perkd. PaehdialenInward and real estate nvestment trott principal cr septa' gain in which caw the est. batman. • Cost bath, ludelmnnirg the cost basis of the teturited and structured products are generat' hgtity income (aid dirndl Welch would be overstated. se:train included in this statement, where indicated diceud Certain structeed products haw not been — Estimated aria name and current yield ad the Activity wit the number 'I,' UBS Enantal Senkos has relied registered with the Securtin and Exchanges actual income and yield might be lower or higher Information regarding cornmeal:a and other charge on information obtained iron sources ester than LES Commession or under ary state securities laws. We than the %tented amounts incurred in wriest ion with te exoutiOn of trade, Financial Strokes, irekxling inonnalion km another provide *alienated takes for pinto imminent — An Mims of arnualized income (dividend anda includng option transactions has been kluded on Ism or that you ma/hawprovided to you Fnancial wanes and structired products for ramnational interest) derided by the current mate confirmations previously furnished lo you, and will be Advisor. The Firm does no. indeperdotly verify or oat. Acancy is not guaranteed. valearaverage balance is based on the last dividend provided to you promptly on regent. garnet the wry cr validity of so nlormalian provided by sources other than LES Financial Services = valets may differ "-bumially from prices, any, at which a private nvestment secudya or merest payment made by the isiver and Short selling MIMS* sectabies1~ will be held for or.. h ackleco, although LESS Financial Strikes gents" structured product maybe bce4 4 or sold and do year from the statement date or um' matuity. If )CO ar• engaged in short selling a 'suety, you may testate, this reformation as it is received, the Fem not reCesa segment the va you may receive Accuracy and connued yield se not gavanteett hour a charge due to certainborrowing costs for that does rot provide any assurances tat the information upon liquidation particular astray. under -Cost base' ard -Urvealetd gallon' is — Thrd party estimates of value are as of • Assets not held by UBS Pinndal Sodas. Cenan accurate as of the date of this statement. As such, date and are supplied to UBSFinakeal Sentes on a assets are not held by the Fern and not withn the Open orders phase do not rely on tit information bake regis basis by an independent valuation firm Fern's possession or control. These assels are Regarding open or egood.ticarxellecr orders that purchase a sale decisians, for tar purposes a — issuer, general partnern sponsor estimated vales, displayed on you gateman' For reformational were not neared by the statement date open buy and rd nil...Q. Accounts cambered to the finn may il enl, are ~fed to the Firm by the issuer. purposes only. Positions ad vales presented are tel stop orders re replaced by the mount of &Merck ref beet %W West ire°tension only for the period of general partner or sponsor arid may be calculated provided by te issung fem. UBS f nancial Services is or nghts on an ex. Olden* ix ex-rights date Men tine they se herb the Fim. More historical based on different information from tat used by not respamble for this inkerriatm and does not instructed otherwise by you. You are reap:amble for information can be added by year Financial Advisor. third panes to derive thee estmaied values. guarantee els '<curry. Thew assets are not protected orden that are executed due to your failure to cancel • neaten:ad gainsflesses. When data is available, — You can dxain additional infomation regardng by SIPC or re Finn's supgernemal 51K coverage. existing open orders. Sensed In-raked ganntosses are cakubted for the ~hobby& used to determine the estimate of rdividul security lots. The transaction data for value and te date of tie info-matkin that a the • Rasserve sharing and additional oorrepensation. Privacy ndffdeal bis may or may not reflect canmissims, basis for the estimate by contactigyour Financial - h ~ice to recurrent on sales and 12b.l fees To obtain a copy of ox current Client Privacy Notice, doges ace security reorgandation tents Ad tor. recent-O n connedco with the disobson of mutual phase corned yam Financial Advise «visit or webs.* Dividend and other ?investment lots and systematic — Third party estimated makes may be reflected as fads to as clients we andlor or attikate receive at WWW SAS COTTeiVolCVDskv. PANKOW lots re each combined to dePlaY one 'Ng priced' in several etuatkre: when in revere. sharing ~eras from distrbuton anclor - U3S Final-Kist Sink", is rot a bark. The RMA. Business averaged lot, The 'Trade date' totempresents the • dent valuation fem has not supplied a is advisors of the nusal KOS Mat we sell. These Service, Account BSA and AMA are brokerage original transaction trade date. unable to assign a value when we become aware manta are based on two deferent corriponents: CO accounts wench provide access to baring services and • Callable marithes Bonds and preferred stock that that a material event has occvrod that may call a the moue of sales by LES of a pancular initial products ihr~ avangements with affilifried banks the issuer cats for ray redemption wit be selected presiausbe repotted vala into question, Cr when a fired famity Se our clients; and G0 the asset vex of a and otter lined-pat, barks, and provides access to imparbabe by lot from among al ware« of that value would be highly speculative the to the nature particular mutual fad family's shares held at te nominee and enmity produces issued by unaffiliated 6SLe held in our rase or n nominee name for or of the security. lem. thirdparty estate companies trout instare clients. Call feature information is obtained from third — When neither an issuer, general partner or sponsor - We ad ow affiliate also receive network rig and agency subsidiaries of UBSfinancial Services hc. patties and es accuracy is not guaranteed. Oder all metaled value nar a 0wd•paty estemated value is melbas goosing fees n consideration for wander - hvestment, murnid, ad saucy products. features may exist Moth could affect yield; complete ponied, the vale of the searity wal be &Inert agera wares that we provide to the reseal funds - Not FIX insured • No bark guarantee* May base vela information wit be provided upon relent from as puthaw take Those fees genera/by am paid from investor assets in - IMA Inouye Management Account Dustless • Price/value. Pekesdeployed la securities and other — tgrbutcns to date may elude mum of the ~tun fund and se a ficed dollar xenon based Services Account BSA. IRMA and intonational Resource produce maybe higher or lower tend* price that capital, ixome or both on the nunhood accomts at the bnaterdealer Manzgemera Account are registered service mats of you would actually recent in the market. Prim re — • Orgnal ink size represents the heel offering holdng maul funds of tat fund family. U3S Frundat Service Inc. obtained from various third party sources which we Price per ont ad may not refled your cop basis - h addition to commissions masked inane/notion - VISA is a registered trademark owned by V/S3 believe to be reliable, but we do not guarantee thee — OPP and united REfr securers are not listed on a with the tale or distrbutm of ~way convicts and international Service Association and used under accuracy. national securities octunge and are generally emit rnestrnent trust urns to ou slier" we ardor Ions., The LOS Via cede cards and te LES Visa — We genera, use eve eking price when available a illiquid and even i they can be sold. the price as affiliate f«.?6, ream* sharing ~Madan debit cards are issued by Ungar* USA with the mean of the hd and ask prices la listed received may be less tan the per spire estmaled from many of the nsurance companies underwriting permission from Via U.S.A. Incorpraled. All other securities and options «cob, bid prices for OTC value voided in the account statement. the a-nuity contracts, afffiates o: the instance oedemata, registered trademarks, service marks ad sea/Mies. ~runes or sporron e he unit niestmerd trusts renewed service marks are of their respective — Less activey traded securities maybe priced using a • Restricted securities. Restricted secrets genera»), we ditnbute. ompanies. vabatun model a the most recent peke we are not orrently eighe la pubic sale UBSFinanoal — h addition to commissions received from the aimed and may not reflect an actual market price Services uses the market price of the trrestricted stock purchase and sale of NectShares hinds we ardor ar UN financial Services Inc Rev. 2O2OO2 o vabe. of the same issuer a an 'reputed value for the affiliate receive an asset-based revenue sharing — Cotan positions may appear *Moe a price and restricted stork for swoons of this dormers only. To payment from ~Rum disktmors. as ma as will show aspeke was not available if we are te count that restricted sectrities are eligible for sale, funding for technology development trainig and unable to *tan a price for a security. te vibe received may be tubstantially ins than the education. — Deposits or searifies denominated n curroxies imputed vaks shown. other tan U.S. dalas re reflected a the exchange rate as of te statement date. SDNY_GM_OOOO9859 CONFIDENTIAL EFTA01597526 UBS Financial Services Inc Private Wealth Management SUBS 299 Park Avenue 26th Floor New York NY 10171-0002 Business Services Account May 2020 ANP70C07238350520 YI 0 ELLMAX, LLC 139A CHARLES ST APT 233 Account name: ELLMAX, LLC BOSTON MA 02114-3252 Friendly account name: ELLMAX LLC Account number: I 1 23680 SS Your Nnandal Advisor. SCOTT STACKMANINIICASRIEL Questions about your statement? Cal your Financial Advisor or the Value of your account Resourcetine at 800-762-1000, on April 30 (5) on May 29 (5) account 029023680. Your assets 0.62 0.62 %tour website: Your liabilities 0.00 0.00 www.ubs.cornOlinancialservices Value of your account $0.62 $0.62 kerns for your attention Help protect yourself from fraud and review bank, credit card, and brokerage statements regularly. Also, get your free credit report annually from Sources of your account growth vwvw.annuakreditreportcom. Tracking the value of your account during 2020 Value of your xcount S Thousands at year end 2019 30.62 Your investment return. 96.2 87.5 Change in market value 5000 Value of your account on May 29. 2020 $0.62 16.8 I I.8 0.0 0.0 00 Dec 2014 Dec 1015 Dec 7016 Dec 2017 Dec 2019 Dec 2019 am 2020 may 2020 SDNY GM 00009860 Member SIPC m.70702000723835 NPaNuw599100001 0520 000000000Y123680550 COOOCO Page 1 of 6 CONFIDENTIAL EFTA01597527 Your Finandal Advisor: *UBS Business Services Account May :1)20 Account name: ELLMAX, LLC Friendly account name: ELLMAX LLC Account number. Vt 23680 S5 SCOTT STACK MANLYLE CASRIEL Your account balance sheet Summary of your assets Value on Percentage of May 29 (1) your account A Cash and money balances 0.62 100.00% Your current asset allocation • B Cash alternatives 0.00 0.00% C Equities 0.00 0.00% D Frxed 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 90.62 100.00% A Value of your account $0.62 Eye on the markets Percentage change Index May 2020 Year to date S&P 500 4.76% -4.97% Russell 3000 5.35% -663% MSC I - Europe, Australia & Far East 4.42% -14.03% Barclays Capital U.S. Aggregate Bond Index 0.47% 5.47% Interest rates on May 29, 2020 3-month Treasury bills: 0 14% One-month LIBOR: 0.18% Ate70002000723836 NP7000065891 00001 0520 000000000)023680550 009MY_GM_000098bige 2 of 6 CONFIDENTIAL EFTA01597528 Account name: ELIMAX,LLC sUBS Business Services Account Your Holmdel Advisor: Friendly account name:ELLMAXLLC SCOTT STACK MANLYLE CASRIEL May 2020 Account number: Y1 23680 SS Change in the value of your account May 2020 (S) Year to date is) Opening account value $0.62 $0.62 Closing account value $0.62 $0.62 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 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 eligibility consideration - None selected Your account instructions • Your account cost basis default closing method is RIO, Fist In, First Out. SDNY GM 00009862 Atir20Xl2000723837N 891 03031 0520 030300000 Y123680550000000 Page 3 of 6 CONFIDENTIAL EFTA01597529 *UBS Your notes 4,/,(O11040713838 NI70034,589, COM OM COX0L000, 23640$50 c0liftyG,Lommtpoje 4 of 6 CONFIDENTIAL EFTA01597530 Business Services Account Account name: ELLMAX, LLC Your Nnandal Advisor: SUBS May 2020 Friendly account name:ELLMAX LLC Account number: YI 23680 55 SCOTT STACK MANLYLE CASRIEL Your assets Some prKes, income and current vdues shorn may be approornale. As a itsul6 gains and losses may not be accurately reflected. See Important Information snout your statement a the end of this dCcurne M tOr more Infoimstion. Cash Cash and money balances Ocering bdenCe Closing baence Pace per share Average DisidenarntereSl Days" on May 1 (5) on Kw 29 (1) on May 29 (1) rate period period 0.62 0.62 Your total assets Percentage of Cost Estimated unrealized Value on May 29 (5) )our &count basis (1) annual incart (5) gnn or Iva (1) Cash Cash and money balances 0.62 100.00% 0.62 Total $0.62 100.00% $0.62 SDNY GM 00009864 A4,70002003723839 WM00055891 C0001 0520 000000000 Y123680550 COCO® Page S of 6 CONFIDENTIAL EFTA01597531 * UBS Your notes 6. , 000t000,3BWMea0066061000m O6,O6O.6O3OV12361.65O,,,, G. ...ye 6 of 6 . O111..oent fa rant number Y1 23680 . CONFIDENTIAL EFTA01597532 Important information about your statement UE6 Financial Services inc. (the Firma (13S Financial hear from youno later than 60 days after the Firm capacity. A ful copy of the polio; eating is available income or reams and may not keep pace wdn Services), a a mutter of all principal storey, covirnacky sent you the fist statement on which the nor or upon wit. inflater. andWires excha-ges UBS Manual Services and UBS pobtem appeared. • Moderate: Wiling to accept sane risk to principal and Bark USA are i -direct absklaies of 1185 AG and — Provide your name ad accoun number nry. Nether the SIPC protection nor the suoplememal tolerate some volatlity to se* higher returns affiliates of LEG Searkes U.C. The Firm's financial — Dewbete Oita or IS Wander you re inure protection appal to: • Aggressive: Willing to accept high risk to primeval and statement is available Won request. The Firm's execute* about, ad eaplin as clearly as you can why you • Certain financial assets controlled by (and ext.:led in hit,KIM, to Seek highrelines over tine offices are at: believe h is an error or why you need more you- account realist held away from UBSFintercist • Monotone fryibliey Coraidernen: If selected. a information. Services for example certain (0 insurance prodacts portion of the donor* for that asunt may include UBS Marxist Strokes Sex. — Provide the dolls. amount of the suspected error. inducing variable aauites. and OD shares of mutual corrplex strategies, united liquidly and germ 1200 Hats Boulevard funds registered in the name of the axon holder on voleirky. Weehawken NI 07086 The Firma Cad Issuer will investigate your complaint the books of the issuer a transfer agerrJ; and will tarot wry error promptly for atoned errors • hvesunmt contracts or rwestment Swot W.g., Statement "householdince This statement represents the onbr officialrecord of you reviving UBS Vaaedebe cad transactions. 4 we take Imbed partnerships and private placements) that are We may consoktate d1tetrad account StateraintS with Les Financial Services account Other records, /wept more than 10 banns days to do this. we will credit not registered under the Securities Act of 1933; the same address in the same e.g. because official tat documents, cleaning coralkting data should your account for the /mount you think is in errs, so that • Commodities contracts (e.g., foreign exchange and they have owners who also maintain joint account not be refed moon. Ilyou beleve there ban error or you will have the use of the money during the tine it precious metal contracts), includig futres contracts relationships wth other clients at the same ackkess. ef °motion, please report it immediately in asking to the takes us to complete av rwentigeon. and commodity option contracts, you prefer to receive individual statement mated n Branch Manager of the office serving you account. • Smarties on loan to VW Financial Strokes; and separate envelopes, you !My decline householdrg by Please make all checks payable to the Finn or the • Depose accounts (excel owlif juges of deposit) at ka5 (Ong yes Financial Advisor Altough all lions shown re intended to be accurate, financial onSUILOOrb indicated on the front of this Bak USA, UM AG U.S. branches and banks n the statement data shouldnot be used for tat purposes. Rely statement. In addition to regular account fees, accounts FDIC hsured Deposit Program. Friendly account name sole* on yes-end lac kerns, 6.4., form 1099 1498, may be se.bect to mantenerce feet changes for late We Slit protection and the supplemartal protection do The Friendly account name es a customizable 'to:knave' 10425, no) when preparing your tar return. The Fern is payment for securities purchases and charges fa tread • ot apply to these assets wenifew othewise appear chosen by you to assist you with your recordkeepig. requited by law to report to the IRS all taxable thiclords. amounts n cash accosts. Accounts that are transferred on you statements. The SiC prOliCtian and the Ns no legal effect on your account, is not intended to reartabb ma-taxable dividends and taxable Serest to other nstautOnS may be subject to a translw fee. erredm secaties held n yotr octant net proceeds supplemental protection do not protect again changes reflect any strategy, product recommendation. n the market value of you invert/Ms (whether as a inestment objective a risk pro/le associated with your on sale turoadons, and corn basis on crun cowered UtS Sweep Options result of market movement mean bankruptcy a accounts and a not a promise a garnet that we*, seasilies UBS otters options for sweepng cash balances to bark otherwise). or any financial results. can or willbe achieved. All deposit accounts at nernaHauted banks and *Mated irt.Itriliglts involve the risk of loss, ex Lang the risk of Ccenmunications with the Firm banks and money maker moral finds (Money funds). Dividend Reinvestment Programs (DRIP) loss of the retie investment. Toucan change your • Neese re-col-Ann any oral cornrrunicaticets n writing Deposit accounts at IBS Bann USA and non-affiated Th. price rationed it an average price. You may obtain Friend& secant names through Online Services or by to further protect your rights, including your rights banks panic:pang ruhe UBS FDIC-ensued Deposit the actual price from you Financial Adviser. On/en/wee contacting your Financial Advisor. under the Securities Mesta Protection Act *SA). Program are FDIC-inured in accordance with FDIC rubs. shies are purchased under DRIP; pallid shares will be • I the &linoirl iwaution on the top lett of the front Fa net idanratior please vial awnv.fde.ese. Deposit std rd the cash will be deposited in you account. We Account overview of this statement isnot Les Financial Services. llIS accounts at UBS AG Stamford Branch and shares of dividend reiwestment price supplied by the issuer may • Value of Oaf awoundporttafid Net of assets and Financial Services orris your account a clearing Money funds we not re-red by the FDK. differ from the mark* price at which the partial shares liabilities tn:ker by arrangement wt the indicated reasAion are sold. • Assets Includes available cash balances, vakes for We Wormed you of this relationshb Met you Bak deposits., not protected by WC. Money Fad shoves are protected by Slit See -UBS FnnciS Sakes restricted security (est), and Global Time Deposes opened this !Can. In this case your fads awl Cadvin4eu Account Protector below. trrealized mats to market and certain assets riot held secuites are located at UBS Financial Services and rot On& whole unis maybe held in you account. F you are by the faro. Does not include unpiced securities( assets the nrookxrg broker, rd you must make a report MOS to a panial vat as a result of a dividend payment as the end of the priar and 0.intit statement paw ls. a of wry error a mason to both frms. Upon you acmes, balances in the bark deposes may be or otherwise, the Firm will ether sell patiel ranks at private investments, invested stock option and • As descrbed n the account na re...coots. youmust wackarm ad shares of a Money Find may be market pice or accept an anoint determined by a liardated, and the proceeds returned to you or you wierciubb stock options. noddyus of any *liars or fraud involving checks registered clearing agency, and credit you accost • Liable's Melees debit balances, cumandrg margin reflected on your statement with:" 30days after it was secuites account. mailed a made mutable. WM. Credit lie, short accent balances hither neomycin about available sweep options, Inveslanent objection • Cashmoney balances Total 01 uninvested available • Please direct customer carolers or rkuries to the the Sestrnert objectives and risk profile are speak to cash betakes, plus deposit balances at affiliated and Film's Client Relations Department at 201.352.1699 roludng current interest rates and yields, a avelable* each account and may ray between you- accuses. wwwas comes...Nay:Ms, hom you Fnncal Advises • orvallikated hanks, aid money market MAW fUld a toll-free at 800.354-9103, 8:00 A.M. to 600 P.M Please sense the FilbprOrray ih amino of arty a by calIng KO-7621000. sweep balances, at the close of the statement period. ET Monday through Friday. or in writig to 1.85 significant change in your financial situation or financial Services erx.. Client Relations Department, Nori•CorrroOdry free credit balances in yos account are investment objectives. Foe each account held. You not segegwed from other balances and to Fern may P.O. Box 766 Union City, M 07087. UN Financial Services account protection choose ate of the following investment objectives: The Firm is a member of the Securcies hest.* Protection use any rid these funds in the ordirtay cone of its • All statements shall be deemed cow*e and atom • Produce Current Income- Investments seeking the bins those finds are payable upon your demand. 4 not objected to nulling within 60 days. Corporation (sro, which protects securaies erosionen generation ce income only. of is northern up to 1500,000 (nduding 1250.000 for Thes total is ircladed in the anent period closing value. • For TIT services: Cal 844412-0986 or from outside dams for cash) baslanatory brochure makable upon • Achieve Capital Appreciation: hvestrnents seeing the US CO201-332.1495 growth of woo Oatrather than the generation of Lending information • le ase of errors or cuestas about an electrak request a at mew Nocorg. The SWC asset protection tires apply to al scouts that you hold in a particular income. For detailed iicrmation an the Fm's legeng practices fads transfer (U1), bill payment or UM Visa* debit • Produce Combination ofIncome and Capital and disclosures, refer to your Client Rolsoonshp card transactions, cal 800-2621000 or write to UBS capacity. The Firm, together will certaM artiates,has also Appreciation Investments seekirg both the generation Agreement or Account Agwrnent and the General F Le-uncial Services lx., 1000 Harbor Bind, 6th floor. of income and growth of principal. Tams and Conditions Les Statement of Credit Practices weeharAcon. NI 07086, Atm: RIANEGA Serva4. pschawd supplemental insuwict the marirun arrant payable to al eligble dint collective& under available nAgmements and0ath:cues a this protection a SSOOmillian as of Detente( 10, 2019. Overall risk profiles zetsw rib tom,men nfrliwkwgo. Call a write as soon as you can, if you think yas • ConsewaM'e. Seeks to nunta'n ntial prixpul, with statement a recta 6 vra-g or a you need more Salmi to the potty conditions and lineations, cash a information about a transfer on the statement a the Fern et further protected For up to 519 million in the low Sc and volatiry to We account overall, even if wept. The lam or Card Issue (as appkable) must aggregate for all your accounts held in a partnaar that men the account does not generate signifier* SDNY_GM_00009866 CONFIDENTIAL EFTA01597533 Important information about your statement (continued) Yam assets — For certain sectsiies trading in non-conforming • Est (estimated) income, anent yields and rates. — Our affiliates also receive trading CiaTtniSSiOrKand Vow statement ermines securities and other assets held densamnehons, price and quantity (lace rake) may An a:Smarr of snot exam is bawd on staren other compensation from mutual funds and Murano* in the accant a the end of the sinners period. You have been adjusted to facilitate proper valuation. drsidrid and nterest rates, assuming the securities will companies whose products we &Ifbute. may ask for delivery of fully pad seonties at any the. To obtain current quotations, when 4,412>k. contact be held for cre yea from statement date or until - We receive oxrcemaiion from vas Berk USA UM You may receive weenies used as loan cobtoal alter your hunch Advil«. matvy. This *agnate is only a guidekne; accuracy AO Stan(*id Branch and twirl dieted bras pining any balance due on them. Ary securities and continued income are not guaranteed. through our cash sweeP1207~. This transferred to the fern during the statement period are • Private inverrnenu end ~awed products. — Estimated taut *come wed care« yield for angensatim may he per accoune fee a listed at market value as of the end of the statement Private rivesVnerd securites (ixbdeng drect certain types of stashes could include a rename of may be a percentage of average daily deposit perfid. POTtiCkarias Program and real estate investment tat Principal a capital gains in which case the est. balsas. • Cost best. lu detennning the cost basis of the securers) and steamed products are genera/ay hgtry income (aid can yieto would be overstated. securities included in this statement where indicated &cud Certain structuredproducts have not been — Estimated a-nual income and current yield and the Activity wit the nurrbo UBS F narcial Sorkin has rebid registered wah the Securities and Exchange actual inctme and yield milts be lower a higher Irritation regarding cornmeal:re and Mhos Marrs on information obtained Irons sources oter than LES Commission or under ary state securities laws. We than the estimated amounts. (loured in «resection with the execution of trades, financial Strokes, eckxling blonnalion from another provide estimated values for prince imminent — An *sterns of a-nualized *come (dividend arda includng colion transactions has been included on Ism or that you may have«aided to you Fnancial monies and structured products for attinaliceral interest) derided by the current mate confirmations previously furnished lo you, and will be Advisor. The Finn does not indeperdoey nerdy a ordy. Acaracy is not guaranteed. valoaraverage balance is based on the last dividend provided to you~lb' on ~ garnet the wry a validity of ay *lamalim provided by sofas other than LES Fisuoxial Services. = vibes mgdiffer substantially from prices, any, at which a private nvestment secudyor or merest payment made by the issuer and Short setting Is ormmes e deposes will be held for ore ackliion, although LESS Financial Strikes genera* structured product maybe bouisl or sold and do year from the statement date or unto maturity. If you ae engaged en short ailing a security. you may gmlates this reformation as it is received, the fem n°1necessary normers the va you may receive Accuracy and corned yield are not guaranteed. bout a charge due to anan barowng costs fa that does rot provide ay assurarces tat the idormation upon liquidation, palicula sienrity. under -Cost bases rd 'Unrealced gadloss' is — Thrd party estimbes of value are as of a certain • Assets not held by UNFinredd Services. Cenan accurate as of the date of this stammers. As such, date and are supplied to UBSFnaxial Sentes ona assets are nor held by the Fin, and not within the Open orders please do not rely on this information to make rears basis by an independent valuation firm lams possession or control. Then assets are Regarding open or socodlitcancellee ceders that purchase a sale decisions, for tar purposes « — Bluer, general partner as spot« estimated vetoes, displayed on you statement foe reformational were not execaed by the summers dar open buy and Mlles wir. Accounts transferred to the finn may if sib are ~lied to fie Firnber the issuer, purposes only. Positions and vales presented se sea stop ceders se reduced by the mount of driedends ref tot gardloss information only for the period of general partner or sponsor arid may be tabulated provided by te isung UBS f nancial Services is or right on an ex.dnAlerit or ex-rights date unless tine they se held x the Fim. More historical based on different information from tat used by not respatiale for this iretarnaton aid does not instructed otherwise by you. You ae responsble for information can be added by your Financial Advisor. third panes to derive *air etiolated yaks,. guarantee ils accuracy. Thew assets are not protected orders that ate executed cis to yaw lekte to cancel • Uesealited gainsileases. When data is available, — You can etuin additional information regarding by SIPC or the fists sablernemal 51K coverage. sating q:en atlas. Sinned sneaked gandlosses re calculated for the melhodobigy used to determine the estimate of rdividal security lots. The transaction data for value and the date of tie information that is the • Ravarara sharing and additional compensation. Privacy individual bh may or mynt reflect canmisstres. basis for the estimate by contactigyour Financial - h ~ice to a:amiss:3ns on sales and 12b.l fees To obtain a copy of ox anent Client Privacy Notice, mages aria security norganintion ewers. Adios. roared n connect on rah the destitution of mutual please taxan sir Francis/ Advisor a mest as Mini% Dividend and other ?investment lots and systematic — Third party estimated values may bereflected as funds co as clients we ardor or atfiLate receive at "wive obs COAVDeiViCV004CV. purchase lois re each combined to display one 'Not priced' in several situations: when an revere. tang~ern frees disobuton sidor — 1.85 Financial Stryker is rot a bark. The RMA, Business averaged lot. The 'Trade date' coknin presents the • dent valuation lam has not supplied a is advisors of the maul funds that we sell These Services Account BSA and IRMA are brokerage original transaction trade date. unable to assign a value when we become aware amounts se based on two drferem correpoents: CO scans which provide access to barking senates aid • Callable markless Bonds and peelerred stock that that a material cant has occvrod that may call a the amen of sales by LES of a partoular enamel pedals IMaxjt arrangements with affiliated banks the issuer calls for eery redemption wilt selected peennusy reported val.* into question, a when a fund famity X. our clients; and G0 the and vabe of a and other Ihrdparty barks, and provides access to impanialy by lot from among al ware« of that value, would be highly spoulatme the to the nature particular mutual fund family, shares held at the insurance and annety goduns issued by unaffiliated ass* held in our none a in nominee name for ar of the security. fern. thirdparty insurance companies trout instance clients. Call feature information is obtaned from third — When nester an issuer, general partner or sponsor - We and our affiliate also receive networking and seem subsidiaries of UMFinancial Services tt. parties and es accuracy is not guaranteed. Odon all estertatod value nor a Owl-party estimated value is cmnbus pransrg fees n consideration la transfer — hvesvnent, ruin*, ad arnuey predicts: features may east which could affect yield; complete ponied, the vale of the searity wal be Mere« eager* services that we provide to the mutual furds. — Not FDIC insured • No bark guarantee. May lose vale information will be provided upon request from as purchase Prins Rion fees antra* am paid from investor asset in — IMA. Resat« Management Account Dulness • Priem/value. Prkesdeplayed la securities and other — tiarbutons to date' May «ludo rerun of the mutualfad and ere a feud dollar amount based Services Account BSA, IRMA and international Resource prod ects maybe higher or lower than** price that capital, income or both on the number of amounts at the broker-dealer Management Account re registered service mats of you would actually receive in the market. Prims re — • Orgnal unit site represent the ntial offering holding ~seal funds of tatInd Insy. LBS tumid Services INC obtained from various third party sources whit we Vice per unit ad may not reften your cot basis - h acKtion to commissions received inc.:motion — YTS/Size registered tedemalc owned by Vila believe to be reliable, an we do not guarantee thee — DPP and unlisted RUT securities are rot listed on a with the sale or distrbuton of airway tontratt and htematianal Service Association and used under accuracy. national securities ndunge and are generally unit rnestrnent trust snes to our diet, we ancla keno. The LES Via Creistl cads and the LES Visa — We genera/ use he eking price when anibbk a illiquid and even i they can be sold. the price at affiliate receive untrue sharing compensation debit cads se issued by LBS Bark USA with he mean of the bd and ask prices fa listed tamed may be less tun the per spire estmaled from nay of the monoe companies underwriting permission from Via U.S.A. Incorpraled. All other securities td options «coy bid prices for OTC value prodded in the scours statement. the a-nuity contracts, af illates o: the Maxim oedemata, registered trademarks, serrke mats ad securities. companies or spontan of he unit enestmers trusts registered service marks se of their respective — Less activeytrackd securities maybe priced using a • Restricted securities. Restricted secuties generate)/ we dimbute. ~pines. what«. model a the most recent peke we are not ansently elgbk fas pubk sale LOS Financial - h eclInka to commissions received from the obtaned and may not reflect an actual market price Services uses the market price of the urresOcted stod purchase and sale of NextShares lundk we ardor our UN financial Services Inc Rev. 202002 ale. of the same issuer as an imputed value fa the affiliate receive an asset-based revenue sharing — Certan potions may appear *Mae a price and restricted stock for purposes of this statement only. To payment from ~Shares databulors, as wed as will tow aspeke was not available if we are he extent that restricted securities are ebgbk for sate funding for technology development trainig ad unable to obtain a price for a security. the vats received may be substantially less than the education. — Deposits a securities cknomiuted n currencies maned value shorn. other than U.S. dollars re reflected at the excharge rate as of the statement date. SDNY_GM_00009887 CONFIDENTIAL EFTA01597534 U8S Financial Services Inc. Private Wealth Management SUBS 299 Park Avenue 26th Floor Business Services Account New York NY 10171-0002 June 2020 AMP7001124643 0620X123 Y1 0 ELLMAX, LLC 139A CHARLES ST APT 233 Account name: ELLMAX, LLC BOSTON MA 02114-3252 Friendly account name: ELLMAX LLC Account number: 1 23680 SS Your Nnandal Advisor. SCOTT STACK MANILYLE CASRIEL Questions about your statement? Cal your Financial Advisor or the Value of your account Resourceline at 800-762-1000, on May 29 (S) on lune 30 (3) account 029023680. Your assets 0.62 0.62 Visit our vvebsite: Your liabilities 0.00 0.00 wesw.ubs.comi financialservices Value of your account $0.62 $0.62 Items for your attention Help protect yourself from fraud and review bank. credit card, and brokerage statements regularly. Also, get your free credit report annually from Sources of your account growth Lvtvw.annuakreditreportcom. Tracking the value of your account during 2020 Value of your account s Thousands at year end 2019 Your investment return. 30.62 96.2 87.5 Change in market value 3000 Value of your account on Jun 30, 2020 60.62 168 11.8 0.0 0.0 00 Dec 2014 Dec 2015 Dec 2016 Dec 2017 Dec 2018 Dec 2019 May 2020 Jun 2020 SDNY GM 00009868 Member SIPC MCO2103001124643 N2970012367000031 0620 000200000 Y123680550111000 Page 1 of 6 CONFIDENTIAL EFTA01597535 SUBS Business Services Account lune 2020 Account name: CLLMAX, LLC Friendly account name: CLIMAX LLC Account number. Y1 23680 S5 Your Finasdal Advisor: SCOTT STACK MAIILYLE CASRIEL Your account balance sheet Summary of your assets Value on Percentage of lune 30 a) your account A cash and money balances 0.62 1 00 00% Your current asset allocation • B Cash alternatives 0.00 0.00% C Equines 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 30.62 100.00% A Value of your account $0.62 Eye on the markets Percentage change Index lune 2020 Year to date S&P 500 1.99% -3.08% Russell 3000 2.29% -3.48% MSC I - Europe, Australia & Far East 3.44% -11.07% Barclays Capital U.S Aggregate Bond Index 0.63% 6.14% Interest rates on June 30, 2020 3-month Treasury bills: 0 14% One-month LIBOR: 0 16% ate700030ot12464-4 hirmoo: 2367o 00001 C620 C0CC000oo Y12368055011 OFIYGM0000986%1P 2 of 6 CONFIDENTIAL EFTA01597536 SUBS Business Services Account Account name: ELLMAX,LLC Your Nnandal Advisor: Friendly account name:ELtMAXILC SCOTT STACK MANLYLE CASRIEL June 2020 Account number: Y1 23680 55 Change in the value of your account line 20201f) Year to date a) Opening account value 10.62 $0.62 Closing account value $0.62 $0.62 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 statementat 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 • Your account cost basis default closing method is FIFO, First In, First Out. SDNY GM 00009870 ANP70303001124645 NP7000123670 00001 0620 008030000Y123680550 111000 Page 3 of 6 CONFIDENTIAL EFTA01597537 *ilF1S Your notes C.<0.000, i3660SSO ng, GM 000.... 0 of 6 CONFIDENTIAL EFTA01597538 Business Services Account Account name: CLIMAX, LLC Your Nnandal Advisor: Friendly account name: ELLMAX LLC S UBS lune 2020 Account number: r I 23680 55 SCOTT STACK MAIILYLE CASRIEL Your assets Some prices, income and current vdues shoem may be apt:motor/nate. As a 'MR. gains and losses cll.,/ no be accurately reflected. See important information about your statement a the end of this documeM for more InIcematon. Cash Cash and money balances Goering baaxe Closiog badice Peet per Share Average Doldend Interest Days in on tun 1 (t) on tun 30(1) on Jun 30(1) rate period period 0.62 0.62 Your total assets Percentage al Cost Esti mated Unrealized value on tun 30 (1) your account basis (S) annual income (1) 9an or loss (S) Cash Cash and money balances 0.62 100.00% 0.62 Total 30.62 100.00% $0.62 SDNY GM 00009872 Atin70003001124647 n8708012367000031 06200f10030000 YI 23680550 1110030 Page S of 6 CONFIDENTIAL EFTA01597539 *UBS Your notes /M7%03001.60 Nr/003, 23670 C0M C620 C0C000000,23680550 II NyjNy_Gmi,,,,,ISge 6 of 6 End of statement far account number YI 23680 S5 CONFIDENTIAL EFTA01597540 Important information about your statement UE6 Financial Services ht. (the Firm or L€S Financial hear from ycuno later than 60 days after the Firm capacity. A fug copy of the polio; wadng is availitile income or reams and may not keep pace web e a mutter of all prixipal snaky, convey* tent you the fret statement on which the east or soon reams. inflation andoptions exchanges UBS Financial Services and UBS pobtem appeared. • Moderate: Waling to accept sane risk to principal and Bank USA are indirect absklaies of 1185 AG and — Provide you- name ad account number (4 any). Nether fie SIPC protection nor the supplemental tolerate some volality to seek higher returns affiliates of LEG Stones U.C. 71* f inn's financial — Dew be Ow OfRN or IS trend., you se insure protection appear to: • Aggresske: Willing to except hit risk to primeval and statement is available eon request. the Fire's execute* about, and avian as clearly as you can why you • Certain financial assets controlled by (and ixbded in Offices are at: bit,nob, to seek highMUTH Over time. believe it is an error a why you MOO more your account value) but held away from UBS TillterCig • franostawnt Welly Conaeleration: If selected a information. Services. For Nam* certain (0 insurance prodals. portion of the portfolio for That acorn may include UBS Finarxial Services Sex. — Provide the dolt. amount of the suspected error. inducing variable ama(n. and 6i) shares of mie* COrnplex strategies, limited liquidly and greater 1200 Harbor Boulevard funds registered in the name of the axon holder on wish*. Weehawken NJ 07086 The Firma Cad Issuer will investigate yam complaint the books of the issuer or transfer egad; and will correct ay error premptly for akged errors • hvestment 0:Orates or mestment interests W.g., Statement "bouseltoldiror This statement represents the onbr officialrecord of you. Solving UBS Visandebi cad transactions 4 we take Imbed partnerships and private placements) that are We may consoMiate d1related account statements wFh Les Financial Services account. Critter records, /wept more than 10 busiest days to do this, we will anti not matured under the Securities Act of 1933; the same address in the same eriveksw• e g. because official lac documents, contanng confiding data should you accord la lho renoun you think is in error. so that • Cannodities convects (e.g., foreign exchange and they have owners who also mantas joie accent roe be relied upon. Ilyou be4eve there ban error a you will have the use of the money during the tine it precious metal contracts). includig 'utast contracts relarionships mth other clients at the same acidness. tf ornesion, please report it immediately in twin; to the takes us to complete 02 inniligaton. and cornualty opal contracts, you prefer to receive ndividual statements mailed n Branch Manager of the office serving your account. • Societies on loan toU85 Ft-uncial Services; and separate envelopes, yo., May decline househokkg by Please make all checks payable lo the Firm or the • Depose accounts (except owlif juges of &Pail) at 1.85 Clang your Financial Advisor. Altough all lives shown re intended to be accurate, financial rindul6n indicated on the front of this Bank USA, UM AG U.S. branches and barks in the statement data shouldnot be used for to purposes. Rey statement In addition to regular account fees, accounts FDIC Insured Deposit Progran. Friendly account name sold/ on yearend lax kerns 6.4., form 1099, 5498, may be selaret to mantenarce fees charges for late The SIPC protection and the suppler/mut protection do The Friendly account fume is a customizable 'tn.:knave' 10425, etc) when preparing your tat return. The Fern 6 payment for securities purchases and charges fa tread not apply to these assets even if they otherwise appear chosen by you to assist you with your recordkeming. redired by law to report to the IRS all taxable dnidords, amounts n cash accounts. Accounts that are transferred on you statements. The SiC WOLKtion and the his no legal effect on your account, is not intended to reportable ma-taxable dividends and laxable interest to other nStiluICOS my be subject to a transfer fee. supplemental protection do not protect against changes felled ay strte9Y. Product recceemendanon. end on secants hey rerun recant net proceeds in the maket value of you investments (whether as a imatment objective a risk prof de associated virki you- on sale tunsactons, and cost basis on erten covered MS Sweep Options result of market movement issuer bankruptcy a rau -its. and is not a promise a garnet leat we*, seasities UBS often options for sweepreg cash balances to bark otherwise). or any I inancia results. can or MI6. achieved. All deposit accants at nasalhated banks and affiliated investment. extant the risk of Ion, nicking the risk of Cconmunications with the Firm banks and money market mutual funds (Money funds). Dividend Reinvestment Programs (DRIP) loss of the retie investment. You can change your • Rene re-corium any oral communkations n writing Deposit accounts at IBS Bat USA and non-affiated Thi price reflected is an average prof You may °blew, Bendy account names through Online Services a by to further primed your rights, including your rights banks panicipaing en the UBS FDIC-mused Deposit the smut price from you Financial Adviser. Only whole contacting your Financial Advisor. under the Securities investor Protection Act OSA). Program are FDIC-insured it accordance with FDIC rules. shares are purchased under DRIP: Pantie' thaw will be • I the fmanc 41intaution on the icy lett of the Had For mat Hamelkm, plena visit nwm.fde.gay. Deposit std and the cash wit be deposited in you accost The Apeman overview of this statement isnot Les Financial Services. tEl accounts at UBS AG Stamford Branch and shares of dmidendreenestment price supplied by the issuer may • Value of yeas wountIportiofica Net of assets and Financial Services carries your account as clearing Money Funds are not nandby the FDIC. differ from the mark* price at which Ow partial sham liabilities baker by aerangement with the indicated Praeution are sold. • Assets Includes available cash balances, values for We Wormed you of this relationshb when you Bak deposits ate not protected by WC. Money Find slums ate protected by SIPC See 'MS Filmed Seek*. restricted security test X and Global Time DIPOSPS, opened this accost. In the cases your funds aid Cash•intieu Accord Protector below. trstalinsi mats 10 market and certain assets rot held seasities are located at UBS Financial Services and rot Only whole unks maybe held in yaw account. F you are by the Fim. Does not nciacie °flatted securitieseassets the nvolaceg broker, rd you mist nuke a report entitled a aomi* inil m a result of a dividend paymenl at the end of the pea and turn stateerent periods. or of an/ error a mown to both fns. t an you rapist, tames in the bark deposes may be or otherwise, the Firm will ether sea panel Waif at private ilVOSITOMS, invested gock options and • As desorbed n the accornt evieents, youmust wridrann. ad shares of a Money Fund may be market p-ice a accept an mart deterrrelvd by a ...tut* stock options. realityus of any *nal or fraud involving checks liaidated• end the proceeds retuned to you or you- registered <burg agency, and credit you account. sectritin account. • Saul Nelda debit balances, cutsundrg margin reflected onput statement with:" 30 days after it was mailed or made mutable. bas. credit lie, short *cant balances Father Samson about available sweep options, Investanent objective, • Cashmoney balances Total of uninvested available • Please direct custom& carotenes or inzuries to the The i'westrnent objeclires and risk profile are specific to cash balances, plus deposit balances at affiliated and Finis Client Relations Department at 201.352-1699 roludng current interest rates and yields. is avaeable* each account and may vary between you- accanh. www.uas comrsweepyields, from yam P nand* Advisor napallikatecl banks, ad money market naval fund a toll-free at 800-354-9103, 8:00 A.M. to 600 P.M. Please arise the frill(WWI* in renting of ay sweep balances, at the close of the statement period. ET Monday through Friday. or in writing to 1.85 a. by calIng 8C0-762-1000. significant change in your financial situation or f inancul Service IN.. Client Relations Department NoniCorrrnOdey free credit balances in yaw *cart ate investment objectives. For each account helot you not segegated from other balances and the Fen may P.O. Bar 766 Union City, ha 07067. UN Financial Services account protection choose one of the following invntment objectives: The Finn is of the Securein investor Protection use any rid these funds in the ordinay passe of its • All statements shall be deemed comp** and accuse • Produce Current Income- Investments *Sig the tans Mow find, re payable upon your Bernard 4 not objected to itwaiirng within 60 days Corporation (sro, which protects sea:rein customen generation of income only. of is frherberS up to 1%4000 tindading 5250,000 for We total s irpiaded in the anent period closing value. • For TFY services: Cal 844412-0986 or from outside clams for cas0 explanatory brochure amiable upon • Achieve Capital Appreciation: Investments seeking the US Call201-352-1495 growth of onePal(Awe than the generation of Una* information • In case of errors a cueslions about an electronic request a at wwwstescorg. The SiC asset protection fires appli to al accounts that you hold in a partkular income. For *take, information on the Finis lading practices lords transfer (UM bill payment or UBS Vide debit • Procter* Combination ofIncome and Capital tad disc Mutes refer to your Client Rolatromhp cad transactions, cal 800-762-1000. or write to UBS capathy. The Firm, together with certain athletes, has also Appreciation Investments seeking both the generation Agreement or Account Agreement and the General F'nannal Streets Ix., 1000 Harbor Blvd. 61h flOOr. of income and growth of principal. Terms and Condition; Les Statement of Credit Practices Weehawken, id 07086, Attn: RIMISSA Services. purchased supplemental name. The marivsm eanassll payabk to at eligbk dins collective& under available in Apeements andDiscbsures at this protection is SSOO million as of December 10, 2019. Overall risk profilea www rib conslankarrstranchurros Call or write as Won as you can, 4 you think ma, • Consenweve. Seeks to mantas nelal prin.* with statement a receipt is wag or e you need more Wane to the policy condiions and lititaicen, cash at information Seoul a transfer on the sinners a theFinn es aster protected fa up to 11.9 minim in tie bw Sc and wink to the account overall, even if we've The Fern a Card bluer (as appkable) must for at your account held in a particular that mum the secant does not generate signifiers SDNY_GM_00009874 CONFIDENTIAL EFTA01597541 Important information about your statement (continued) Yam assets — For certain sectsiies trading in non-conforming • Est (estimated) income, anent yields and rates. — Our affiliates also receive trading CiaTtniSSiOrKand Vow statement ermines securities and other assets held densamnehons, price and quantity (lace rake) may An a:Smarr of snot exam is bawd on staren other compensation from mutual funds and Murano* in the accant a the end of the sinners period. You have been adjusted to facilitate proper valuation. drsidrid and nterest rates, assuming the securities will companies whose products we &Ifbute. may ask for delivery of fully pad seonties at any the. To obtain current quotations, when 4,412>k. contact be held for cre yea from statement date or until - We receive oxrcemaiion from vas Berk USA UM You may receive weenies used as loan cobtoal alter your hunch Advil«. matvy. This *agnate is only a guidekne; accuracy AO Stan(*id Branch and twirl dieted bras pining any balance due on them. Ary securities and continued income are not guaranteed. through our cash sweeP1207~. This transferred to the fern during the statement period are • Private inverrnenu end ~awed products. — Estimated taut *come wed care« yield for angensatim may he per accoune fee a listed at market value as of the end of the statement Private rivesVnerd securites (ixbdeng drect certain types of stashes could include a rename of may be a percentage of average daily deposit perfid. POTtiCkarias Program and real estate investment tat Principal a capital gains in which case the est. balsas. • Cost best. lu detennning the cost basis of the securers) and steamed products are genera/ay hgtry income (aid can yieto would be overstated. securities included in this statement where indicated &cud Certain structuredproducts have not been — Estimated a-nual income and current yield and the Activity wit the nurrbo UBS F narcial Sorkin has rebid registered wah the Securities and Exchange actual inctme and yield milts be lower a higher Irritation regarding cornmeal:re and Mhos Marrs on information obtained Irons sources oter than LES Commission or under ary state securities laws. We than the estimated amounts. (loured in «resection with the execution of trades, financial Strokes, eckxling blonnalion from another provide estimated values for prince imminent — An *sterns of a-nualized *come (dividend arda includng colion transactions has been included on Ism or that you may have«aided to you Fnancial monies and structured products for attinaliceral interest) derided by the current mate confirmations previously furnished lo you, and will be Advisor. The Finn does not indeperdoey nerdy a ordy. Acaracy is not guaranteed. valoaraverage balance is based on the last dividend provided to you~lb' on ~ garnet the wry a validity of ay *lamalim provided by sofas other than LES Fisuoxial Services. = vibes mgdiffer substantially from prices, any, at which a private nvestment secudyor or merest payment made by the issuer and Short setting Is ormmes e deposes will be held for ore ackliion, although LESS Financial Strikes genera* structured product maybe bouisl or sold and do year from the statement date or unto maturity. If you ae engaged en short ailing a security. you may gmlates this reformation as it is received, the fem n°1necessary normers the va you may receive Accuracy and corned yield are not guaranteed. bout a charge due to anan barowng costs fa that does rot provide ay assurarces tat the idormation upon liquidation, palicula sienrity. under -Cost bases rd 'Unrealced gadloss' is — Thrd party estimbes of value are as of a certain • Assets not held by UNFinredd Services. Cenan accurate as of the date of this stammers. As such, date and are supplied to UBSFnaxial Sentes ona assets are nor held by the Fin, and not within the Open orders please do not rely on this information to make rears basis by an independent valuation firm lams possession or control. Then assets are Regarding open or socodlitcancellee ceders that purchase a sale decisions, for tar purposes « — Bluer, general partner as spot« estimated vetoes, displayed on you statement foe reformational were not execaed by the summers dar open buy and Mlles wir. Accounts transferred to the finn may if sib are ~lied to fie Firnber the issuer, purposes only. Positions and vales presented se sea stop ceders se reduced by the mount of driedends ref tot gardloss information only for the period of general partner or sponsor arid may be tabulated provided by te isung UBS f nancial Services is or right on an ex.dnAlerit or ex-rights date unless tine they se held x the Fim. More historical based on different information from tat used by not respatiale for this iretarnaton aid does not instructed otherwise by you. You ae responsble for information can be added by your Financial Advisor. third panes to derive *air etiolated yaks,. guarantee ils accuracy. Thew assets are not protected orders that ate executed cis to yaw lekte to cancel • Uesealited gainsileases. When data is available, — You can etuin additional information regarding by SIPC or the fists sablernemal 51K coverage. sating q:en atlas. Sinned sneaked gandlosses re calculated for the melhodobigy used to determine the estimate of rdividal security lots. The transaction data for value and the date of tie information that is the • Ravarara sharing and additional compensation. Privacy individual bh may or mynt reflect canmisstres. basis for the estimate by contactigyour Financial - h ~ice to a:amiss:3ns on sales and 12b.l fees To obtain a copy of ox anent Client Privacy Notice, mages aria security norganintion ewers. Adios. roared n connect on rah the destitution of mutual please taxan sir Francis/ Advisor a mest as Mini% Dividend and other ?investment lots and systematic — Third party estimated values may bereflected as funds co as clients we ardor or atfiLate receive at "wive obs COAVDeiViCV004CV. purchase lois re each combined to display one 'Not priced' in several situations: when an revere. tang~ern frees disobuton sidor — 1.85 Financial Stryker is rot a bark. The RMA, Business averaged lot. The 'Trade date' coknin presents the • dent valuation lam has not supplied a is advisors of the maul funds that we sell These Services Account BSA and IRMA are brokerage original transaction trade date. unable to assign a value when we become aware amounts se based on two drferem correpoents: CO scans which provide access to barking senates aid • Callable markless Bonds and peelerred stock that that a material cant has occvrod that may call a the amen of sales by LES of a partoular enamel pedals IMaxjt arrangements with affiliated banks the issuer calls for eery redemption wilt selected peennusy reported val.* into question, a when a fund famity X. our clients; and G0 the and vabe of a and other Ihrdparty barks, and provides access to impanialy by lot from among al ware« of that value, would be highly spoulatme the to the nature particular mutual fund family, shares held at the insurance and annety goduns issued by unaffiliated ass* held in our none a in nominee name for ar of the security. fern. thirdparty insurance companies trout instance clients. Call feature information is obtaned from third — When nester an issuer, general partner or sponsor - We and our affiliate also receive networking and seem subsidiaries of UMFinancial Services tt. parties and es accuracy is not guaranteed. Odon all estertatod value nor a Owl-party estimated value is cmnbus pransrg fees n consideration la transfer — hvesvnent, ruin*, ad arnuey predicts: features may east which could affect yield; complete ponied, the vale of the searity wal be Mere« eager* services that we provide to the mutual furds. — Not FDIC insured • No bark guarantee. May lose vale information will be provided upon request from as purchase Prins Rion fees antra* am paid from investor asset in — IMA. Resat« Management Account Dulness • Priem/value. Prkesdeplayed la securities and other — tiarbutons to date' May «ludo rerun of the mutualfad and ere a feud dollar amount based Services Account BSA, IRMA and international Resource prod ects maybe higher or lower than** price that capital, income or both on the number of amounts at the broker-dealer Management Account re registered service mats of you would actually receive in the market. Prims re — • Orgnal unit site represent the ntial offering holding ~seal funds of tatInd Insy. LBS tumid Services INC obtained from various third party sources whit we Vice per unit ad may not reften your cot basis - h acKtion to commissions received inc.:motion — YTS/Size registered tedemalc owned by Vila believe to be reliable, an we do not guarantee thee — DPP and unlisted RUT securities are rot listed on a with the sale or distrbuton of airway tontratt and htematianal Service Association and used under accuracy. national securities ndunge and are generally unit rnestrnent trust snes to our diet, we ancla keno. The LES Via Creistl cads and the LES Visa — We genera/ use he eking price when anibbk a illiquid and even i they can be sold. the price at affiliate receive untrue sharing compensation debit cads se issued by LBS Bark USA with he mean of the bd and ask prices fa listed tamed may be less tun the per spire estmaled from nay of the monoe companies underwriting permission from Via U.S.A. Incorpraled. All other securities td options «coy bid prices for OTC value prodded in the scours statement. the a-nuity contracts, af illates o: the Maxim oedemata, registered trademarks, serrke mats ad securities. companies or spontan of he unit enestmers trusts registered service marks se of their respective — Less activeytrackd securities maybe priced using a • Restricted securities. Restricted secuties generate)/ we dimbute. ~pines. what«. model a the most recent peke we are not ansently elgbk fas pubk sale LOS Financial - h eclInka to commissions received from the obtaned and may not reflect an actual market price Services uses the market price of the urresOcted stod purchase and sale of NextShares lundk we ardor our UN financial Services Inc Rev. 202002 ale. of the same issuer as an imputed value fa the affiliate receive an asset-based revenue sharing — Certan potions may appear *Mae a price and restricted stock for purposes of this statement only. To payment from ~Shares databulors, as wed as will tow aspeke was not available if we are he extent that restricted securities are ebgbk for sate funding for technology development trainig ad unable to obtain a price for a security. the vats received may be substantially less than the education. — Deposits a securities cknomiuted n currencies maned value shorn. other than U.S. dollars re reflected at the excharge rate as of the statement date. SDNY_GM_00009875 CONFIDENTIAL EFTA01597542