Table of Contents

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 6-K

REPORT OF FOREIGN PRIVATE ISSUER

PURSUANT TO RULE 13a-16 OR 15d-16

UNDER THE SECURITIES EXCHANGE ACT OF 1934

Date: June 17, 2015

UBS Group AG

Commission File Number: 1-36764

UBS AG

Commission File Number: 1-15060

(Registrants’ Names)

Bahnhofstrasse 45, Zurich, Switzerland, and

Aeschenvorstadt 1, Basel, Switzerland

(Address of principal executive office)

Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.

Form 20-F     x             Form 40-F   ¨

Table of Contents

This Form 6-K consists of a material agreement of UBS AG which appears immediately following this page.

Table of Contents

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

The English version of this asset transfer agreement prevails.

Die englische Version dieses Vermögensübertragungsvertrages geht vor .

2

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

3

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

4

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

5

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

6

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Recitals / Erwägungsgründe

Die M UTTERGESELLSCHAFT möchte ihr Retail & Corporate Geschäft und Wealth Management Geschäft (beide insoweit, als sie im Booking Center in der Schweiz gebucht sind) rechtlich abtrennen und in die T OCHTERGESELLSCHAFT übertragen.

Die T OCHTERGESELLSCHAFT ist eine hundertprozentige Tochtergesellschaft der M UTTERGESELLSCHAFT und weist derzeit ein Aktienkapital von CHF 10’000’000 auf, bestehend aus 100’000’000 Aktien zu einem Nominalwert von je CHF 0.10. Sie übt zurzeit keine Geschäftstätigkeiten aus (mit Ausnahme von Vorbereitungshandlungen im Hinblick auf die mit diesem V ERTRAG beabsichtigte Ü BERTRAGUNG ). Die FINMA hat am 21. Mai 2015 eine Verfügung erlassen, mit welcher der T OCHTERGESELLSCHAFT eine derzeit noch mit Auflagen versehene Bankbewilligung (die “ FINMA V ERFÜGUNG ”) erteilt wurde.

Die Ü BERTRAGUNG hat – zusammen mit anderen Massnahmen, welche bereits umgesetzt wurden (wie die Gründung der UBS Group AG als Konzernholdinggesellschaft) und Massnahmen, welche angekündigt wurden (wie die Umsetzung eines revidierten Geschäfts- und Betriebsmodells für die UBS Limited im Vereinigten Königreich) – zum Zweck, die Abwicklungsfähigkeit (“Resolvability”) der G RUPPE substantiell zu verbessern, um die Anforderungen sowohl der schweizerischen “too big to fail”-Regulierungen wie auch anwendbarer ausländischer Regulierungen in anderen Ländern zu erfüllen, in denen die G RUPPE tätig ist. Die Schweizer “too big to fail”-Anforderungen verlangen von systemrelevanten Banken, wie der M UTTERGESELLSCHAFT und der G RUPPE , dass sie realisierbare Notfallpläne vorlegen, um die Operabilität von systemrelevanten Funktionen trotz Konkurs der Institution sicherzustellen, soweit solche Funktionen nicht zum Voraus genügend separiert wurden, und um die Sanierungs- oder Abwicklungsfähigkeit der G RUPPE als Ganzes zu ermöglichen. Gemäss schweizerischer “too big to fail”-Gesetzgebung wird den systemrelevanten Instituten eine begrenzte Erleichterung in Bezug auf die Vorschriften für den progressiven Kapitalpuffer gewährt, sofern sie über die gesetzlichen Anforderungen hinausgehende Massnahmen treffen, die das Abwicklungsrisiko reduzieren, wie beispielweise eine entsprechende Änderung der rechtlichen Struktur. Solche Erleichterungen würden in geringeren Anforderungen an das Gesamtkapital für die G RUPPE resultieren.

7

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Nach der Ü BERTRAGUNG befinden sich die für die Schweiz systemrelevanten Funktionen der G RUPPE in der T OCHTERGESELLSCHAFT , und es wird eine Reduktion der Abwicklungsrisiken erwartet, indem vermieden wird, dass diese Funktionen im Falle eines Konkurses auf eine Übertragungsbank (sog. Bridge Bank) übertragen werden müssen.

Als Folge dieser Massnahmen, mit welchen auf die veränderten globalen regulatorischen Anforderungen reagiert wird, verbessert sich die Abwicklungsfähigkeit der G RUPPE substantiell.

In this Agreement:

ln diesem Vertrag:

“ 2011 UK Tax Treaty ” means the treaty between the Swiss Confederation and the United Kingdom on cooperation in tax matters dated 6 October 2011 ( Abkommen zwischen der Schweizerischen Eidgenossenschaft und dem Vereinigten Königreich von Grossbritannien und Nordirland über die Zusammenarbeit im Steuerbereich, SR 0.672.936.74 ), including any amendment thereto.

“ 2011-S TEUERABKOMMEN -GB ” bedeutet das Abkommen zwischen der Schweizerischen Eidgenossenschaft und dem Vereinigten Königreich von Grossbritannien und Nordirland über die Zusammenarbeit im Steuerbereich vom 6. Oktober 2011 (SR 0.672.936.74), einschliesslich aller Nachträge.

“ Agreement ” means this asset transfer agreement.

“ V ERTRAG ” bedeutet den vorliegenden Vermögensübertragungsvertrag.

“ Banking Act ” means the Swiss Federal Act on Banks and Savings Banks dated 8 November 1934 (SR 952.0).

“ B ANK G ” bedeutet das Bundesgesetz über die Banken und Sparkassen vom 8. November 1934 (SR 952.0).

“ Banking Insolvency Ordinance ” means the Ordinance of the Swiss Financial Market Supervisory Authority on the Insolvency of Banks and Securities Dealers dated 30 August 2012 (SR 952.05).

“ BIV-FINMA ” bedeutet Verordnung der Eidgenössischen Finanzmarktaufsicht über die Insolvenz von Banken und Effektenhändlern vom 30. August 2012 (SR 952.05) .

“ Borrower ” has the meaning given to this term in Section 12.6.

“ D ARLEHENSNEHMER ” hat die Bedeutung, die diesem Begriff in Z IFF . 12.6 gegeben wird.

“ Broker ETD-Transactions ” means transactions relating to ETDs between the Parent and a derivatives exchange, or an (intra-group or external) broker transacting directly or indirectly with a derivatives exchange.

“ B ROKER ETD T RANSAKTIONEN ” bedeutet Transaktionen bezüglich ETDs zwischen der M UTTERGESELLSCHAFT und einer Derivatbörse, oder einem (konzerninternen oder externen) Broker, der direkt oder indirekt mit einer Derivatbörse Transaktionen abschliesst.

den “Retail & Corporate” Unternehmensbereich und den “Wealth Management” Unternehmensbereich der M UTTERGESELLSCHAFT , beide sofern sie im Booking Center in der Schweiz gebucht sind, einschliesslich der Front Office Funktionen sowie der Middle Office-Funktionen (insbesondere die entsprechenden Chief Operating Officer (COO) Funktionen, die Chief Investment Officer (CIO) Funktion und die Investment Products und Services (IPS) Funktionen);

8

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

die folgenden Geschäfte der M UTTERGESELLSCHAFT : das Market Making an der SIX Swiss Exchange, besicherte Finanzierungstransaktionen (Wertpapierleihe, Repo- und Reverse-Repo-Geschäfte) und das Banknotengeschäft, soweit diese jeweils im Booking Center in der Schweiz gebucht sind;

Zugang der M UTTERGESELLSCHAFT zur Finanzmarktinfrastruktur, die dem Geschäft dient, das im Booking Center in der Schweiz gebucht ist (insbesondere Zahlungs- und Verwahrungsinfrastruktur, Drittparteien Broker und bestimmte Börsenmitgliedschaften); und

die folgenden mit dem Geschäft unter vorstehend i i bis iii verbundenen Kontrollfunktionen der M UTTERGESELLSCHAFT : Finance (Chief Financial Officer-Rolle), Treasury (Treasurer-Rolle), Risikokontrolle (Chief Risk Officer Retail and Corporate, Business Operations and Control, Chief of Staff, Credit & Recovery Solutions, Credit Portfolio Management, Risk Control Large Swiss Corporates & CTF, Risk Control Swiss Corporates, Risk Control Swiss Mortgages, Real Estate Valuation Center), Compliance & Operational Risk Control (AML Transaction Monitoring and Sensitive Clients) und Legal (General Counsel-Rolle).

For the avoidance of doubt, “Retail & Corporate” business and “Wealth Management” business, each inasmuch as booked outside of Switzerland, as well as all other business divisions and the Corporate Center of the Parent are not part of the Business, in particular the business divisions Wealth Management Americas, Global Asset Management and Investment Banking (with the exception of the aforementioned businesses).

Zur Klarstellung sei festgehalten, dass das jeweils ausserhalb der Schweiz gebuchte “Retail & Corporate” Geschäft und das ausserhalb der Schweiz gebuchte “Wealth Management” Geschäft, wie auch alle übrigen Unternehmensbereiche und das Corporate Center der M UTTERGESELLSCHAFT nicht Bestandteil des G ESCHÄFTS sind, insbesondere die Unternehmensbereiche Wealth Management Americas, Global Asset Management und Investment Banking (vorbehältlich der vorgehend genannten Geschäfte).

“ Business Day ” means a day (other than a Saturday or Sunday) on which banks are open for general business in Zurich.

“ W ERKTAG ” bedeutet jeden Tag (ausser Samstag und Sonntag) an welchem Banken in Zürich für die üblichen Geschäfte geöffnet haben.

“ Cash Capital or Similar Stress Model ” has the meaning given to this term in Section 10.5.

“ C ASH C APITAL - ODER ÄHNLICHES S TRESSMODELL ” hat die Bedeutung, die diesem Begriff in Z IFF . 10.5 gegeben wird.

“ CC ” means the Swiss Criminal Code dated 21 December 1937 (SR 311.0).

“ StGB ” bedeutet das Schweizerische Strafgesetzbuch vom 21. Dezember 1937 (SR 311.0).

9

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

“ Central Funding Approach ” has the meaning given to this term in Section 10.5.

“ C ENTRAL F UNDING A PPROACH ” hat die Bedeutung, die diesem Begriff in Z IFF . 10.5 gegeben wird.

“ Client ETD-Transactions ” means transactions between the Parent and a client relating to ETDs which are transferred to the Subsidiary as part of the Transfer, it being understood that the Parent has entered into corresponding, back-to-back Broker ETD-Transactions.

“ K UNDEN -ETD-T RANSAKTIONEN ” bedeutet Transaktionen zwischen der M UTTERGESELLSCHAFT und einem Kunden bezüglich ETDs, die als Teil der Ü BERTRAGUNG auf die T OCHTERGESELLSCHAFT übertragen werden, wobei zur Klarstellung festgehalten sei, dass die M UTTERGESELLSCHAFT entsprechende back-to-back B ROKER ETD-T RANSAKTIONEN abgeschlossen hat.

“ Client OTC-Transactions ” means over-the-counter derivative transactions (including equity, fixed income, foreign exchange and precious metals OTC derivatives) between the Parent and a client which are transferred to the Subsidiary as part of the Transfer.

“ K UNDEN -OTC-T RANSAKTIONEN ” bedeutet over-the-counter Derivattransoktionen (einschliesslich Eigenkapital, Fixed Income, Devisen und Edelmetall-OTC-Derivate) zwischen der M UTTERGESELLSCHAFT und einem Kunden, die als Teil der Ü BERTRAGUNG auf die T OCHTERGESELLSCHAFT übertragen werden.

“ Closing ” means the entry of the transfer of assets and liabilities pursuant to this Agreement in the commercial registers of Zurich and Basel-Stadt, which is expected to take place on [14 June] 2015.

“ V OLLZUG ” bedeutet den Eintrag der Übertragung von Vermögenswerten und Verbindlichkeiten gemäss diesem V ERTRAG in die Handelsregister von Zürich und Basel-Stadt, der für den [14 Juni] 2015 geplant ist.

“ Closing Date ” means the date when the Closing occurs.

“ V OLLZUGSDATUM ” bedeutet das Datum, an dem der V OLLZUG stattfindet.

“ Closing Time ” means the time when the Closing is entered into the journal ( Tagesregister ) of the commercial registers of Zurich and Basel-Stadt (or if entered into at different times, the time of the later of both entries), as evidenced by a confirmation of such commercial registers.

“ V OLLZUGSZEITPUNKT ” bedeutet den Zeitpunkt, an welchem der V OLLZUG ins Tagesregister der Handelsregister von Zürich und Basel-Stadt eingetragen wird (oder falls zu verschiedenen Zeiten eingetragen, den Zeitpunkt des späteren der beiden Einträge), wie er durch Bestätigung dieser Handelsregister nachgewiesen wird.

“ CO ” means the Swiss Code of Obligations dated 30 March 1911 (SR 220).

“ OR ” bedeutet das Schweizerische Obligationenrecht vom 30 März 1911 (SR 220).

“ Commitment ” has the meaning given to this term in Section 12.6.

“ K REDITZUSAGE ” hat die Bedeutung, die diesem Begriff in Z IFF . 12.6 gegeben wird.

“ Confidential Information ” has the meaning given to this term in Section 10.2.

“ V ERTRAULICHE I NFORMATION ” hat die Bedeutung, die diesem Begriff in Z IFF . 10.2 gegeben wird.

“ Covered Bond Programme ” means the covered bond programme established on 24 September 2009 under which the Parent, acting through its London branch, has issued several series of covered bonds.

“ C OVERED -B OND -P ROGRAMM ” bedeutet das Covered Bond Programm vom 24. September 2009, gemäss welchem die M UTTERGESELLSCHAFT , handelnd durch die Zweigniederlassung London, mehrere Serien von Covered Bonds ausgegeben hat.

“ Covered Bond Supplemental Agreement ” means the covered bond supplemental agreement between the Parent, the Subsidiary, BNY Mellon Corporate Trustee Services Limited and UBS Hypotheken AG, consisting of a main body in substantially such form as attached hereto as Annex 6a and exhibits in such form as to be agreed separately, except that those ‘Relevant Restated Programme Agreements’ (as defined in Annex 6a ) that are governed by English law shall contain provisions implementing the Parties’ Joint and Several Liabilities in substantially such form as attached hereto at the end of Annex 6a .

“ C OVERED -B OND - Z USATZVEREINBARUNG ” bedeutet das ‘covered bond supplemental agreement’ zwischen der M UTTERGESELLSCHAFT , der T OCHTERGESELLSCHAFT , BNY Mellon Corporate Trustee Services Limited und UBS Hypotheken AG, beste- hend aus einem Hauptteil im Wesentlichen in der Form wie als Anhang 6a beigefügt und Anhängen in solcher Form, wie sie separat zu vereinbaren sind, mit der Ausnahme, dass diejenigen ‘Relevant Restated Programme Agreements’ (wie in Anhang 6a definiert), die englischem Recht unterstehen, Bestimmungen enthalten müssen, welche die S OLIDARHAFTUNGEN der P ARTEIEN implementieren, im Wesentlichen in der Form wie hierzu am Ende des Anhangs 6a angehängt.

10

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

“ Effective Date ” means 1 April 2015.

“ S TICHTAG ” bedeutet 1. April 2015.

“ ETD ” means exchange traded derivatives (including but not limited to equity, fixed income, foreign exchange, precious metals and commodities derivatives).

“ ETD ” bedeutet börsengehandelte Derivate (einschliesslich aber nicht beschränkt auf Aktien-, Fixed Income-, Devisen-, Edelmetall- und Rohstoffderivate).

“ Excluded Assets ” means assets directly and indirectly related to the Business that are (a) excluded from the Transfer as set forth in Annex 1g , (b) real estate assets not listed in Annex 1b , (c) intellectual property rights not listed in Annex 1d , (d) movables not listed in Annex 1e , or (e) rights or claims under any Excluded Contract.

“ A USGENOMMENE V ERMÖGENSWERTE ” bedeutet Vermögenswerte, die direkten oder indirekten Bezug zum G ESCHÄFT haben und, die (a) gemäss Anhang 1g von der Ü BERTRAGUNG ausgenommen sind, (b) Grundstücksvermögenswerte, die nicht in Anhang 1b aufgeführt sind, (c) Immaterialgüterrechte, die nicht in Anhang 1d aufgeführt sind, (d) bewegliches Eigentum, das nicht in Anhang 1e aufgeführt ist, oder (e) Rechte oder Ansprüche unter einem A USGENOMMENEN V ERTRAG .

“ Excluded Contracts ” means the contracts related to the Business that are excluded from the Transfer as set forth in Annex 2d .

“ A USGENOMMENE V ERTRÄGE ” bedeutet die Verträge mit Bezug zum G ESCHAFT , die gemäss Anhang 2d von der Ü BERTRAGUNG ausgenommen sind.

“ Excluded Liabilities ” means obligations or liabilities directly and indirectly related to the Business that are (a) excluded from the Transfer as set forth in Annex 1g , (b) part of an Excluded Contract, or (c) Strictly Personal Liabilities.

“ A USGENOMMENE V ERBINDLICHKEITEN ” bedeutet Verpflichtungen order Verbindlichkeiten mit direktem oder indirektem Bezuq zum G ESCHÄFT , die (a) gemäss Anhang 1g von der Ü BERTRAGUNG ausgenommen sind, (b) Teil eines A USGENOMMENEN V ERTRAGES sind, oder (c) H ÖCHSTPERSÖNLICHE V ERBINDLICHKEITEN sind.

“ Excluded Remaining Liabilities ” means any and all obligations and liabilities (or any single obligation or liability) of the Parent:

“ A USGESCHLOSSENE V ERBLEIBENDE V ERBINDLICHKEITEN ” bedeuten samtliche Verpflichtungen und Verbindlichkeiten (oder jegliche einzelne Verpflichtung oder Verbindlichkeit) der M UTTERGESELLSCHAFT :

11

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

“ FARPA ” means the Federal Act on Acquisition of Real Property by Persons Abroad of 16 December 1983 (SR 211.412.4:1).

“ B EW G ” bedeutet das Bundesgesetz über den Erwerb von Grundstücken durch Personen im Ausland vom 16. Dezember 1983 (SR 211.412.41).

“ Financing Arrangement ” means a credit facility agreement or other financing arrangement under which a Commitment was given, and any relevant arrangements related thereto (including collateral arrangements).

“ F INANZIERUNGSVEREINBARUNG ” bedeutet einen Kreditrahmenvertrag oder eine andere Finanzierungsvereinbarung, unter welcher eine K REDITZUSAGE abgegeben wurde, und jede sich darauf beziehende relevante Vereinbarung (einschliesslich Sicherungsvereinbarungen).

“ FINMA ” means the Swiss Financial Market Supervisory Authority.

“ FINMA ” bedeutet die Eidgenössische Finanzmarktaufsichtsbehörde.

“ FINMA Order ” has the meaning given to that term in Recital B) of this Agreement.

“ FINMA V ERFÜGUNG ” hat die Bedeutung gemäss Erwägungsgrund B) dieses V ERTRAGS .

“ FISA ” means the Swiss Federal Act on Intermediated Securities dated 3 October 2008 (SR 957.1).

“ BEG ” bedeutet das Bundesgesetz über Buchcffekten vom 3. Oktober 2008 (SR 957.1).

“ GMRA ” means the “Global Master Repurchase Agreement” as published by the International Capital Market Association and its Annex to be agreed between the Parties.

“ GMRA ” bedeutet das “Global Master Repurchase Agreement” wie es von der International Capital Markets Association herausgegeben wird und dessen zwischen den P ARTEIEN zu vereinbarenden Anhang.

“ GMSLA ” means the “Global Master Securities Lending Agreement” as published by the International Securities Lending Association and its Schedule to be agreed between the Parties.

“ GMSLA ” bedeutet das “Global Master Securities Lending Agreement” wie es von der International Securities Lending Association herausgegeben wird und dessen zwischen den P ARTEIEN zu vereinbarenden Anhang.

“ Group ” means UBS Group AG, the Parent and its consolidated subsidiaries.

“ G RUPPE ” bedeutet UBS Group AG, die M UTTERGESELLSCHAFT und ihre konsolidierten Tochtergesellschaften.

“ Indemnified Party ” has the meaning given to that term in Section 12.11.

“ E NTSCHÄDIGTE P ARTEI ” hat die diesem Begriff in Z IFF . 12.11 gegebene Bedeutung.

“ Internal Services Provision ” means any provision of services or delivery of goods within the Parent on an inter-divisional or inter-branch (or similar) basis.

“ I NTERNE D IENSTLEISTUNGSERBRINGUNG ” bedeutet jede unternehmensbereichs- oder zweigniederlassungsübergreifende Erbringung von Dienstleistungen oder Zustellung von Waren innerhalb der M UTTERGESELLSCHAFT oder eine Erbringung oder Zustellung auf einer ähnlichen Grundlage.

“ Internal Transactions ” means any transactions recorded within the Parent on an inter- divisional or inter-branch (or similar) basis.

“ I NTERNE T RANSAKTIONEN ” bedeutet alle unternehmensbereichs- oder zweigniederlassungsübergreifenden bei der M UTTERGESELLSCHAFT erfassten Transaktionen oder Transaktionen auf einer ähnlichen Grundlage.

“ Inventory ” means the inventory attached to this Agreement consisting of the:

12

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

“ I NVENTAR ” bedeutet das diesem V ERTRAG beigefügte Inventar, bestehend aus der/den:

“ ISDA ” means the Standard “2002 ISDA Master Agreement” and “1992 ISDA Master Agreement”, as the case may be, each as published by the International Swaps and Derivatives Association, including applicable supporting documentation (such as the customized schedule, the related credit support annex and master confirmation letter).

“ ISDA ” bedeutet das Standard “2002 ISDA Master Agreement” beziehungsweise “1992 ISDA Master Agreement”, wie sie jeweils von der International Swaps and Derivates Association herausgegeben werden, einschliesslich der anwendbare Hilfsdokumentation (wie des angepassten Anhangs, des damit zusammenhängenden Kreditsupport-Anhangs und des master confirmation-Briefs).

“ ISDA Master Agreement ” means the Standard “2002 ISDA Master Agreement” as published by the International Swaps and Derivatives Association with the customized schedule, the related credit support annex and master confirmation letter to be agreed between the Parties.

“ ISDA-R AHMENVERTRAG ” bedeutet das Standard “2002 ISDA Master Agreement”, wie es von der International Swaps and Derivates Association herausgegeben wird mit dem angepassten Anhang, dem damit zusammenhängenden Kreditsupport-Anhang und dem master confirmation-Brief, wie zwischen den P ARTEIEN zu vereinbaren.

“ International Withholding Tax Act ” means the Federal Act on International Withholding Tax dated of 15 June 2012 (SR 672.4).

“ IQG ” bedeutet das Bundesgesetz über die internationale Quellenbesteuerung vom 15. Juni 2012 (SR 672.4).

“ Joint and Several Liability ” means the Parent’s Joint and Several Liability in relation to the Subsidiary and the Subsidiary’s Joint and Several Liability in relation to the Parent, respectively, and “ Joint and Several Liabilities ” means each of them.

“ S OLIDARHAFTUNG ” bedeutet die S OLIDARHAFTUNG DER M UTTERGESELLSCHAFT mit Bezug auf die T OCHTERGESELLSCHAFT bzw. die S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT mit Bezug auf die M UTTERGESELLSCHAFT , und “ S OLIDARHAFTUNGEN ” bezieht sich auf beide diese Solidarhaftungen.

“ MA ” means the Swiss Federal Act on Merger, Demerger, Conversion and Transfer of Assets and Liabilities dated 3 October 2003 (SR 221.301).

“ F US G ” bedeutet das Bundesgesetz über Fusion, Spaltung, Umwandlung und Vermögensübertragung vom 3. Oktober 2003 (SR 221.301).

“ MCA ” means a master credit agreement to be agreed between the Parent as lender and the Subsidiary as borrower.

“ K REDITRAHMENVERTRAG ” bedeutet den zwischen der M UTTERGESELLSCHAFT als Darlehensgeberin und der T OCHTERGESELLSCHAFT als Darlehensnehmerin zu vereinbarenden Kreditrahmenvertrag.

13

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

“ Nettable Parent Arrangement ” has the meaning given to that term in Section 12.3.

“ V ERRECHNUNGSFÄHIGE V EREINBARUNG MIT DER M UTTERGESELLSCHAFT ” hat die Bedeutung, die diesem Begriff in Z IFF . 12.3 gegeben wird.

“ Notice of Defence ” has the meaning given to that term in Section 12.11.

“ V ERTEIDIGUNGSANZEIGE ” hat die Bedeutung, die diesem Begriff in Z IFF . 12.11 gegeben wird.

“ NY Assumption Agreement ” means the assumption agreement between the Parent and the Subsidiary, in substantially such form as attached hereto as Annex 6b .

“ NY-Ü BERNAHMEVERTRAG ” bedeutet das “assumption agreement” zwischen der M UTTERGESELLSCHAFT und der T OCHTERGESELLSCHAFT , im Wesentlichen in der Form wie als Anhang 6b beigefügt.

“ Parent ” has the meaning as defined on page one.

“ M UTTERGESELLSCHAFT ” hat die Bedeutung gemäss Seite eins.

“ Parent’s Joint and Several Liability ” means the joint and several liability of the Parent pursuant to Section 12.1.

“ S OLIDARHAFTUNG DER M UTTERGESELLSCHAFT ” bedeutet die Solidarhaftung der M UTTERGESELLSCHAFT gemäss Z IFF . 12.1.

“ Party ”/“ Parties ” means either of the Parent and the Subsidiary (or both of them).

“ P ARTEI ”/“ P ARTEIEN ” bedeutet die M UTTERGESELLSCHAFT bzw. die T OCHTERGESELLSCHAFT (oder beide).

“ Real Estate ” has the meaning as defined in Section 3.2.

“ G RUNDSTÜCKE ” hat die Bedeutung gemäss Z IFF . 3.2.

“ Remaining Liabilities ” (or “ Remaining Liability ”) means any and all obligations and liabilities (or any single obligation or liability) of the Parent the cause of which has been set before the Closing Time, other than (i) the Transferred Liabilities and (ii) the Excluded Remaining Liabilities. For the avoidance of doubt, Remaining Liabilities do not include any obligation or liability of the Parent under or in connection with any transactions entered into by the Parent after (or at) the Closing Time, whether such transactions are entered into with the same counterparties or under the same agreements, whether they are entitled to the benefit of the same collateral or other credit support arrangements, as in respect of a Remaining Liability, or whether they have been entered into otherwise. Accordingly, in case the Parent has entered into a guarantee, surety or similar instrument in favor of a Third Party, Remaining Liabilities do not include any obligation or liability of the Parent relating to any transactions entered into by such Third Party beneficiary after (or at) the Closing Time, even if such transactions are secured under the same guarantee, surety or similar instrument.

“ V ERBLEIBENDE V ERBINDLICHKEITEN ” (oder “ V ERBLEIBENDE V ERBINDLICHKEIT ”) bedeutet jegliche Verpflichtungen und Verbindlichkeiten (oder jede einzelne Verpflichtung oder Verbindlichkeit) der M UTTERGESELLSCHAFT , deren Ursache vor dem V OLLZUGSZEITPUNKT liegt, ausser (i) die Ü BERTRAGENEN V ERBINDLICHKEITEN und (ii) die A USGESCHLOSSENEN V ERBLEIBENDEN V ERBINDLICHKEITEN . Zur Klarstellung sei feslgehalten, dass “V ERBLEIBENDE V ERBINDLICHKEITEN ” nicht Verpflichtungen und Verbindlichkeiten der M UTTERGESELLSCHAFT aus oder in Verbindung mit Transaktionen einschliesst, welche die M UTTERGESELLSCHAFT nach dem (oder zum) V OLLZUGSZEITPUNKT abgeschlossen hat, ungeachtet dessen, ob diese Transaktionen mit den gleichen Gegenparteien oder unter den gleichen Vereinbarungen abgeschlossen wurden, ob sie von der gleichen Sicherheit oder anderen Kreditsicherungsvereinbarungen wie die V ERBLEIBENDE V ERBINDLICHKEITEN profitieren, oder ob sie auf sonstige Weise abgeschlossen wurden. Dementsprechend, falls die M UTTERGESELLSCHAFT Garantie-, Sicherheits- oder ähnliche Instrumente zugunsten einer D RITTPARTEI abgeschlossen hat, beinhaltet V ERBLEIBENDE V ERBINDLICHKEITEN keine Verpflichtung oder Verbindlichkeit der M UTTERGESELLSCHAFT bezüglich Transaktionen, die ein solcher Begünstigter einer D RITTPARTEI nach dem (oder im) V OLLZUGSZEITPUNKT abgeschlossen hat, auch wenn solche Transaktionen unter der gleichen Garantie, Sicherheit oder ähnlichem Instrument besichert sind.

“ Section ” means a section of this Agreement.

“ Z IFF . ”/“ Z IFFER ” bedeutet eine Ziffer dieses V ERTRAGS .

14

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

“ Separate Instrument ” means a separate, independent instrument under Swiss or non-Swiss law implementing an arrangement with a similar effect to a Party’s Joint and Several Liability with respect to certain Transferred Liabilities or Remaining Liabilities.

“ S EPARATES I NSTRUMENT ” bedeutet ein separates, unabhängiges Instrument unter schweizerischem oder nicht- schweizerischem Recht, das eine Vereinbarung mit einer ähnlichen Wirkung wie die S OLIDARHAFTUNG einer P ARTEI für bestimmte Ü BERTRAGENE V ERBINDLICHKEITEN oder V ERBLEIBENDE V ERBINDLICHKEITEN begründet.

“ SHAB ” means the Swiss Official Gazette of Commerce ( Schweizerisches Handelsamtsblatt ).

“ Special Assets ” has the meaning as defined in Section 3.10.

“ S PEZIELLE V ERMÖGENSWERTE ” hat die Bedeutung, die diesem Begriff in Z IFF 3.10. gegeben wird.

“ Strictly Personal Liabilities ” means any and all obligations and liabilities (or any single obligation or liability) of the Parent which are of a strictly personal nature ( höchstpersönlich ), and in particular (i) any criminal liability (including for fines, disgorgement of profits or any similar sanctions) or similar non-contractual liability of a punitive character to which the Parent may have been or become, subject, and (ii) any regulatory liability which results from, or is connected to, the licenses or similar regulatory authorizations that have been granted, or other regulatory requirements that apply, to the Parent.

“ H ÖCHSTPERSÖNLICHE V ERBINDLICHKEITEN ” bedeutet sämtliche Verpflichtungen und Verbindlichkeiten (oder jegliche einzelne Verpflichtung oder Verbindlichkeit) der M UTTERGESELLSCHAFT , die höchstpersönlich sind, und insbesondere (i) jegliche strafrechtliche Verantwortlichkeit (einschliesslich Bussen, Einziehung von Gewinnen oder ähnliche Sanktionen) oder ähnliche ausservertragliche Haftung mit Strafcharakter, die gegebenenfalls auf die M UTTERGESELLSCHAFT Anwendung findet oder finden wird, sowie (ii) jegliche aufsichtsrechtliche Verantwortlichkeit resultlerend aus oder im Zusammenhang mit Lizenzen oder ähnlicher aufsichtsrechtlicher Bewilligungen, die erteilt worden sind oder anderen auf die M UTTERGESELLSCHAFT anwendbaren aufsichtsrechtlichen Anforderungen.

“ Subsidiary ” has the meaning as defined on page one.

“ T OCHTERGESELLSCHAFT ” hat die Bedeutung gemäss Seite eins.

“ Subsidiary’s Joint and Several Liability ” means the joint and several liability of the Subsidiary pursuant to Section 12.2.

“ S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT ” bedeutet die Solidarhaftung der T OCHTERGESELLSCHAFT gemäss Z IFF . 12.2.

“ Supplemental US Indentures ” means (i) the fifth supplemental indenture between the Parent, the Subsidiary and U.S. Bank Trust National Association to the indenture dated 21 November 2000 between the Parent and U.S. Bank Trust National Association, (ii) the first supplemental indenture between the Parent, the Subsidiary and U.S. Bank Trust National Association to the indenture dated 22 July 2004 between the Parent and U.S. Bank Trust National Assocation and (iii) the fifth supplemental indenture between UBS Americas Inc., the Parent, the Subsidiary and The Bank of New York Mellon to the indenture dated 15 March 1988 between UBS Americas Inc., the Parent and The Bank of New York Mellon, in substantially such form as attached hereto as Annex 6d .

“ Z USATZ -US-A NLEIHEVERTRÄGE ” bedeutet (i) die “fifth supplemental indenture” zwischen der M UTTERGESELLSCHAFT , der T OCHTERGESELLSCHAFT und U.S. Bank Trust National Association zum Anleihensvertrag (indenture) vom 21. November 2000 zwischen der M UTTERGESELLSCHAFT und U.S. Bank Trust National Association, (ii) die “first supplemental indenture” zwischen der M UTTERGESELLSCHAFT , der T OCHTERGESELLSCHAFT und U.S. Bank Trust National Association zum Anleihensvertrag (indenture) vom 22. Juli 2004 zwischen der M UTTERGESELLSCHAFT und U.S. Bank Trust National Association und (iii)

15

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

die “fifth supplemental indenture” zwischen UBS Americas Inc., der M UTTERGESELLSCHAFT , der T OCHTERGESELLSCHAFT und The Bank of New York Mellon zum Anleihensvertrag (indenture) vom 15. März 1988 zwischen UBS Americas Inc., der M UTTERGESELLSCHAFT und The Bank of New York Mellon, im Wesentlichen in der Form wie als Anhang 6d beigefügt.

“ Third Party ” means a person or entity of whatever kind other than a Party.

“ D RITTPARTEI ” bedeutet eine Person oder Rechtseinheit jeglicher Art ausser eine P ARTEI .

“ Third Party Assets ” means assets (including, without limitation, securities and movables of all kind) the Parent holds in custody but are owned by a Third Party, such as assets in custody for the benefit of clients or assets held as collateral.

“ D RITTPARTEI -V ERMÖGENSWERTE ” bedeutet Vermögenswerte (einschliesslich und ohne Einschränkung, Wertschriften und bewegliche Sachen jeglicher Art), die sich im Gewahrsam der M UTTERGESELLSCHAFT befinden, jedoch im Eigentum einer D RITTPARTEI stehen, wie etwa Vermögenswerte, die für Kunden verwahrt werden, oder Vermögenswerte, die als Sicherheit dienen.

“ Transfer ” means the transfer of the Business from the Parent to the Subsidiary pursuant to this Agreement.

“ Ü BERTRAGUNG ” bedeutet die Übertragung des G ESCHÄFTS von der M UTTERGESELLSCHAFT auf die T OCHTERGESELLSCHAFT gemäss diesem V ERTRAG .

“ Transfer Balance Sheet ” means the transfer balance sheet as per 31 March 2015 and audited by Ernst & Young AG as set out in Annex 1a ( Transfer Balance Sheet ).

“ Ü BERTRAGUNGSBILANZ ” bedeutet die Übertragungsbilanz per 31. März 2015 gemäss Anhang 1a , die von Ernst & Young AG geprüft wurde (Übertragungsbilanz).

“ Transferred Assets ” means any and all assets of the Business (except for the Excluded Assets), consisting of:

“ Ü BERTRAGENE V ERMÖGENSWERTE ” bedeutet sämtliche Vermögenswerte des G ESCHÄFTS (ausser die A USGENOMMENEN V ERMÖGENSWERTE ), bestehend aus:

sämtlichen Vermögenswerten wie im I NVENTAR aufgeführt oder enthalten (ausser Vermögenswerte in der Ü BERTRAGUNGSBILANZ , über die seit dem S TICHTAG im ordentlichen Geschäftsgang verfügt wurde oder die untergegangen sind). Zur Klarstellung sei festgehalten, dass auch alle Rechte und Ansprüche aus sämtlichen Ü BERTRAGENEN V ERTRÄGEN erfasst sind;

sämtlichen anderen Vermögenswerten, die seit dem S TICHTAG für das G ESCHÄFT erworben oder geschaffen wurden oder anderweitig zum G ESCHÄFT gehören (einschliesslich abgeschriebener Vermögenswerte); und

sämtlichen derzeit unbekannten Ansprüchen der M UTTERGESELLSCHAFT gegen eine D RITTPARTEI , die dem G ESCHÄFT entstammen.

“ Transferred Assets and Liabilities ” means the Transferred Assets and the Transferred Liabilities.

“ Ü BERTRAGENE V ERMÖGENSWERTE UND V ERBINDLICHKEITEN ” bedeutet die Ü BERTRAGENEN V ERMÖGENSWERTE und die Ü BERTRAGENEN V ERBINDLICHKEITEN .

“ Transferred Contracts ” means (i) all ongoing and terminated contracts relating to the Business as evidenced in Annex 2a but (ii) excluding the Excluded Contracts (as set forth in Annex 2d ).

“ Ü BERTRAGENE V ERTRÄGE ” bedeutet (i) alle laufenden und beendeten Verträge mit Bezug zum G ESCHÄFT gemäss Anhang 2a , jedoch (ii) ohne die A USGENOMMENEN V ERTRÄGE (gemäss Anhang 2d ).

16

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

“ Transferred Employees ” means the employees listed in Annex 3 and “ Transferred Employee ” means any of the Transferred Employees.

“ Ü BERTRAGENE A RBEITNEHMER ” bedeutet die in Anhang 3 aufgeführten Arbeitnehmer, und “ Ü BERTRAGENER A RBEITNEHMER ” bedeutet jeden der Ü BERTRAGENEN A RBEITNEHMER .

“ Transferred Liabilities ” means any and all obligations and liabilities (or any single obligation or liability) of the Business (except for the Excluded Liabilities), consisting of:

“ Ü BERTRAGENE V ERBINDLICHKEITEN ” bedeutet sämtliche Verpflichtungen und Verbindlichkeiten (oder jede einzelne Verpflichtung oder Verbindlichkeit) des G ESCHÄFTS (ausser die A USGENOMMENEN V ERBINDLICHKEITEN ), bestehend aus;

sämtlichen Verpflichtungen und Verbindlichkeiten wie im I NVENTAR aufgeführt oder enthalten (ausser Verbindlichkeiten, die in der Ü BERTRAGUNGSBILANZ enthalten sind, über die seit dem S TICHTAG im ordentlichen Geschäftsgang verfügt wurde oder die untergegangen sind). Zur Klarstellung sei festgehalten, dass auch Verpflichtungen und Verbindlichkeiten unter sämtlichen Ü BERTRAGENEN V ERTRÄGEN erfasst sind;

sämtlichen Verpflichtungen und Verbindlichkeiten, die vom oder im G ESCHÄFT seit dem S TICHTAG angefallen bzw. eingegangen worden sind; und

sämtlichen derzeit unbekannten Ansprüchen einer D RITTPARTEI gegen die M UTTERGESELLSCHAFT , die dem G ESCHÄFT entstammen.

“ UK Assumption Agreement ” means the deed supplemental to this Agreement in respect of certain English law governed agreements between the Parent and the Subsidiary, in substantially such form as attached hereto as Annex 6c .

“ UK-Ü BERNAHMEVERTRAG ” bedeutet den Zusatzvertrag zu diesem V ERTRAG bezüglich gewisser Verträge zwischen der M UTTERGESELLSCHAFT und der T OCHTERGESELLSCHAFT , die englischem Recht unterstehen, im Wesentlichen in der Form wie als Anhang 6c beigefügt.

Sofern keine gegenteiligen Bestimmungen vorliegen, sind die Begriffe in diesem V ERTRAG wie folgt auszulegen.

eine “Person” schliesst jede/jedes/jeden Einzelperson, Gesellschaft, Unternehmen, Betrieb, Personengesellschaft, Joint Venture, Verein, Verband, Trust oder Geschäftsstelle (in alien Fällen unabhängig vorhandener oder fehlender eigener Rechtspersönlichkeit) mit ein;

“einschliesslich” bedeutet einschliesslich jedoch nicht abschliessend;

eine gesetzliche Bestimmung ist ein Hinweis auf diese Bestimmung in ihrer jeweils geltenden Fassung;

17

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Tageszeiten verweisen auf die Schweizer Uhrzeit; und

Einzahl umfasst auch Mehrzahl und umgekehrt.

Gemäss den Bestimmungen dieses V ERTRAGS verpflichtet sich die M UTTERGESELLSCHAFT zur Übertragung des G ESCHÄFTS , und überträgt das G ESCHÄFT , wie im I NVENTAR ausgewiesen, bestehend aus den Ü BERTRAGENEN V ERMÖGENSWERTEN , den Ü BERTRAGENEN V ERBINDLICHKEITEN , den Ü BERTRAGENEN V ERTRÄGEN sowie anderen rechtlichen oder nicht-rechtlichen Verhältnissen (wie in Z IFF . 3 weiter spezifiziert) auf ihre T OCHTERGESELLSCHAFT mittels Vermögensübertragung gemäss Art. 69 ff. F US G. Dabei übernimmt die T OCHTERGESELLSCHAFT alle Ü BERTRAGENEN V ERBINDLICHKEITEN und Ü BERTRAGENEN V ERTRÄGE und akzeptiert alle rechtlichen oder nicht-rechtlichen Verhältnisse, die gemäss V ERTRAG übertragen werden.

Die P ARTEIEN bestätigen, dass ihnen alle Details des G ESCHÄFTS und des I NVENTARS bekannt sind, insbesondere die Details (i) aller Bücher, Aufzeichnungen und Haupt- und Nebenbücher der Geschäftsbücher, welche die Grundlage für die Ü BERTRAGUNGSBILANZ sind, die Details (ii) aller Bücher, Aufzeichnungen und Haupt- und Nebenbücher, welche die P ARTEIEN bereits für die Zeit zwischen dem S TICHTAG und dem Datum des V ERTRAGS angelegt haben, um den P ARTEIEN die rückwirkende Verbuchung der Übertragung des G ESCHÄFTS ab dem S TICHTAG zu ermöglichen sowie (iii) aller damit verbundenen und zwischen dem S TICHTAG und dem Datum des V ERTRAGS erfolgten Geschäftstransaktionen. Die P ARTEIEN anerkennen, dass gemäss ihrem besten Wissen das I NVENTAR und alle zugrundliegenden Bücher, Aufzeichnungen und Haupt- und Nebenbucher der Geschäftsbücher wahr und korrekt sind. Wenn das I NVENTAR in einem bestimmten Fall unklar ist, sollen die zugrundeliegenden Bücher, Aufzeichnungen und Haupt- und Nebenbücher der Geschäftsbücher konsultiert und, wenn sie diesen Fall behandeln, massgeblich sein.

Mit der Ü BERTRAGUNG überträgt die M UTTERGESELLSCHAFT alle von säumigen Hypothekarschuldnern im Rahmen einer Grundpfandverwertung erlangten Grundstücke in der Schweiz gemäss Anhang 1b (die “ G RUNDSTÜCKE ”) auf die T OCHTERGESELLSCHAFT . Alle anderen Grundstücke mit Bezug zum G ESCHÄFT , die nicht im Anhang 1b aufgeführt sind, werden nicht auf die T OCHTERGESELLSCHAFT übertragen.

18

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Der Wortlaut der Vormerkungen, Anmerkungen, Dienstbarkeiten und Grundpfandrechte ist den P ARTEIEN bekannt. Die P ARTEIEN verzichten im vorliegenden V ERTRAG auf deren wörtliche Wiedergabe. Der unterzeichnete Notar hat die T OCHTERGESELLSCHAFT darüber informiert, dass öffentlich-rechtliche Eigentumsbeschränkungen (z.B. aufgrund von raumplanerischen oder baurechtlichen Vorgaben) bestehen können, welche unabhängig von der Eintragung im Grundbuch Wirkung entfalten.

Die M UTTERGESELLSCHAFT erklärt, dass die G RUNDSTÜCKE weder im Altlastenverdachtsflächenkastaster noch im Kataster der belasteten Standorte verzeichnet sind.

Mittels dieser Ü BERTRAGUNG überträgt die M UTTERGESELLSCHAFT die eigenen Schuldbriefe, die in Anhang 1C aufgeführt sind und sich auf die G RUNDSTÜCKE gemäss Anhang 1b beziehen, auf die T OCHTERGESELLSCHAFT .

Die P ARTEIEN erklären, dass die Ü BERTRAGUNG weder gesetzliche noch vertragliche Vorkaufsrechte auslöst.

Falls trotzdem Vorkaufsrechte ausgelöst und umgesetzt werden sollten, fallen allfällig daraus resultierende Erlöse der T OCHTERGESELLSCHAFT zu.

Die P ARTEIEN bestätigen, dass sie über das B EW G und die Verordnung über den Erwerb von Grundstücken durch Personen im Ausland vom 1. Oktober 1984 (BewV) (SR 211.412.411) in Kenntnis gesetzt wurden. Die T OCHTERGESELLSCHAFT erklärt, dass sie nicht in den Anwendungsbereich des B EW G fällt undfolglich keine Bewilligung für die Ü BERTRAGUNG benötigt.

Die P ARTEIEN erklären, dass keine der G RUNDSTÜCKE in den Anwendungsbereich des Bundesgesetzes vom 4. Oktober 1991 über das bäuerliche Bodenrecht (BGBB) (SR 211.412.11) fallen und die Ü BERTRAGUNG deshalb keiner Bewilligung gemäss BGBB bedarf.

19

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Zur Klarstellung sei festgehalten, dass die mit G RUNDSTÜCKEN zusammenhängenden Verträge (insbesondere Pacht- und Mietverträge, Versicherungsverträge, Maklerverträge etc.) mittels dieser Ü BERTRAGUNG von der M UTTERGESELLSCHAFT auf die T OCHTERGESELLSCHAFT als Teil der Ü BERTRAGENEN V ERTRÄGE nach Z IFF . 3.6 übertragen werden.

Mittels dieser Ü BERTRAGUNG Überträgt die M UTTERGESELLSCHAFT alle die in Anhang 1c aufgeführten Wertschriften auf die T OCHTERGESELLSCHAFT . Zur Klarstellung sei festgehalten, dass alle Beteiligungen, die mit dem G ESCHÄFT zusammenhängen, aber nicht in Anhang 1c aufgeführt sind, nicht übertragen werden.

Zusätzlich und ohne Einschränkung des Vorstehenden (aber ausgenommen alle A USGENOMMENEN V ERMÖGENSWERTE ) verpflichtet sich die M UTTERGESELLSCHAFT , Folgendes auf die T OCHTERGESELLSCHAFT zu übertragen und alles Notwendige oder Zweckmässige zu unternehmen um eine solche Übertragung mittels Singularsukzession anlässlich des V OLLZUGS oder kurz danach durchzuführen:

alle ihre (i) Papier- und Register-Schuldbriefe (sofern vorhanden), welche Schweizer Recht unterstehen sowie (ii) ähnliche Hypothekarsicherheiten, welche schweizerischem oder deutschem Recht unterstehen, sofern (i) und (ii) jeweils zum G ESCHÄFT gehören und insbesondere diejenigen, die fiduziarisch gehalten werden (Sicherungsübereignung/Vollrechtsübereignung). Zur Klarstellung sei festgehalten, dass die fiduziarischen Berechtigungen an Registerschuldbriefen mittels dieser Ü BERTRAGUNG durch Übertragung der relevanten Nominee-Verträge gemass Anhang 2a übertragen werden.

alle ihre (anderen) ausserbilanziellen Wertschriften, die zum G ESCHÄFT gehören, einschliesslich diejenigen mit Bezug zur Wertschriftenfinanzierungstransaktionen (Wertschriftenleihe, Repo und Reverse Repo);

alle ihre anderen zum G ESCHÄFT gehörenden und (a) zwischen dem letzten Tag vor dem Datum dieses V ERTRAGS und dem V OLLZUG erworbenen oder (b) irrtümlich nicht in Anhang 1c aufgeführten Wertschriften.

20

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Die M UTTERGESELLSCHAFT überträgt mittels dieser Ü BERTRAGUNG alle in Anhang 1d aufgeführten immateriellen Vermögenswerte auf die T OCHTERGESELLSCHAFT . Alle Immaterialgüterrechte mit Bezug zum G ESCHÄFT , die nicht in Anhang 1d aufgeführt sind, werden nicht auf die T OCHTERGESELLSCHAFT übertragen.

Die M UTTERGESELLSCHAFT überträgt mittels dieser Ü BERTRAGUNG sämtliche B EWEGLICHEN S ACHEN und andere wichtige Vermögenswerte, die in Anhang 1 e aufgeführt sind, auf die T OCHTERGESELLSCHAFT . Mit der Ü BERTRAGUNG soll die T OCHTERGESELLSCHAFT in der Lage sein, den Besitz an den in Anhang 1e aufgeführten B EWEGLICHEN S ACHEN ohne Weiteres zu erlangen, auszuüben and zu kontrollieren. Im Umfang, wie die B EWEGLICHEN S ACHEN in den Räumlichkeiten der M UTTERGESELLSCHAFT verbleiben, gewährt die M UTTERGESELLSCHAFT der T OCHTERGESELLSCHAFT während den normalen Geschäftszeiten jederzeit Zutritt zu diesen B EWEGLICHEN S ACHEN . Alle B EWEGLICHEN S ACHEN mit Bezug zum G ESCHÄFT , die aber nicht in Anhang 1e aufgeführt sind, werden nicht auf die T OCHTERGESELLSCHAFT übertragen.

Die M UTTERGESELLSCHAFT überträgt mittels dieser Ü BERTRAGUNG die Ü BERTRAGENEN V ERTRÄGE gemäss Anhang 2a (das heisst, die gesamte Vertragsposition der M UTTERGESELLSCHAFT , inklusive aller Rechte, Rechtstitel, Zinsen und Belastungen sowie aller Rechte und Forderungen, Verpflichtungen und Verbindlichkeiten, Gestaltungsrechte, Stammrechte und andere Rechte und rechtliche Positionen unter den Ü BERTRAGENEN V ERTRÄGEN ) auf die T OCHTERGESELLSCHAFT , und die T OCHTERGESELLSCHAFT übernimmt hiermit die Ü BERTRAGENEN V ERTRÄGE .

Die Arbeitsverhältnisse der Ü BERTRAGENEN A RBEITNEHMER , die in Anhang 3 aufgeführt sind, werden gemäss Art. 333 OR mit allen Rechten und Pflichten übertragen.

Wenn ein Ü BERTRAGENER A RBEITNEHMER die Ü BERTRAGUNG ablehnt, wird das entsprechende Arbeitsverhältnis trotzdem auf die T OCHTERGESELLSCHAFT übertragen, jedoch von einer der P ARTEIEN auf Ende der gesetzlichen Kündigungsfrist gekündigt.

Die P ARTEIEN bestätigen sich gegenseitig, dass die Ü BERTRAGENEN A RBEITNEHMER Ü ber die Übertragung ihrer Arbeitsverhältnisse vollständig und ordnungsgemäss informiert wurden, in Übereinstimmung mit allen anwendbaren gesetzlichen Vorschriften (insbesondere Art. 333 und 333a OR) sowie Kollektivarbeits- oder anderen anwendbaren Verträgen.

21

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Die T OCHTERGESELLSCHAFT wird die Ü BERTRAGENEN A RBEITNEHMER auf der gleichen Grundlage wie die M UTTERGESELLSCHAFT beschäftigen. Sie wird dabei beispielsweise die Dauer eines Arbeitsverhältnisses bei der M UTTERGESELLSCHAFT entsprechend berücksichtigen. Die Ü BERTRAGENEN A RBEITNEHMER , die zum Bezug von Vorsorgeleistungen aus der UBS Pensionskasse berechtigt sind, werden zum Bezug aus dieser Pensionskasse berechtigt bleiben.

Die P ARTEIEN haben Kenntnis davon und akzeptieren, dass gewisse der Ü BERTRAGENEN V ERMÖGENSWERTE und der Ü BERTRAGENEN V ERBINDLICHKEITEN , die mittels dieser Ü BERTRAGUNG von der M UTTERGESELLSCHAFT auf die T OCHTERGESELLSCHAFT übertragen werden, Streitgegenstand von hängigen Verfahren (einschliesslich Schieds-, Betreibungs- und Zwangsvollstreckungsverfahren) sind.

Soweit unter den anwendbaren Verfahrensregeln zulässig und sofern von den P ARTEIEN für bestimmte Fälle nicht abweichend vereinbart, bemühen sich die P ARTEIEN unverzüglich nach dem V OLLZUG nach besten Kräften um die Erwirkung eines Parteiwechsels in den hängigen Gerichtsverfahren betreffend Ü BERTRAGENE V ERMÖGENSWERTE und Ü BERTRAGENE V ERBINDLICHKEITEN . Wenn in einem hängigen Verfahren betreffend Ü BERTRAGENE V ERMÖGENSWERTE und Ü BERTRAGENE V ERBINDLICHKEITEN kein Parteiwechsel veranlasst wurde, hat die T OCHTERGESELLSCHAFT (unter Ausschluss des Verfahrens wie in Z IFF . 12.11 festgelegt) das Recht, das Verfahren im internen Verhältnis zu steuern und, sofern zulässig, andere Massnahmen zu verlangen, welche ihr die Führung des Verfahrens ermoglicht. Wenn die T OCHTERGESELLSCHAFT auf das Recht zur Kontrolle eines solchen hängigen Verfahrens verzichtet, ist die M UTTERGESELLSCHAFT berechtigt, sich nach eigenem Ermessen zu verteidigen oder einen Vergleich über den Anspruch oder das Verfahren abzuschliessen. In jedem Fall hat die M UTTERGESELLSCHAFT dabei Anspruch auf Schadloshaltung gemäss Z IFF . 12.9 und 12.10, sofern anwendbar.

Als Folge der Übertragung des Schweizer Hypothekargeschäfts gemäss den Bedingungen des V ERTRAGS vereinbaren die P ARTEIEN , bestimmte Funktionen unter dem C OVERED B OND -P ROGRAMM (inklusive die Funktion des ‘Assignor’, des ‘Originator’ des ‘Principal Originator’, der ‘Account Bank’, des ‘Cash Managers’ und des Aktionärs des ‘Guarantor’) zu ubertragen. Die Übertragung hat nach Massgabe der Bestimmungen der C OVERED -B OND -Z USATZVEREINBARUNG ZU erfolgen. Die P ARTEIEN verpflichten sich, darauf hinzuwirken, dass sie selber und die weiteren vorgesehenen Parteien die C OVERED -B OND -Z USATZVEREINBARUNG unmittelbar nach Unterzeichnung dieses Vertrags und vor dem V OLLZUG unterzeichnen.

22

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Zur Klarstellung und ungeachtet abweichender Regelungen in diesem V ERTRAG sei darauf hingewiesen, dass die vertragliche Position der M UTTERGESELLSCHAFT in ihrer Eigenschaft als Emittentin des C OVERED -B OND -P ROGRAMMS bei der M UTTERGESELLSCHAFT verbleibt und nicht auf die T OCHTERGESELLSCHAFT übertragen wird.

Vorbehältlich des V OLLZUGS aber mit Wirkung per S TICHTAG gewährt, tritt ab und überträgt die M UTTERGESELLSCHAFT das wirtschaftliche Eigentum an allen Vermögenswerten, Verbindlichkeiten und Verträgen und anderen Positionen aufgeführt unter:

Z IFF . I.u) von Anhang 2d (Verträge im Zusammenhang mit dem Corporate Aircraft Finance-Geschäft) und Z IFF . III.a) von Anhang 1g (Vermögenswerte des Corporate Aircraft Finance-Geschäfts) (im Umfang, als dass relevante Vermögenswerte derzeit wirtschaftlich der M UTTERGESELLSCHAFT gehören), aber nur im Umfang als dass die darunter liegende Beziehung mit dem Wealth Management-Kunden in der Schweiz gebucht ist;

Z IFF . III.b) von Anhang 1g (Eingeklagte Vermögenswerte); oder

Z IFF . II von Anhang 2d (Andere ausgenommene Verträge aufgrund spezieller Gründe),

for which, in each case, the transfer of legal title to the Subsidiary has been excluded (the “ Special Assets ”). As a result, the Parent shall continue to hold the Special Assets on a fiduciary basis as a nominee in its own name but for the account of the Subsidiary and promptly pass on all proceeds and benefits to the Subsidiary. For the avoidance of doubt, the Parent shall thus solely act upon the instructions of the Subsidiary in relation to the Special Assets and, absent of such instructions, not dispose of, pledge or encumber the Special Assets, and at the Subsidiary’s option, the Subsidiary may ask at any time that the Parent transfers to the Subsidiary full legal title in the Special Assets, to the extent such transfer is legally feasible. In relation to such nominee services, the Parties shall enter into appropriate co-operation agreements under Section 10.5.

für welche, in jedem einzelnen Fall, die Übertragung des Rechtstitels an die T OCHTERGESELLSCHAFT ausgeschlossen wurde (die “ S PEZIELLEN V ERMÖGENSWERTE ”). Im Ergebnis wird die M UTTERGESELLSCHAFT die S PEZIELLEN V ERMÖGENSWERTE auf einer treühanderischen Grundlage als Nominee im eigenen Namen aber auf Rechnung der T OCHTERGESELLSCHAFT weiter halten und alle Einkünfte und Vorteile an die T OCHTERGESELLSCHAFT weiterleiten. Zur Klarstellung sei festgehalten, dass mit Bezug auf die S PEZIELLEN V ERMÖGENSWERTE die M UTTERGESELLSCHAFT folglich nur gemäss den Anweisungen der T OCHTERGESELLSCHAFT handelt und, in Ermangelung solcher Anweisungen, die S PEZIELLEN V ERMÖGENSWERTE nicht veräussert, verpfändet oder belastet; und nach Wahl der T OCHTERGESELLSCHAFT kann die T OCHTERGESELLSCHAFT jederzeit verlangen,

23

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

dass die M UTTERGESELLSCHAFT den vollen Rechtsanspruch an den S PEZIELLEN V ERMÖGENSWERTEN an die T OCHTERGESELL S CHAFT  überträgt soweit eine solche Übertragung rechtlich möglich ist. In Bezug auf solche treuhänderische Dienstleistungen werden die Parteien unter Z IFF . 10.5 angemessene Kooperationsverträge abschliessen.

Zur Klarstellung und ungeachtet der Tatsache, dass die Übertragung des Rechtstitels an den S PEZIELLEN V ERMÖGENSWERTEN ausgeschlossen ist, sei festgehalten, dass die S PEZIELLEN V ERMÖGENSWERTE , die am Bilanzstichtag der Ü BERTRAGUNGSBILANZ existieren, in der Ü BERTRAGUNGSBILANZ enthalten sind (insoweit, als dass solche S PEZIELLEN V ERMÖGENSWERTE , die wirtschaftlich aber nicht rechtlich gehalten werden, gemäss dem anwendbaren Rechnungsstandard aktiviert werden dürfen).

Falls und soweit (i) die M UTTERGESELLSCHAFT im Besitz von D RITTPARTEI -V ERMÖGENSWERTEN ist und (ii) der Vertrag, auf der Grundlage dessen die M UTTERGESELLSCHAFT Besitz an solchen D RITTPARTEI -V ERMÖGENSWERTEN hat, ein Ü BERTRAGENER V ERTRAG ist, übertragt die M UTTERGESELLSCHAFT mittels dieser Ü BERTRAGUNG den Besitz an solchen D RITTPARTEI - V ERMÖGENSWERTEN an die T OCHTERGESELLSCHAFT , und mit dieser Ü BERTRAGUNG soll die T OCHTERGESELLSCHAFT ohne weiteres Zutun die Kontolle über diese D RITTPARTEI -V ERMOGENSWERTE ausüben und den Besitz an ihnen übernehmen können. Soweit solche D RITTPARTEI -V ERMÖGENSWERTE nach wie vor in den Räumlichkeiten der M UTTERGESELLSCHAFT sein werden, gewährt die M UTTERGESELLSCHAFT der T OCHTERGESELLSCHAFT während der normalen Geschäftszeiten jederzeit Zugang zu solchen D RITTPARTEI -V ERMÖGENSWERTEN .

Falls und soweit (i) die M UTTERGESELLSCHAFT eine Verwahrungsstelle von Bucheffekten für einen Kontoinhaber ist und (ii) falls der Vertrag bezüglich des Wertschriftenkontos eines solchen Kontoinhabers ein Ü BERTRAGENER V ERTRAG ist, dann (i) übernimmt und führt die T OCHTERGESELLSCHAFT anstelle der M UTTERGESELLSCHAFT dieses Wertschriftenkonto als Verwahrungsstelle

24

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

für diesen Kontoinhaber, und (ii) (a) übernimmt die T OCHTERGESELLSCHAFT die Beziehungen der M UTTERGESELLSCHAFT (inklusive Wertschriftenkonti und damit verbundene Kontokorrentkonti) mit Drittverwahrungsstellen (“sub-custodians”), Zentralverwahrern und Fonds Transfer Agents aufgrund gesetzlicher Anordnung, Novationsvertrag, Abtretungsvertrag, Übertragung von Wertschriften oder wie anderweitig im entsprechenden Markt üblich, um die unterliegenden Wertschriftenpositionen zu halten, wobei die M UTTERGESELLSCHAFT alle notwendigen Schritte ausführt, um sicherzustellen, dass die T OCHTERGESELLSCHAFT der rechtmässige Kontoinhaber der unterliegenden Wertschriftenpositionen im entsprechenden Markt wird, oder, falls anwendbar, (b) überträgt die M UTTERGESELLSCHAFT unverzüglich den Besitz an verbrieften Wertschriften, welche die M UTTERGESELLSCHAFT in Sammelverwahrung hält, oder Globalzertifikaten, welche die M UTTERGESELLSCHAFT verwahrt, an die T OCHTERGESELLSCHAFT (auf eine solche Übertragung von solchen verbrieften Wertpapieren oder Globalzertifikaten ist der vorstehende Absatz bezüglich D RITTPARTEI -V ERMÖGENSWERTEN mutatis mutandis anwendbar). Alternativ können sich die P ARTEIEN zusammen auf eine andere Methode einigen, um es der T OCHTERGESELLSCHAFT zu ermöglichen, die notwendigen unterliegenden Wertschriftenpositionen zu halten, einschliesslich, dass die M UTTERGESELLSCHAFT als Drittverwahrungsstelle für die T OCHTERGESELLSCHAFT agiert.

Des Weiteren und ohne Einschränkung einer Übertragung wie sie gemäss einer anderen Z IFFER durchgeführt wird, überträgt die M UTTERGESELLSCHAFT alle Wertschriften oder anderen Vermögenwerte in welcher Form auch immer, einschliesslich Wertrechte (wie in Art. 973 ^C OR definiert und ähnliche Instrumente unter ausländischem Recht), welche sie als Nominee in ihrem eigenen Namen aber auf Rechnung eines Kunden hält, vorausgesetzt, dass der Vertrag, der ein solches Kundenkonto regelt, ein Ü BERTRAGENER V ERTRAG ist. Wo eine solche Übertragung mittels dieser Ü BERTRAGUNG nicht erreicht wird, verpflichtet sich die M UTTERGESELLSCHAFT sämtliche solche Wertpapiere oder anderen Vermögenswerte per V OLLZUGSZEITPUNKT auf andere Weise zu übertragen und tritt diese hiermit (soweit wie möglich) ab, und wo es angemessen ist, übernimmt die T OCHTERGESELLSCHAFT die Beziehungen der M UTTERGESELLSCHAFT (inklusive Wertschriftenkonti und damit verbundene Kontokorrentkonti) mit Drittverwahrungsstellen, Zentralverwaltungsstellen und Fonds Transfer Agents wie in (ii)(a) des vorstehenden Abschnitts (Rz 29) in dieser Z IFF . 3.11 ausgeführt. Wo vertragliche Ansprüche an solchen Wertschriften oder anderen Vermögenswerten in Kundenkonti registriert sind, übernimmt und behält die T OCHTERGESELLSCHAFT solche Kundenkonti und führt die Aufzeichnungen anstelle der M UTTERGESELLSCHAFT zu Gunsten eines solchen Kunden weiter.

Die Begriffe, die in Rz 29 dieser Z IFF . 3.11 verwendet werden, sind ohne anderslautende Definition in Übereinstimmung mit dem BEG zu verstehen.

25

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Vorbehältlich des V OLLZUGS übernimmt die T OCHTERGESELLSCHAFT gewisse Nutzen und Risiken von externen Transaktionen oder I NTERNEN T RANSAKTIONEN zur Bewirtschaftung von Wechselkurs-, Zins-, und Kreditrisiken der M UTTERGESELLSCHAFT , einschliesslich deren Macro-Cashflow- und Fair-Value-Hedge-Accounting Programm zuzüglich anderer Währungs-, Zins- und Kreditausfallderivaten, insoweit als diese jeweils sich auf das G ESCHÄFT beziehen, wobei:

diejenigen Nutzen und Risiken, die von externen oder I NTERNEN T RANSAKTIONEN , welche vor dem S TICHTAG existieren, stammen, in der Ü BERTRAGUNGSBILANZ enthalten sind und rückwirkend auf den S TICHTAG übernommen werden, vorbehältlich von Änderungen bei solchen Transaktionen, die vor dem V OLLZUG auftreten (der Gesamtmarktwert von solchen Nutzen und Risiken am zweitletzten Tag vor dem Datum dieses V ERTRAGS , einschliesslich solcher Änderungen, sind in Anhang 1f reflektiert);

diejenigen Nutzen und Risiken, welche von externen oder I NTERNEN T RANSAKTIONEN stammen, die zwischen dem S TICHTAG und dem zweitletzten Tag vor dem Datum dieses V ERTRAGES erfolgen, sind in Anhang 1f enthalten (mit deren Gesamtmarktwert am zweitletzten Tag vor dem Datum dieses V ERTRAGES ) und werden rückwirkend ab dem Datum, an dem sie erfolgt sind, übernommen, vorbehältlich von Änderungen, die in solchen Transaktionen bis zum V OLLZUG auftreten; und

diejenigen Nutzen und Risiken, die von externen Transaktionen oder I NTERNEN T RANSAKTIONEN , die zwischen dem letzten Tag vor dem Datum dieses V ERTRAGS und dem V OLLZUG erfolgen, stammen, und welche im Rahmen des ordentlichen Geschäftsganges eingegangen wurden (oder auf welche sich die P ARTEIEN gegenseitig geeinigt haben), werden mit Wirkung des Datums, an welchem sie eingetreten sind, übernommen, vorbehältlich von Änderungen, die in solchen Transaktionen bis zum V OLLZUG auftreten.

Die Übernahme solcher Nutzen und Risiken erfolgt nur zwischen den P ARTEIEN , und die P ARTEIEN verpflichten sich, unverzüglich den ISDA-R AHMENVERTRAG und entsprechende Handelstransaktionen, die unter dem ISDA-R AHMENVERTRAG dokumentiert werden, abzuschliessen, um diese Übernahme zu vollziehen. Dies jedoch unter der Voraussetzung, dass wenn in Bezug auf I NTERNE T RANSAKTIONEN Zahlungen oder andere Leistungen bereits vor dem V OLLZUG auf einer unternehmensbereichs- oder einer zweigniederlassungsübergreifenden (oder ähnlichen) Grundlage bezahlt bzw. geleistet wurden, die entsprechenden Leistungen, je nachdem, als Erfüllung von der M UTTERGESELLSCHAFT an die T OCHTERGESELLSCHAFT bzw. umgekehrt gelten (wobei Einvernehmen darüber besteht, dass eine solche Erfüllung in den internen Buchhaltungssystemen der M UTTERGESELLSCHAFT in Übereinstimmung mit Ziffer 3.16 reflektiert ist).

26

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Vorbehältlich des V OLLZUGS übernimmt die T OCHTERGESELLSCHAFT alle Nutzen und Risiken von I NTERNEN T RANSAKTIONEN , die (i) besicherte Finanzierungstransaktionen (Wertpapierleihe, Repo und Reverse-Repo) darstellen, und (ii) die zwischen einem Unternehmensbereich oder einer Zweigniederlassung, der oder die Teil des G ESCHÄFTS ist, einerseits und einem Unternehmensbereich oder einer Zweigniederlassung, der oder die bei der M UTTERGESELLSCHAFT verbleibt, andererseits registriert wurden, wobei:

diejenigen Nutzen und Risiken, die von I NTERNEN T RANSAKTIONEN stammen, die vor dem S TICHTAG existierten, in der Ü BERTRAGUNGSBILANZ enthalten sind und rückwirkend per S TICHTAG Ü bernommen werden, vorbehaltlich von Änderungen, die in solchen Transaktionen bis zum V OLLZUG auftreten (der Gesamtmarktwert von solchen Nutzen und Risiken am zweitletzten Tag vor dem Datum dieses V ERTRAGS , einschliesslich solcher Änderungen, sind im Anhang 1f reflektiert);

diejenigen Nutzen und Risiken, die von I NTERNEN T RANSAKTIONEN stammen, die zwischen dem S TICHTAG und dem zweitletzten Tag vor dem Datum dieses V ERTRAGES erfolgen, (mit deren Gesamtmarktwert am zweitletzten Tag vor dem Datum dieses V ERTRAGES ) in Anhang 1f enthalten sind und rückwirkend per Datum übernommen werden, an welchem sie erfolgt sind, vorbehältlich von Änderungen, die in solchen Transaktionen bis zum V OLLZUG auftreten; und

diejenigen Nutzen und Risiken, die von I NTERNEN T RANSAKTIONEN , die zwischen dem letzten Tag vor dem Datum dieses V ERTRAGS und dem V OLLZUG erfolgen, stammen und welche im Rahmen des ordentlichen Geschäftsganges eingegangen wurden (oder auf welche sich die P ARTEIEN gegenseitig geeinigt haben) mit Wirkung des Datums, an welchem sie eingetreten sind, übernommen werden, vorbehältlich von Änderungen, die in solchen Transaktionen bis zum V OLLZUG auftreten.

27

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Die Übernahme solcher Nutzen und Risiken erfolgt nur zwischen den P ARTEIEN , und die P ARTEIEN verpflichten sich, unverzüglich das GMRA und das GMSLA und entsprechende, unter dem GMRA und dem GMSLA dokumentierte, Handelstransaktionen abzuschliessen, um diese Übernahme zu implementieren, vorausgesetzt allerdings, dass wenn in Bezug auf solche Handelstransaktionen Zahlungen oder andere Leistungen bereits vor dem V OLLZUG auf einer unternehmensbereichs- oder einer zweigniederlassungsübergreifenden Grundlage erfolgt sind, die entsprechende Erfüllung als Erfüllung durch die M UTTERGESELLSCHAFT an die T OCHTERGESELLSCHAFT bzw. im gegebenen Fall umgekehrt gelten sollen (wobei Einvernehmen darüber besteht, dass eine solche Erfüllung in den internen Buchhaltungssystemen der M UTTERGESELLSCHAFT in Übereinstimmung mit Z IFF . 3.16 reflektiert ist).

Vorbehältlich des V OLLZUGS übernimmt die T OCHTERGESELLSCHAFT alle Nutzen und Risiken von I NTERNEN T RANSAKTIONEN , die (i) Geldmarkttransaktionen darstellen und (ii) zwischen einem Unternehmensbereich oder einer Zweigniederlassung, der oder die Teil des G ESCHÄFTS ist, einerseits und einem Unternehmensbereich oder einer Zweigniederlassung, der oder die bei der M UTTERGESELLSCHAFT verbleibt, andererseits verbucht werden, wobei die wichtigsten Konditionen solcher Transaktionen, die derzeit ausstehend sind, (einschliesslich ihrem Gültigkeitsdatum) in Anhang 1 f offengelegt sind, wobei Einvernehmen darüber besteht, dass diese Nutzen und Risiken, welche von I NTERNEN T RANSAKTIONEN stammen, die bereits vor dem S TICHTAG existiert haben, auch in der Ü BERTRAGUNGSBILANZ enthalten sind.

Die Übernahme solcher Nutzen und Risiken erfolgt nur zwischen den P ARTEIEN , und die P ARTEIEN verpflichten sich, solche Geldmarkttransaktionen unverzüglich neu zu dokumentieren (wo nötig).

Ungeachtet der Ü BERTRAGUNG der K UNDEN -OTC-T RANSAKTIONEN behält die M UTTERGESELLSCHAFT das volle Marktrisiko (und den entsprechenden Nutzen) der K UNDEN -OTC-T RANSAKTIONEN (zur Klarstellung sei allerdings festgehalten, dass dies nicht für das Gegenpartei-Risiko (und den entsprechenden Nutzen) mit Bezug auf den jeweiligen Kunden gilt), wobei der Rückbehalt solcher Risiken bezüglich K UNDEN -OTC-T RANSAKTIONEN :

die vor dem S TICHTAG existieren (und für welche zur Klarstellung festgehalten sei, dass sie in der Ü BERTRAGUNGSBILANZ enthalten sind), rückwirkend auf den S TICHTAG übernommen werden; und

die zwischen dem S TICHTAG und dem V OLLZUG auftreten, rückwirkend auf das Datum übernommen werden, an dem sie aufgetreten sind.

28

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

in each case subject to any changes in such Client OTC-Transactions arising until Closing.

in jedem Fall unter dem Vorbehalt von Änderungen in solchen K UNDEN -OTC-T RANSAKTIONEN , die bis zum V OLLZUG auftreten.

Zu diesem Zweck verpflichten sich die P ARTEIEN unverzüglich den ISDA-R AHMENVERTRAG und angemessene Handelstransaktionen abzuschliessen, die gemäss dem ISDA-R AHMENVERTRAG dokumentiert sind, um diesen Rückbehalt zu implementieren, vorausgesetzt allerdings, dass falls in Bezug auf solche Handelstransaktionen Zahlungen oder andere Leistungen bereits vor dem V OLLZUG auf einer unternehmensbereichs- oder einer zweigniederlassungsübergreifenden Grundlage bezahlt bzw. geleistet wurden, die entsprechende Erfüllung als Zahlungen von der M UTTERGESELLSCHAFT an die T OCHTERGESELLSCHAFT bzw. umgekehrt gelten sollen (wobei Einvernehmen darüber besteht, dass eine solche Erfüllung in den internen Buchhaltungssystemen der M UTTERGESELLSCHAFT in Übereinstimmung mit Z IFF . 3.16 reflektiert ist).

Unbesehen der Ü BERTRAGUNG der K UNDEN -ETD-T RANSAKTIONEN (und dem verbundenen Gegenpartei-Risiko) bleibt die Muttergesellschaft Partei der entsprechenden bestehenden B ROKER ETD-T RANSAKTIONEN (und dem verbundenen Gegenpartei-Risiko), wobei allerdings:

die T OCHTERGESELLSCHAFT zwischen dem S TICHTAG bis zum V OLLZUGSDATUM die gleiche Stellung einnimmt, wie wenn die P ARTEIEN eine Broker-Beziehung eingegangen wären und in einer solchen Beziehung B ROKER ETD-T RANSAKTIONEN abgeschlossen hätten, durch welche die T OCHTERGESELLSCHAFT für die KUNDEN ETD-T RANSAKTIONEN abgesichert worden wäre;

sich die P ARTEIEN verpflichten, mit Wirkung auf den ersten Tag nach dem V OLLZUGSDATUM eine Broker-Beziehung einzugehen und neue B ROKER ETD-T RANSAKTIONEN abzuschliessen, die unter derjenigen Beziehung dokumentiert sind, durch welche die T OCHTERGESELLSCHAFT für die K UNDEN -ETD-T RANSAKTIONEN besichert ist.

Alle gesellschaftsinternen Barguthaben (einschliesslich damit zusammenhängender Bargeldbelastungen und - gutschriften), Forderungen und Verbindlichkeiten, welche auf internen Konti der M UTTERGESELLSCHAFT oder in sonstigen Buchhaltungssystemen der M UTTERGESELLSCHAFT gebucht sind (einschliesslich auf lnter-Ledger-Konti) zwischen (i) einem

29

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Unternehmensbereich oder einer Zweigniesserlassung, der oder die bei der M UTTERGESELLSCHAFT verbleibt, einerseits und (ii) einem Unternehmensbereich oder einer Zweigniederlassung, der oder die Teil des G ESCHÄFTS ist, andererseits, sollen kraft dieses V ERTRAGES und vorbehältlich des V OLLZUGS wie folgt behandelt werden:

im Fall eines positiven Barguthabens oder anderer Forderungen, welche einem Unternehmensbereich oder einer Zweigniederlassung des G ESCHÄFTS , welcher oder welche unter dem V ERTRAG übertragen wird, gutgeschrieben wurden, als entsprechende Forderung der T OCHTERGESELLSCHAFT gegen die M UTTERGESELLSCHAFT ; und

im Fall eines positiven Barguthabens oder anderer Forderungen, welche einem Unternehmensbereich oder einer Zweigniederlassung, der oder die bei der M UTTERGESELLSCHAFT verbleibt, gutgeschrieben wurden, als entsprechende Verbindlichkeit der T OCHTERGESELLSCHAFT gegenüber der M UTTERGESELLSCHAFT .

provided, however, that:

jedoch vorausgesetzt, dass:

jegliche solche Barguthaben, Forderungen und Verbindlichkeiten, welche am Bilanzstichtag der Ü BERTRAGUNGSBILANZ existieren, je nachdem als Forderung oder Verbindlichkeit in der Ü BERTRAGUNGSBILANZ enthalten sind und rückwirkend auf den S TICHTAG Ü bernommen werden;

jegliche Bargeldbelastungen und -gutschriften, welche im Zusammenhang mit solchen Barguthaben stehen, sowie jegliche solche Forderungen und Verbindlichkeiten, welche in alien Fällen zwischen dem S TICHTAG und dem V OLLZUG verbucht wurden, derart gemäss (a) Z IFF . 3.17 und Z IFF . 3.18, oder (b) im ordentlichen Geschäftsgang und im Einklang mit der bisherigen Praxis verbucht wurden, und rückwirkend auf den Tag übernommen werden, an dem sie verbucht wurden; und

falls solche Forderungen oder Verbindlichkeiten bereits auf unternehmensbereichs- oder zweigniederlassungs-übergreifender Grundlage zwischen dem S TICHTAG und dem V OLLZUG bezahlt wurden, die entsprechenden Zahlungen, je nachdem, als Zahlungen von der M UTTERGESELLSCHAFT an die T OCHTERGESELLSCHAFT oder umgekehrt, gelten.

D IE P ARTEIEN dokumentieren sämtliche Forderungen und Verbindlichkeiten der T OCHTERGESELLSCHAFT entsprechend neu, welche gemäss vorstehendem Absatz beim V OLLZUG existieren, einschliesslich durch Tätigung von Gutschriften auf neu eröffnete Nostro/Vostro-Konti zwischen den P ARTEIEN oder wie anderweitig zwischen den P ARTEIEN vereinbart.

30

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Die T OCHTERGESELLSCHAFT übernimmt die Buchgeld-Clearing-Funktion der Zweigniederlassung der M UTTERGESELLSCHAFT in Zürich für die nicht-schweizerischen Zweigniederlassungen der M UTTERGESELLSCHAFT (die “ B UCHGELD -C LEARING - F UNKTION ” ), und somit sind, kraft dieses V ERTRAGES und vorbehältlich des V OLLZUGS , Barguthaben auf internen Konti, welche im Zusammenhang mit der B UCHGELD -C LEARING -F UNKTION auf Rechnung der nicht-schweizerischen Zweigniederlassungen der M UTTERGESELLSCHAFT gehalten werden, nach Massgabe von Z IFF . 3.15 zu behandeln.

Die P ARTEIEN verpflichten sich, unverzüglich nach dem V OLLZUG die Beziehung zwischen der T OCHTERGESELLSCHAFT und den nicht-schweizerischen Zweigniederlassungen der M UTTERGESELLSCHAFT bezüglich der B UCHGELD -C LEARING -F UNKTION durch separate Kontoeröffnungsformulare oder anderweitig zu dokumentieren.

Zur Klarstellung sei festgehalten, dass die T OCHTERGESELLSCHAFT durch diese Ü BERTRAGUNG ebenfalls sämtliches Buchgeld erhält, das mit der B UCHGELD -C LEARING -F UNKTION in Verbindung steht, und dass sie mit dieser Ü BERTRAGUNG B UCHGELD - C LEARING -F UNKTION bezüglich der Tochtergesellschaften der M UTTERGESELLSCHAFT übernimmt, jeweils wie im I NVENTAR festgehalten.

Zur Klarstellung sei weiter festgehalten, dass allfällige im Zusammenhang mit der B UCHGELD -C LEARING -F UNKTION entstandene Kosten gemäss Z IFF . 3.18 verteilt werden.

Falls gemäss bisheriger Praxis (einschliesslich gegenwärtigen Service Level Agreements zwischen Unternehmensbereichen oder Zweigniederlassungen) (a) im G ESCHÄFT vor dem S TICHTAG aufgelaufene Kosten oder Umsätze für die I NTERNE D IENSTLEISTUNGSERBRINGUNG einem Unternehmensbereich oder einer Zweigniederlassung, der oder die bei der M UTTERGESELLSCHAFT verbleibt oder (b) in einem solchen verbleibenden Unternehmensbereich oder einer solchen verbleibenden Zweigniederlassung vor dem S TICHTAG aufgelaufene Kosten oder Umsätze für die I NTERNE D IENSTLEISTUNGSERBRINGUNG dem G ESCHÄFT zugewiesen werden, und vorausgesetzt, dass solche Kosten und Umsätze als Barguthaben, Forderungen und Verbindlichkeiten auf internen Konti oder auf andere Weise in den Buchhaltungssystemen der M UTTERGESELLSCHAFT erfasst wurden, dann ist eine solche Kosten- oder Umsatzzuweisung nach Massgabe von Z IFF . 3.15 zu behandeln.

31

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Darüber hinaus soll jede I NTERNE D IENSTLEISTUNGSERBRINGUNG zwischen dem G ESCHÄFT und einem Unternehmensbereich oder einer Zweigniederlassung, der oder die bei der M UTTERGESELLSCHAFT verbleibt, zwischen dem S TICHTAG und dem V OLLZUG als eine Erbringung von Dienstleistungen bzw. Lieferung von Gütern gemäss den Bestimmungen des MSA und der SLA gelten, die von den P ARTEIEN nach Massgabe von Z IFF . 10.6 abgeschlossen wurden bzw. abzuschliessen sind. Für die Zwecke dieser Z IFF . 3.18 sind diese Bestimmungen so anzuwenden, als wären sie ab dem S TICHTAG bereits in Kraft und als wäre die Ü BERTRAGUNG bereits am S TICHTAG erfolgt (ausser, dass dort die bisherige Praxis angewandt wird, wo kein SLA existiert, das eine solche Erbringung von Dienstleistungen oder Lieferung von Gütern regeln würde). Als Folge davon sind entsprechende Dienstleistungen und Güter nach Massgabe dieser Bestimmungen zu vergüten, vorbehältlich des V OLLZUGS , jedoch mit Rückwirkung ab dem Datum der unternehmensbereichs- oder zweigniederlassungsübergreifenden Erbringung bzw. Lieferung der Dienstleistungen und Güter. Dies jedoch unter der Voraussetzung, dass wenn solche Vergütungen bereits vor dem V OLLZUG auf unternehmensbereichs- oder zweigniederlassungsübergreifender Grundlage bezahlt wurden, die entsprechenden Leistungen, je nachdem, als Erfüllung von der M UTTERGESELLSCHAFT an die T OCHTERGESELLSCHAFT oder umgekehrt, gelten sollen (wobei Einvernehmen darüber besteht, dass diese Erfüllung in den internen Buchhaltungssystemen der M UTTERGESELLSCHAFT in Übereinstimmung mit Ziffer 3.16 reflektiert ist).

Gemäss Ü BERTRAGUNGSBILANZ beläuft sich der Buchwert der Ü BERTRAGENEN V ERMÖGENSWERTE auf CHF 326’452’272’000, während der Buchwert der Ü BERTRAGENEN V ERBINDLICHKEITEN CHF 313’380’672’000 beträgt. Der Überschuss, das heisst das Nettovermögen, welches hierunter übertragen wird, beläuft sich somit auf CHF 13’071’600’000.

Als 100% Aktionärin der T OCHTERGESELLSCHAFT W ird die M UTTERGESELLSCHAFT das G ESCHÄFT als Eigenkapital in die T OCHTERGESELLSCHAFT einbringen. Somit muss die T OCHTERGESELLSCHAFT , ausgenommen für die Übernahme der Ü BERTRAGENEN V ERBINDLICHKEITEN und vorbehältlich anderer Verpflichtungen gemäss FusG oder dem V ERTRAG (einschliesslich, zur Klarstellung, die von der T OCHTERGESELLSCHAFT übernommene S OLIDARHAFTUNG ), keine Vergütung bezahlen.

32

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Ungeachtet der vorangehenden Z IFF . 4.2. gilt das hierunter übertragene Nettovermögen mit einem Buchwert von CHF 40’540’000 nicht als Eigenkapitalzuschuss, sondern als einmalig an die T OCHTERGESELLSCHAFT ZU leistende Entschädigung für den Wert der S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT . Zur Klarstellung sei darauf hingewiesen, dass beide P ARTEIEN die S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT als untrennbaren Teil der Ü BERTRAGUNG anerkennen, weshalb die Ü BERTRAGUNG des G ESCHÄFTS von der M UTTERGESELLSCHAFT auf die T OCHTERGESELLSCHAFT und die hierunter vereinbarte S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT nicht unabhängig voneinander vereinbart werden (oder erfolgen, gültig sein oder vollzogen werden darf), sondern je eine notwendige Bedingung (conditio sine qua non) für einander darstellen.

Die M UTTERGESELLSCHAFT verpflichtet sich der T OCHTERGESELLSCHAFT - zur Stärkung deren regulatorischen Kapitals und zusätzlich zur Ü BERTRAGUNG - zwei Fremdkapitalinstrumente in den Beträgen von CHF 1’500’000’000 zusätzliches Kernkapital / Tier 1 Capital und CHF 2’500’000’000 Ergänzungskapital / Tier 2 Capital zu den herrschenden Marktkonditionen am S TICHTAG zur Verfügung zu stellen (Kapitalpuffer für Verluste), welche Verluste auffangen können und als zusätzliches Tier 1 bzw. Tier 2 Capital gemäss den in der Schweiz relevanten regulatorischen Anforderungen gelten. Diese Darlehen sollen der T OCHTERGESELLSCHAFT von der M UTTERGESELLSCHAFT beim V OLLZUG ausbezahlt, jedoch rückwirkend als eine zum S TICHTAG erfolgte Zahlung betrachtet werden, und gemäss solchen Konditionen erfolgen, wie sie von den P ARTEIEN in separaten Verträgen vereinbart und von der FINMA bewilligt werden.

Um die Finanzierungsbedürfnisse der T OCHTERGESELLSCHAFT zu unterstützen und zusätzlich zur Ü BERTRAGUNG verpflichtet sich die M UTTERGESELLSCHAFT , die T OCHTERGESELLSCHAFT durch unbesicherte kurzfristige Darlehen zu finanzieren, wie in Anhang 4 aufgeführt und gemäss den dortigen Bestimmungen. Diese Darlehen werden der T OCHTERGESELLSCHAFT durch die M UTTERGESELLSCHAFT beim V OLLZUG ausbezahlt, gelten jedoch als rückwirkend auf den S TICHTAG jedes Darlehens wie in Anhang 4 spezifiziert ausbezahlt (als Datum, an dem diese Darlehen vernünftigerweise notwendig gewesen wären, falls der V OLLZUG am S TICHTAG stattgefunden hätte), und sie werden gemäss den weiteren Bestimmungen getätigt, wie sie zwischen den P ARTEIEN im K REDITRAHMENVERTRAG vereinbart werden.

33

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Der Verwaltungsrat der M UTTERGESELLSCHAFT hat den Inhalt des V ERTRAGES sowie dessen Unterzeichnung (einschliesslich aller zugehörigen Dokumente und Instrumente) genehmigt. Ebenso hat er die Vornahme aller erforderlichen Erfüllungshandlungen wie für sinnvoll erachtet im Zusammenhang mit dem V ERTRAG und den darin vorgesehenen Transaktionen im Namen der M UTTERGESELLSCHAFT genehmigt (einschliesslich, jedoch nicht abschliessend, jener Dokumente, auf welche in diesem V ERTRAG explizit oder implizit Bezug genommen wird, siehe Anhang 5a ).

Der Verwaltungsrat der T OCHTERGESELLSCHAFT hat den Inhalt des V ERTRAGES sowie dessen Unterzeichnung (einschliesslich aller zugehörigen Dokumente und Instrumente) genehmigt. Ebenso hat er die Vornahme aller erforderlichen Erfüllungshandlungen wie für sinnvoll erachtet im Zusammenhang mit dem V ERTRAG und den darin vorgesehenen Transaktionen im Namen der T OCHTERGESELLSCHAFT genehmigt (einschliesslich, jedoch nicht abschliessend, jener Dokumente, auf welche in diesem V ERTRAG explizit oder implizit Bezug genommen wird, siehe Anhang 5b ).

Der Vollzug der Ü BERTRAGUNG tritt zum V OLLZUGSZEITPUNKT ein. Nachdem dieser V ERTRAG und die C OVERED -B OND - Z USATZVEREINBARUNG unterzeichnet wurden und nachdem die FINMA anerkannt hat, dass alle Bedingungen der FINMA-V ERFÜGUNG in jeglicher Hinsicht (ausser dem Vollzug der Ü BERTRAGUNG ) erfüllt wurden und die FINMA deshalb eine entsprechende Bescheinigung ausgestellt hat, meldet der Verwaltungsrat der M UTTERGESELLSCHAFT die Vermögensübertragung gemäss diesem V ERTRAG bei den Handelsregisterämtern des Kantons Zürich und Basel-Stadt zur Eintragung an.

Die P ARTEIEN verpflichten sich, alles Erforderliche zu unternehmen, nichts zu unterlassen und sich gegenseitig zu unterstützen, um den V OLLZUG zu ermöglichen.

Die P ARTEIEN verpflichten sich, beim – oder wenn notwendig nach dem – V OLLZUG alle Handlungen vorzunehmen, Erklärungen abzugeben und Verträge einzugehen, die der vollständige Vollzug des V ERTRAGS erfordert. Die M UTTERGESELLSCHAFT hat vor dem V OLLZUG insbesondere alle ihre Vertragspartner informiert, welche von der Ü BERTRAGUNG betroffen sind. Dies gilt vor allem auch in Bezug auf ihre Kunden hinsichtlich der Übernahme der Ü BERTRAGENEN V ERTRÄGE durch die T OCHTERGESELLSCHAFT .

34

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Nach der Eintragung der Ü BERTRAGUNG in die Handelsregister wird die T OCHTERGESELLSCHAFT die Eintragung des neuen Eigentümers der G RUNDSTÜCKE bei den zustandigen Grundbuchämtern anmelden.

Ungeachtet des V OLLZUGSDATUMS erfolgen alle Vorteile, Risiken und Chancen des G ESCHÄFTS der T OCHTERGESELLSCHAFT ab dem S TICHTAG auf Rechnung der T OCHTERGESELLSCHAFT . Folglich sind alle relevanten Handlungen und Transaktionen vom S TICHTAG an als solche der T OCHTERGESELLSCHAFT zu betrachten und werden entsprechend den im G ESCHÄFT generierten Gewinnen und Verlusten ab dem S TICHTAG in der Gewinn- und Verlustrechnung der T OCHTERGESELLSCHAFT verbucht.

Falls der Vollzug der Ü BERTRAGUNG in Bezug auf bestimmte Ü BERTRAGENE V ERMÖGENSWERTE , Ü BERTRAGENE V ERBINDLICHKEITEN oder Ü BERTRAGENE V ERTRÄGE weder von Gesetzes wegen gemäss Art. 73 Abs. 2 F US G und auch nicht durch eine Vollzugshandlung gemäss Z IFF . 7 mit vernünftigem Aufwand erfolgen kann, wild die M UTTERGESELLSCHAFT weiterhin Eigentümerin der entsprechenden Ü BERTRAGENEN V ERMÖGENSWERTE , Schuldnerin der entsprechenden Ü BERTRAGENEN V ERBINDLICHKEITEN (wobei zur Klarstellung festgehalten sei, dass beim V OLLZUG die T OCHTERGESELLSCHAFT soweit als möglich auch ein Primärschuldner der entsprechenden Ü BERTRAGENEN V ERBINDLICHKEITEN wird) und/oder Partei der entsprechenden Ü BERTRAGENEN V ERTRÄGE bleiben. Dabei tritt sie in ihrem eigenen Namen auf, handelt aber im Auftrag und auf Gefahr der T OCHTERGESELLSCHAFT , das heisst auf fiduziarischer Grundlage. Die M UTTERGESELLSCHAFT wird ihre Rechte und Pflichten mit Bezug auf solche Ü BERTRAGENEN V ERMÖGENSWERTE oder Ü BERTRAGENEN V ERBINDLICHKEITEN oder unter solchen Ü BERTRAGENEN V ERTRÄGEN nach Massgabe der Anweisungen der T OCHTERGESELLSCHAFT ausüben, allerdings vorausgesetzt, dass zusätzlich zum Recht der T OCHTERGESELLSCHAFT , die M UTTERGESELLSCHAFT jederzeit zur Beendigung eines Ü BERTRAGENEN V ERTRAGES anzuweisen, die M UTTERGESELLSCHAFT das Recht behält, einen Ü BERTRAGENEN V ERTRAG jederzeit zu beenden, wobei Einvernehmen darüber besteht, dass eine solche Beendigung nicht unbegründet und nicht ohne vorherige Konsultation mit der T OCHTERGESELLSCHAFT stattfinden soll.

Alternativ können die P ARTEIEN auch ökonomisch mit einer Übertragung der Ü BERTRAGENEN V ERMÖGENSWERTE , Ü BERTR a GENEN V ERBINDLICHKEITEN oder Ü BERTRAGENEN V ERTRÄGE vergleichbare Formen vereinbaren, wie beispielsweise Back-to-Back- Verträge zwischen der M UTTERGESELLSCHAFT und der T OCHTERGESELLSCHAFT .

35

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Die M UTTERGESELLSCHAFT überträgt unverzüglich alle (Netto-)Gewinne und Vermögenswerte, die sie aufgrund solcher fiduziarischer Rechtsverhältnisse erzielt, an die T OCHTERGESELLSCHAFT , und die T OCHTERGESELLSCHAFT übernimmt alle im Zusammenhang mit den fiduziarischen Rechtsverhältnissen erwachsenen Kosten und Verbindlichkeiten. Falls aus steuer-rechtlicher Sicht erforderlich, wird die T OCHTERGESELLSCHAFT der M UTTERGESELLSCHAFT ein marktübliches (‘at arm’s length’) Entgelt für die Dienste der M UTTERGESELLSCHAFT entrichten.

Die P ARTEIEN werden für die Realisierung eines Übergangs solcher Vermögenswerte nach dem V OLLZUGSDATUM auf die T OCHTERGESELLSCHAFT zusammenarbeiten.

Sofern und soweit unter dem anwendbaren Recht zulässig sowie von der anderen P ARTEI zur Sicherstellung ihrer begründeten Interessen verlangt, ist jede P ARTEI nach dem V OLLZUG zur umfassenden Zusammenarbeit mit der anderen P ARTEI sowie deren Tochtergesellschaften verpflichtet (ebenso zur entsprechenden Veranlassung ihrer eigenen Tochtergesellschaften zur Zusammenarbeit). Dies gilt in Bezug auf das G ESCHÄFT und die bei der T OCHTERGESELLSCHAFT verbleibenden Geschäfte und insbesondere mit Bezug auf: (i) alle regulatorischen Notifikationen und Verfahren, die im Zusammenhang mit der Ü BERTRAGUNG oder anderweitig relevant sind; (ii) die Einreichung von Steuererklärungen; (iii) Gerichtsverfahren gegen D RITTPARTEIEN und/oder (iv) andere Verfahren, die ihren Ursprung vor dem V OLLZUG oder im Zusammenhang mit dem G ESCHÄFT haben. Weiter verpflichten sich die P ARTEIEN , solange dass keine P ARTEI genügende gegenteilige Mitteilung an die andere Partei macht und soweit unter anwendbarem Recht zulässig, vernünftige Anstrengungen zu unternehmen, um bezüglich deren weiterlaufenden Geschäfte zu kooperieren.

Die M UTTERGESELLSCHAFT anerkennt, dass nach dem V OLLZUG alle Geschäftsinformationen betreffend das G ESCHÄFT (die “V ERTRAULICHEN I NFORMATIONEN ”) der T OCHTERGESELLSCHAFT gehören.

Die M UTTERGESELLSCHAFT wird die V ERTRAULICHEN INFORMATIONEN vertraulich behandeln (und sicherstellen, dass alle ihre anderen Tochtergesellschaften, Direktoren, Beauftragte, Angestellte und Agenten die V ERTRAULICHEN I NFORMATIONEN vertraulich behandeln) und weder vollständig noch teilweise D RITTPARTEIEN offenlegen oder offenbaren und V ERTRAULICHE I NFORMATIONEN , die nach dem V OLLZUG in ihrem Besitz bleiben, nicht nutzen.

36

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Die obigen Vertraulichkeitsverpflichtungen gelten fort und bleiben vollständig in Kraft, sofern die V ERTRAULICHEN I NFORMATIONEN nicht.

zum Zeitpunkt der Kenntnisnahme durch die M UTTERGESELLSCHAFT allgemein bekannt waren;

nach dem Zeitpunkt der Kenntnisnahme durch die M UTTERGESELLSCHAFT allgemein bekannt werden, anders als durch Verletzung der Verpflichtungen in diesem V ERTRAG ;

von Gesetzes wegen oder gerichtlicher Anordnung zuständiger Gerichte hin offengelegt werden müssen;

aufgrund regulatorischer Vorgaben oder auf Aufforderung von regulatorischen, Aufsichts- oder anderer staatlicher Behörden, in deren Kompetenzbereich die M UTTERGESELLSCHAFT oder eine ihrer Zweigniederlassungen oder Tochtergesellschaften fällt, offengelegt werden müssen; oder

aufgrund vorgängiger Zustimmung der T OCHTERGESELLSCHAFT offengelegt werden.

Zur Klarstellung sei festgehalten, dass die Entbindung von Vertraulichkeitsverpflichtungen unter diesem V ERTRAG andere Vertraulichkeitsverpflichtungen unter anwendbarem Recht nicht präjudiziert.

Nach dem V OLLZUG und vorbehältlich der Einschränkungen gemäss anwendbarem Recht gewährt die M UTTERGESELLSCHAFT der T OCHTERGESELLSCHAFT Zugang zu und stellt ihr jederzeit während den normalen Geschäftszeiten alle Bücher, Aufzeichnungen und andere Informationen zur Verfügung, die sich im Besitz der M UTTERGESELLSCHAFT befinden und die sich ausschliesslich auf das G ESCHÄFT beziehen.

Die T OCHTERGESELLSCHAFT ist berechtigt, die Firma “UBS Switzerland AG” für alle Zwecke zu verwenden, einschliesslich als Marke für ihre hergestellten oder gelieferten Produkte und angebotenen Dienstleistungen.

37

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Um es der T OCHTERGESELLSCHAFT ZU ermöglichen, die regulatorischen Anforderungen an das Risikomanagement von Finanzierungsliquidität zu erfüllen, ohne ihr eigenes Stressmodell einführen zu müssen, räumt die M UTTERGESELLSCHAFT der T OCHTERGESELLSCHAFT das Recht ein, am gruppenweiten zentralisierten Cash Capital-Modell oder einem ähnlichen Stressmodell der M UTTERGESELLSCHAFT (das “C ASH C APITAL - ODER ÄHNLICHE S TRESSMODELL ”), teilzunehmen und darin aufgenommen zu werden, welches den zentralisierten, konzernweiten Bedarf an lang- und mittelfristigen Finanzierungsmöglichkeiten überwacht, indem es die verfügbaren Mittel in definierten Zeitabschnitten misst, welche der Finanzierung illiquider Vermögenswerte dienen; so wie dieses Modell zur Zeit existiert und von der M UTTERGESELLSCHAFT angewandt wird und vorbehältlich von Änderungen, welche die M UTTERGESELLSCHAFT daran in der Zukunft vernünftigerweise und in Übereinstimmung mit den anwendbaren regulatorischen Anforderungen vornehmen mag. Das Recht am C ASH C APITAL - ODER ÄHNLICHEN S TRESSMODELL teilzunehmen beginnt mit dem V OLLZUG aber rückwirkend auf den S TICHTAG . Solange die T OCHTERGESELLSCHAFT am C ASH C APITAL - ODER ÄHNLICHEN S TRESSMODELL teilnimmt, verpflichtet sich die M UTTERGESELLSCHAFT vernünftige Anstrengungen zu unternehmen, um direkt oder indirekt eine positive Cash Capital-Summe aufrecht zuerhalten, wie es unter dem C ASH C APITAL - ODER ÄHNLICHEM S TRESSMODELL gemessen wird. Im Gegenzug vergütet die T OCHTERGESELLSCHAFT rückwirkend per S TICHTAG die M UTTERGESELLSCHAFT monatlich gestützt auf die internal transfer pricing-Kurve der G RUPPE , von der angenommen wird, dass sie die herrschenden Marktkurse für Ausgaben gestützt auf die Teilnahme der T OCHTERGESELLSCHAFT am C ASH -C APITAL - ODER ÄHNLICHEN S TRESSMODELL (welche zu entsprechendem zusätzlichen Kapitalbedarf der M UTTERGESELLSCHAFT führt) darstellt, dies im Umfang, als dass die T OCHTERGESELLSCHAFT Lücken im C ASH C APITAL - ODER ÄHNLICHEN S TRESSMODELL aufweist.

Die P ARTEIEN vereinbaren, Kooperationsvereinbarungen abzuschliessen, die der T OCHTERGESELLSCHAFT die Fortführung des G ESCHÄFTS ohne Unterbrechung erlauben. Solche Vereinarungen können die Zusammenarbeit gemäss diesem V ERTRAG spezifizieren oder ändern.

Die P ARTEIEN haben ein Master Service Agreement (das “ MSA ” ) unter Schweizer Recht geschlossen, welches alle Outsourcing Verhältnisse regelt und unter welchem jede P ARTEI als Dienstleistungserbringerin und als Dienstleistungsempfängerin handeln kann. Als Rahmenvertrag regelt das MSA Service Level Contracts (die “ SLC ”), die als zwischengesellschaftliche Verträge spezifische Serviceleistungen zwischen den Parteien des MSA regeln. In deren Kernanwendungsbereichen verweisen die SLC allenfalls selber auf vorbestehende Service Level Agreements (die “ SLA ”), die Regeln für die Erbringung von Dienstleistungen zwischen Unternehmensbereichen der M UTTERGESELLSCHAFT enthalten.

38

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Die M UTTERGESELLSCHAFT gibt alle Zahlungen und Vorteile, die sie im Zusammenhang mit Ü BERTRAGENEN V ERMÖGENSWERTEN , S PEZIELLEN V ERMÖGENSWERTEN oder Ü BERTRAGENEN V ERTRÄGEN von D RITTPARTEIEN erhält, an die T OCHTERGESELLSCHAFT weiter. Die T OCHTERGESELLSCHAFT bezahlt, leistet und erfüllt im Auftrag der M UTTERGESELLSCHAFT alle Ü BERTRAGENEN V ERBINDLICHKEITEN .

Die T OCHTERGESELLSCHAFT gibt der M UTTERGESELLSCHAFT alle Zahlungen und Vorteile weiter, die sie fälschlicherweise von D RITTPARTEIEN im Zusammenhang mit bei der M UTTERGESELLSCHAFT verbleibenden Vermögenswerten und Verträgen (ausser in Bezug auf S PEZIELLE V ERMOGENSWERTE ) erhalten hat.

Die M UTTERGESELLSCHAFT macht der T OCHTERGESELLSCHAFT folgende Zusicherungen und gibt folgende Gewährleistungen ab:

die Ü BERTRAGUNGSBILANZ wurde in Übereinstimmung mit dem anwendbaren Standard korrekt erstellt; und

zwischen dem S TICHTAG und dem V OLLZUGSDATUM sind im G ESCHÄFT (ausgenommen A USGENOMMENE V ERMÖGENSWERTE , A USGENOMMENE V ERBINDLICHKEITEN und A USGENOMMENE V ERTRÄGE , aber einschliesslich S PEZIELLE V ERMÖGENSWERTE ) keine wesentlichen nachteiligen Änderungen eingetreten.

Darüber hinausgehende Zusicherungen und Gewährleistungen sind ausgeschlossen.

Die M UTTERGESELLSCHAFT verpflichtet sich, die T OCHTERGESELLSCHAFT für alle Verluste, Schäden oder Kosten, die aus einer Verletzung der Zusicherungen und Gewährleistungen entstehen, schadlos zu halten. Diese Verpflichtung zur Schadloshaltung

39

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

besteht nur und im Umfang als die T OCHTERGESELLSCHAFT aufgrund solcher Verluste, Schäden oder Kosten zu einem Zeitpunkt bis zum ersten Jahrestag des V OLLZUGSDATUM die regulatorischen Kapitalanforderungen gemäss Schweizer Bankengesetzgebung nicht mehr erfüllt. Zur Klarstellung sei darauf hingewiesen, dass die Bestimmung oder Geltendmachung von Ansprüchen auf Schadloshaltung nicht von der Vornahme alternativer Massnahmen durch die T OCHTERGESELLSCHAFT abhängig ist, welche die Wiederherstellung der regulatorischen Kapitalanforderungen sicherstellen sollen, und Kapital, das ausschliesslich der T OCHTERGESELLSCHAFT von D RITTPARTEIEN , die nicht mit der M UTTERGESELLSCHAFT verbunden sind, zur Sanierung zur Verfügung gestellt wird, wird nicht berücksichtigt.

Der Anspruch der T OCHTERGESELLSCHAFT auf Schadloshaltung wegen Verletzung der Zusicherungen und Gewährleistungen in dieser Z IFF . verwirkt, (i) sofern die Verletzung nicht innerhalb von 3 (drei) Monaten nach dem Zeitpunkt, in welchem die T OCHTERGESELLSCHAFT genügend Kenntnis von der Verletzung, die Anlass für einen Schadloshaltungsanspruch unter dieser Z IFF . gibt, erhalten hat, anzeigt wird, in jedem Fall aber (ii) zwei Jahre nach dem V OLLZUGSDATUM . Soweit zülassig, ersetzt die vorliegende Regelung sämtliche gesetzlichen Regeln, die die Geltendmachung von Ansprüchen wegen Verletzung von Zusicherungen und Gewährleistungen beschränken.

Die oben beschriebenen Wiedergutmachungsansprüche schliessen die Geltendmachung anderer Rechte aus. Sofern und soweit unter Schweizer Recht zulässig, sind insbesondere die folgenden Rechte ausgeschlossen: a) Das Recht, diesen V ERTRAG gemäss Art. 23 ff. OR anzufechten; b) das Recht auf Schadenersatz gemäss Art. 97 ff. OR, und c) (sollte dies ein Gericht für anwendbar erklären) sämtliche vergleichbaren oder zusätzlichen Wiedergutmachungsmassnahmen gemäss Kauf- oder ähnlichem Recht (einschliesslich z.B. das Recht auf Rückabwicklung oder Minderung des Kaufpreises gemäss Art. 195, 196 und 205 OR).

Die Parteien anerkennen, dass die M UTTERGESELLSCHAFT nach Massgabe von Art. 75 FusG zusammen mit der T OCHTERGESELLSCHAFT für die Ü BERTRAGENEN V ERBINDLICHKEITEN solidarisch haftet (die “S OLIDARHAFTUNG DER M UTTERGESELLSCHAFT ”). Gemäss den anwendbaren gesetzlichen Bestimmungen verjährt die S OLIDARHAFTUNG DER M UTTERGESELLSCHAFT spätestens drei Jahre nach Veröffentlichung des V OLLZUGS im SHAB oder, wenn die Forderung erst nach der Veröffentlichung fällig wird, so beginnt die Verjährung mit deren Fälligkeit.

Zur Klarstellung sei festgehalten, dass die M UTTERGESELLSCHAFT nur für solche Verbindlichkeiten solidarisch haftbar ist, die ihre Ursache vor dem V OLLZUGSZEITPUNKT haben, und nichts hierin gilt als Erweiterung der S OLIDARHAFTUNG DER M UTTERGESELLSCHAFT unter Art. 75 FusG.

40

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Die P ARTEIEN vereinbaren, dass unter Vorbehalt des V OLLZUGS die T OCHTERGESELLSCHAFT zusammen mit der M UTTERGESELLSCHAFT solidarisch haftbar ist für die V ERBLEIBENDEN V ERBINDLICHKEITEN (die “ S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT ” ). Auf die S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT finden Art. 75 Abs. 1 und 2 F US G mutatis mutandis Anwendung; folglich ist die T OCHTERGESELLSCHAFT für die V ERBLEIBENDEN V ERBINDLICHKEITEN unter den gleichen Bedingungen und im gleichen Umfang solidarisch haftbar, wie wenn Art. 75 F US G hinsichtlich der V ERBLEIBENDEN V ERBINDLICHKEITEN auf die T OCHTERGESELLSCHAFT anwendbar wäre. Die solidarische Haftung der T OCHTERGESELLSCHAFT verjährt spätestens drei Jahre nach Veröffentlichung des V OLLZUGS im SHAB oder, wenn die Forderung erst nach der Veröffentlichung fällig wird, so beginnt die Verjährung mit deren Fälligkeit.

Zur Klarstellung sei festgehalten, dass dort, wo Gesetz oder Vertrag mehr als ein Fälligkeitsdatum für eine V ERBLEIBENDE V ERBINDLICHKEIT , die zum V OLLZUGSZEITPUNKT nicht bereits fällig ist, vorsehen, die Verjährungsfrist am ersten Fälligkeitsdatum nach dem V OLLZUGSZEITPUNKT beginnt (wobei Einvernehmen darüber besteht, dass ein Fälligkeitsdatum jedes Datum einschliesst, an welchem der Gläubiger der V ERBLEIBENDEN V ERBINDLICHKEIT Erfüllung verlangen kann, wie ein Fälligkeits-, Beendigungs-, Kaufoptions-, Rückgabe-, Ausübungs- oder ähnliches Datum, ungeachtet dessen, ob die massgebende Forderung tatsächlich fällig wird oder nicht).

Art. 136 Abs. 1 OR (welcher die Wirkung einer Verjährungsunterbrechung gegen einen Solidarschuldner auf bestimmte andere Solidarschuldner ausdehnt) ist, soweit zulässig, ausgeschlossen.

Die S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT wird zu Gunsten sämtlicher Gläubiger der V ERBLEIBENDEN V ERBINDLICHKEITEN (einschliesslich deren Rechtsnachfolger und Zessionare) vereinbart, welche hinsichtlich deren jeweiligen V ERBLEIBENDEN V ERBINDLICHKEITEN von der T OCHTERGESELLSCHAFT je selbständig Erfüllung verlangen können (Art. 112 Abs. 2 OR). Die P ARTEIEN vereinbaren, dass die Rechte der Gläubiger der V ERBLEIBENDEN V ERBINDLICHKEITEN unter dieser Vereinbarung

41

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

unwiderruflich sind und ab dem V OLLZUGSZEITPUNKT nicht Gegenstand einer Änderung oder eines Verzichts, die lediglich zwischen den P ARTEIEN vereinbart wurden, sein können. Dabei kann die T OCHTERGESELLSCHAFT aber mit einem Gläubiger einer V ERBLEIBENDEN V ERBINDLICHKEIT zu einem beliebigen Zeitpunkt vereinbaren, die S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT hinsichtlich des jeweiligen Gläubigers und der jeweiligen V ERBLEIBENDEN V ERBINDLICHKEIT zu ändern oder auszuschliessen. Ausserdem steht die S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT unter dem Vorbehalt, dass sie gemäss Z IFF . 12.7 durch ein S EPARATES I NSTRUMENT (gegebenenfalls) ersetzt wird.

Zur Klarstellung sei festgehalten, dass die S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT auf A USGESCHLOSSENE V ERBLEIBENDE V ERBINDLICHKEITEN keine Anwendung findet.

Zur Klarstellung sei festgehalten, dass die Übernahme der S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT nicht als Anerkennung der T OCHTERGESELLSCHAFT von V ERBLEIBENDEN V ERBINDLICHKEITEN zu verstehen oder so auszulegen ist, dass die Haftung der T OCHTERGESELLSCHAFT die Haftung der M UTTERGESELLSCHAFT in Bezug auf die V ERBLEIBENDEN V ERBINDLICHKEITEN übersteigen könnte. Die Übernahme der S OLIDARHAFTUNG durch die T OCHTERGESELLSCHAFT soll deshalb auf keine Weise Rechte oder Rechtsbehelfe, welche die T OCHTERGESELLSCHAFT oder die M UTTERGESELLSCHAFTEN haben könnten, vereiteln, beinträchtigen oder beschränken, um die Gültigkeit oder die Höhe einer V ERBLEIBENDEN V ERBINDLICHKEIT anzufechten oder zu bestreiten oder andere Einwendungen oder Einreden gegen eine V ERBLEIBENDE V ERBINDLICHKEIT , oder einen Anspruch aus oder im Zusammenhang mit einer V ERBLEIBENDEN V ERBINDLICHKEIT , geltend zu machen, welche die T OCHTERGESELLSCHAFT oder die M UTTERGESELLSCHAFT haben könnten. Insbesondere, wenn die M UTTERGESELLSCHAFT oder eine D RITTPARTEI eine der V ERBLEIBENDEN V ERBINDLICHKEITEN durch Zahlung, die Verwertung von Sicherheiten oder Verrechnung (ganz oder teilweise) erfüllt, dann erlöscht auch die S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT für solche V ERBLEIBENDE V ERBINDLICHKEITEN entsprechend. In keinem Fall soll ein Gläubiger einer V ERBLEIBENDEN V ERBINDLICHKEIT berechtigt sein, über einen Gesamtbetrag hinaus befriedigt zu werden, der die Höhe der relevanten V ERBLEIBENDEN V ERBINDLICHKEIT übersteigt. Zur Unterstützung des Vorstehenden soll die S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT folgenden Einschränkungen unterstellt sein.

im Zusammenhang mit den N ETTINGFÄHIGEN V EREINBARUNGEN MIT DER M UTTERGESELLSCHAFT den Einschränkungen gemäss Z IFF . 12.3;

im Zusammenhang mit den Bankguthaben und anderen Verpflichtungen mit einem Kontostand den Einschränkungen gemäss Z IFF . 12.4;

für gesicherte V ERBLEIBENDE V ERBINDLICHKEITEN den Einschränkungen gemäss Z IFF . 12.5; und

im Zusammenhang mit K REDITZUSAGEN den Einschränkungen gemäss Z IFF . 12.6.

42

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Darüber hinaus sei zur Klarstellung festgehalten, dass die S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT nicht als Verzicht auf ein ordnungsgemässes Verfahren gilt und insbesondere nicht als Anerkennung eines Urteils gegen oder eines Vergleichs mit der M UTTERGESELLSCHAFT nach dem V OLLZUGSZEITPUNKT . Sofern nicht anderweitig ausdrücklich mit einem Gläubiger einer V ERBLEIBENDEN V ERBINDLICHKEIT übereingekommen, ist die Beurteilung der S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT gegen die T OCHTERGESELLSCHAFT ausschliesslich im Abschnitt 13.8 (Streitbeilegung) geregelt, und das Einverständnis der T OCHTERGESELLSCHAFT eine S OLIDARHAFTUNG zu übernehmen beinhaltet nicht die Zustimmung zu einer Gerichtsstands-, Schiedsgerichts- oder ähnlichen Klausel, welcher die M UTTERGESELLSCHAFT gegebenenfalls mit Bezug auf eine V ERBLEIBENDE V ERBINDLICHKEIT zugestimmt hat, noch beinhaltet sie die Zustimmung zu irgendeiner anderen Handlung, Erklärung oder Vereinbarung, welche die M UTTERGESELLSCHAFT gegebenenfalls im Rahmen oder im Hinblick auf eine Klage oder ein Verfahren vorgenommen hat.

Falls die T OCHTERGESELLSCHAFT zu irgendeinem Zeitpunkt in der Lage ist, eine Ü BERTRAGENE V ERBINDLICHKEIT (abgesehen von Ü BERTRAGENEN V ERBINDLICHKEITEN , deren Bestand die T OCHTERGESELLSCHAFT vernünftigerweise und ausdrücklich bestreitet) zu netten (gemäss Definition am Ende dieser Z IFFER ), verpflichtet sich die T OCHTERGESELLSCHAFT , davon unverzüglich Gebrauch zu machen, um das Haftungsrisiko der M UTTERGESELLSCHAFT unter deren S OLIDARHAFTUNG im weitest möglichen Umfang zu beschränken (und vor dem Netting irgend einer anderen Verpflichtung, die sie möglicherweise gegenüber der betreffenden D RITTPARTEI hat), und die T OCHTERGESELLSCHAFT ermächtigt hiermit die M UTTERGESELLSCHAFT , jegliche solche Netting-Rechte betreffend Ü BERTRAGENE V ERBINDLICHKEITEN an ihrer statt auszuüben.

Falls die M UTTERGESELLSCHAFT zu irgendeinem Zeitpunkt in der Lage ist, eine V ERBLEIBENDE V ERBINDLICHKEIT (abgesehen von V ERBLEIBENDEN V ERBINDLICHKEITEN , deren Bestand die M UTTERGESELLSCHAFT vernünftigerweise und ausdrücklich bestreitet) zu netten, verpflichtet sich die M UTTERGESELLSCHAFT , davon unverzüglich Gebrauch zu machen, um das Haftungsrisiko der T OCHTERGESELLSCHAFT unter deren S OLIDARHAFTUNG im weitest möglichen Umfang zu beschränken (und vor dem Netting irgend einer anderen Verpflichtung, die sie möglicherweise gegenüber der betreffenden D RITTPARTEI hat), und die M UTTERGESELLSCHAFT ermächtigt die T OCHTERGESELLSCHAFT hiermit, jegliche solche Netting-Rechte betreffend V ERBLEIBENDE V ERBINDLICHKEITEN an ihrer statt auszuüben.

43

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Die vorstehenden Ermächtigungen werden auf unbestimmte Zeit erteilt und bleiben auch im Falle der Auflösung oder des Konkurses des Ermächtigenden oder anderer Insolvenz- oder aufsichtsrechtlicher Verfahren wirksam.

Zudem, soweit die M UTTERGESELLSCHAFT Partei eines Rahmenvertrags (wie etwa eines Derivat- oder Swap- Rahmenvertrags, eines Repurchase-Rahmenvertrags oder eines Securities-Lending-Rahmenvertrags), eines anderen Vertrags oder einer Vereinbarung mit einer Gegenpartei ist, unter welchem/r die Verpflichtungen der M UTTERGESELLSCHAFT gegenüber einer solchen Gegenpartei Gegenstand eines zwingenden oder erlaubten Nettings mit anderen Transaktionen oder Verpflichtungen sind, welche die Gegenpartei oder eine andere Person gegenüber der M UTTERGESELLSCHAFT haben könnte (eine “N ETTINGFÄHIGE V EREINBARUNG MIT DER M UTTERGESELLSCHAFT ” ), ist die gesamte S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT gegenüber einer solchen Gegenpartei für V ERBLEIBENDE V ERBINDLICHKEITEN unter einer solchen N ETTINGFÄHIGEN V EREINBARUNG MIT DER M UTTERGESELLSCHAFT beschränkt auf den geringeren Betrag von Folgendem:

der ausstehende Betrag der V ERBLEIBENDEN V ERBINDLICHKEITEN gegenüber einer solchen Gegenpartei, berechnet unter der Annahme, dass diese V ERBLEIBENDEN V ERBINDLICHKEITEN die einzigen ausstehenden Transaktionen oder Verpflichtungen zwischen der M UTTERGESELLSCHAFT und einer solchen Gegenpartei unter der N ETTINGFÄHIGEN V EREINBARUNG MIT DER M UTTERGESELLSCHAFT sind; und

der Nettobetrag, der einer solchen Gegenpartei gestützt auf sämtliche Transaktionen zwischen der M UTTERGESELLSCHAFT und dieser Gegenpartei unter einer solchen N ETTINGFÄHIGEN V EREINBARUNG MIT DER M UTTERGESELLSCHAFT geschuldet ist, einschliesslich aller Transaktionen oder anderer Verpflichtungen zwischen der M UTTERGESELLSCHAFT und der Gegenpartei, welche die M UTTERGESELLSCHAFT netten kann, ungeachtet dessen, ob diese vor, zum oder nach dem V OLLZUGSZEITPUNKT abgeschlossen wurden oder aufgelaufen sind.

Im Sinne dieser Z IFFER bedeutet “zu netten” eine Verbindlichkeit oder eine Verpflichtung zu verrechnen, irgendetwas dagegen zur Anwendung zu bringen, ein Ausgleichsrecht auszuüben oder diese Verbindlichkeit oder Verpflichtung auf andere Weise zu reduzieren, sei es unter einem Vertrag (einschliesslich unter einer einzelnen Transaktion, nach den Vorschriften eines Rahmenvertrags oder eine anderen Vereinbarung, einschliesslich einer N ETTINGFÄHIGEN V EREINBARUNG MIT DER M UTTERGESELLSCHAFT ) oder allgemein, ob nach den Vorschriften einer Clearing- oder einer anderen relevanten Organisation, gemäss anwendbaren gesetzlichen Regeln oder auf andere Weise; und “Netting” ist entsprechend zu verstehen.

44

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Vorbehältlich anderer Beschränkungen (einschliesslich derjenigen gemäss Z IFF . 12.3 vorstehend) ist die S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT für sämtliche V ERBLEIBENDEN V ERBINDLICHKEITEN , die Gegenstand oder Resultat einer Saldoziehung sind (wie etwa Verpflichtungen, die aus einem Kontokorrent, Bankguthaben, Prime Brokerage Kreditguthaben und aus Wertschriften, die in einem Wertschriftendepot gehalten werden, herrühren), wie folgt beschränkt:

eine Erhöhung des Saldos nach dem (oder zum) V OLLZUGSZEITPUNKT führt nie zu einer Erhöhung des Betrags, der von der S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT erfasst ist;

jede Reduktion des Saldos nach dem (oder zum) V OLLZUGSZEITPUNKT (ungeachtet dessen, ob eine Saldoziehung mittels Kontoauszug oder lediglich einzelne Posten im Konto eingesetzt werden, welche den Saldo rechnerisch reduzieren) reduziert den Betrag, der von der S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT erfasst ist, und eine nachträgliche Erhöhung findet nie statt (“first-in, first-out”-Grundsatz); und

falls eine V ERBLEIBENDE V ERBINDLICHKEIT , auf die Schweizer Recht anwendbar ist, im Verhältnis zur M UTTERGESELLSCHAFT durch Novation, basierend auf einer Anerkennung eines Saldos oder auf andere Weise erlöscht, so erlöscht auch die S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT für diese V ERBLEIBENDE V ERBINDLICHKEIT , und es entsteht keine S OLIDARHAFTUNG für die neue Verpflichtung der M UTTERGESELLSCHAFT , welche an Stelle der V ERBLEIBENDEN V ERBINDLICHKEIT getreten ist.

Zusätzlich zur Verjährungsfrist gemäss Z IFF . 12.2 müssen sämtliche Ansprüche gestützt auf die S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT in Bezug auf Kontoguthaben, oder die auf andere Weise Gegenstand oder Resultat einer Saldoziehung sind, innerhalb von drei Jahren nach dem Zeitpunkt, an welchem das Kontoguthaben oder ein anderes Guthaben nach dem V OLLZUGSZEITPUNKT frühestens abgehoben werden könnte, gegen die T OCHTERGESELLSCHAFT geltend gemacht werden. Andernfalls verwirken diese Ansprüche.

45

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Für den Fall, dass eine V ERBLEIBENDE V ERBINDLICHKEIT zum Zeitpunkt, in dem ein Gläubiger dieser V ERBLEIBENDEN V ERBINDLICHKEIT von der T OCHTERGESELLSCHAFT Befriedigung verlangt, ganz oder teilweise durch irgendeine Art von Sicherheit besichert ist, hat die T OCHTERGESELLSCHAFT das Recht, als aufschiebende Bedingung für die Erfüllung der S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT für diese V ERBLEIBENDE V ERBINDLICHKEIT und in einer Form, welche die T OCHTERGESELLSCHAFT vernünftigerweise fordern darf, zu verlangen:

dass der Anspruch, welcher dieser V ERBLEIBENDEN V ERBINDLICHKEIT gegenüber der M UTTERGESELLSCHAFT entgegensteht, der T OCHTERGESELLSCHAFT abgetreten wird; und

dass der Übertragung der Sicherheit, welche diese V ERBLEIBENDE V ERBINDLICHKEIT sichert, zugestimmt wird (einschliesslich die Freigabe und Übertragung der entsprechenden Sicherheit an die T OCHTERGESELLSCHAFT , sofern vernünftigerweise von der T OCHTERGESELLSCHAFT benötigt),

whereby each of (i) and (ii) is required to take effect upon satisfaction of such Remaining Liability by the Subsidiary; in the event that such creditor only asks for partial satisfaction of a Remaining Liability, then such assignment and transfer shall be partial accordingly. For the avoidance of doubt, the Subsidiary shall have the right to refuse satisfaction of its Joint and Several Liability for such Remaining Liability as long as the creditor of such Remaining Liability refuses such assignment and such consent to transfer, respectively, or otherwise frustrates mala fide the transfer of the security to the Subsidiary (including through an undue early release or waiver of its security); however, such creditor shall not be required to do anything which is not under its control in order to effect such assignment or transfer.

wobei sowohl (i) als auch (ii) nach Erfüllung dieser V ERBLEIBENDEN V ERBINDLICHKEIT durch die T OCHTERGESELLSCHAFT wirksam werden; falls der entsprechende Gläubiger nur partielle Erfüllung einer V ERBLEIBENDEN V ERBINDLICHKEIT fordert, erfolgt auch die Abtretung und Übertragung entsprechend nur im gleichen Umfang. Zur Klarstellung sei festgehalten, dass die T OCHTERGESELLSCHAFT das Recht hat, die Erfüllung ihrer S OLIDARHAFTUNG für solche V ERBLEIBENDEN V ERBINDLICHKEITEN zu verweigern, solange der Gläubiger einer solchen V ERBLEIBENDEN V ERBINDLICHKEIT die Abtretung bzw. die Zustimmung zur Übertragung verweigert oder bösgläubig die Übertragung der Sicherheit auf die T OCHTERGESELLSCHAFT anderweitig vereitelt (einschliesslich durch eine schuldhafte vorzeitige Freigabe der Sicherheit oder durch Verzicht darauf); ein Gläubiger ist jedoch nicht verpflichtet, etwas zu tun, das nicht seiner Kontrolle unterliegt, um die Abtretung oder Übertragung zu bewirken.

Die M UTTERGESELLSCHAFT stimmt hiermit zugunsten der T OCHTERGESELLSCHAFT und jeder relevanten D RITTPARTEI einer solchen Abtretung und Übertragung zu, sowie jeder Subrogation von Gesetzes wegen, die im Zusammenhang mit der Erfüllung der S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT eintritt, und die M UTTERGESELLSCHAFT verzichtet hiermit, im weitest möglichen Umifang, auf sämtliche gesetzlichen oder vertraglichen Rechte, welche sie gegen eine solche Abtretung, Übertragung oder Subrogation geltend machen könnte, und erklärt sich damit einverstanden, ihre Zustimmung zu dieser Abtretung, Übertragung oder Subrogation unverzüglich, in der Form, wie sie von der T OCHTERGESELLSCHAFT vernünftigerweise verlangt werden kann, zu wiederholen.

46

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Falls die M UTTERGESELLSCHAFT wünscht, mit einem Gläubiger einer besicherten Ü BERTRAGENEN V ERBINDLICHKEIT zu vereinbaren, dass ein solcher Gläubiger den dieser Ü BERTRAGENEN V ERBINDLICHKEIT gegenüberstehenden Anspruch an die M UTTERGESELLSCHAFT abtritt und zustimmt, dass die Sicherheit, welche die Ü BERTRAGENE V ERBINDLICHKEIT besichert, nach Erfüllung ihrer S OLIDARHAFTUNG übertragen wird, oder falls die M UTTERGESELLSCHAFT wünscht, sich auf eine Subrogation von Gesetzes wegen zu berufen, die im Zusammenhang mit der Erfüllung der S OLIDARHAFTUNG DER M UTTERGESELLSCHAFT erfolgt, stimmt die T OCHTERGESELLSCHAFT hiermit zugunsten der M UTTERGESELLSCHAFT und jeder relevanten D RITTPARTEI einer solchen Abtretung, Übertragung oder Subrogation zu, und sie verzichtet hiermit, im weitest möglichen Umfang, auf sämtliche gesetzlichen oder vertraglichen Rechte, welche sie gegen eine solche Abtretung, Übertragung oder Subrogation geltend machen könnte, und sie erklärt sich damit einverstanden, ihre Zustimmung zu dieser Abtretung, Übertragung oder Subrogation unverzüglich in der Form, wie sie von der M UTTERGESELLSCHAFT vernünftigerweise verlangt werden kann, zu wiederholen.

Falls eine V ERBLEIBENDE V ERBINDLICHKEIT eine nicht gezogene Kreditzusage (eine “K REDITZUSAGE ” ) darstellt, gemäss welcher die M UTTERGESELLSCHAFT (gegebenenfalls unter bestimmten Bedingungen) verpflichtet ist, eine D RITTPARTEI (den “D ARLEHENSNEHMER ”) zu finanzieren (wie etwa durch die Gewährung von Krediten, Darlehen oder ähnlichem), so hat die T OCHTERGESELLSCHAFT das Recht, je als aufschiebende Bedingung für die Erfüllung der S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT betreffend eine solche K REDITZUSAGE :

Partei der jeweiligen F INANZIERUNGSVEREINBARUNG mit den im Wesentlichen gleichen Rechten wie die M UTTERGESELLSCHAFT zu werden, ohne jedoch dazu verpflichtet zu sein, zusätzliche wesentliche Verpflichtungen zu übernehmen, die über die Verpflichtungen der T OCHTERGESELLSCHAFT gemäss der S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT hinaus gehen; oder, falls dies nicht in zumutbarer Weise möglich ist (wobei Einvernehmen darüber besteht, dass die P ARTEIEN vernünftige Anstrengungen unternehmen, um den Beitritt zur jeweiligen F INANZIERUNGSVEREINBARUNG zu bewirken),

vom jeweiligen D ARLEHENSNEHMER zu verlangen, in der Form, wie es die T OCHTERGESELLSCHAFT vernünftigerweise verlangen kann, eine Kredit- oder ähnliche vertragliche Dokumentation einzugehen und, sofern anwendbar, auch Sicherungs- und ähnliche Vereinbarungen abzuschliessen, die der T OCHTERGESELLSCHAFT ausdrücklich im Wesentlichen die gleichen Rechte geben, wie sie die M UTTERGESELLSCHAFT unter der jeweiligen F INANZIERUNGSVEREINBARUNG hat, ohne dass die T OCHTERGESELLSCHAFT jedoch dazu verpflichtet wird, zusätzliche wesentliche Verpflichtungen zu übernehmen, welche über die Verpflichtungen gemäss der S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT hinausgehen.

47

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Zur Förderung der Absicht der P ARTEIEN , dass die S OLIDARHAFTUNG jeder P ARTEI nach dem Recht gewisser relevanter Jurisdiktionen vollständig Wirkung entfalten soll, vereinbaren die P ARTEIEN , beim V OLLZUG oder kurz nach dem V OLLZUG die nachfolgend aufgeführten S EPARATEN I NSTRUMENTE abzuschliessen. Diese sollen, sofern in deren Bestimmungen ausdrücklich so vorgesehen, (i) die unter diesem V ERTRAG geregelte S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT für die davon erfassten V ERBLEIBENDEN V ERBINDLICHKEITEN ersetzen und (ii)(zur Klarstellung) über die Bestimmungen der S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT hinausgehen oder diese einschränken, wenn dies von den P ARTEIEN im Hinblick auf die spezifischen Bedürfnisse, denen solche S EPARATEN I NSTRUMENTE gerecht werden sollen, für notwendig erachtet wird:

die C OVERED -B OND -Z USATZVEREINBARUNG ;

der NY-Ü BERNAHMEVERTRAG ;

der UK-Ü BERNAHMEVERTRAG ;

die Z USATZ -US-A NLEIHEVERTRÄGE .

Darüber hinaus kann jede P ARTEI von der anderen P ARTEI verlangen, weitere angemessene S EPARATE I NSTRUMENTE , in einer Form wie es die fordernde P ARTEI vernünftigerweise verlangt, abzuschliessen, sofern:

die Haftung der anderen P ARTEI gemäss S EPARATEM I NSTRUMENT im Wesentlichen gleichwertig oder kleiner ist als die S OLIDARHAFTUNG dieser P ARTEI ;

auf das S EPARATE I NSTRUMENT dasjenige Recht anwendbar ist, das auf die zugrundeliegende Ü BERTRAGENE V ERBINDLICHKEIT oder V ERBLEIBENDE V ERBINDLICHKEIT angewendet wird; und

die ersuchende P ARTEI die Kosten übernimmt, die der anderen P ARTEI im Zusammenhang mit dem Abschluss des S EPARATEN I NSTRUMENTS erwachsen.

48

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Zur Klarstellung sei festgehalten, dass es keiner D RITTPARTEI erlaubt ist, Doppelzahlung oder Befriedigung sowohl gestützt auf ein S EPARATES I NSTRUMENT als auch die S OLIDARHAFTUNG zu verlangen. Im Umfang, in welchem ein S EPARATES I NSTRUMENT gemäss seinen Bestimmungen nicht die entsprechende S OLIDARHAFTUNG ersetzt oder anderweitig das Verhältnis gegenüber der entsprechenden S OLIDARHAFTUNG spezfiziert, hat die D RITTPARTEI das Recht, sich alternativ, nicht jedoch kumulativ, auf die Haftung einer P ARTEI gemäss S EPARATEM I NSTRUMENT beziehungsweise gemäss S OLIDARHAFTUNG ZU berufen. Zahlungen unter einer Haftung reduzieren die andere Haftung entsprechend.

Soweit nichts anderes durch ein S EPARATES I NSTRUMENT bestimmt wird, sind die Rechte und Ermächtigungen einer P ARTEI unter diesem V ERTRAG bezüglich (i) Positionen, die Gegenstand von Netting, Verrechnung oder ähnlichen Regelungen sind (Z IFF . 12.3) und (ii) Schadloshaltung und Verfahren bei Ansprüchen einer D RITTPARTEI (Z IFF . 12.9 und 12.11) in gleicher Weise auf diese S EPARATEN I NSTRUMENTE anwendbar wie auf die unterliegende S OLIDARHAFTUNG selbst.

Die P ARTEIEN anerkennen, dass sie beide gemäss Art. 75 F US G verpflichtet sind, ihre Ü BERTRAGENEN V ERBINDLICHKEITEN sicherzustellen, vorausgesetzt, die rechtlichen Voraussetzungen für eine solche Verpflichtung sind erfüllt. Die T OCHTERGESELLSCHAFT hat die M UTTERGESELLSCHAFT für alle aus dieser Verpflichtung entstehende Kosten schadlos zu halten.

Die M UTTERGESELLSCHAFT hat ein vollständiges Rückgriffsrecht gegen die T OCHTERGESELLSCHAFT und die T OCHTERGESELLSCHAFT hat die M UTTERGESELLSCHAFT für sämtliche Kosten und Verluste schadlos zu halten, welche aus Ansprüchen gegen die M UTTERGESELLSCHAFT , oder aus Zahlungen seitens der M UTTERGESELLSCHAFT , aufgrund der S OLIDARHAFTUNG DER M UTTERGESELLSCHAFT entstanden sind.

Die T OCHTERGESELLSCHAFT hat ein vollständiges Rückgriffsrecht gegen die M UTTERGESELLSCHAFT und die M UTTERGESELLSCHAFT hat die T OCHTERGESELLSCHAFT für sämtliche Kosten und Verluste schadlos zu halten, welche aus Ansprüchen gegen die T OCHTERGESELLSCHAFT , oder aus Zahlungen seitens der T OCHTERGESELLSCHAFT , aufgrund der S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT entstanden sind.

49

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Zusätzlich zum Vorstehenden hat die T OCHTERGESELLSCHAFT die M UTTERGESELLSCHAFT für sämtliche Kosten und Verluste schadlos zu halten, welche im Zusammenhang mit Ansprüchen von D RITTPARTEIEN gegen die M UTTERGESELLSCHAFT resultieren, und zwar insoweit, als dass diese Ansprüche ihren Ursprung im G ESCHÄFT haben (ausser in Bezug auf eine A USGENOMMENE V ERBINDLICHKEIT , davon ausgenommen diejenigen A USGENOMMENEN V ERBINDLICHKEITEN , die Teil eines S PEZIELLEN V ERMÖGENSWERTS sind). Die M UTTERGESELLSCHAFT verpflichtet sich, die T OCHTERGESELLSCHAFT für sämtliche Kosten und Verluste schadlos zu halten, welche im Zusammenhang mit Ansprüchen von D RITTPARTEIEN gegen die T OCHTERGESELLSCHAFT entstanden sind, ihren Ursprung jedoch in den mit diesem V ERTRAG nicht übertragenen Geschäften der M UTTERGESELLSCHAFT haben (und einschliesslich für Kosten und Verluste im Zusammenhang mit Ansprüchen von D RITTPARTEIEN in Bezug auf eine A USGENOMMENE V ERBINDLICHKEIT , ausgenommen diejenigen A USGENOMMENEN V ERBINDLICHKEITEN , die Teil eines S PEZIELLEN V ERMÖGENSWERTS sind).

Die P ARTEIEN haben sich allerdings gegenseitig nicht für Steuern, Abgaben oder andere Gebühren öffentlichen Rechts schadlos zu halten, welcher einer P ARTEI auferlegt werden, mit der Ausnahme, dass der vorstehende Absatz dann anwendbar ist, wenn gemäss anwendbarem Recht beide P ARTEIEN für solche Steuern, Abgaben oder andere Gebühren öffentlichen Rechts solidarisch haftbar sind.

Werden von einer D RITTPARTEI , einschliesslich Behörden, Ansprüche gegen eine P ARTEI (eine solche P ARTEI die “ E NTSCHÄDIGTE P ARTEI ”) angedroht oder geltend gemacht, und unterliegen diese Ansprüche gemäss vorliegendem V ERTRAG einer Pflicht zur Schadloshaltung durch die andere P ARTEI , informiert die E NTSCHÄDIGTE P ARTEI die andere P ARTEI innerhalb nützlicher Frist über solche Ansprüche oder Verfahren von D RITTPARTEIEN . Das Unterlassen einer solchen Mitteilung hat indes keine Auswirkung auf das Recht auf Schadloshaltung der E NTSCHÄDIGTEN P ARTEI , es sei denn, die andere P ARTEI werde durch das Unterlassen der Mitteilung beeinträchtigt. Die andere P ARTEI hat nach Erhalt einer solchen Mitteilung 20 W ERKTAGE Zeit, die E NTSCHÄDIGTE P ARTEI darüber zu unterrichten, dass sie die Verteidigung gegen solche Ansprüche von D RITTPARTEIEN führen und kontrollieren will (die “ V ERTEIDIGUNGSANZEIGE ”). Falls die andere P ARTEI keine solche V ERTEIDIGUNGSANZEIGE abgibt, hat die E NTSCHADIGTE P ARTEI das Recht, nach ihrem alleinigen Ermessen über die Verteidigung oder einen Vergleich des Anspruchs oder Verfahrens zu entscheiden und hält auf Ersuchen der E NTSCHÄDIGTEN P ARTEI die E NTSCHÄDIGTE P ARTEI unverzüglich schadlos.

50

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Die M UTTERGESELLSCHAFT verpflichtet sich, alles Erforderliche zu unternehmen, um die Höhe der V ERBLEIBENDEN V ERBINDLICHKEITEN , für welche die T OCHTERGESELLSCHAFT unter der S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT haftet, in Übereinstimmung mit den durch die FINMA in der FINMA-Verfügung auferlegten Limiten für die Jahre 2020 bis 2025 zu verringern. Falls die M UTTERGESELLSCHAFT es versäumt, diesen Betrag auf oder unter diese Limiten zu verringern, verpflichtet sie sich, (a) Sicherheiten in solcher Art, Form und Umfang zu erbringen, die den Anforderungen der FINMA genügen, oder (b) die T OCHTERGESELLSCHAFT in solcher Form und Umfang mit Kapital zu versorgen, das den Anforderungen der FINMA genügt (und falls von der T OCHTERGESELLSCHAFT verlangt, mit Eigenkapital in der Form von Aktienkapital oder Reserven). Die M UTTERGESELLSCHAFT verpflichtet sich weiter, die T OCHTERGESELLSCHAFT für alle Kosten und Verluste, die im Zusammenhang mit der Überschreitung solcher Limiten entstehen, schadlos zu halten. Falls die FINMA an die T OCHTERGESELLSCHAFT weitere Liquiditätsanforderungen im Zusammenhang mit der S OLIDARHAFTUNG DER T OCHTERGESELLSCHAFT stellt, verpflichtet sich die M UTTERGESELLSCHAFT , die T OCHTERGESELLSCHAFT mit genügend Liquidität zu versorgen, um solchen Anforderungen zu entsprechen, und die T OCHTERGESELLSCHAFT für alle Kosten und Verluste im Zusammenhang mit solchen Anforderungen schadlos zu halten.

Die P ARTEIEN nehmen zur Kenntnis, und jede D RITTPARTEI , welche die S OLIDARHAFTUNG einer P ARTEI in Anspruch nimmt wird darauf hingewiesen, dass die Haftungs- und Schadloshaltungsvereinbarungen unter diesem V ERTRAG (einschliesslich der S OLIDARHAFTUNG einer P ARTEI ) im Falle von finanziellen Schwierigkeiten, Abwicklung oder ähnlichen Umständen den Kompetenzen der FINMA (oder jeder anderen Schweizer Behörde, die unter Schweizer Recht zuständig ist) im Einklang mit anwendbarem Schweizer Recht untersteht (einschliesslich Schutzmassnahmen nach Art. 26 BankG und aller Massnahmen, welche die vollständige oder teilweise Reduktion von Forderungen oder die Umwandlung von Forderungen in Eigenkapital zum relevanten Zeitpunkt nach Art. 31 Abs. 3 BankG und Art. 47 ff. BIV-FINMA (3. Abschnitt ‘Kapitalmassnahmen’) zur Folge haben). Die Rechte und Pflichten unter diesem V ERTRAG (einschliesslich der S OLIDARHAFTUNG der T OCHTERGESELLSCHAFT ) sind in Übereinstimmung mit und unter Vorbehalt solcher Kompetenzen auszulegen.

Jede P ARTEI trägt ihre eigenen Kosten, welche aufgrund dieses V ERTRAGES und der Ü BERTRAGUNG anfallen (einschliesslich Anwaltskosten, Kosten für Gutachter und Berater), wobei Einvernehmen darüber besteht, dass die Kosten für Vorbereitungsarbeiten sowie für die Vorbereitung der Ü BERTRAGUNG von der M UTTERGESELLSCHAFT getragen werden.

51

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Notariats-, Grundbuch- und Handelsregistergebühren, welche in Zusammenhang mit dem Vollzug, der Beurkundung und der Eintragung in die Handelsregister und die betroffenen Grundbücher anfallen, werden von beiden P ARTEIEN zu gleichen Teilen getragen.

Jede P ARTEI hat allfällige Steuern und Abgaben, welche aufgrund der Ü BERTRAGUNG anfallen und für welche die P ARTEI von Gesetzes wegen haftet, selbst zu tragen.

Änderungen oder Ergänzungen dieses V ERTRAGES einschliesslich der vorliegenden Z IFF . 13.2 bedürfen zu ihrer Gültigkeit der Schriftform (und gegebenenfalls der öffentlichen Beurkundung, aber nur, falls die Änderungen oder Ergänzungen Teile dieses V ERTRAGES betreffen, welche zwingend der öffentlichen Beurkundung bedürfen). Die P ARTEIEN sind sich einig, dass sie diesen V ERTRAG gemeinsam ausgehandelt und vorbereitet haben, und dass dieser V ERTRAG nicht gegen eine P ARTEI auszulegen ist, mit der Begründung, besagte P ARTEI habe diesen vorbereitet oder entworfen.

Dieser V ERTRAG einschliesslich der Anhänge und sämtlicher Dokumente, auf die er sich bezieht, stellt den gesamten V ERTRAG zwischen den P ARTEIEN in Bezug auf den Gegenstand dieses V ERTRAGS dar und ersetzt sämtliche diesbezüglichen vorhergehenden Vereinbarungen und Absprachen zwischen den P ARTEIEN . Alle Verweise auf diesen V ERTRAG schliessen die Anhänge mit ein.

Keine P ARTEI darf diesen V ERTRAG oder einzelne Rechte und Pflichten daraus ohne vorherige schriftliche Zustimmung der Gegenpartei ganz oder teilweise an eine andere Person abtreten oder übertragen. Die schriftliche Zustimmung soll nicht ungerechtfertigt verweigert werden. Übertragungen oder Abtretungen, welche ohne schriftliche Zustimmung erfolgen, sind ungültig.

52

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Sollte eine Bestimmung dieses V ERTRAGES gänzlich oder teilweise unwirksam oder nichtig sein oder werden, oder falls eine oder mehrere der Ü BERTRAGENEN V ERMÖGENSWERTE oder Ü BERTRAGENEN V ERBINDLICHKEITEN des G ESCHÄFTES nicht übertragen werden können, oder falls dieser V ERTRAG eine vertragliche Lücke enthält, so berührt dies die Gültigkeit der übrigen Bestimmungen nicht. An die Stelle der unwirksamen oder nichtigen Bestimmung soll, in rechtlich zulässiger Weise, eine angemessene Regelung treten, welche den wirklichen Willen der P ARTEIEN wiedergibt. Liegt eine vertragliche Lücke vor, so soll diese von einer Bestimmung ersetzt werden, welche die P ARTEIEN nach dem Sinn und Zweck dieses V ERTRAGES bestimmt hätten, wenn dieser Punkt von ihnen bedacht worden wäre.

Alle Mitteilungen im Zusammenhang mit dem Vertrag sind an folgende Adressen zu richten, oder an eine andere, von einer Partei gelegentlich mitgeteilte Adresse:

UBS AG

P.O. Box

8098 Zurich

Switzerland

UBS Switzerland AG

P.O. Box

8098 Zurich

Switzerland

Vorbehältlich Z IFF . 12.2 dieses V ERTRAGES (andere anwendbare Rechtsordnung in Bezug auf die Verjährung von gewissen V ERBLEIBENDEN V ERBINDLICHKEITEN ), untersteht der vorliegende V ERTRAG dem schweizerischen materiellen Recht unter Ausschluss des Kollisionsrechts und internationaler Abkommen, insbesondere des Übereinkoinmens der Vereinten Nationen über Verträge über den internationalen Warenkauf vom 11. April 1980.

Für Streitigkeiten in Zusammenhang mit diesem V ERTRAG , einschliesslich Streitigkeiten über dessen Abschluss, bindende Wirkung, Anderung und Beendigung, sind ausschliesslich die Gerichte der Stadt Zürich (Zürich 1), Schweiz, zuständig.

(Signatures on next page)

(Unterschriften auf der nächsten Seite)

53

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Signatures
Zurich, 12 June 2015
UBS AG
Michel Demaré				Isabelle Romy
Vice-Chairman of the Board of Directors				Member of the Board of Directors
Zurich, 12 June 2015
UBS Switzerland AG
Sergio Ermotti				Luzius Cameron
Chairman of the Board of Directors				Company Secretary

Diese Urkunde (samt Beilagen) enthält den mir mitgeteilten Parteiwillen. Sie ist von den erschienen Personen selbst gelesen, von ihnen anschliessend als richtig anerkannt und unterzeichnet worden.

Zürich, 12. Juni 2015

 

				NOTARIAT HOTTINGEN-ZÜRICH
				Roman Sandmayr, Notar

 

54

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG /

Vermögensübertragungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 1a

Transfer balance sheet /

Anhang 1a

Übertragungsbilanz

 

Notariat Hottingen-Zürich

Roman Sandmayr, Notar

 

1

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Transfer balance sheet as per 31 March 2015 (Swiss GAAP). Based on interim rules of the FINMA circular 15/1 “Rechnungslegung Banken” applicable as of 1 January 2015, the transfer balance sheet was established in accordance with the accounting rules for Swiss banks as in force until 31 December 2014 (Banking Act/Swiss Banking Ordinance/FINMA circular 08/2 “Rechnungslegung Banken”).

Ü BERTRAGUNGSBILANZ per 31. März 2015 (Swiss GAAP). Gestützt auf die Übergangsbestimmungen des FINMA Rundschreibens 15/1 “Rechnungslegung Banken”, anwendbar seit 1. Januar 2015, wurde die Ü BERTRAGUNGSBILANZ gemäss den bis 31. Dezember 2014 anwendbaren Rechnungslegungsvorschriften für Schweizer Banken (Bankengesetz/Bankenverordnung/FINMA Rundschreiben 08/2 “Rechnungslegung Banken”) erstellt.

 

		CHF thousand /
		CHF Tausend
ASSETS / AKTIVEN
Liquid Assets / Flüssige Mittel			30’563’681
Money Market paper / Forderungen aus Geldmarktpapieren			5’825’118
Due from banks / Forderungen gegenüber Banken			62’404’630
Due from customers / Forderungen gegenüber Kunden			44’118’661
Mortgage loans / Hypothekarforderungen			151’121’144
Trading balances in securities and precious metals / Handelsbestände in Wertschriften und Edelmetallen			2’762’180
Financial Investments / Finanzanlagen			20’268’801
Investment in subsidiaries and other participations / Tochtergesellschaften und andere Beteiligungen			42’192
Fixed Assets / Sachanlagen			5’272’084
Accrued income and prepaid expenses / Rechnungsabgrenzungen			281’455
Positive replacement values / Positive Wiederbeschaffungswerte			3’092’359
Other assets / Sonstige Aktiven			699’966
Total Assets / Total Aktiven			326’452’272
LIABILITIES / FREMDKAPITAL
Money market papers issued / Verpflichtungen aus Geldmarktpapieren			36’278
Due to banks / Verpflichtungen gegenüber Banken			59’287’378
Trading portfolio liabilities / Verpflichtungen aus Handelsbeständen			190’572
Due to customers on savings and deposit accounts / Verpflichtungen gegenüber Kunden in Spar- und Anlageform			96’542’270
Other amounts due to customers / Übrige Verpflichtungen gegenüber Kunden			142’032’446
Medium term notes / Kassenobligationen			539’129
Bonds issued and loans from central mortgage institutions / Anleihen und Pfandbriefdarlehen			7’864’712
Financial liabilities designated at fair value / Zum Marktwert bewertete finanzielle Verpflichtungen			0
Accruals and deferred income / Rechnungsabgrenzungen			360’190
Negative replacement values / Negative Wiederbeschaffungswerte			2’759’623
Other liabilities / Sonstige Passiven			3’594’422
Allowances and provisions / Wertberichtigungen und Rückstellungen			173’653
Total Liabilities / Total Fremdkapital			313’380’672
Net Assets / Nettovermögen			13’071’600

 

2

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Note: By virtue of Sections 3.10 and 3.12 to 3.18, the Transfer Balance Sheet includes items of which beneficial (but not legal) ownership is transferred or which reflect a transfer of intra-company positions (without prior independent legal existence).

Hinweis: Gemäss den Z IFF . 3.10 und 3.12 bis 3.18 enthält die Ü BERTRAGUNGSBILANZ Positionen, an denen das wirtschaftliche (nicht aber das rechtliche) Eigentum übertragen wird oder welche eine Übertragung von gesellschaftsinternen Positionen (ohne vorherige unabhängige rechtliche Existenz) reflektieren.

Addendum: Contingent liabilities to be disclosed in the notes to the financial statements /

Addendum: Eventualverbindlichkeiten, welche im Anhang der Jahresrechnung offenzulegen sind

Irrevocable commitments and contingent liabilities /

Unwiderrufliche Zusagen und Eventualverpflichtungen

 

		CHF thousand / CHF Tausend
Contingent liabilities / Eventualverpflichtungen			7’782’136
of which: Guarantees to third parties related to subsidiaries / davon: Garantien an Dritte im Zusammenhang mit Tochtergesellschaften			9’349
of which: credit guarantees and similar instruments / davon: Kreditsicherungsgarantien und ähnliche Instrumente			2’894’672
of which: performance guarantees and similar instruments / davon: Ausführungsgarantien und ähnliche Instrumente			2’413’308
of which: documentary credits / davon: Dokumentenakkreditive			2’464’808
Irrevocable commitments / Unwiderrufliche Zusagen			7’783’743
of which: loan commitments / davon: Kreditzusagen			6’916’133
of which: underwriting commitments / davon: Emissionszusagen			0
of which: payment commitment related to deposit insurance / davon: Zahlungsverpflichtung gegenüber der Einlagensicherung			867’610
Forward starting transactions / ln der Zukunft beginnende Transaktionen 1			880’756
of which: reverse repurchase agreements / davon Reverse-Repurchase-Geschäfte			732’529
of which: securities borrowing agreements / davon: Geschäfte mit geborgten Wertschriften			0
of which: repurchase agreements / davon: Repurchase-Geschäfte			148’227
Liabilities for calls on shares and other equities / Einzahlungs- und Nachschussverpflichtungen			37’481

 

1	Cash to be paid in the future by either UBS or the counterparty /

Zahlungen, welche entweder von UBS oder der Gegenpartei in der Zukunft geleistet werden.

 

3

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Annex 1b

Real estate /

Anhang 1b

G RUNDSTÜCKE

 

Notariat Hottingen-Zürich
Roman Sandmayr, Notar

 

1

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

SAP No.

Canton

City

Postal code CH

Street

Parcel identification

Landregister District

Landregister

SAP Nr.

Kanton

Stadt

PLZ

Strasse

Parzellennummer

Grundbuchkreis

Grundbuchamt

245738

NE

St-Blaise

2072

ES Fourmillères

4180

Arrondissement du Littoral et du Val-de-Travers

Neuchâtel, Saint-Blaise

245739

VS

Niedergesteln

3942

Hanuwäg 3, Oberdorfstrasse 10

262, STWE 263/1

Leuk

245742

ZH

Affoltern am Albis

8910

Breitenstrasse

2749

Affoltern

245749

SO

Balsthal

4710

Holderacker (6’610 m2)

3799

Thal-Gäu, Balsthal

245753

AG

Leibstadt

5325

Furlänge

115, 444, 995

Zurzach, Leibstadt

245761

TI

Giornico

6745

Via piazza Fontana 7

765, 766, 768

Distretto di Leventina

Faido, Giornico

245773

VD

Le Sentier

1347

Grand-Rue 17

STWE 1169-9

Jura-Nord Vaudois, Le Chenit

245774

VS

Fiesch

3984

Furkastrasse

STWE 1419/3

Kreis Brig

Brig

245782

TI

Ponte Tresa

6988

Via Privata Monte Oliveto 4

389, 6308

Lugano, Ponte Tresa

245783

VS

Bourg-St-Pierre

1946

Raveire

5049, Parcelle 903

Martigny

245785

TI

Sobrio

6749

Zona villa Sobrio

371

Distretto di Leventina

Faido, Sobrio

245791

FR

Fribourg

1700

Beaumont 16

21195

La Sarine, Fribourg

245792

JU

Montavon

2857

Route Principale 113 A

377 et 389

Delémont, Boécourt

245801

VS

Savièse

1965

Diolly-Golette

9241

Sion

245814

VS

Monthey

1870

AUX SEMILLES, PARC. 2650

2650

Monthey

 

2

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

SAP No.

Canton

City

Postal code CH

Street

Parcel identification

Landregister District

Landregister

SAP Nr.

Kanton

Stadt

PLZ

Strasse

Parzellennummer

Grundbuchkreis

Grundbuchamt

245817

GR

Lostallo

6558

Pedorlin

3

Circondario del Moesano

Roveredo, Lostallo

245818

GR

Mesocco

6563

Doira

591

Circondario del Moesano

Mesocco

245989

TI

Bodio TI

6743

Chiossetto

1091

Distretto di Leventina

Faido, Bodio

246019

BE

Nidau

2560

Burgermoos_Beundenring

1156

Nidau

246020

TI

Colla

6951

nucleo

2091

Lugano

246044

BE

Roggwil BE

4914

Grünauweg 11

STWE 2418-4

Emmental-Oberaargau, Roggwil

246050

ZH

Pfaffhausen

8118

Zürich-Fussweg 2c

STWE 4248, 4269, 4270, 4271

Dübendorf

246051

TI

Ponte Cremenaga

6996

Via Fornasette

475

Lugano

246052

JU

Alle

2942

La Terrière 14

112

Delémont, Alle

246053

NE

Gorgier

2023

Rue du Centre 20

2725, 5633

Arrondissement du Littoral et du Val-de-Travers

Neuchâtel, Gorgier

246058

GR

Arvigo

6543

Fondarvigh, Casa Palma

163

Arvigo

246059

GR

Tamins

7015

Pradamalerstrasse 1

493

Domat/Ems

Domat/Ems, Tamins

246060

GR

Tamins

7015

Pradamalerstrasse 3

494

Domat/Ems

Domat/Ems, Tamins

246063

VS

Grengiols

3993

Eggen

3465

Kreis Brig

Brig (Grengiols)

246064

LU

Luzern

6006

Schlösslihalde 20

3219

Luzern

246067

VS

Leukerbad

3954

Haus Golf A

63128, 63125

Leuk

246070

VD

Gryon

1882

Route de Solalex

STWE 1998-7

Aigle-Riviera

246071

BS

Basel

4056

Julia Gauss-Strasse 13

STWE 2572-15

Basel-Stadt

 

3

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

SAP No.

Canton

City

Postal code CH

Street

Parcel identification

Landregister District

Landregister

SAP Nr.

Kanton

Stadt

PLZ

Strasse

Parzellennummer

Grundbuchkreis

Grundbuchamt

246072

VS

Grächen

3925

Bina

STWE 765/15, 765/22, 765/23

Brig

246171

VD

Blonay

1807

Ch. de la Foge 6

2360, 2361

Vevey

246173

SG

Flawil

9230

St. Gallerstrasse 45

762

Flawil

246174

FR

Vuisternens-dt-Romont

1687

Condémine 22

471

De la Broye

246175

SG

Gossau

9200

Neuchlenstrasse 37e

S21306, M631161, M31163

Gossau

246176

NE

Montmollin

2037

Ch. Des Puits 17

767, 535

Le Locle, Montmollin

246177

JU

Bressaucourt

2904

Aux Closes 31

118

Delémont, Porrentruy

246178

SO

Flumenthal

4534

Allmendstrasse 9

644, 647

Region Solothurn

246179

VS

Charat

1906

Rte du Simplon 31

4716

Martigny

This position is included in the transfer balance sheet as part of financial investments (subject to movements since the Effective Date).

Diese Position ist in der Transferbilanz als Teil der finanziellen Vermögenswerte enthalten (unter Vorbehalt von Bewegungen seit dem S TICHTAG ).

As of 11 June 2015.

Per 11. Juni 2015.

 

4

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG /

Vermögensübertragungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 1c

Securities and participations /

Anhang 1c

Wertschriften und Beteiligungen

 

Notariat Hottingen-Zürich

Roman Sandmayr, Notar

 

1

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12 Juni. 2015

 

I.	Mortgage notes / Schuldbriefe

 

SAP Nr.

Canton

City

Postal code CH

Street

Parcel identification

Owner

Nominal Amount (CHF)

Title

Rank

Date of establishment

Landregister District

Landregister

SAP Nr.

Kanton

Stadt

PLZ

Strasse

Parzellennummer

Inhaber

Nominalwert (CHF)

Titel

Rang

Ausstellungsdatum

Grundbuchkreis

Grundbuchamt

245738

NE

St-Blaise

2072

ES Fourmillères

4180

UBS AG

8’400’000

Inhaber

1

30.11.1992

Arrondissement du Littoral et du Val-de-Travers

Neuchâtel, Saint-Blaise

245749

SO

Balsthal

4710

Holderacker (6’610 m2)

3799

UBS AG

550’000

Namen

1

22.10.1985

Thal-Gäu, Balsthal

245753

AG

Leibstadt

5325

Furlänge

115, 444, 995

UBS AG

650’000

Inhaber

1

09.10.1992

Zurzach, Leibstadt

245761

TI

Giornico

6745

Via piazza Fontana 7

765, 766, 768

UBS AG

45’000

Inhaber

1

21.04.1980

Distretto di Leventina

Faido, Giornico

245761

TI

Giornico

6745

Via piazza Fontana 7

765, 766, 768

UBS AG

55’000

Inhaber

2

20.07.1989

Distretto di Leventina

Faido, Giornico

245761

TI

Giornico

6745

Via piazza Fontana 7

765, 766, 768

UBS AG

100’000

Inhaber

3

30.05.1996

Distretto di Leventina

Faido, Giornico

245773

VD

Le Sentier

1347

Grand-Rue 17

STWE 1169-9

UBS AG

1’286’001

Inhaber

1

26.12.2012

Jura-Nord Vaudois, Le Chenit

245782

TI

Ponte Tresa

6988

Via Privata Monte Oliveto 4

389, 6308

UBS AG

260’000

Inhaber

1

25.02.1985

Lugano, Ponte Tresa

245782

TI

Ponte Tresa

6988

Via Privata Monte Oliveto 4

389, 6308

UBS AG

131’000

Inhaber

2

05.11.2008

Lugano, Ponte Tresa

 

2

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

SAP Nr.

Canton

City

Postal code CH

Street

Parcel identification

Owner

Nominal Amount (CHF)

Title

Rank

Date of establishment

Landregister District

Landregister

SAP Nr.

Kanton

Stadt

PLZ

Strasse

Parzellennummer

Inhaber

Nominalwert (CHF)

Titel

Rang

Ausstellungsdatum

Grundbuchkreis

Grundbuchamt

245785

TI

Sobrio

6749

Zona villa Sobrio

371

UBS AG

200’000

Inhaber

1

13.07.1998

Distretto di Leventina

Faido, Sobrio

245785

TI

Sobrio

6749

Zona villa Sobrio

371

UBS AG

40’000

Inhaber

2

02.10.1998

Distretto di Leventina

Faido, Sobrio

245785

TI

Sobrio

6749

Zona villa Sobrio

371

UBS AG

50’000

Inhaber

3

28.06.2000

Distretto di Leventina

Faido, Sobrio

245791

FR

Fribourg

1700

Beaumont 16

21195

UBS AG

750’000

Inhaber

1

10.11.2008

La Sarine, Fribourg

245791

FR

Fribourg

1700

Beaumont 16

21195

UBS AG

250’000

Inhaber

2

12.07.2012

La Sarine, Fribourg

245791

FR

Fribourg

1700

Beaumont 16

21195

UBS AG

156’000

Inhaber

2

12.07.2012

La Sarine, Fribourg

245792

JU

Montavon

2857

Route Principale 113 A

377, 389

UBS AG

10’000

Namen

1

19.11.1963

Delémont, Boécourt

245792

JU

Montavon

2857

Route Principale 113 A

377, 389

UBS AG

65’000

Namen

2

26.08.1965

Delémont, Boécourt

245792

JU

Montavon

2857

Route Principale 113 A

377, 389

UBS AG

75’000

Namen

3

07.11.1969

Delémont, Boécourt

245792

JU

Montavon

2857

Route Principale 113 A

377, 389

UBS AG

400’000

Inhaber

4

09.11.1972

Delémont, Boécourt

245792

JU

Montavon

2857

Route Principale 113 A

377, 389

UBS AG

60’000

Namen

5

04.09.1996

Delémont, Boécourt

245817

GR

Lostallo

6558

Pedorlin

3

UBS AG

500’000

Inhaber

1

12.05.2009

Circondario del Moesano

Roveredo, Lostallo

245989

TI

Bodio TI

6743

Chiossetto

1091

UBS AG

230’000

Inhaber

1

08.03.1977

Distretto di Leventina

Faido, Bodio

 

3

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

SAP Nr.

Canton

City

Postal code CH

Street

Parcel identification

Owner

Nominal Amount (CHF)

Title

Rank

Date of establishment

Landregister District

Landregister

SAP Nr.

Kanton

Stadt

PLZ

Strasse

Parzellennummer

Inhaber

Nominalwert (CHF)

Titel

Rang

Ausstellungsdatum

Grundbuchkreis

Grundbuchamt

245989

TI

Bodio TI

6743

Chiossetto

1091

UBS AG

160’000

Inhaber

1

08.03.1977

Distretto di Leventina

Faido, Bodio

245989

TI

Bodio TI

6743

Chiossetto

1091

UBS AG

60’000

Inhaber

1

24.07.1989

Distretto di Leventina

Faido, Bodio

245989

TI

Bodio TI

6743

Chiossetto

1091

UBS AG

50’000

Inhaber

2

24.07.1989

Distretto di Leventina

Faido, Bodio

245989

TI

Bodio TI

6743

Chiossetto

1091

UBS AG

80’000

Inhaber

3

03.11.2004

Distretto di Leventina

Faido, Bodio

246020

TI

Colla

6951

nucleo

2091

UBS AG

350’000

Inhaber

1

21.06.2007

Lugano

246044

BE

Roggwil BE

4914

Grünauweg 11

STWE2418-4

UBS AG

50’000

Inhaber

2

21.05.2014

Emmental-Oberaargau, Roggwil

246044

BE

Roggwil BE

4914

Grünauweg 11

STWE2418-4

UBS AG

50’000

Inhaber

3

21.05.2014

Emmental-Oberaargau, Roggwil

246044

BE

Roggwil BE

4914

Grünauweg 11

STWE2418-4

UBS AG

125’000

Inhaber

4

21.05.2014

Emmental-Oberaargau, Roggwil

246051

TI

Ponte Cremenaga

6996

Via Fornasette

475

UBS AG

485’000

Inhaber

1

29.01.2009

Lugano

246051

TI

Ponte Cremenaga

6996

Via Fornasette

475

UBS AG

75’000

Inhaber

2

29.01.2009

Lugano

 

4

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

SAP Nr.

Canton

City

Postal code CH

Street

Parcel identification

Owner

Nominal Amount (CHF)

Title

Rank

Date of establishment

Landregister District

Landregister

SAP Nr.

Kanton

Stadt

PLZ

Strasse

Parzellennummer

Inhaber

Nominalwert (CHF)

Titel

Rang

Ausstellungsdatum

Grundbuchkreis

Grundbuchamt

246051

TI

Ponte Cremenaga

6996

Via Fornasettte

475

UBS AG

50’000

Inhaber

3

19.02.2009

Lugano

246051

TI

Ponte Cremenaga

6996

Via Fornasette

475

UBS AG

77’000

Inhaber

4

24.11.2009

Lugano

246052

JU

Alle

2942

La Terrière 14

112

UBS AG

400’000

Inhaber

1

25.06.1969

Delémont, Alle

246052

JU

Alle

2942

La Terrière 14

112

UBS AG

100’000

Inhaber

2

25.09.1980

Delémont, Alle

246052

JU

Alle

2942

La Terrière 14

112

UBS AG

128’000

Inhaber

3

03.12.1981

Delémont, Alle

246053

NE

Gorgier

2023

Rue du Centre 20

2725, 5633

UBS AG

200’000

Inhaber

1

04.08.1958

Arrondissement du Littoral et du Val-de-Travers

Neuchâtel, Gorgier

246053

NE

Gorgier

2023

Rue du Centre 20

2725, 5633

UBS AG

250’000

Inhaber

1

13.04.1987

Arrondissement du Littoral et du Val-de-Travers

Neuchâtel, Gorgier

246053

NE

Gorgier

2023

Rue du Centre 20

2725, 5633

UBS AG

80’000

Inhaber

2

09.07.1979

Arrondissement du Littoral et du Val-de-Travers

Neuchâtel, Gorgier

 

5

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

SAP Nr.

Canton

City

Postal code CH

Street

Parcel identification

Owner

Nominal Amount (CHF)

Title

Rank

Date of establishment

Landregister District

Landregister

SAP Nr.

Kanton

Stadt

PLZ

Strasse

Parzellennummer

Inhaber

Nominalwert (CHF)

Titel

Rang

Ausstellungsdatum

Grundbuchkreis

Grundbuchamt

246053

NE

Gorgier

2023

Rue du Centre 20

2725, 5633

UBS AG

65’000

Inhaber

3

30.09.1987

Arrondissement du Littoral et du Val-de-Travers

Neuchâtel, Gorgier

246059

GR

Tamins

7015

Pradamalerstrasse 1

493

UBS AG

887’000

Register- schuldbrief

1

02.02.2012

Domat/Ems

Domat/Ems, Tamins

246060

GR

Tamins

7015

Pradamalerstrasse 3

494

UBS AG

887’000

Register- schuldbrief

1

02.02.2012

Domat/Ems

Domat/Ems, Tamins

246070

VD

Gryon

1882

Route de Solalex

STWE 1998-7

UBS AG

427’000

Inhaber

1

02.12.2014

Aigle-Riviera

246071

BS

Basel

4056

Julia Gauss-Strasse 13

STWE 2572-15

UBS AG

300’000

Inhaber

2

05.01.2015

Basel-Stadt

246072

VS

Grächen

3925

Bina

STWE 765/15 765/22 765/23

UBS AG

330’000

Inhaber

1

15.09.2008

Brig

246171

VD

Blonay

1807

Ch. de la Foge 6

2360, 2361

UBS AG

730’000

Inhaber

1

12.05.2010

Vevey

246171

VD

Blonay

1807

Ch. de la Foge 6

2360, 2361

UBS AG

136’000

Inhaber

2

04.01.2011

Vevey

246174

FR

Vuisternens-dt-Romont

1687

Condémine 22

471

UBS AG

600’000

Porteur

1

20.12.2010

De la Broye

246175

SG

Gossau

9200

Neuchlenstrasse 37e

S21306, M631161, M31163

UBS AG

550’000

Register- schuldbrief

1

18.05.2015

Gossau

 

6

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

SAP Nr.

Canton

City

Postal code CH

Street

Parcel identification

Owner

Nominal Amount (CHF)

Title

Rank

Date of establishment

Landregister District

Landregister

SAP Nr.

Kanton

Stadt

PLZ

Strasse

Parzellennummer

Inhaber

Nominalwert (CHF)

Titel

Rang

Ausstellungsdatum

Grundbuchkreis

Grundbuchamt

246176

NE

Montmollin

2037

Ch. Des Puits 17

767, 535

UBS AG

400’000

Inhaber

1

06.12.1955

Le Locle, Montmollin

246176

NE

Montmollin

2037

Ch. Des Puits 17

767, 535

UBS AG

15’000

Inhaber

1

06.12.1955

Le Locle, Montmollin

246176

NE

Montmollin

2037

Ch. Des Puits 17

767, 535

UBS AG

15’000

Inhaber

1

04.05.1961

Le Locle, Montmollin

246177

JU

Bressaucourt

2904

Aux Closes 31

118

UBS AG

6’500

Namen

1

22.12.1961

Delémont, Porrentruy

246177

JU

Bressaucourt

2904

Aux Closes 31

118

UBS AG

10’000

Namen

2

09.06.1964

Delémont, Porrentruy

246177

JU

Bressaucourt

2904

Aux Closes 31

118

UBS AG

10’000

Namen

3

11.01.1966

Delémont, Porrentruy

246177

JU

Bressaucourt

2904

Aux Closes 31

118

UBS AG

17’000

Namen

4

09.09.1970

Delémont, Porrentruy

246178

SO

Flumenthal

4534

Allmendstrasse 9

644, 647

UBS AG

220’000

Inhaber

1

03.05.1979

Region Solothurn

246178

SO

Flumenthal

4534

Allmendstrasse 9

644, 647

UBS AG

115’000

Inhaber

2

06.07.1979

Region Solothurn

246178

SO

Flumenthal

4534

Allmendstrasse 9

644, 647

UBS AG

50’000

Namen

3

27.06.1991

Region Solothurn

246178

SO

Flumenthal

4534

Allmendstrasse 9

644, 647

UBS AG

5’000

Inhaber

4

27.10.2005

Region Solothurn

 

7

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

SAP Nr.

Canton

City

Postal code CH

Street

Parcel identification

Owner

Nominal Amount (CHF)

Title

Rank

Date of establishment

Landregister District

Landregister

SAP Nr.

Kanton

Stadt

PLZ

Strasse

Parzellennummer

Inhaber

Nominalwert (CHF)

Titel

Rang

Ausstellungsdatum

Grundbuchkreis

Grundbuchamt

246178

SO

Flumenthal

4534

Allmendstrasse 9

644, 647

UBS AG

45’000

Inhaber

5

22.02.2007

Region Solothurn

246179

VS

Charat

1906

Rte du Simplon 31

4716

UBS AG

1’350’000

Inhaber

1

07.09.2009

Martigny

246179

VS

Charat

1906

Rte du Simplon 31

4716

UBS AG

850’000

Register- schuldbrief

2

05.10.2012

Martigny

Mortgage notes related to Annex 1b: Real estate.

Schuldbriefe im Zusammenhang mit Anhang 1b: Grundstücke.

As of 11 June 2015.

Per 11. Juni 2015.

 

8

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

II.	Participations / Beteiligungen

 

Holdings

Domicile

Security type

Voting right

Number of shares

Nominal Value in CHF

Beteiligungen

Sitzland

Wertschriftenart

Stimmrechte

Anzahl Aktien

Nominalwert (in CHF)

Subsidiaries and Equity Holdings / Tochtergesellschaften und Beteiligungen

Subsidiaries

TopCard Service AG

CH

Bearer shares

100.00

%

300

500

UBS Card Center AG

CH

Bearer shares

100.00

%

40,000

2.5

UBS Hypotheken AG

CH

Registered shares

98.00

%

98

1’000

Equity Holdings

Pfandbriefbank schweizerischer Hypothekarinstitute AG

CH

Registered shares

8.37

%

66,931

1’000

VISA Europe Ltd.

UK

Subscriber share

n/a

1

EUR

10

This position is included in the transfer balance sheet as part of investment in subsidiaries and other participations (subject to movements since the Effective Date).

Diese Position ist in der Transferbilanz als Teil der Investitionen in Tochtergesellschaften und andere Beteiligungen enthalten (unter Vorbehalt von Bewegungen seit dem S TICHTAG ).

As of 11. June 2015.

Per 11. Juni 2015.

 

9

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

III.	Bills of exchange / Wechsel

 

Number / Description		Startdate		Enddate		Amount (CHF)
Nummer / Beschreibung		Laufzeit-Beginn		Laufzeit-Ende		Betrag (CHF)
A0005		03.06.2015		04.09.2015			6’000’000
B0001		24.02.2015		04.02.2016			15’050
B0004		24.02.2015		04.03.2016			15’050
B0006		24.02.2015		04.04.2016			15’050
B0007		24.02.2015		04.08.2016			15’050
B0008		24.02.2015		05.07.2016			15’050
B0009		17.03.2014		04.09.2015			15’050
B0010		24.02.2015		04.09.2016			15’050
B0011		24.02.2015		05.10.2016			15’050
B0013		24.02.2015		04.11.2016			15’050
B0015		24.02.2015		05.05.2016			15’050
B0028		17.03.2014		05.10.2015			15’050
B0031		17.03.2014		04.11.2015			15’050
B0032		17.03.2014		05.12.2015			15’050
B0034		17.03.2014		05.07.2015			15’050

 

10

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Number / Description

Startdate

Enddate

Amount (CHF)

Nummer / Beschreibung

Laufzeit-Beginn

Laufzeit-Ende

Betrag (CHF)

B0035

17.03.2014

04.01.2016

15’050

B0036

17.03.2014

04.08.2015

15’050

B0037

24.02.2015

04.06.2016

15’050

C0000

29.05.2015

25.03.2016

436’000

D0001

29.04.2015

01.08.2015

4’136

D0002

08.05.2015

15.08.2015

4’916

D0010

04.06.2015

05.09.2015

5’075

D0032

25.03.2015

04.07.2015

3’648

D0037

15.04.2015

18.07.2015

4’631

D0074

17.03.2015

20.06.2015

2’970

Subtotal

6’717’226

Promissory note issued on 20 December 2011 in the amount of USD 34’613’648 to the order of UBS SA, Via Cantonale 18, 6928 Manno, Switzerland, with a company in Sofia, Bulgaria, as acceptor and a Bulgarian citizen as a note guarantor

n/a

n/a

32’146’817

Total

38’864’043

This position is included in the transfer balance sheet as part of money market papers (subject to movements since the Effective Date).

Diese Position ist in der Transferbilanz als Teil der Geldmarktpapiere enthalten (unter Vorbehalt von Bewegungen seit dem Stichtag).

As of 10 June 2015.

Per 10. Juni 2015.

 

11

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG /

Vermögensübertragungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 1c IV

Various Securities /

Anhang 1c IV

Diverse Wertschriften

(pages 1-70 / Seiten 1-70)

 

Notariat Hottingen-Zürich

Roman Sandmayr, Notar

 

1

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

As of 10 June 2015.

Per 10. Juni 2015.

Content / Inhalt

 

Security / Wertschrift		Page / Seite
Bonds / Anleihen			3
Equities / Beteiligungspapiere			7
Floating Rate Note / Floater			8
Hybrid Securities / Hybridanleihen			8
Money Market / Geldmarktpapiere			9
Trust Units / Anteile an Fonds			10

 

2

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Bonds / Anleihen
4 Austria 16		AT0000A011T9		Straight Bond		275’000’000.000
3.2 Austria 17		AT0000A0GLY4		Straight Bond		250’000’000.000
2.25 PFBK 16 S394		CH0022515024		Straight Bond		65’500’000.000
2 Pfandbrief15 S362		CH0022569070		Straight Bond		5’000’000.000
2.5 PFZTR 16 S365		CH0024722008		Straight Bond		6’700’000.000
3 PFBK 17 S403		CH0025915056		Straight Bond		78’500’000.000
2.875 PFBK 19 S416		CH0029450126		Straight Bond		20’000’000.000
2.25 PFZTR 15		CH0048637034		Straight Bond		20’000’000.000
1.875 PFBK 15 S504		CH0105847948		Straight Bond		40’000’000.000
2 PFBK 16 S507		CH0107106301		Straight Bond		80’000’000.000
1.75 PFZTR 17 S401		CH0111825805		Straight Bond		2l’000’000.000
1.25 PB 16 S515		CH0115357466		Straight Bond		20’500’000.000
1.875 PB 20 S518		CH0115967389		Straight Bond		20’000’000.000
1.125 PFZTR 16 S402		CH0116706661		Straight Bond		28’000’000.000
1.625 PFZTR 17 S407		CH0124656213		Straight Bond		60’000’000.000
1.125 PFBK 17 S555		CH0135176318		Straight Bond		80’000’000.000
0.625 PFBZT 16 S416		CH0144279038		Straight Bond		40’000’000.000
0.625 PFBK 17 S561		CH0147144346		Straight Bond		111’000’000.000
0.375 PFBK 16 S568		CH0187380917		Straight Bond		40’000’000.000
0.25 PFBK 16 S570		CH0192241237		Straight Bond		37’000’000.000
0.375 PFBK 18 S573		CH0194273162		Straight Bond		50’000’000.000
0.5 PFBK 19 S575		CH0197368654		Straight Bond		43’000’000.000
0.375 PFBK 18 S577		CH0201297212		Straight Bond		30’000’000.000
0.25 PFBK 17 S578		CH0204002726		Straight Bond		95’000’000.000
0.5 Pfbk 18 S.579		CH0206074871		Straight Bond		50’000’000.000
0.5 PFZTR 18 S430		CH0206368174		Straight Bond		45’000’000.000
0.5 PFBK 19 S.582		CH0214365618		Straight Bond		15’000’000.000
0.25 PFTZR 3.6 S434		CH0218517867		Straight Bond		25’000’000.000
0.25 PFZTR 16 S.437		CH0222136100		Straight Bond		10’000’000.000
1.125 PFZTR 20 S438		CH0222136506		Straight Bond		20’000’000.000
0.375 PFTZR 17 S439		CH0225941464		Straight Bond		15’000’000.000
0.25 PFZTR 17 S.441		CH0229571655		Straight Bond		20’000’000.000
0.25 PFZTR 18 S.443		CH0235475339		Straight Bond		17’000’000.000
0.25 PFZTR 18 S446		CH0240623741		Straight Bond		15’000’000.000
0.5 PFZTR 20 S.448		CH0242595277		Straight Bond		30’000’000.000
0.125 PFTZR 19 S453		CH0253609082		Straight Bond		35’000’000.000
0.375 PB 21 S 597		CH0255678325		Straight Bond		20’000’000.000
0.25 PFZTR 2.0 S.455		CH0256434595		Straight Bond		44’000’000.000
3.25 FRG 15		DE0001135283		Straight Bond		73’000’000.000
4 BRD 16		DE0001135309		Straight Bond		250’000’000.000
4.25 BRD 17		DE0001135333		Straight Bond		50’000’000.000
1.75 ERG 15		DE0001141588		Straight Bond		65’000’000.000
2 FRG 16		DE0001141596		Straight Bond		500’000’000.000
2.75 FRG 16		DE0001141604		Straight Bond		124’000’000.000
1.25 FRG 16 S 161		DE0001141612		Straight Bond		200’000’000.000
0.05 KfW 17 EMTN		DE000A11QTA8		Straight Bond		120’000’000.000
3.125 KfW 16 EMTN		DE000A1H36V3		Straight Bond		157’088’000.000
3 FMS 18 EMTN		DE000A1K0GG5		Straight Bond		61’000’000.000
1.875 FMS EMTN		DE000A1K0M44		Straight Bond		126’300’000.000

 

3

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Bonds / Anleihen
2 KfW 16		DE000A1K0UB7		Straight Bond		88’487’000.000
1.375 KfW 17 EMTN		DE000A1MBB54		Straight Bond		50’000’000.000
0.5 KfW 16		DE000A1MBCB3		Straight Bond		123’815’000.000
0.25 KredWieder 15		DE000A1R07U5		Straight Bond		56’400’000.000
0.5 KfW 16		DE000A1RET56		Straight Bond		114’750’000.000
2.5 EU 15 EMTN		EU000A1GKVZ9		Straight Bond		365’884’000.000
3.25 EU 18 EMTN		EU000A1GN002		Straight Bond		50’000’000.000
2.75 EU 16 EMTN		EU000A1GRYT1		Straight Bond		263’805’000.000
3.875 Finland 17		FI0001006066		Straight Bond		50’000’000.000
4.375 Finland 19		FI0001006306		Straight Bond		25’000’000.000
1.75 Finland 16		FI4000018049		Straight Bond		50’000’000.000
1.875 Finland 17		FI4000029715		Straight Bond		185’000’000.000
3 Fce FBT 15		FR0010216481		Straight Bond		200’000’000.000
3 CADES 16		FR0011008366		Straight Bond		11’479’000.000
4.5 Netherlands 17		NL0006007239		Straight Bond		150’000’000.000
4 Netherlands 18		NL0006227316		Straight Bond		150’000’000.000
4 Niederlandse 19		NL0009086115		Straight Bond		25’000’000.000
2.5 Netherlands 17		NL0009819671		Straight Bond		150’000’000.000
1.25 Netherlands18S		NL0010200606		Straight Bond		210’000’000.000
1.25 Netherlands 19		NL0010514246		Straight Bond		100’000’000.000
0.5 Netherland17DTC		NL0010661930		Straight Bond		535’000’000.000
2.5 Asian 16 Nts		US045167BZ51		Straight Bond		47’000’000.000
1.875 Asian 18 SMTN		US045167CB74		Straight Bond		20’000’000.000
0.75 ADB 17 SrN		US045167CZ43		Straight Bond		25’000’000.000
2.625 Coun 16 SrN		US222213AB67		Straight Bond		25’000’000.000
4.875 BEI 16		US298785DU77		Straight Bond		30’000’000.000
5.125 EIB 16 N		US298785DY99		Straight Bond		265’524’000.000
4.875 EIB 17 N		US298785EA05		Straight Bond		50’000’000.000
2.25 EIB 16 Nt		US298785FK77		Straight Bond		205’192’000.000
2.5 EIB 16 Nts		US298785FN17		Straight Bond		200’000’000.000
2.125 EIB 16 Sr		US298785FQ48		Straight Bond		51’674’000.000
1.25 EIB 16 Sr		US298785FS04		Straight Bond		145’337’000.000
0.625 EIB 16 Nts		US298785GB69		Straight Bond		222’117’000.000
1.5 EDC 18		US30216BEJ70		Straight Bond		25’000’000.000
1 FMS 17 Nts		US30254WAA71		Straight Bond		115’800’000.000
0.625 FMS 16 SrN		US30254WAB54		Straight Bond		198’740’000.000
1.125 FMS SrN		US30254WAC38		Straight Bond		46’700’000.000
0.875 CA Govt 17		US427028AA35		Straight Bond		34’000’000.000
4.25 Inter 15 MTN 8		US4581X0AH11		Straight Bond		11’000’000.000
0.875 Inter 16 MTN		US4581X0CB23		Straight Bond		100’000’000.000
1 lnter17MTN 54 469		US4581X0CG10		Straight Bond		93’000’000.000
0.625 Inter 16 MTN		US4581X0CJ58		Straight Bond		153’500’000.000
5 World Bank 16		US4590568Y65		Straight Bond		26’462’000.000
2.125 World 16		US459058BB88		Straight Bond		226’l26’000.000
0.50 IBRD 16		US459058CX99		Straight Bond		138’423’000.000
0.375 IBRD 15 Sr		US459058DG57		Straight Bond		300’000’000.000
0.5 World Bank16Nts		US459058DM26		Straight Bond		218’969’000.000
1 World BK 18		US459058EJ87		Straight Bond		20’000’000.000
4.375 Kred 18 SrN		US500769CR31		Straight Bond		50’000’000.000

 

4

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Bonds / Anleihen
2.625 kred 16		US500769EG57		Straight Bond		233’524’000.000
2 KFW 16 MTN		US500769EM26		Straight Bond		20’000’000.000
1.25 Kred 16 SrN		US500769ES95		Straight Bond		50’000’000.000
1.25 Kred 17 SrN		US500769EY63		Straight Bond		38’000’000.000
0.5 KFW 16 Nts		US500769GE81		Straight Bond		123’000’000.000
2.125 Neder17 S SrN		US63983UAD46		Straight Bond		15’000’000.000
5 Nor17MTN C 6		US65562QAF28		Straight Bond		20’000’000.000
0.50 NIB 16		US65562QAU94		Straight Bond		21’250’000.000
4.875 Oester 16 Nts		US676167AS87		Straight Bond		62’000’000.000
0.75 Oest 16 Nts		US676167BJ79		Straight Bond		25’000’000.000
0.25 US Tr Nts 16		US912828B824		Straight Bond		100’000’000.000
4.5 US Tr Nts16 B16		US912828EW61		Straight Bond		100’000’000.000
4.875 US TR Nts 16E		US912828FQ84		Straight Bond		300’000’000.000
2.625 US Tr Nts 16		US912828KR03		Straight Bond		75’000’000.000
2.625 US Tr Nts 16		US912828KS85		Straight Bond		200’000’000.000
2.375 US Tr Nts 16		US912828KT68		Straight Bond		75’000’000.000
3.25 US Tr Nts 16		US912828KZ29		Straight Bond		100’000’000.000
2.125 US Tr Nts 15		US912828PM60		Straight Bond		325’000’000.000
2 US Tr Nts 16		US912828PS31		Straight Bond		300’000’000.000
2 US Trs Nts 16		US912828QF01		Straight Bond		800’000’000.000
2.125 US Tr Nts 16		US912828QJ23		Straight 3ond		100’000’000.000
1.75 US Tr Nts 16		US912828QP82		Straight Bond		900’000’000.000
1.5 US Tr Nts 16		US912828QR49		Straight Bond		500’000’000.000
1.5 US Tr Nts 16		US912828QX17		Straight Bond		400’000’000.000
1 US Tr Nts 16		US912828RF91		Straight Bond		200’000’000.000
1.375 US Tr Nts 19		US912828SH49		Straight Bond		250’000’000.000
0.625 US Tr Nts 17		US912828TM25		Straight Bond		150’000’000.000
1 US Tr Nts 19		US912828TN08		Straight Bond		100’000’000.000
1 US Tr Nts 19		US912828TR12		Straight Bond		50’000’000.000
0.5 US Tr Nts 16		US912828VG29		Straight Bond		300’000’000.000
0.625 US Tr Nts 16		US912828VL14		Straight Bond		450’000’000.000
0.625 US Tr Nts 16		US912828VR83		Straight Bond		300’000’000.000
0.875 US Tr Nts 16		US912828VW78		Straight Bond		75’000’000.000
0.375 US Tr Nts 16		US912828WM87		Straight Bond		175’000’000.000
0.5 US Tr Nts 16		US912828WQ91		Straight Bond		200’000’000.000
3.375 NWB 16 EMTN		XS0241164176		Straight Bond		40’000’000.000
4.125 BNG 16		XS0259231974		Straight Bond		34’999’000.000
5.125 Counci 17EMTN		XS0296595670		Straight Bond		34’222’000.000
3.75 Landw 16 EMTN		XS0412896861		Straight Bond		43’200’000.000
3.125 EIB 17		XS0490739686		Straight Bond		75’000’000.000
3.125 Landw 16 EMTN		XS0504937250		Straight Bond		100’000’000.000
2 Landw Rent 15EMTN		XS0517904560		Straight Bond		95’204’000.000
1.75 BNG 15		XS0546548636		Straight Bond		50’000’000.000
2.5 BNG 16		XS0576210289		Straight Bond		100’000’000.000
2.25 Finla 16 Reg-S		XS0605995561		Straight Bond		46’500’000.000
2.875 EIB 16		XS0630398534		Straight Bond		30’340’000.000
3 NWB 16 Reg-S		XS0647624609		Straight Bond		48’515’000.000
1.125 Republic 17		XS0778360122		Straight Bond		33’000’000.000
1.375 Kommunalba 17		XS0791136202		Straight Bond		29’850’000.000

 

5

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Bonds / Anleihen
0.75 Net Rail 17		XS0837730653		Straight Bond		41’250’000.000
0.875 Sweden18Reg-S		XS0882814386		Straight Bond		130’000’000.000
0.625 Ldkr Baden 16		XS0889239876		Straight Bond		95’000’000.000
0.5 Bk England 16-S		XS0904729927		Straight Bond		100’000’000.000
0.5 Kommuninv 16		XS0919401678		Straight Bond		45’000’000.000
0.875 NetRail18EMTN		XS0932218935		Straight Bond		150’000’000.000
1.125 Kommunalban18		XS0934609875		Straight Bond		45’000’000.000
0.875 Kommun16 EMTN		XS0956066442		Straight Bond		15’000’000.000
0.875 Kommuna16EMTN		XS0975579342		Straight Bond		47’500’000.000
0.875 Bk England 17		XS1045278410		Straight Bond		100’000’000.000
0.875 Ldkr Ba17EMTN		XS1046485923		Straight Bond		60’000’000.000
0.75 Sweden 17Reg-S		XS1048518945		Straight Bond		55’000’000.000
1 Kommuninv I Sv 17		XS1053517394		Straight Bond		65’000’000.000
0.875 Sweden 17EMTN		XS1071827643		Straight Bond		30’000’000.000
0.5 Ldkr Baden 16		XS1072857920		Straight Bond		190’000’000.000
0.625 BNG 16 Reg-S		XS1087922305		Straight Bond		75’000’000.000
0.5 NWB 16 Reg-S		XS1105489071		Straight Bond		100’000’000.000
1.25 NWB 17 EMTN		XS1109821352		Straight Bond		40’000’000.000
1 Sweden 17 EMTN		XS1135379656		Straight Bond		65’000’000.000
0.5 BNG 16 EMTN		XS1136104418		Straight Bond		143’000’000.000
1.125 North Rhine17		XS1140544450		Straight Bond		20’000’000.000
1.25 NWB 18 Reg-S		XS1167316220		Straight Bond		50’000’000.000
0.875 Sweden 18EMTN		XS1171709857		Straight Bond		154’700’000.000
0.625 Ldkr Baden 17		XS1172874320		Straight Bond		50’000’000.000
1 Kommuninv I Sve18		XS1173233237		Straight Bond		15’000’000.000
1.625 Landw R20EMTN		XS1190529989		Straight Bond		20’000’000.000
2.5 Landw 16 SrN		US515110BD57		Callable Bond with fixed Coupon		75’000’000.000
1 NRW.BANK 17EMTN		XS1070002594		Callable Bond with fixed Coupon		25’000’000.000
0 BRD 16		DE0001137479		Zero Bond		150’000’000.000
0 Netherlands18 DTC		NL0011005137		Zero Bond		50’000’000.000

 

6

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Equities/ Beteiligungspapiere
OC Oerlikon Corp. N		CH0000816824		Common Stock		881.000
Aryzta N		CH0043238366		Common Stock		2’300.000
SFS Group N		CH0239229302		Common Stock		8’000.000
Molecular Partn N		CH0256379097		Common Stock		4’000.000
A.G.L (M)		IL0005410118		Common Stock		75.000
Imvest		IT0004670532		Common Stock		11’200.000
Fairfield Aerium A		LU0211962823		Common Stock		0.001
Acheron Portfolio A		LU0327662697		Common Stock		0.750
Roy.Philips		NL0000009538		Common Stock		1.500
IDGC Center		RU000A0JPPL8		Common Stock		794.000
Alcatel Teletas		TRAALCTL91H9		Common Stock		0.386
Turkiye Vakiflar		TREVKFB00019		Common Stock		2.843
Alaska Pac Engy		US0117583072		Common Stock		4’278.000
Anviron Hldg		US03734A1043		Common Stock		8’000.000
Biozoom		US09072T1007		Common Stock		7’500.000
China Gold		US16938L1061		Common Stock		10’000.000
China MediaExp		US1694421009		Common Stock		3’000.000
Cross Atlantic Com		US22743P1003		Common Stock		3’461’012.000
Enzyme Envir Sols		US2941131052		Common Stock		818’266.000
Intl Power Group		US46018A1007		Common Stock		55’043.000
Kingslake Energy		US4963661057		Common Stock		4’305’000.000
Lifeline Biotech		US53219E8084		Common Stock		814’703.000
MitoPharm		US60671V2025		Common Stock		14.000
Mobilestream Oil		US60743B1017		Common Stock		44’000.000
RCC Holdings		US7493181017		Common Stock		3’000’000.000
Santana Mining		US80280R1032		Common Stock		230.000
Shot Spirits		US8253572056		Common Stock		32’000.000
Smokefree Innt		US8326731077		Common Stock		1’898’467.000
Spongetech Delivery		US8491091034		Common Stock		245’824.000
Utd Parcel Ser -B-		US9113121068		Common Stock		10’000.000
Zicix		US98953T1079		Common Stock		27’836.000
Solidum CHF Pfd-1		BMG827361368		Preferred shares		0.001

 

7

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Floating Rate Note / Floater
CDA Hous16 42		CA13509PCV37		Floating Rate Note		100’000’000.000
Bertelsmann G		DE0005229900		Floating Rate Note		3.440
0 KfW 16 FRN EMTN		DE000A1K0UK8		Floating Rate Note		91’972’000.000
0.051 LandwRent15		XS0459180500		Floating Rate Note		75’000’000.000
0.116 Landw Rent16		XS0524678884		Floating Rate Note		55’425’000.000

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Hybrid Securities / Hybridanleihen
UBSA&QCHF Ct 20 UBS		CH0024685908		Hybrid Security		0.500
GPrty Ct 15 UBSI		DE000UB0EC45		Hybrid Security		0.750
GPrty Ct 15 UBSI		DE000UB0EC52		Hybrid Security		0.500

 

8

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Money Market / Geldmarktpapiere
0 Belgium 16		BE0312728976		Money Market		50’000’000.000
0 BRD 15		DE0001119311		Money Market		105’000’000.000
0 BRD 16		DE0001119394		Money Market		48’000’000.000
0 BRD 16		DE0001119410		Money Market		250’000’000.000
0 FRG 16 T-B		DE0001119451		Money Market		50’000’000.000
0 Finland 15 TB		FI4000153754		Money Market		100’000’000.000
2.25 BTAN 25.2.16		FR0119105809		Money Market		150’000’000.000
Fce FTB 9.12.15		FR0122599485		Money Market		191’000’000.000
0 Fce FTB 6.1.16		FR0122775457		Money Market		401’000’000.000
0 Fce FTB 3.2.16		FR0122775465		Money Market		150’000’000.000
0 Fce FTB 2.3.16		FR0122775473		Money Market		300’000’000.000
0 UNEDIC 15 CP		FR0122855226		Money Market		45’000’000.000
0 Fce FTB 31.3.16		FR0122945936		Money Market		225’000’000.000
Fce FTB 6.5.15		FR0122945944		Money Market		300’000’000.000
0 CADES 15 CP		FR0122945977		Money Market		100’000’000.000
0 UK Tsy Bill 15		GB00BDNNDG38		Money Market		150’000’000.000
0 UK Tsy Bill 15		GB00BDNNY048		Money Market		84’500’000.000
0 UK Tsy Bill 15		GB00BDNP2B72		Money Market		100’000’000.000
0 UK Tsy Bill 15		GB00BDNP5301		Money Market		50’000’000.000
0 UK Tsy Bill 15		GB00BDNP9055		Money Market		500’000’000.000
0 UK Tsy Bill 15		GB00BDNPM287		Money Market		5’250’000.000
0 UK Tsy Bill 15		GB00BDNPR781		Money Market		50’700’000.000
0 NWB 15 ECP		XS1191309993		Money Market		100’000’000.000
0 Ldkr Bad 15 ECP		XS1193096978		Money Market		100’000’000.000
0 ACOSS 15 ECP		XS1218921549		Money Market		100’000’000.000
0 Acoss 15 ECP-S		XS1241532396		Money Market		100’000’000.000
0 ACOSS 15 ECP		XS1243890974		Money Market		100’000’000.000
0 Council 15 ECP		XS1245245128		Money Market		100’000’000.000

 

9

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Am Selection Hold A		ANN0427P1040		Trust Share		0.005
Eur Select Hold -A-		ANN3123U1044		Trust Share		0.001
Global Sel Hold -B-		ANN3582A1026		Trust Share		0.005
LW Latin		ANN5538P1094		Trust Share		0.010
Permal Emerging -A		ANN6940Y1002		Trust Share		0.001
Permal Fixed Inc N		ANNG94171326		Trust Share		0.001
Permal European -A-		ANNG941M1054		Trust Share		0.005
Perm Inv HId -A-NV		ANN6941Q1068		Trust Share		0.012
Permal Inv Hold -A-		ANNG941Q1308		Trust Share		0.009
Permal Japan Hld-A-		ANN694241046		Trust Share		0.001
Permal Fixed Inc A		ANN6942G1077		Trust Share		0.007
Pet.Eq.Euroland C B		BE0058182792		Trust Share		0.524
KBC Eq Trends C		BE0167243154		Trust Share		0.001
Can E B Gl Fin CC		BE0174812181		Trust Share		0.001
KBC Eq.Fd.High DivC		BE0940704951		Trust Share		0.001
Can S Eu ST Bd CC		BE0945490317		Trust Share		0.001
Can S Eu CB CC		BE0945493345		Trust Share		0.002
Pet.Eq.Agrivalue CF		BE0948504387		Trust Share		0.175
Equity Fund World C		BE6213775529		Trust Share		0.001
Man AHL Divrs Fut-B		BMG0122Q1087		Trust Share		0.012
Athena Guar Fut18-3		BMG0600J1053		Trust Share		0.543
Aurum Std USD-Rstr		BMG0630A1080		Trust Share		0.010
Aurum Inv Euro Part		BMG0693H1079		Trust Share		0.015
Brummer USD-Inv-C		BMG1745P1059		Trust Share		0.014
Brummer EUR-Inv-B		BMG1745P1216		Trust Share		0.012
DR AllWeather		BMG2921N1048		Trust Share		0.001
DR AllWthr Inst		BMG2921N1204		Trust Share		0.001
DR DebtMaster		BMG2921N1873		Trust Share		0.199
DR Meteor Opp		BMG2921N1956		Trust Share		0.001
Dr Funds-Sp Inv		BMG2921N2038		Trust Share		0.008
Go Glob RPNV		BMG3032V1000		Trust Share		0.009
Dynamic RPNV		BMG3032V4988		Trust Share		0.004
Em Mng Global Qlt		BMG3981L1037		Trust Share		0.018
Harbour Hldgs-A-1		BMG428541368		Trust Share		4.015
Harbour Hldgs-B-1		BMG428542507		Trust Share		0.979
Harmony USD-P-SS		BMG430345063		Trust Share		0.001
Harmony EUR-B-SS		BMC430345303		Trust Share		0.001
Harmony Capit SS-D		BMG430345550		Trust Share		0.001
Man AHL Div Fut-A		BMG5777T1099		Trust Share		0.020
Man AP 2XL EUR D-B		BMG579491108		Trust Share		3.000
China A Sh Fd		BMG605411021		Trust Share		0.922
Nektar-Inv-A		BMG6412S1180		Trust Share		0.002
Nektar-B		BMG6412S1347		Trust Share		0.002
Orbis Global Equity		BMG6766G1087		Trust Share		0.184
Orbis Optimal USD		BMG6766M1055		Trust Share		0.025
Pioneer Diver USD-A		BMG7100L2172		Trust Share		0.018
SPARX Long-Short-1		BMG830621287		Trust Share		0.416
Taiwan Opport Fd		BMG866001065		Trust Share		0.892

 

10

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Tewksbury Invest-B		BMG8763B1081		Trust Share		0.001
Alpha L/S Eq O EUR		BSP0185N1335		Trust Share		0.001
Challenger Fd -8-		BSP252651364		Trust Share		0.003
Chronoval Glb B/EUR		BSP253541127		Trust Share		0.010
Chron Excalib F/EUR		BSP253541465		Trust Share		0.820
Em Val Opp Fd 7B7		BSP3710T4760		Trust Share		0.001
Emerg Val Opp 5B2		BSP3718E1336		Trust Share		3.015
Enterprise Fund -E-		BSP373301006		Trust Share		0.002
Enterprise Q		BSP373303168		Trust Share		325.050
Moore Glb Invmt A		BSP697121007		Trust Share		0.001
Moore Gbl Inv F/CHF		BSP697121916		Trust Share		0.006
Moore Mac Man A		BSP6971K1002		Trust Share		0.016
Ocean TTP I/USD		BSP734501013		Trust Share		0.001
Pharmainv A/Init/06		BSP783321065		Trust Share		0.014
Pharmainves A/05/08		BSP783321222		Trust Share		0.007
World Gold EUR/NV		BSP9885N1032		Trust Share		0.022
Twr Al-Eq Lw VI EUR		CH0147438359		Trust Share		0.582
IIG Trade Oppor.		CWN4419K1499		Trust Share		0.006
P&C G1b Gold Natur		CY0000091013		Trust Share		0.902
Sydinv Int-Far East		DK0016259187		Trust Share		0.320
Jyske Int Port Stab		DK0016262058		Trust Share		0.021
Jyske Int Port Grow		DK0016262215		Trust Share		0.500
Sel Nor Amer In A		FI0008811435		Trust Share		0.010
JOM Silkkitie		FI4000003470		Trust Share		0.003
SSGA Austria I.P 4D		FR0000018137		Trust Share		0.001
SSGA Sing.I.Eq.P 4D		FR0000018426		Trust Share		0.001
SSGA Norw.I.Eq.P 4D		FR0000018434		Trust Share		0.001
SSGA He.Ca.ldx P 4D		FR0000018673		Trust Share		0.001
AXA Aedifican A 4D		FR0000170193		Trust Share		0.011
AXA Aedifican A 4D		FR0000172041		Trust Share		0.048
Comgest Japan		FR0000281495		Trust Share		0.001
Magellan C		FR0000292278		Trust Share		0.171
Renaissance Europe		FR0000295230		Trust Share		0.001
SSGA Wld Idx Eq.-I-		FR0010482901		Trust Share		0.002
SS.EIdx Eq.l USD		FR0010588020		Trust Share		0.001
SSGA No.Idx Eq.I		FR0010588244		Trust Share		0.003
SSGA Sw.Idx Eq.I		FR0010588301		Trust Share		0.002
UBAM CV Eur.AHC		FR0010928259		Trust Share		0.002
UBAM C.10-40 AHD		FR0011168764		Trust Share		0.001
UBAM Conv.Eu.AHC		FR0011168822		Trust Share		0.001
Neuf Mde Selec C		FR0011560119		Trust Share		0.001
Lloyds High Inc GBP		GB0001094027		Trust Share		0.737
Thread UK GBP-Ret-		GB0001529782		Trust Share		0.729
Thr UK Sel GBP-Ret-		GB0001530236		Trust Share		3.038
Thre UK Sml GBP-Ret		GB0001530343		Trust Share		0.886
FIM Lng-Inv Por USD		GB0001568517		Trust Share		7.416
GAM UK Div GBP-A-Ac		GB0002426426		Trust Share		0.110
GAM Glb Div GBP-A-		GB0002426533		Trust Share		0.010

 

11

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
GAM Gb Div GBP-A-Ac		GB0002426640		Trust Share		0.013
Thr Gl Sel USD-1-Ac		GB0002769312		Trust Share		4.887
Thre Amer USD-1-Acc		GB0002769429		Trust Share		1.000
Growth Mgt USD		GB0002923240		Trust Share		0.353
Fidel Amer GBP Acc		GB0003865176		Trust Share		0.470
Fid Special Sit Acc		GB0003875100		Trust Share		0.010
BNY Mel Nw Hgr Inc		GB0006779218		Trust Share		0.115
Hend Wr Se GBP-A-Ac		GB0007686321		Trust Share		2.300
Lazrd Eur Alp Re In		GB0008468844		Trust Share		0.699
Capri Cash Pls		GB0030031701		Trust Share		0.080
Nemrod Divers Hldgs		GB0030035017		Trust Share		0.001
Black Nem Eu PRP-A-		GB0030035124		Trust Share		0.104
Aris Eur Agr Se PRP		GB0030276538		Trust Share		0.006
Thread Amer Sel -2-		GB0030809809		Trust Share		6.070
M&G Nor Am EUR-A-Ac		GB0030926959		Trust Share		9.314
M&G Gl Bas Ac-A EUR		GB0030932676		Trust Share		0.821
M&G Gl Ld Acc-A-EUR		GB0030934490		Trust Share		1.130
Lyxo/Wint Cap Mgt-B		GB0031421364		Trust Share		0.006
Lyxor/Paulson Int-B		GB0031534737		Trust Share		0.002
Lyxor Resou Offsh-B		GB0031753360		Trust Share		0.002
M&G3 Recov EUR-A-Ac		GB0032139684		Trust Share		0.191
Fidelity UK Corp Gr		GB0033146563		Trust Share		0.129
Aber Em Mk GBP-A-Ac		GB0033228197		Trust Share		0.852
Dimens Emg Mkts-Ac		GB0033772624		Trust Share		0.201
Fst Glb Em Mkt Ac-A		GB0033873919		Trust Share		2.780
Fst Grt Ch GBP-A-Ac		GB0033874107		Trust Share		0.159
API Glb Ast Bld USD		GB00B00YXM43		Trust Share		0.024
Lyxor/Bridgwater -B		GB00B02KKD01		Trust Share		0.007
UBS Wlth Gl Prp GBP		GB00B0386L39		Trust Share		0.352
UBS WI GI Pr EUR-C-		GB00B0386M46		Trust Share		0.891
UBS Wlth Gl CHF-Ac		GB00B0386N52		Trust Share		0.377
UBS Wlth Gbl USD-A-		GB00B0386P76		Trust Share		0.177
JO UK Eq GBP-B-Acc		GB00B03KR831		Trust Share		0.998
Lyxor/Alt USD-B-Acc		GB00B03TCX07		Trust Share		0.002
F&C Pr Gr&In GBP-A-		GB00B06KZT77		Trust Share		0.590
Kgd Cp Gb CHF Ptg-C		GB00B082RK63		Trust Share		0.002
Trd Pn Eur-Ret-Ac		GB00B0PHJS66		Trust Share		2.327
Dan Hed DKK-Obl Acc		GB00B0XNFJ97		Trust Share		0.011
Aber Prop Shar Ac-A		GB00B0XWNM59		Trust Share		9.120
Emi Glb Suk USD Ins		GB00B1223452		Trust Share		0.015
Stenham Asia USD Fd		GB00B12DZV90		Trust Share		0.004
RECM G1b USD-A-Acc		GB00B12W4642		Trust Share		0.011
Lyx/Sand Pls Off-B-		GB00B1688D32		Trust Share		0.007
Prt Gr Gl Op EUR AC		GB00B16KPY96		Trust Share		0.013
M&G Optim Inc-A-Acc		GB00B1H05155		Trust Share		0.057
M&G Nor Am USD-A-Ac		GB00B1RXYR32		Trust Share		0.096
M&G Nor Am USD-C-Ac		GB00B1RXYS49		Trust Share		1.926
M&G Opt EUR-A-H-Ac		GB00B1VMCY93		Trust Share		1.641

 

12

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
M&G Opt EUR-C-H-Acc		GB00B1VMD022		Trust Share		0.009
M&G Nor Am EUR-A-Ac		GB00B2QWD268		Trust Share		0.067
M&G Gl Div EUR-A-Ac		GB00B39R2S49		Trust Share		0.021
M&G Gl Div USD-A-Ac		GB00B39R2V77		Trust Share		0.022
M&G Gb Em EUR-A-Ac		GB00B3FFXZ60		Trust Share		0.383
M&G Gb Em EUR-C-Ac		GB00B3FFY088		Trust Share		0.660
M&G Gb Emg USD-A-Ac		GB00B3FFY203		Trust Share		1.731
M&G Gb Emg USD-C-Ac		GB00B3FFY310		Trust Share		3.532
Thrd High EUR-1-Ac		GB00B42R2118		Trust Share		0.216
M&G Inv Rec GBP-I-		GB00B4VSCB59		Trust Share		0.999
M&G Opt USD-A-H-Acc		GB00B4WS3X34		Trust Share		1.076
M&G Rec GBP-I-Acc		GB00B4X1L373		Trust Share		0.057
M&G Nor Am EUR-C-Ac		GB00B4XS0L96		Trust Share		3.220
M&G Opt USD-C-H-Acc		GB00B50N1C28		Trust Share		0.010
M&G Dyn EUR-A-Ac		GB00B56H1S45		Trust Share		0.037
Van US Eq In GBP-Ac		GB00B5B71Q71		Trust Share		0.005
Hen Cr Alp USD-A-Ac		GB00B603K666		Trust Share		0.120
Schr Abs UK P2/EUR		GB00B6456719		Trust Share		12.037
Thnd In UK GBP-Z-Ac		GB00B84PM559		Trust Share		0.295
CF Od Opus GBP-A-Ac		GB00B87YPX87		Trust Share		11.000
M&G Opt CHF-A-H-Acc		GB00B8CS6N28		Trust Share		0.049
M&G Op Inc EUR-A-H-		GB00B933FW56		Trust Share		0.015
Thrd Am Se EUR-Z-Ac		GB00B978R535		Trust Share		0.330
M&G Alloc EUR-A-Acc		GB00BBCR3283		Trust Share		0.019
M&G Opt In USD-A-H-		GB00BK6MCN62		Trust Share		0.130
M&G Opt SGD-A-H-Ac		GB00BQSC1T56		Trust Share		0.021
M&G Opti USD-A-H M-		GB00BSKRTM18		Trust Share		0.027
Th Pan USD-Ret-1-Ac		GB00BTN28564		Trust Share		0.103
St Renminbi A USD		GG00B284YJ47		Trust Share		0.006
Strat St Renm A GBP		GG00B284YK51		Trust Share		0.001
Strat St Renm A EUR		GG00B284YN82		Trust Share		0.002
Ash USD-30/4/13 Con		GG00B284ZN57		Trust Share		0.001
Man Di A USD-TrA-Ac		GG00B29ZYR48		Trust Share		2.000
Man Di A USD-TrB-Ac		GG00B29ZZ042		Trust Share		10.658
SPL Sec Ven GBP Ac		GG00B2R4PB46		Trust Share		0.255
Man Di B EUR-TrA-Ac		GG00B3CTZB13		Trust Share		1.000
Man Di C CHF-TrA-Ac		GG00B3CTZD37		Trust Share		12.000
Man Di B EUR-TrB-Ac		GG00B3CZNT35		Trust Share		21.010
Man Di C CHF-TrB-Ac		GG00B3CZNV56		Trust Share		7.620
FIM DInamic USD Acc		GG00B3WHMS19		Trust Share		0.003
Sten Grw USD-Acc		GG00B55V5W96		Trust Share		0.001
Strat Renmi CHF-B-		GG00B6QFL742		Trust Share		0.004
Strat Ren Bd USD-B-		GG00B77KDD54		Trust Share		0.002
DX Evol DXE EUR Acc		GG00B81T0455		Trust Share		0.037
DX Evol DXE USD Acc		GG00B81T0M36		Trust Share		0.010
Ash Global Opp USD		GG00BV0M1R63		Trust Share		0.600
Find Park Ame USD		IE0002458671		Trust Share		0.009
PIMCO Rtn Bd Ins Ac		IE0002460867		Trust Share		0.026

 

13

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Van US500 USD-In-Ac		IE0002639668		Trust Share		0.130
Van US500 St USD-Ac		IE0002639775		Trust Share		3.782
Alnz China USD-A-		IE0002817751		Trust Share		0.081
Alz Korea EUR-A-		IE0002817868		Trust Share		0.156
GAM Euro EUR-Ord-		IE0002987208		Trust Share		0.008
GAM Star Asia EUR		IE0002994667		Trust Share		0.004
GAM St AP GBP-Ord-		IE0003000563		Trust Share		0.641
GAM Jap EUR-Acc-		IE0003012535		Trust Share		0.017
GAM Jap JPY-Acc-		IE0003014572		Trust Share		0.358
RIC As Pac USD-A-Ac		IE0003506973		Trust Share		0.007
Invesco Korea Eqt-A		IE0003713199		Trust Share		0.020
Invesco Korea Eqt-A		IE0003842543		Trust Share		0.044
Jan Hg Yld USD-A-Ac		IE0004446971		Trust Share		0.021
Ins Cas USD-Core-Ac		IE0004810143		Trust Share		0.010
Jan US Sht USD-A-Ac		IE0004858563		Trust Share		0.008
PIMCO Rtn Bnd Invst		IE0005300136		Trust Share		0.157
PIMCO Rtn Bd lnv Ac		IE0005300243		Trust Share		5.731
PIM US Hg USD-Iv-Ac		IE0005300805		Trust Share		0.007
Pimco Euro Bnd Invs		IE0005304559		Trust Share		0.017
PlMCO Eur Bd Inv Ac		IE0005304773		Trust Share		0.592
GAM Euro USD-Ord-Ac		IE0005616481		Trust Share		0.010
Van Pac ExJp In USD		IE0007218849		Trust Share		0.010
Van Jpn EUR-Inst-Ac		IE0007286036		Trust Share		0.010
Van In Eu Stk Inx		IE0007987690		Trust Share		0.036
Va Eu Stk Ind Ins		IE0007987708		Trust Share		0.011
Fst State gb Gwt-I-		IE0008368742		Trust Share		0.002
Jan Gl Lif USD-A-Ac		IE0009355771		Trust Share		0.006
Mel Gl Al In San-A-		IE0030524734		Trust Share		0.002
Mel Gl Al In EUR-B		IE0030524841		Trust Share		0.105
Verit Glb Foc USD-A		IE0030741650		Trust Share		0.010
PIMCO Emg Bd Ac Ins		IE0030759645		Trust Share		0.003
Polar Cap Japan Fd		IE0030972586		Trust Share		4.801
Jan US Sht Trm-B-		IE0031119542		Trust Share		0.834
Trd F&C Hg In GBP-A		IE0031221728		Trust Share		0.462
GS Euro Liquid Acc		IE0031296019		Trust Share		0.001
UBS Sel USD-Inv-Ac		IE0031437316		Trust Share		0.157
EV US Yld USD-A2		IE0031519493		Trust Share		0.176
LM Roy Sm USD-A-		IE0031619046		Trust Share		0.062
PIMCO Rtn Bnd Acc-A		IE0032303764		Trust Share		0.008
Parus Fund USD		IE0032544847		Trust Share		0.008
Franklin Flt Rate-A		IE0032578035		Trust Share		0.612
Trd F&C Em EUR-A-		IE0032605770		Trust Share		0.197
Magna East EUR-C-		IE0032812996		Trust Share		0.146
PIM Gl EUR- Ins-Acc		IE0032876397		Trust Share		0.017
JO Hamb Cont EUR-B		IE0033009014		Trust Share		0.112
UOB Gl Para USD-B-		IE0033459359		Trust Share		0.007
Pimco Rl Rtn Inv Ac		IE0033591961		Trust Share		0.006
Pim Glb Re USD-lnv		IE0033592043		Trust Share		0.012

 

14

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
LM Bw GFI USD-A-S		IE0033637442		Trust Share		0.059
Pim Tot-Ac In Eu Hd		IE0033989843		Trust Share		0.016
PIM Glb Inv Acc Ins		IE0034085260		Trust Share		0.820
Vangrd US Inv-Ac		IE0034156459		Trust Share		0.010
LM Royce USD-A-		IE0034390439		Trust Share		0.002
Nat LS Mlt USD-R/D-		IE00B00P2J79		Trust Share		0.009
PIM Tot Ret Inv acc		IE00B0105X63		Trust Share		0.857
Mellon Sanctry II-A		IE00B01CC644		Trust Share		0.007
Mell San II EUR-B-		IE00B01CC750		Trust Share		0.015
Mell San ll CHF-D-		IE00B01CCB90		Trust Share		0.001
GLG Glb DL/USD		IE00B01D8Z85		Trust Share		0.001
GLG Glb Eq D/H/EUR		IE00B01D9B17		Trust Share		0.020
GLG Eurp Eqty D H		IE00B01D9D31		Trust Share		0.008
GLG Erpn Eqty D/EUR		IE00B01D9G61		Trust Share		0.005
Veritas Asia GBP-A-		IE00B02T6J57		Trust Share		0.001
Veritas Asia USD-A-		IE00B02T6L79		Trust Share		0.013
Veritas Asia EUR-A		IE00B02ZFR42		Trust Share		0.005
Rus Glb USD-EH-B-Ac		IE00B036K821		Trust Share		0.039
Vanguard US Opp-Inv		IE00B03HCW31		Trust Share		0.020
Tenax Financials-A-		IE00B047Y266		Trust Share		0.001
Ver GI Eq Inc GBP-A		IE00B04TTW78		Trust Share		0.011
Wellington Gl Hlt-A		IE00B0590K11		Trust Share		0.015
Pm Gb Gr USD-Inv-Ac		IE00B05K1Q71		Trust Share		0.007
Advance Emg Mkt -A-		IE00B05KMT78		Trust Share		0.008
PIM Gl Inv EUR-H-Ac		IE00B063CF11		Trust Share		0.015
PREFF Pan-Eu Real-D		IE00B06YB912		Trust Share		0.005
Trd F&C Hg In EUR-A		IE00B0BYXQ73		Trust Share		0.687
Trd F&C Hg In GBP-A		IE00B0BYYC03		Trust Share		1.107
Trd F&C Hg In USD-A		IE00B0BYZ839		Trust Share		4.188
DCI Invmt Grd A		IE00B0GZN096		Trust Share		0.422
DCI Invmt Grd B/EUR		IE00B0GZPH03		Trust Share		0.003
DCI Invmt Grd C/CHF		IE00B0GZQ883		Trust Share		1.148
Inv Con Eq EUR-E-Ac		IE00B0H1Q632		Trust Share		0.020
DCI Invmt Grd A/USD		IE00B0H4TQ32		Trust Share		0.004
GAM Wor Eq USD-Ord		IE00B0HF2Z67		Trust Share		0.008
PIMCO Gl Tot Retr-E		IE00B0M2Y900		Trust Share		0.191
iSh Eu In Li EUR-Ac		IE00B0M62X26		Trust Share		0.007
Arg Pan Eu EUR-A-		IE00B0S5SH97		Trust Share		0.063
Arg Pan Eu GBP-A-		IE00B0S5SK27		Trust Share		0.135
PIMCO Em Mk-Ins CHF		IE00B0TWNK73		Trust Share		0.024
Verit Asian GBP-B-		IE00B0WFLD21		Trust Share		0.002
Veritas Asia USD-B-		IE00B0WFLF45		Trust Share		0.001
Veritas Asia-B-EUR		IE00B0WFLG51		Trust Share		0.521
Ver Gb Eq In GBP-B-		IE00B0WFLHG8		Trust Share		0.008
Ver G Eql In USD-B-		IE00B0WFLJ82		Trust Share		0.068
Pim Euro Bd -E- Acc		IE00B11XYY66		Trust Share		0.043
Pim Gl Inv-E-EUR Ac		IE00B11XZ434		Trust Share		0.374
Pim Tot Rt Bd-E-Acc		IE00B11XZ988		Trust Share		0.196

 

15

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Pim Tot Rtn-E-Ac EU		IE00B11XZB05		Trust Share		0.321
BNY EMD Loc EUR -A-		IE00B11YFH93		Trust Share		1.077
BNY EMD Loc Cur-A-		IE00B11YFM47		Trust Share		0.261
Sec In Zen USD-A-Ac		IE00B12L9003		Trust Share		0.001
NB Hi Yl USD-l-Ac		IE00B12VW565		Trust Share		0.309
NB Hi Yl USD-A-Ac		IE00B12VW672		Trust Share		8.856
NB Hi Yl EUR-A-Ac		IE00B12VWB25		Trust Share		0.293
Pimco Div Inc-Ins		IE00B138GV00		Trust Share		0.016
PIM Divers Incom-E-		IE00B193MK07		Trust Share		0.149
LM Roy Sm USD-A-Ac		IE00B19Z4B17		Trust Share		0.552
LM Ry Sm EUR-A-Ac		IE00B19Z4C24		Trust Share		0.001
LM Cbr Ag USD-A-Ac		IE00B19Z9Q15		Trust Share		0.064
LM Cbr Agg USD-A-Ac		IE00B19Z9Z06		Trust Share		0.046
LM Cbr Agg EUR-A-Ac		lE00B19ZB094		Trust Share		0.002
LM Cbr App USD-A-Ac		IE00B1BXHZ80		Trust Share		0.001
Pm Yl USD-E-RT-Ac		IE00B1D7YM41		Trust Share		0.012
TT Intl Eur Eqty-B-		IE00B1DPRZ29		Trust Share		0.031
GaveKal Know USD-A-		IE00B1DS1042		Trust Share		0.018
Lontana Cerrado -I-		IE00B1DT0H77		Trust Share		0.001
ACPI Glb USD-A-Acc		IE00B1FQCD60		Trust Share		0.001
ACPI Glb EUR-B-Acc		IE00B1FQCF84		Trust Share		0.001
ACPI Glb Fx GBP-C-		IE00B1FQCG91		Trust Share		0.005
NB Hi Yl GBP-A-		IE00B1G9WG75		Trust Share		0.010
NB Hgh Yld USD-A-		IE00B1G9WM36		Trust Share		0.010
Lz Em Mkt-Inst- USD		IE00B1L6MF22		Trust Share		0.051
PIM Tot Rt SGD-E-Ac		IE00B1LHWR71		Trust Share		0.031
Atl Target Italy-A-		IE00B1V6R242		Trust Share		0.033
Atlante Euro Flex-A		IE00B1V6R465		Trust Share		0.019
GAM China Eq USD-Ac		IE00B1W3WR42		Trust Share		5.912
Dim Eur Val GBP		IE00B1W6CX94		Trust Share		0.008
SSGA Liq USD-I-Acc		IE00B1XG4657		Trust Share		0.030
Nat LS High USD-S/D		IE00B1YN1G43		Trust Share		0.134
Na LS EUR-H-S/A-Ac		IE00B1Z6CV40		Trust Share		0.053
Nat LS USD-S/A-Ac		IE00B23XDW28		Trust Share		0.086
LM WA Gbl EUR-A-Ac		IE00B23Z7J34		Trust Share		0.001
LM Ry Sm USD-Pre-Ac		IE00B23Z8S99		Trust Share		0.495
LM Royce USD-Pm-Ac		IE00B23ZBZ74		Trust Share		0.002
LM US PI USD-Pr-Acc		IE00B241B875		Trust Share		0.003
Kam Hi Yl Gb USD-A-		IE00B2496206		Trust Share		0.010
Black Eu Bd-A-US Hg		IE00B28Q7L38		Trust Share		0.010
Atlante EUR-I-Acc		IE00B28YL824		Trust Share		0.014
Kam Hi Yld EUR-A-Ac		IE00B296X584		Trust Share		0.010
BNY LT Glb USD-A-Ac		IE00B29M2J34		Trust Share		5.268
Prus As Sm USD-A-Ac		IE00B2PKN210		Trust Share		0.010
Salar EUR-A1-Acc		IE00B2PLHB10		Trust Share		0.017
Salar A1/USD		IE00B2PLHH71		Trust Share		0.010
LM WA Asn USD-A-Ac		IE00B2Q1FD82		Trust Share		0.002
TT Europ EUR-D-Acc		IE00B2R0SD52		Trust Share		0.040

 

16

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
PIM Inv Cr USD-E-		IE00B2R34T20		Trust Share		0.219
PIM Gl Yd EUR-In-Ac		IE00B2R34Y72		Trust Share		0.013
DCI Enhnd Med A/USD		IE00B39RT380		Trust Share		0.084
Atlante Asia-A-Acc		IE00B3BM9X16		Trust Share		0.025
GAM Con USD-Inst-Ac		IE00B3CTFV14		Trust Share		0.170
GAM Con EUR-Inst-Ac		IE00B3CTFW21		Trust Share		0.010
GAM SUSAC EUR-In-Ac		IE00B3CTH599		Trust Share		0.478
E.I Str Chi USD-Ac		IE00B3DKH950		Trust Share		0.001
E.I Str Chi EUR-Ac		IE00B3DKHB71		Trust Share		0.003
DCI Enhnd Med B/EUR		IE00B3F44720		Trust Share		0.148
Pol Cap Jpn JPY-I-		IE00B3FH9W18		Trust Share		0.359
PIM Un USD-Ins-Ac		IE00B3FNF987		Trust Share		0.501
PIM Inv -E-Acc		IE00B3K7XK29		Trust Share		0.220
Pol Jpn USD-R-Hdg		IE00B3K8Z218		Trust Share		0.402
PIM Gl Inv USD-Inv		IE00B3KQH184		Trust Share		0.085
UBS Gl USD-I-B-Ac		IE00B3L69P50		Trust Share		0.011
SW Mitchel B/EUR		IE00B3LKSX80		Trust Share		0.004
UBS Glb Em GBP-P-Ac		IE00B3M75S25		Trust Share		0.431
Chey Convert D2/EUR		IE00B3M96P23		Trust Share		0.099
ACPI Em Mk EUR-E-Ac		IE00B3MC6Z15		Trust Share		0.006
PIM Unco USD-Inv-Ac		IE00B3MQX419		Trust Share		0.032
Hep Yac US Eq USD-A		IE00B3N32X37		Trust Share		0.111
DCI Invmt Grd B/EUR		IE00B3N6HK40		Trust Share		0.014
GLG Eup CHF-DN H-Ac		IE00B3N8Z959		Trust Share		0.001
PIM Un CHF-E-Hdg-Ac		IE00B3NHMY62		Trust Share		0.248
Pol Jpn USD-I-Hdq		IE00B3NMNX73		Trust Share		0.016
Cr Mgd Fut CHF-H-Ac		IE00B3PT4X32		Trust Share		0.025
UBS IrI USD-I-B-Ac		IE00B3PY8696		Trust Share		0.005
Asp Di EUR-C-Ins-Ac		IE00B3Q12S92		Trust Share		0.001
ACPI Glob USD-D-Acc		IE00B3Q71795		Trust Share		0.005
PIM Unc EUR-Inv-Ac		IE00B3QDZQ43		Trust Share		0.261
FundLogic Ind A/USD		IE00B3QVSM51		Trust Share		0.004
Nom US Hig EUR-A-Ac		IE00B3RW6Z61		Trust Share		0.002
Nom US Hig USD-A-Ac		IE00B3RW7J78		Trust Share		0.005
Nomu US Hi USD-I-Ac		IE00B3RW8498		Trust Share		0.001
Pol Cap Jpn JPY-R-		IE00B3S0VG50		Trust Share		1.007
PIMCO Glbl CHF-E-Ac		IE00B3SL5777		Trust Share		0.018
PIM Unco USD-Inv-		IE00B3V1X819		Trust Share		0.016
MW TOPS EUR-A-Acc		IE00B3V2GW93		Trust Share		0.022
MW TOPS GBP-A-Acc		IE00B3V2HM60		Trust Share		0.002
Nomura Jap JPY-A-Ac		IE00B3VTHJ49		Trust Share		0.001
Crown LGT Mgd G/CHF		IE00B3W4QT19		Trust Share		0.002
DCI Enhnd B/EUR		IE00B3XSG698		Trust Share		0.644
PIMCO Unco USD-E-Ac		IE00B3Y6DR28		Trust Share		0.228
Ins EUR EUR-Pre-Acc		IE00B3ZJFC95		Trust Share		0.340
CA Gen Mac CHF-K-Ac		IE00B40JD496		Trust Share		0.006
Secto Heal USD-A-Ac		IE00B40JDW74		Trust Share		0.002
Lazard Instl GBP		IE00B40NP344		Trust Share		0.025

 

17

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
DCI Enhnd Sht A/USD		IE00B40P7348		Trust Share		0.426
NC Wealth Nat GBP-D		IE00B40Z9H20		Trust Share		0.021
NC Nat Bd USD-A-		IE00B410WP56		Trust Share		0.411
Gug Gl GHY USD-A-Ac		IE00B416DC74		Trust Share		0.004
Gam Cat CHF-Ord-Acc		IE00B416MD15		Trust Share		0.013
MW TOPS USD-A-Acc		IE00B41LP825		Trust Share		0.055
MW TOPS EUR-B-		IE00B41LPR15		Trust Share		0.002
Laz Em USD-Ret-Acc		IE00B42CK898		Trust Share		1.027
DCI Enhnd C/CHF		IE00B42MCJ42		Trust Share		0.068
MW TOPS USD-D-Acc		IE00B42WFT52		Trust Share		0.528
Nevsky USD/NI		IE00B42ZNM31		Trust Share		0.011
Polar Cap Gl USD-R-		IE00B433M743		Trust Share		0.005
MS PSAM USD-I-Acc		IE00B44LF788		Trust Share		0.004
MW TOPS GBP-D-Acc		IE00B44RGX92		Trust Share		0.018
MW TOPS EUR-D-Acc		IE00B44XJK54		Trust Share		0.156
MS PSAM EUR-I-Acc		IE00B45QDY52		Trust Share		0.001
Laz Em GBP-Ret-Acc		IE00B45W5W54		Trust Share		0.044
PIMCO Unco USD-E-		IE00B464K924		Trust Share		0.043
Sha Str BraUSD-E-Ac		IE00B469XC19		Trust Share		0.004
NB Hgh Yld USD-A-		IE00B4KRFX62		Trust Share		0.942
SWMC Eurp B/EUR		IE00B4LH9995		Trust Share		0.002
ACPI Ind USD-A2-AC		IE00B4MBWS07		Trust Share		0.004
Mont Wan USD-Ins-Ac		IE00B4MFRC16		Trust Share		2.542
Div Dy Sol USD-G-Ac		IE00B4N7TW07		Trust Share		0.001
NC Wea Nat SGD-Ins-		IE00B4NVFJ12		Trust Share		0.010
Gam St Cat EUR-Ins-		IE00B4P5W348		Trust Share		0.030
Win Glb Eq USD-Z-Ac		IE00B4PCFY71		Trust Share		0.004
SW Mitchel Sm B/CHF		IE00B4PGPK55		Trust Share		0.001
ACPI Ind EUR-B3-Ac		IE00B4PHZK86		Trust Share		0.001
Laz Emr USD-Inst-Ac		IE00B4PRR915		T rust Share		1.415
Vert China USD-A-		IE00B4QQFR16		Trust Share		0.002
AAM Al Ausonio-A-Ac		IE00B4R18099		Trust Share		0.002
PIM Un EUR-Ins-Ac		IE00B4R5BP74		Trust Share		0.307
Nom Jap St USD-I-Ac		IE00B4S5JV84		Trust Share		0.002
HSBC Adv EUR Acc		IE00B4T7Y304		Trust Share		0.010
SW Mitchel B/USD		IE00B4TH6019		Trust Share		0.001
Odey Sw EUR-I-Acc		IE00B4WC4097		Trust Share		0.005
Pol Cap Jp EUR-I-Hg		IE00B506DH05		Trust Share		0.096
Atl Gr Asi EUR-I-Ac		IE00B50NJG20		Trust Share		0.004
Cheyn Glb GC-D1/EUR		IE00B511RX85		Trust Share		0.020
NB High Yld SGD-A-		IE00B513D147		Trust Share		0.085
Con Eqty USD-Inv-Ac		IE00B51RNK56		Trust Share		0.019
Salar EUR-E2-Acc		IE00B520G822		Trust Share		0.010
Polar North USD-I-		IE00B531PK96		Trust Share		0.095
Atlan Trg EUR-A-Ac		IE00B53QWG92		Trust Share		0.013
NB Gr Chi USD-A-Ac		IE00B543WZ88		Trust Share		0.007
Odey Giano EUR Acc		IE00B547H229		Trust Share		0.010
Fundlo MS AIg I/EUR		IE00B549D646		Trust Share		0.001

 

18

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
GLG Eqt USD-IN H-Ac		IE00B54VK141		Trust Share		0.005
Pol Cap Jp EUR-R-Hg		IE00B550VK60		Trust Share		0.041
GLG Eurp Eq DN/EUR		IE00B5591813		Trust Share		0.001
GLG Eurp DN/H/USD		IE00B55G5T10		Trust Share		0.002
GLG Japan I/H/USD		IE00B5646799		Trust Share		0.013
GLG Japan D/H/EUR		IE00B5648R31		Trust Share		0.016
GLG Japan D/JPY		IE00B5649C52		Trust Share		0.001
GLG Jap Co JPY-I-Ac		IE00B5649G90		Trust Share		0.003
GLG Japan D/H/USD		IE00B56CKP98		Trust Share		0.042
Atlante EUR-A-Acc		IE00B56Y2Z99		Trust Share		0.004
GLG Japan I/H/EUR		IE00B578XK25		Trust Share		0.001
Atl Tr ltl EUR-I-Ac		IE00B57Z8L94		Trust Share		0.015
GAM Glb Rat USD-Ord		IE00B5982S18		Trust Share		0.010
GAM Gl Rat USD-A-Ac		IE00B59GB660		Trust Share		0.010
GAM Glb Ra EUR-A-Ac		IE00B59GC072		Trust Share		0.019
GAM St Di FX USD-Ac		IE00B5B2QS94		Trust Share		0.010
PIMCO Unco EUR-E-Ac		IE00B5B5L056		Trust Share		0.693
GAM Loc CHF-Ord-Acc		IE00B5BCDZ51		Trust Share		0.020
PIM Gl Bd GBP-E-		IE00B5BG2273		Trust Share		0.108
UBS Gl USD-I-1-Ac		IE00B5BGP398		Trust Share		0.005
GAM Glb Rat USD Ac		IE00B5BJ0779		Trust Share		0.040
GAM Emrg CHF-Acc		IE00B5BN2L77		Trust Share		0.030
Stryx Reserve EUR		IE00B5KQZR41		Trust Share		0.010
FL MS PSAM EUR-C-Ac		IE00B5KY0S47		Trust Share		0.001
UBS Gl USD-I-2-Ac		IE00B5L05M09		Trust Share		0.008
I-B-acc (EUR)		IE00B5L0CB82		Trust Share		0.001
Nat LS EUR-R/A-Acc		IE00B5L92821		Trust Share		0.011
UBS Gl Em SGD-P-Ac		IE00B5LN9509		Trust Share		0.006
Nat LS HI USD-R/D		IE00B5LW8F04		Trust Share		2.915
Polar North EUR-I-		IE00B5NRXC53		Trust Share		0.235
FL MS PSAM USD-P-Ac		IE00B5SGLM38		Trust Share		0.002
UBS Gl Em USD-P-Ac		IE00B5T8QC31		Trust Share		0.036
GAM St Tech USD-Acc		IE00B5THWW23		Trust Share		0.030
GAM Emrg Mkt USD-Ac		IE00B5V4MS78		Trust Share		0.070
GAM Dynmc USD-Acc		IE00B5V8M567		Trust Share		0.020
NB Hi Yd CHF-A-Ac		IE00B5YDJD53		Trust Share		0.345
GLG Alp EUR-DN H-Ac		IE00B5ZNKR51		Trust Share		0.032
CA Gen Mac USD-I-Ac		IE00B60FPB25		Trust Share		0.001
GLG Al Sl USD-B-Ac		IE00B6116G19		Trust Share		0.002
Polar North GBP-I-		IE00B615SX48		Trust Share		0.062
CA Gen Mac EUR-B-Ac		IE00B616QL19		Trust Share		0.003
ACPI Em Mk GBP-F-Ac		IE00B618H921		Trust Share		0.001
ACPI Gl Fx EUR-E-Ac		IE00B61D4S58		Trust Share		0.021
ACPI Em Mk USD-A-Ac		IE00B61KDS97		Trust Share		0.003
Shn Fn HI USD-A-Ac		IE00B62KTH91		Trust Share		0.014
Pim EM Cor EUR-E-Ac		IE00B62MZF51		Trust Share		0.508
PIMCO Unco GBP-E-Ac		IE00B62Z3J44		Trust Share		0.011
GAM Kyns USD-A-Acc		IE00B632MM04		Trust Share		0.020

 

19

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
FL MS PSAM USD-C-Ac		IE00B63LR882		Trust Share		0.003
Rus Str USD-DH-B-Ac		IE00B643SZ75		Trust Share		0.009
MW TOPS A/USD		IE00B64DFP60		Trust Share		0.001
ACPI Em Mk USD-D-Ac		IE00B64S7Y42		Trust Share		0.005
KBI In Wat EUR-H-Ac		IE00B64V3N43		Trust Share		0.122
GLG Japan I/H/GBP		IE00B64XDT64		Trust Share		0.006
MW Glb Opp EUR-A-Ac		IE00B64Z2H35		Trust Share		0.089
Adelphi Erpn D/EUR		IE00B65NG183		Trust Share		0.007
Chey Convert I2/EUR		IE00B66KDQ29		Trust Share		0.001
Cr Mgd Fut EUR-C-Ac		IE00B66MZ845		Trust Share		0.009
Cr Mgd Fut USD-B-Ac		IE00B66PKW27		Trust Share		0.002
DCI Dive One GBP-A-		IE00B684PL17		Trust Share		0.303
Cr Mgd Fut EUR-F-Ac		IE00B68JQ242		Trust Share		0.002
Aspect Div-USD-A-Ac		IE00B68SRM84		Trust Share		0.003
Pim EM Cor USD-E-Ac		IE00B6QRWH71		Trust Share		0.100
Atl Low Co EUR-A-Ac		IE00B6R52H01		Trust Share		0.001
Hep Opp De USD-I-Ac		IE00B6RSJ564		Trust Share		0.020
GAM St EUR-Ins-Acc		IE00B6TLWG59		Trust Share		0.030
NB High Yld EUR-I2-		IE00B6TSGL97		Trust Share		0.012
Polar North EUR-I-		IE00B6TT5J34		Trust Share		0.177
Kam Ab Ret EUR-C-Ac		IE00B6TYL671		Trust Share		0.013
NC Weal Nat USD-Ord		IE00B6VQXN27		Trust Share		0.070
GAM St USD-Ins-Acc		IE00B6WYL972		Trust Share		0.140
BNY Abst USD-T-		IE00B6YQBR91		Trust Share		0.002
Bab Cap Eur-TrC-Acc		IE00B6YX4X70		Trust Share		0.002
Bab Cap Eur-Tr-C		IE00B6YX4Y87		Trust Share		0.002
Bab Cap USD-TrC-Acc		IE00B6YX5129		Trust Share		0.002
Bab Cap C/USD/Dis		IE00B6YX5236		Trust Share		0.001
Rus St Yld EUR-B-Ac		IE00B72WMF11		Trust Share		0.001
Hep Opp De USD-A-Ac		IE00B76BMG52		Trust Share		0.060
NB US Mu USD-A-1-Ac		IE00B775SV38		Trust Share		0.011
Bab Hi Yld USD-TrD-		IE00B78MRR26		Trust Share		0.001
Chey Convert D4/CHF		IE00B79H1N00		Trust Share		0.004
DCI Enhnd Med C/CHF		IE00B7CPYS73		Trust Share		0.003
Polar Asian USD-A-		IE00B7D5M829		Trust Share		0.001
NB Sh Hi USD-A-Ac		IE00B7FN4D31		Trust Share		0.022
DCI Enhnd B/EUR		IE00B7JRY313		Trust Share		0.008
Neu Gl SF USD-A-Ac		IE00B7JT2L16		Trust Share		0.024
Pim Inc. USD-E-Acc		IE00B7KFL990		Trust Share		0.404
BNY EMD Lc Cu USD-W		IE00B7RFHJ47		Trust Share		0.105
NC China USD-Ord-Ac		IE00B7TWVK27		Trust Share		0.020
NB High Yld AUD-A-		IE00B7VR8263		Trust Share		0.143
Kam Hi Yld CHF-A-Ac		IE00B8188H17		Trust Share		0.218
Pim EM Cor CHF-E-Ac		IE00B83PHY03		Trust Share		0.242
BNY EMD Lo Cu EUR-W		IE00B83TY525		Trust Share		0.655
Lyxor Tiedema A/CHF		IE00B84HYP51		Trust Share		0.005
PIM Gl Inc EUR-E-Ac		IE00B84J9L26		Trust Share		0.103
Sand Cap USD-H-Acc		IE00B85KB857		Trust Share		0.027

 

20

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBS Glb EUR-I-B-Acc		IE00B85KLG36		Trust Share		0.003
NB High EUR-I2-Acc		IE00B86LQM64		Trust Share		0.809
Gam Str Cat USD-QO-		IE00B87CXQ12		Trust Share		0.040
NB High Yld HKD-A-		IE00B87ZP976		Trust Share		0.082
Neu Gl Se Fl USD-A-		IE00B8809337		Trust Share		0.193
NB High Yld USD-I2-		IE00B8BBXZ30		Trust Share		0.056
Lyxor Tiedem EB/EUR		IE00B8BS6228		Trust Share		0.009
Lyxor Tiedema A/USD		IE00B8HSRJ09		Trust Share		0.038
Marketfie Dub A1/UR		IE00B8J33G20		Trust Share		0.001
Algb Fi Cd EUR-R-Ac		IE00B8J38129		Trust Share		0.006
PIM Glb In USD-Ins-		IE00B8JDQ960		Trust Share		0.019
PlM Glb Inv USD-E-		IE00B8K7V925		Trust Share		1.564
PIM Glb Inv EUR-E-		IE00B8N0MW85		Trust Share		0.021
NB High USD-I2-Acc		IE00B8QBJF01		Trust Share		1.608
Atlante EUR-MC-Acc		IE00B8S75Y75		Trust Share		0.005
Bab Cap E/EUR/Acc		IE00B8W6PX94		Trust Share		0.009
Bab Cap E/EUR/Dist		IE00B8W6PY02		Trust Share		0.005
Bab Cap E/USD		IE00B8W6Q923		Trust Share		0.016
Bab Cap E/USD		IE00B8W6QC56		Trust Share		0.019
Lyxor Tiedema I/USD		IE00B905SX62		Trust Share		0.010
BNY LT Glb EUR-W-Ac		IE00B90PV268		Trust Share		0.781
PIM Glb In SGD-Adm-		IE00B91RQ825		Trust Share		0.239
PIM Glb In USD-Adm-		IE00B91X6F72		Trust Share		0.190
NB Hg Yd AUD-T-		IE00B9276R08		Trust Share		0.011
NB High Yld USD-T-		IE00B9276V44		Trust Share		0.097
Glb Inv Inc HKD-E-		IE00B92ZW543		Trust Share		0.087
Pol Jpn CHF-R-		IE00B94HF377		Trust Share		0.030
Hep Yack USD-I1-Acc		IE00B94T1N53		Trust Share		0.040
MW TOPS USD-F-		IE00B95DZC31		Trust Share		0.002
PIM Cre Ab USD-E-Ac		IE00B95GFL15		Trust Share		0.012
MW TOPS EUR-F		IE00B95P7G77		Trust Share		0.005
Atl Eva Eu EUR-I-Ac		IEooB98CMV56		Trust Share		0.147
Neu Gl Se SGD-A-		IE00B98XTX94		Trust Share		0.009
NB EM LC USD-A-Ac		IE00B99K7H95		Trust Share		0.026
Lyxor Tiedema A/EUR		IE00B9DCSJ09		Trust Share		0.001
Glb Inv Inc. SGD-E-		IE00B9HH6X13		Trust Share		0.012
Neu Gl Sen AUD-A-		IE00B9JF3J89		Trust Share		0.024
Atl Swi Eq CHF-I-Ac		IE00B9KKW407		Trust Share		0.173
Atl Eva US USD-I-Ac		IE00B9KL2L09		Trust Share		0.105
KBI In Wat USD-A-Ac		IE00B9KR3V52		Trust Share		0.119
BNY LT Gl USD-W-Acc		IE00BB7N4C80		Trust Share		0.274
MW TOPS CHF-A-Acc		IE00BBP6LG21		Trust Share		0.001
MW TOPS CHF-D-Acc		IE00BBP6LH38		Trust Share		0.007
Le Ma Op USD-Pre-Ac		IE00BC9S3W16		Trust Share		0.001
Legg We Ma USD-A-Ac		IE00BC9S3Z47		Trust Share		0.622
SW Mitchel C/EUR		IE00BC9SB949		Trust Share		0.016
NB Hg Yie CHF-I2-Ac		IE00BCDYX925		Trust Share		1.530
PIM Gl Eur EUR-S-Ac		IE00BCRX0X83		Trust Share		0.221

 

21

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
PIM Gl Inv EUR-S-Ac		IE00BCRX1138		Trust Share		0.233
PIM Gl Inv CHF-S-Ac		IE00BCRX1245		Trust Share		0.052
PIM Tot Rt USD-S-Ac		IE00BCRX1351		Trust Share		0.626
ACPI Gl Cr GBP-F-Ac		IE00BCRY5R01		Trust Share		0.018
UBS Gb Em USD-F-Acc		IE00BCZQHP08		Trust Share		11.168
DCI Enhnd C/CHF		IE00BD052767		Trust Share		0.288
Gem L&C Gr GBP-X-Ac		IE00BDV09N52		Trust Share		0.001
Gem L&C St GBP-X-		IE00BDV09S08		Trust Share		0.001
Gem Gbl Co GBP-X-		IE00BDV0B170		Trust Share		0.001
Gem Gbl Ba GBP-X-		IE00BDV0B519		Trust Share		0.001
NB Ab Ret USD-A-Ac		IE00BF10B228		Trust Share		0.011
Res UK Fi In GBP-B-		IE00BFN0KH80		Trust Share		0.023
Re UK Fix GBP-B-Acc		IE00BFN0KJ05		Trust Share		0.004
Res UK Fi In GBP-C-		IE00BFN0KL27		Trust Share		0.003
Res UK Fi In GBP-D		IE00BFN0KN41		Trust Share		0.001
Res Gl Fix USD-B-		IE00BFN0KR88		Trust Share		0.009
Res Gl Fix USD-B-Ac		IE00BFN0KS95		Trust Share		0.003
Res Gl Fix USD-C-Ac		IE00BFN0KT03		Trust Share		0.002
Res Gl Fix USD-C-		IE00BFN0KV25		Trust Share		0.002
Res Gl Fix EUR-B-Ac		IE00BFN0L193		Trust Share		0.002
Res Gl Eq GBP-B-		IE00BFN0L862		Trust Share		0.020
Res Gl Eq GBP-B-Ac		IE00BFN0L979		Trust Share		0.006
Res Gl Eq GBP-C-Ac		IE00BFN0LB93		Trust Share		0.001
PIM Cap Se USD-E-Ac		IE00BFRSV866		Trust Share		0.041
Vang EUR-Ins Pls-Ac		IE00BGCC4585		Trust Share		0.200
HI Core Ucits I/EUR		IE00BGQYH392		Trust Share		0.001
DCI Invmt Grd A/USD		IE00BGQYH954		Trust Share		0.052
PIMCO Cap Se USD-M-		IE00BH3X8443		Trust Share		0.079
Leg Ma Op Bd USD-A-		IE00BH57VP65		Trust Share		0.007
Irid US Eq USD-I-Ac		IE00BH7HW517		Trust Share		0.006
Rus Ac USD-Ins-C-Ac		IE00BH7Y7M45		Trust Share		0.014
LM Wes Op EUR-A-Acc		IE00BHBFD143		Trust Share		0.008
PI Eu Ag EUR-Ins-		IE00BHBX0Z19		Trust Share		0.428
PI Eu Hi USD-Ins-Ac		IE00BHBX1032		Trust Share		1.448
PIM Eur Hi USD-Ins-		IE00BHBX1149		Trust Share		0.071
GAM Opp USD-Ord-M-		IE00BJ0JSQ15		Trust Share		0.020
Leg Ma Opp GBP-A-Ac		IE00BJGZXY69		Trust Share		0.003
Leg Ma Opp CHF-A-Ac		IE00BJGZXZ76		Trust Share		0.005
Leg Ma Opp USD-X-Ac		IE00BJVDNR83		Trust Share		0.003
Hep Op DM USD-IF-Ac		IE00BK019270		Trust Share		0.163
Bab Cap C/SGD/Dis		IE00BKWBW829		Trust Share		0.001
Bab Cap C/CAD/Acc		IE00BKWBW936		Trust Share		0.001
Bab Cap E/SGD/Dis		IE00BKWP5G39		Trust Share		0.001
Atlan Euro USD-B-Ac		IE00BLS06V19		Trust Share		0.012
LM Br Opp USD-Pr-Ac		IE00BMMV5W18		Trust Share		0.050
Hor Eu Sel EUR-A-Ac		IE00BP0S8370		Trust Share		0.010
LM We Mac Op USD-A-		IE00BPBG5G23		Trust Share		0.024
UBS O’Con P-PF/USD		IE00BRJ6HR31		Trust Share		0.026

 

22

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBS O’Con P-PF/EUR		IE00BRJ6HS48		Trust Share		0.002
UBS O’Con P-PF/CHF		IE00BRJ6HT54		Trust Share		0.002
UBS Eq USD-P-PF-Acc		IE00BSSWB440		Trust Share		0.044
UBS Eqt EUR-P-PF-Ac		IE00BSSWB770		Trust Share		0.008
UBS Eq SGD-P-PF-Acc		IE00BSSWBH72		Trust Share		0.003
Atl Eur Ab EUR-A-Ac		IE00BSXNJB58		Trust Share		0.009
Legg Mas Instl/USD		IE00BVG1NV55		Trust Share		0.003
UBS O’Con P-PF/JPY		IE00BVYJ5044		Trust Share		0.004
Gug GHY USD-A II-Ac		IE00BVYPNG42		Trust Share		0.003
MW Japan B/USD		IE00BWCH4119		Trust Share		0.033
Glb Ass Prog Gr USD		IM00B425YG44		Trust Share		0.026
LODH Macqri Inf CHF		JE00B1R20X86		Trust Share		0.010
LODH Macq Infrastr		JE00B1R20Y93		Trust Share		0.002
LODH Macq Infr-USD-		JE00B1R20Z01		Trust Share		0.001
Growth Cr USD		JE00B3KTX754		Trust Share		0.006
Make Glb Dyn EUR Ac		JE00B3MX9Z58		Trust Share		0.005
Make Glb Def CHF-Ac		JE00B4VLX996		Trust Share		0.005
Make Glb Dyn CHF-Ac		JE00B5SX1L39		Trust Share		0.003
Make Glb Def EUR Ac		JE00B60VPQ50		Trust Share		0.001
Lyx Win USD-HU-Acc		JE00B618J306		Trust Share		0.001
Abs Octane B EUR		KYG0062R1323		Trust Share		2.904
Abs East West B EUR		KYG0062T1206		Trust Share		3.863
Abs Cap Val B/EUR		KYG006671245		Trust Share		2.459
Abs Cap Val B USD		KYG006671328		Trust Share		0.949
AHL A1/A Evol/USD		KYG012291061		Trust Share		4.126
AHP Asia Opp B		KYG0123S1295		Trust Share		0.018
Albatross Arbtr EUR		KYG0151T1638		Trust Share		0.040
Albatross Arbtr CHF		KYG0151T1711		Trust Share		0.080
Albatross Wldwd CHF		KYG0151T1893		Trust Share		0.029
ALPS Funds Glb SP A		KYG0227P1046		Trust Share		0.006
Allblue A/USD NR		KYG022982584		Trust Share		0.007
Alphacore Cap B		KYG032351192		Trust Share		0.006
AlphaGen Octanis A		KYG033021091		Trust Share		0.002
Anaxis Sab Sty Arb		KYG036581042		Trust Share		0.010
Anaxis Sab Sty Arb		KYG036581125		Trust Share		0.003
Alve Priv Eq		KYG0368Y1044		Trust Share		0.001
Pathfinder Mlti B		KYG041821201		Trust Share		0.012
Pathfinder Multi C		KYG041821383		Trust Share		0.002
Pathfinder Multi D		KYG041821466		Trust Share		0.033
Arden Alt A/1/NI		KYG0458C1033		Trust Share		0.001
Arden Altern B/1		KYG0458C1454		Trust Share		0.271
Arden Altern Adv B		KYG0458C1520		Trust Share		0.002
Aris M-S I/EUR 1104		KYG0535L1344		Trust Share		0.003
Assured Fund D USD		KYG0585W1399		Trust Share		0.045
Assured Fund D EUR		KYG0585W1621		Trust Share		0.078
Assured Fd E/CHF		KYG0585W1886		Trust Share		0.003
		KYG0676A1031		Trust Share		0.001
Blueshield Fund -C-		KYG1193R1240		Trust Share		0.840

 

23

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Blueshield Fund -B-		KYG1193R1323		Trust Share		0.050
BNY Mello L/S/02/07		KYG1205A1922		Trust Share		0.003
BIAG Ciran CY A/CHF		KYG1261G1091		Trust Share		0.003
Blackrock Al l/CHF		KYG132191373		Trust Share		0.004
Bres Bra Eq Hdg USD		KYG1332B1059		Trust Share		0.001
Bres Bra Eq Hdg USD		KYG1332B1133		Trust Share		0.002
Blue Oak Divers A1		KYG1350W1069		Trust Share		0.003
Bluetrend B/USD		KYG1366F1054		Trust Share		0.005
Brevan Howard B/EUR		KYG162141355		Trust Share		0.001
BTG Pactual Inf		KYG1662B1059		Trust Share		0.400
Budapest SP 1 -A-		KYG167421018		Trust Share		0.002
Budapest SP 2 -A-		KYG167421190		Trust Share		0.003
Budapest SP 3 -A-		KYG167421273		Trust Share		0.003
BTG Pac Star I/USD		KYG1677J1013		Trust Share		0.001
Cap-Endur A/Bal SP		KYG1845L1032		Trust Share		0.002
First Latam 3/Distr		KYG186811330		Trust Share		0.006
Cap Strgy Vel B/USD		KYG1871A1206		Trust Share		0.003
Cassiopeia D/CHF		KYG1997Z1321		Trust Share		0.002
Cepheus Fund EUR		KYG202541192		Trust Share		0.009
Cheyne Spec K/USD		KYG210061043		Trust Share		0.013
China Alpha II HKD		KYG211491108		Trust Share		0.002
Clarit G4 Bra Eq Va		KYG2182A1711		Trust Share		0.007
CPIM Struct Cre AQ		KYG2485Q1212		Trust Share		0.001
Gbl Com Agr USD		KYG250781096		Trust Share		0.007
Defined Lon Sel/USD		KYG270094660		Trust Share		0.010
Defined Lon Sel/GBP		KYG270094827		Trust Share		0.002
Diamond Growth -B1-		KYG275701038		Trust Share		0.075
Diapa Ag NGMO A		KYG275901018		Trust Share		0.010
Diapason Com C/USD		KYG276051078		Trust Share		0.007
Diapason Rogers -A-		KYG2861T1031		Trust Share		0.009
Dia Rogr Comd B/EUR		KYG2861T1114		Trust Share		0.073
Dia Rog Comd C/USD		KYG2861T1296		Trust Share		0.005
Dia Rog Comd D/CHF		KYG2861T1379		Trust Share		0.015
Diapason Agri A		KYG2862G1001		Trust Share		0.016
Diapason Agri C/USD		KYG2863J1031		Trust Share		0.006
EVI Cay FI-Rt Inc C		KYG291633454		Trust Share		22.323
Eddington 3Alpha B1		KYG292441030		Trust Share		0.001
Efficent Div S/SP		KYG2939V1225		Trust Share		0.014
Eighteen Fd -D-		KYG295211380		Trust Share		0.011
Firebird Avrora Fd		KYG3460H1020		Trust Share		0.406
Fortune MAP A EURO		KYG3642M1446		Trust Share		0.645
FA SP020 Sea Fd EUR		KYG3692G2292		Trust Share		0.004
GAM Tal Emrg A/EUR		KYG376071018		Trust Share		0.017
Perenn Reg USD		KYG378822251		Trust Share		0.004
Gavea Fund -A/1-		KYG3899Z1037		Trust Share		0.003
GCM Litt SP3/3/150		KYG3901A1388		Trust Share		0.002
GLG Europ L/S -I-		KYG391901892		Trust Share		0.001
GLG Mkt Neut J/RE		KYG3919M2077		Trust Share		1.191

 

24

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Glb Asset Strgy		KYG3919U1269		Trust Share		0.051
GLG Alpha Sel L/EUR		KYG3921K2158		Trust Share		0.003
GLG Em Mkt E/EUR		KYG392431378		Trust Share		0.195
Global Vision -USD-		KYG3935W1069		Trust Share		0.020
Gold 2000		KYG397021240		Trust Share		0.006
Granada Eurp A/EUR		KYG405081061		Trust Share		0.025
GT Strat As All A/1		KYG4101D1043		Trust Share		0.001
HFS Discov B/USD/RE		KYG443841328		Trust Share		0.001
ARC BRIC+ ROFF C03		KYG4641C1116		Trust Share		11.457
III Fund/1		KYG4707Y1061		Trust Share		0.005
CPM Eq Strgy P/EUR		KYG4817N1079		Trust Share		0.001
Irongate A2/ EUR		KYG4948V1014		Trust Share		0.006
Jabca Glb Bal D1/UR		KYG498731051		Trust Share		0.859
JABCAP Glb D2/RE		KYG498731390		Trust Share		0.005
Jabca Glb S1/CHF/UR		KYG498731473		Trust Share		0.010
Jabcap Gbl Bal ZS		KYG498731887		Trust Share		0.005
Jabcap Gb D1/USD/UR		KYG498761082		Trust Share		27.022
Jabcap Glb Co E1/UR		KYG498761165		Trust Share		58.258
Jabcap Glb Co F1/UR		KYG498761249		Trust Share		4.649
Jabca Glb S1/CHF/UR		KYG498761405		Trust Share		15.476
Jabcap Gbl Cnv ZZ R		KYG498761652		Trust Share		0.001
Jabcap Mlt Strat A1		KYG4987Y1070		Trust Share		0.403
Jabcap Mlt Strat B1		KYG4987Y1153		Trust Share		3.434
Jabcap D1/USD/NI		KYG4987Y1310		Trust Share		0.033
Jabcap Mlt Strat B2		KYG4987Y1807		Trust Share		0.002
Jabcap Mlt Strat L		KYG4987Y2482		Trust Share		0.002
Jabcap Mlt Strat L		KYG4987Y2557		Trust Share		0.004
Jabcap Emea D1/UR		KYG4989A1076		Trust Share		19.211
Jabcap Emea X1/UR		KYG4989A1159		Trust Share		0.003
Jabcap Emea -E1- UR		KYG4989A1233		Trust Share		0.001
Jabcap EMEA ZZ/NNI		KYG4989A1563		Trust Share		0.001
JABCAP Evn D1/USD		KYG4989W1096		Trust Share		4.304
JABCAP Evn S/CHF		KYG4989W1583		Trust Share		0.002
Jade Capital A		KYG500111086		Trust Share		0.010
Jupi Ellip 2 SP/EUR		KYG503501184		Trust Share		0.001
Just Better Value		KYG5203Z1090		Trust Share		0.117
Kairos Multi E2		KYG520901425		Trust Share		0.006
IFP Capi Gl GDF EUR		KYG522861460		Trust Share		0.038
Kinetics Fund A/A		KYG5255U1720		Trust Share		0.001
Kondor A/USD		KYG530941015		Trust Share		0.007
Lansdowne R/EUR/RE		KYG5378B1352		Trust Share		0.003
Lansdow Dev Mkt EUR		KYG5378Q1082		Trust Share		0.007
Lansdow Dev Mkt GBP		KYG5378Q1165		Trust Share		0.003
Lansdow Dev Mkt USD		KYG5378Q1249		Trust Share		0.001
Larch Lane Abs -A		KYG5379H1074		Trust Share		0.001
FCM Eurp Front EUR		KYG539361116		Trust Share		0.146
LC Equity CHF		KYG542051027		Trust Share		0.015
Leeds Master Fd A		KYG543251089		Trust Share		0.092

 

25

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Lege Artis B/EUR		KYG5441G1038		Trust Share		0.020
Lege Artis H/CHF		KYG5441G1293		Trust Share		0.015
Managed Growth -A-		KYG548531253		Trust Share		0.001
Liongate Sel A/USD		KYG5522A1085		Trust Share		0.070
L&C Germ Real USD i		KYG5569M2547		Trust Share		0.001
L&C Germ Real EUR i		KYG5569M2620		Trust Share		0.147
L&C UK Public USD i		KYG5569M2885		Trust Share		0.002
LVI Gbl Bds CHF S1		KYG5723P1101		Trust Share		0.001
Maga Smaller A/EUR		KYG5766F1028		Trust Share		0.020
Magnitude A/Ini/RE		KYG5769M1208		Trust Share		0.003
Mangart B USD		KYG579061105		Trust Share		0.001
Man Abs ISI11/USD		KYG580005901		Trust Share		0.001
Maoming SPV USD		KYG580481029		Trust Share		0.001
Marco Polo Pure A		KYG581391094		Trust Share		0.001
Diamond Neutral A1		KYG5822F1046		Trust Share		0.110
Diamond Neutral AQ1		KYG5822F1616		Trust Share		0.010
Blackrock Nat I/USD		KYG6026F1063		Trust Share		0.002
MFO Divers C/CHF		KYG6064E1364		Trust Share		0.001
Millennium Multi D		KYG6161P1256		Trust Share		0.620
Nextar B/1/RE		KYG650041067		Trust Share		0.008
Northwest Chi -A-		KYG6670Q1192		Trust Share		0.001
SAC Ass Gbl Eng USD		KYG667401049		Trust Share		0.001
Numen Credit A/EUR		KYG668211025		Trust Share		5.483
O’Connor GMSA J EUR		KYG673381227		Trust Share		0.007
O’Connor GMSA A1		KYG673381631		Trust Share		0.009
OC GMSA J/1/USD		KYG673382050		Trust Share		0.027
O’ Con Glb MS EOP/1		KYG673383538		Trust Share		0.006
O’Connor FIM1/EUR		KYG673383876		Trust Share		0.285
O’Connor FIM1/CHF		KYG673383959		Trust Share		0.003
1798 Fund St A1/EUR		KYG675281516		Trust Share		0.003
Olympia Star I USD		KYG6763W1069		Trust Share		0.007
Overlook Perf C/EUR		KYG680402065		Trust Share		0.002
Palm Trend A		KYG688291031		Trust Share		0.003
Palm Trend G		KYG688291601		Trust Share		0.006
Palm Trend H		KYG688291783		Trust Share		0.001
Palm Trend J		KYG688291940		Trust Share		0.001
Palmyra Fund		KYG6882T1094		Trust Share		0.010
P&C Glo The Inv EUR		KYG695741044		Trust Share		0.001
Penjing Asia H/GBP		KYG699051424		Trust Share		0.076
Pitagora Fd -E-		KYG710411185		Trust Share		0.005
Plat G Div A/USD		KYG712661605		Trust Share		0.149
Platinum Prem EUR		KYG712711111		Trust Share		1’787.545
Platinum Prem USD		KYG712711293		Trust Share		0.009
Platinum Mav En USD		KYG713451055		Trust Share		0.006
Platinum Mav En EUR		KYG713451139		Trust Share		0.535
Premium Design		KYG7222H1020		Trust Share		0.098
Premium Design		KYG7222H1103		Trust Share		0.007
Prestige Alt Fin EU		KYG722711101		Trust Share		0.002

 

26

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Primores Div B/CHF		KYG7244U1316		Trust Share		0.002
Primores Div B/EUR		KYG7244U2140		Trust Share		0.001
Primores Opp-B- CHF		KYG7244U2553		Trust Share		0.001
Primores Opp-A- EUR		KYG7244U2637		Trust Share		0.001
Rainbow		KYG7357E1061		Trust Share		0.011
Reconstruct Cap II		KYG741521028		Trust Share		0.895
Ram Syst M/S B/EUR		KYG753781106		Trust Share		0.040
RBR Europ L/S CHF		KYG7551J1094		Trust Share		0.045
Scien Glb A/Ini/USD		KYG789741215		Trust Share		1.051
Sciens IG SPV		KYG7897F1000		Trust Share		0.024
Thesee Bra Eurobond		KYG797221077		Trust Share		0.012
Selectinvest ARV FQ		KYG8006V1279		Trust Share		0.001
Select Arv II P(A)		KYG800751805		Trust Share		0.013
Select ARV II MC EA		KYG8008A1470		Trust Share		0.016
Sharpe Funds -Art-		KYG8069P1404		Trust Share		0.010
Shenandoah A/I/USD		KYG809411005		Trust Share		0.014
Silver Shield EUR		KYG8135V1133		Trust Share		0.008
Soundview Prem F		KYG828141153		Trust Share		0.003
SGL-B-1-USD		KYG8402A1159		Trust Share		0.006
Stable Alpha II J		KYG8403J1076		Trust Share		0.001
Stable Alp J/SGD/RE		KYG8407A1287		Trust Share		0.006
Star Designated		KYG8438A1058		Trust Share		2.255
Star Designated		KYG8438A1132		Trust Share		0.001
Superfund HF SPC		KYG858741088		Trust Share		0.031
Swiss Cap Strgy C		KYG8624M1116		Trust Share		0.002
Tarchon Hold X/SP		KYG867331137		Trust Share		0.001
TB Global Perfom		KYG869891039		Trust Share		0.010
Top Crystal EUR		KYG892361067		Trust Share		0.002
Tomac2 Fd -A-		KYG8946F1090		Trust Share		0.010
Tulip Trend Fund A		KYG912381087		Trust Share		0.010
Tulip Trend B/EUR		KYG912381160		Trust Share		0.008
Tulip Trend Fund C		KYG912381244		Trust Share		0.003
Tulip Trend D/USD		KYG912381327		Trust Share		0.023
Tulip Trend G/CHF		KYG912381657		Trust Share		0.052
Tulip Trend H/CHF		KYG912381731		Trust Share		0.002
UBS Gbl Alpha Fe B		KYG916411039		Trust Share		0.010
UBS Gbl AI EUR/1		KYG916411112		Trust Share		0.419
UBS GAS B1		KYG916461109		Trust Share		0.047
UBS Glb Alpha J		KYG916461448		Trust Share		0.145
UBS NAS J/1		KYG9165D1300		Trust Share		0.082
UBS NAS B1		KYG9165D1631		Trust Share		0.005
UBS NAS C/1		KYG9165D3389		Trust Share		0.009
UBS-NAS-D-USD		KYG9165D3462		Trust Share		0.017
UBS Spec Situ J		KYG9166D1473		Trust Share		0.016
UBS-SS-C-1-USD		KYG9166D2794		Trust Share		0.176
UBS-MMAC-A-USD		KYG916851002		Trust Share		0.086
UBS-MMAC-A-GBP		KYG916851184		Trust Share		0.066
UBS-MMAC-A-EUR		KYG916851267		Trust Share		0.040

 

27

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBS-MMAC-A-CHF		KYG916851341		Trust Share		0.012
UBS MMAF/EOP EUR A		KYG916862983		Trust Share		0.012
UBS GAS GBP B/1		KYG9170S1066		Trust Share		0.050
UBS AFA Trad USD/J		KYG9172P1000		Trust Share		0.022
UBS AFA Trading J		KYG9172P1182		Trust Share		0.023
UBS AFA Trad CHF/J		KYG9172P1265		Trust Share		0.009
UBS Ren Divers SP A		KYG9177W1006		Trust Share		0.126
UBS Ren Divers SP A		KYG9177W1188		Trust Share		0.003
UBS Ren Divers SP A		KYG9177W1345		Trust Share		0.002
UBS Ren Divers SP A		KYG9177W1675		Trust Share		0.006
UBS Ren Fixed A/CHF		KYG9177W1758		Trust Share		0.001
UBS Ren Fixed A/EUR		KYG9177W1832		Trust Share		0.001
UBS Ren Fixed A/JPY		KYG9177W2095		Trust Share		0.002
UBS Ren Fixed A/USD		KYG9177W2335		Trust Share		0.082
UBS USD A-midst/HKD		KYG9177W3655		Trust Share		0.002
UBS USD A-midst/USD		KYG9177W3812		Trust Share		0.007
UBS EUR H/Y A/USD		KYG9177W4075		Trust Share		0.002
UBS EUR A-mdist/HKD		KYG9177W4232		Trust Share		0.003
UBS EUR A-mdist/USD		KYG9177W4315		Trust Share		0.002
UBS Cay Chin A2/USD		KYG9179K1206		Trust Share		0.001
UBS Event Dvn K EUR		KYG918021190		Trust Share		0.006
UBS Event Dvn K CHF		KYG918021273		Trust Share		0.003
UBS Relative K CHF		KYG9180P1265		Trust Share		0.001
UBS-GXA-J-EUR		KYG9190W1116		Trust Share		0.003
UBS-GXA-J-CHF		KYG9190W1298		Trust Share		0.006
UBS-GXA-J-GBP		KYG9190W1371		Trust Share		0.004
Unifortune Prem EUR		KYG9201L1041		Trust Share		0.310
Unifortune Spe EUR		KYG920261065		Trust Share		0.003
UR Gold Fd		KYG9299S1104		Trust Share		0.957
Vallea EUR/Ini		KYG9315A1013		Trust Share		0.002
Value Partn Class B		KYG931701018		Trust Share		0.002
Val Ptnrs P/Acc/USD		KYG9319N1097		Trust Share		0.017
Val Ptnr P/MDis/USD		KYG9319N1170		Trust Share		0.098
Val Ptnr P/MDis/HKD		KYG9319N1337		Trust Share		0.381
Vantage Gl Inv Fd		KYG9320H1092		Trust Share		0.046
VANTAGE HORIZON		KYG9320Y1026		Trust Share		0.018
Vantage World Eq		KYG932251039		Trust Share		0.021
Vela As A/USD		KYG9330A1022		Trust Share		0.002
Waterfront M-S A		KYG9472P1072		Trust Share		0.010
Reichmuth Matt3-CHF		Ll0101138464		Trust Share		0.003
LGT SU Cat Bo EUR B		Ll0102679219		Trust Share		0.002
LGT BF G InfL EUR A		Ll0114576429		Trust Share		0.001
LGT BF GllnfL USD B		Ll0148578037		Trust Share		0.003
LGT BF GllnfL CHF B		Ll0148578045		Trust Share		0.001
SigCap-OcConCsY		Ll0211376939		Trust Share		0.600
CPM GlbUndFd		Ll0213676195		Trust Share		0.008
BGF Jap Sm Opp A2C		LU0006061252		Trust Share		0.140
BGF US Sm Opp A2C		LU0006061336		Trust Share		0.043

 

28

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
BNPPL1 Eq Eu CC		LU0010012721		Trust Share		0.034
JPMLF USD Liq AC		LU0011815304		Trust Share		0.001
BGF Gl Opp A2C		LU0011850046		Trust Share		0.054
BGF Em Eu A2C		LU0011850392		Trust Share		0.267
Amund I C USD IC		LU0011875464		Trust Share		0.016
Hend Hor Eurol A2C		LU0011889846		Trust Share		0.094
Ab Gl Asia P Eq A2C		LU0011963245		Trust Share		0.566
Ab Gl Aus Eq A2C		LU0011963328		Trust Share		0.006
Ab Gl Jap Eq A2C		LU0011963674		Trust Share		0.012
JB Mbd Eur Bd BC		LU0012197660		Trust Share		0.001
JB Mst Eur Foc BC		LU0026740844		Trust Share		0.093
JB Mst Swiss BC		LU0026741651		Trust Share		0.066
JB Mst Gl Eq In BC		LU0026742386		Trust Share		0.014
Inv P Eu Eq AC		LU0028118809		Trust Share		0.515
Inv Nipp Sm/M Eq AC		LU0028119526		Trust Share		0.010
Inv USD Res AC		LU0028121183		Trust Share		0.003
UBAM Dyn USD AC		LU0029761532		Trust Share		0.017
Fr TI Eu AD		LU0029868097		Trust Share		0.579
Fr TI Gl Bd AD		LU0029871042		Trust Share		0.890
Fr TI US Gov AD		LU0029872446		Trust Share		0.021
Fr TI Gl Eur AD		LU0029873410		Trust Share		0.841
Fr TI Gl Sm Co AD		LU0029874061		Trust Share		0.126
Fr TI Asia Gr AD		LU0029875118		Trust Share		0.014
Fr TI Em Mkt Bd AD		LU0029876355		Trust Share		0.039
J B MCa M GBP B		LU0032254376		Trust Share		0.001
J B MCa MM CHF B		LU0032254533		Trust Share		0.012
MFSMF GHY A1		LU0035377810		Trust Share		0.021
Vontobel US Eq AD		LU0035763456		Trust Share		0.001
Vontobel US Eq BC		LU0035765741		Trust Share		0.001
JB Mst Sw Sm Md BC		LU0038279179		Trust Share		0.013
JB Mst Sw Sm Md AD		LU0038279252		Trust Share		0.002
HSBC Gl Chin Eq AD		LU0039217434		Trust Share		0.013
Comgest Europe BC		LU0039989081		Trust Share		0.003
Vonto Em M Eq BC		LU0040507039		Trust Share		0.022
UBS L Str Fix USD P		LU0042745397		Trust Share		0.004
UBAM NB US Eq AC		LU0045841987		Trust Share		0.007
Hend H Eu Sm A2C		LU0046217351		Trust Share		0.115
BGF USD HY Bd A1D		LU0046675905		Trust Share		0.030
BGF USD HY Bd A2C		LU0046676465		Trust Share		0.099
BGF Em M A2C		LU0047713382		Trust Share		0.393
Av I Em M Eq I BC		LU0047882062		Trust Share		0.752
ACMB India Gr AX		LU0047987325		Trust Share		0.006
JB Mco Bal CHF BC		LU0047988216		Trust Share		0.650
JB Mst Germ V BC		LU0048167497		Trust Share		0.416
SISF Asian Op AD		LU0048388663		Trust Share		0.016
Fid America AD		LU0048573561		Trust Share		0.076
Fid ASEAN AD		LU0048573645		Trust Share		0.822
Fid Australia AD		LU0048574536		Trust Share		1.992

 

29

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Fid Emerg Mkts AD		LU0048575426		Trust Share		0.012
Fid Euro Growth AD		LU0048578792		Trust Share		6.955
Fid Euro Bond AD		LU0048579097		Trust Share		0.022
Fid Germany AD		LU0048580004		Trust Share		0.637
Fid Gr China AD		LU0048580855		Trust Share		0.042
Fid Iberia AD		LU0048581077		Trust Share		0.030
Fid Italy Fund AD		LU0048584766		Trust Share		0.020
Fid Malaysia AD		LU0048587868		Trust Share		0.059
Fid Nordic AD		LU0048588080		Trust Share		0.012
Fid Thailand AD		LU0048621477		Trust Share		0.958
Inv Gr Ch Eq AC		LU0048816135		Trust Share		0.014
Ab Liq L USD A2		LU0049014870		Trust Share		0.011
Fidelity Pacific AD		LU0049112450		Trust Share		0.171
Raif Swiss Obli BC		LU0049809055		Trust Share		0.002
BGF Eur Bd A2C		LU0050372472		Trust Share		0.896
Jeff Um Gl Cv Bd BC		LU0050621282		Trust Share		0.050
JPMF China JPMAD		LU0051755006		Trust Share		0.534
Fid Eur Bal AD		LU0052588471		Trust Share		0.443
Inv Gl Leis AC		LU0052864419		Trust Share		0.040
JPMF Amer Eq AD		LU0053666078		Trust Share		0.027
JPMF Eu Eq AD		LU0053685029		Trust Share		1.653
JPMF Em Mk Eq AD		LU0053685615		Trust Share		0.670
JPMF L Am Eq AD		LU0053687314		Trust Share		0.212
JPMF Jap Eq JPMAD		LU0053696224		Trust Share		0.011
SISF Gl Cor Bd AD		LU0053903380		Trust Share		0.919
Fid Asia Sp Sit AD		LU0054237671		Trust Share		1.850
BGF Gl Sm A2C		LU0054578231		Trust Share		0.030
Fid Switzerld AD		LU0054754816		Trust Share		0.793
Fid Indonesia AD		LU0055114457		Trust Share		0.419
BGF Wld Gold A2RFC		LU0055631609		Trust Share		0.610
BGF Wld Techno A2C		LU0056508442		Trust Share		0.190
ACMB Il Health C A		LU0058720904		Trust Share		0.001
JSS In SPB EUR PD		LU0058892943		Trust Share		1.666
JPMF India JPMAD		LU0058908533		Trust Share		0.960
Fid Eu Sm AD		LU0061175625		Trust Share		0.009
Fid Korea AD		LU0061324488		Trust Share		0.019
Thr L Em M Dbt AUC		LU0061474614		Trust Share		0.009
SISF Asian Op CD		LU0062906986		Trust Share		0.603
BGF As Tig Bd A1D		LU0063728728		Trust Share		0.890
BGF As Tig Bd A2C		LU0063729296		Trust Share		0.260
Nordea 1 Eur Val-BP		LU0064319337		Trust Share		0.004
N1 Swe. Bd BPC		LU0064320186		Trust Share		0.021
N1 SEK Reserve BPC		LU0064321663		Trust Share		0.029
N1 As Foc Eq BPC		LU0064675985		Trust Share		0.050
Fid Eur Cash AD		LU0064964074		Trust Share		0.018
GS Japan D		LU0065003666		Trust Share		0.937
Fr TI H Yld AD		LU0065014192		Trust Share		0.023
HSBC Gl Indi Eq AD		LU0066902890		Trust Share		0.210

 

30

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Davis Global A		LU0067889476		Trust Share		0.071
Fid S East Asia AD		LU0069452877		Trust Share		0.045
Parv Eq Jap Sm CC		LU0069970746		Trust Share		0.003
Alger Amer A Gr A		LU0070176184		Trust Share		0.146
JPMLF EUR Liq AC		LU0070177232		Trust Share		0.001
JPMLF GBP Liq AC		LU0070177588		Trust Share		0.011
JPMIF GC Bal AC		LU0070211940		Trust Share		0.028
JPMIF Gl Bal AC		LU0070212591		Trust Share		0.016
JHMIF US S Eq AC		LU0070214290		Trust Share		0.090
JPMIF Jap S Eq AC		LU0070214613		Trust Share		0.015
Fr TI M Beacon AC		LU0070302665		Trust Share		0.005
UBS L Eq US Opp PC		LU0070848113		Trust Share		0.068
UBS LB USD HY PC		LU0070848972		Trust Share		0.837
Pictet-IndEq-P USD		LU0070964530		Trust Share		0.001
Hend H Gl Tech A2C		LU0070992663		Trust Share		1.760
BGF US B Val A2C		LU0072461881		Trust Share		0.168
BGF Eu Val A2C		LU0072462186		Trust Share		0.030
BGF As Drag A2C		LU0072462343		Trust Share		0.670
BGF Gl All A2C		LU0072462426		Trust Share		5.116
MSIF Em Debt AC		LU0073230004		Trust Share		0.286
MSIF US Prop AC		LU0073233958		Trust Share		0.074
MSIF US Prop BC		LU0073234097		Trust Share		0.784
MSIF Eur Bd AC		LU0073254285		Trust Share		0.566
MSIF Eu C HY Bd IC		LU0073255688		Trust Share		0.011
Baring Russia AC		LU0073418229		Trust Share		0.020
UBAM Swiss Eq AC		LU0073503921		Trust Share		0.002
BGF Wld Min A2C		LU0075056555		Trust Share		3.486
Parv Eq L Am CC		LU0075933415		Trust Share		0.001
N1 N.Amer. Val BPC		LU0076314649		Trust Share		0.750
Fid Amer Gr AD		LU0077335932		Trust Share		0.007
MSIF As Prop AC		LU0078112413		Trust Share		2.344
Fr TI Thailand AC		LU0078275988		Trust Share		0.741
N1 NOK Reserve BPC		LU0078812822		Trust Share		0.604
Pictet-JpEqS-I JPY		LU0080998981		Trust Share		0.001
JB Mbd Em Bd Eur BC		LU0081394404		Trust Share		0.039
ACTIO Croiss Pl C		LU0081797945		Trust Share		0.011
KBC Bd Em Mkt C		LU0082283374		Trust Share		0.001
SISF USD Bd BD		LU0083284470		Trust Share		0.020
Fid Eu Aggr AD		LU0083291335		Trust Share		0.139
NIFLI Em Eu RAC		LU0084288595		Trust Share		0.012
Rob L-o-r DHEURC		LU0084302339		Trust Share		0.009
R Cap As-Pac Eq DC		LU0084617165		Trust Share		0.024
R Cap H Y Bd DHC		LU0085136942		Trust Share		0.053
SISF Lat Amer AD		LU0086394185		Trust Share		0.152
Parv Bd Eur Md CC		LU0086914362		Trust Share		0.010
N1 Nor. Bd BPC		LU0087209911		Trust Share		0.100
AWF F Ital AC		LU0087656699		Trust Share		0.007
JPMLF USD Liq CC		LU0038277610		Trust Share		0.003

 

31

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
JB Mco All Dyn PD		LU0088432280		Trust Share		0.088
JB Mco Viva Ausg PD		LU0088432793		Trust Share		0.025
Fid Eur Blue AD		LU0088814487		Trust Share		0.014
JPMLF EUR Liq CC		LU0088882138		Trust Share		0.004
Hend H Eu Pr Eq A2C		LU0088927925		Trust Share		0.031
GS US Fix D		LU0089313992		Trust Share		0.643
Pictet-Bio-P USD		LU0090689299		Trust Share		0.003
BGF Em Eu E2C		LU0090830497		Trust Share		0.009
BGF Eu E2C		LU0090830901		Trust Share		0.010
BNP P ICash GBP IC		LU0090883421		Trust Share		0.005
BNP P ICash USD IC		LU0090884072		Trust Share		0.012
SISF Eur Eq AD		LU0091115906		Trust Share		0.009
SISF Eur Eq CD		LU0091116201		Trust Share		0.009
SISF Asia Bd AR AD		LU0091253459		Trust Share		0.119
HBF Swed Sh Ass AC		LU0092798577		Trust Share		0.010
BGF Eur M A2C		LU0093502762		Trust Share		4.031
BGF Eur M E2C		LU0093503141		Trust Share		0.013
BGF Eur Sh Bd A2C		LU0093503810		Trust Share		5.208
BGF Eur Sh Bd E2C		LU0093504115		Trust Share		0.008
MCG LM Japan		LU0094044905		Trust Share		0.442
Ab Gl Wld Eq A2C		LU0094547139		Trust Share		0.086
MFSMF E U Res A1		LU0094557526		Trust Share		0.183
MFSMF Gl Eq A1		LU0094560744		Trust Share		0.006
Pictet-JaEqO-PJPY		LU0095053426		Trust Share		0.001
Parv Cv Bd Asia CC		LU0095613583		Trust Share		0.003
Oyster Euro Opp		LU0096450555		Trust Share		0.006
BGF US Gr A2RFC		LU0097036916		Trust Share		0.069
JSS In S Eq Gl PD		LU0097427784		Trust Share		0.001
Fr TI US Eq AC		LU0098860363		Trust Share		0.004
Fr TI Income AD		LU0098860793		Trust Share		0.040
Franklin Income NC		LU0098864514		Trust Share		0.005
Carmig Gr Eu AC		LU0099161993		Trust Share		0.001
JB Mco S Inc CHF BC		LU0099839291		Trust Share		0.057
JB Mco Bal EUR BC		LU0099841354		Trust Share		0.001
JB Mbd Eur G Bd AD		LU0100842532		Trust Share		0.305
Parv Bd Eur Md IC		LU0102020350		Trust Share		0.002
GS Eu CORE Eq D		LU0102219945		Trust Share		5.798
NIFLI As PR Eq RAC		LU0103015565		Trust Share		0.320
KBC Bd Inf-L Bd C		LU0103555248		Trust Share		0.001
Vitruv Eu Eq BC		LU0103754361		Trust Share		0.001
Vitruvius Jap		LU0103754957		Trust Share		0.709
JPMLF USD Liq BC		LU0103813043		Trust Share		0.001
JPMLF GBP Liq PD		LU0103815337		Trust Share		1.540
Ind Exp Sm XCC		LU0104337620		Trust Share		1.000
Pictet-Water-P EUR		LU0104884860		Trust Share		0.020
BNY MC EE Di CC		LU0105925696		Trust Share		0.008
SISF Euro Eq AC		LU0106235293		Trust Share		1.344
SISF Euro Eq BCR		LU0106235376		Trust Share		0.008

 

32

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
SISF Euro Eq CCR		LU0106235459		Trust Share		3.221
SISF Italian Eq -A-		LU0106238719		Trust Share		0.010
SISF Japan Eq ACR		LU0106239873		Trust Share		0.020
SISF Swiss Eq ACR		LU0106244287		Trust Share		0.050
SISF Swiss Eq CCR		LU0106244444		Trust Share		0.005
SISF UK Eq -A- CAP		LU0106244527		Trust Share		0.040
SISF Em M D AR AC		LU0106253197		Trust Share		0.005
SISF Em M D AR CC		LU0106253437		Trust Share		0.020
SISF Glob Bond ACR		LU0106256372		Trust Share		0.040
SISF Gl Cor Bd AC		LU0106258311		Trust Share		1.290
SISF Gl Cor Bd CC		LU0106258741		Trust Share		0.080
SISF Asian Op AC		LU0106259558		Trust Share		0.061
SISF Asian Op CC		LU0106259988		Trust Share		0.014
SISF Em Europe-A-		LU0106817157		Trust Share		0.010
BGF Wld Fin A2C		LU0106831901		Trust Share		0.270
Parv Bd Eur NC		LU0107072935		Trust Share		0.001
JPMF Eu St Va AD		LU0107398884		Trust Share		0.563
JB Mbd Lo Em Bd AD		LU0107851205		Trust Share		0.001
JB Mbd Lo Em Bd CC		LU0107852435		Trust Share		0.004
Oyster Wrld Opp EUR		LU0107988841		Trust Share		0.002
JB Mco Grow CHF BC		LU0108178970		Trust Share		0.006
Can Eq L Biotec CC		LU0108459040		Trust Share		0.003
Fr TI US Opp AC		LU0109391861		Trust Share		0.020
Fr TI Bio Disc AC		LU0109394709		Trust Share		0.044
Fr TI H Yld NC		LU0109402817		Trust Share		0.016
Franklin Europ AC		LU0109981661		Trust Share		0.009
Fid Europ H Y AD		LU0110060430		Trust Share		0.095
CIF Gl H Inc O B		LU0110450813		Trust Share		0.122
Parv Cv Bd Eu PC		LU0111466198		Trust Share		0.010
Pictet-Bio-R USD		LU0112497440		Trust Share		0.001
SISF Euro Corp ACR		LU0113257694		Trust Share		0.157
SISF Eu Corp Bd CC		LU0113258742		Trust Share		4.255
Man CE EUR		LU0114314536		Trust Share		0.961
Fid Gl Health AD		LU0114720955		Trust Share		0.009
Fid Gl Health EC		LU0114721177		Trust Share		0.016
Fid Gl Cons Ind AD		LU0114721508		Trust Share		0.099
Fid Gl Fin Serv EC		LU0114722738		Trust Share		0.008
Fid Gl Indust AD		LU0114722902		Trust Share		0.036
Fr TI Gr Eur AC		LU0114760746		Trust Share		0.030
CIF Gl Eq B		LU0114998999		Trust Share		0.006
JPMIF Gl HY Bd AC		LU0115096736		Trust Share		0.005
BNY MC EHY Bd CC		LU0115290974		Trust Share		0.020
JPMIF Gl Financials		LU0115528548		Trust Share		0.520
JPMIF Gl Fin CC		LU0115530361		Trust Share		0.670
Fid America EC		LU0115759606		Trust Share		0.010
Fid Eu Gr EC		LU0115764192		Trust Share		0.007
JPMF As Pa In JPMAD		LU0117844026		Trust Share		0.141
JPMF India JPMDC		LU0117881739		Trust Share		0.003

 

33

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
JPMF Eu Eq JPMAD		LU0117904960		Trust Share		0.730
JPMF Eu Sm JPMAD		LU0117905421		Trust Share		0.706
JPMF L Am Eq JPMAD		LU0117907989		Trust Share		0.006
MSIF Em Eu MEA AC		LU0118140002		Trust Share		0.092
BRGF Eur Bd EC		LU0118255248		Trust Share		0.393
BGF Gl Gov Bd A1D		LU0118256485		Trust Share		0.009
BRGF Eur Bd A1D		LU0118259232		Trust Share		0.010
GIF Gl H Inc O X		LU0118863298		Trust Share		0.020
JPMF Gl Dyn AD		LU0119067295		Trust Share		0.114
Fid Eu Dyn Gr AD		LU0119124781		Trust Share		0.040
NN L Pat Def PC		LU0119196938		Trust Share		0.002
MSIF Gl Brds IC		LU0119620176		Trust Share		0.009
Inv P Eu Str Eq AC		LU0119750205		Trust Share		0.059
Inv P Eu Str Eq CC		LU0119753134		Trust Share		0.040
Vonto US D Mo BC		LU0120690226		Trust Share		0.002
Prif Str CHF A		LU0122275745		Trust Share		0.001
BGF Wld Energ A2C		LU0122376428		Trust Share		2.886
BGF Wld Energ EC		LU0122377152		Trust Share		0.090
BGF Wld Health A2C		LU0122379950		Trust Share		0.984
BGF Wld Health EC		LU0122380701		Trust Share		0.009
JB Mst EE Foc AD		LU0122455131		Trust Share		0.001
JB Mst EE Foc BC		LU0122455214		Trust Share		0.002
JB Mst Cent Euro CC		LU0122455990		Trust Share		0.001
Fr TI Eu Gr AC		LU0122612848		Trust Share		0.012
GS Eu CORE Eq AD		LU0122972895		Trust Share		0.449
GS Gl H Yld AD		LU0122975302		Trust Share		0.018
Inv Energy AC		LU0123357419		Trust Share		0.027
BGF New Energ 2C		LU0124384867		Trust Share		0.695
MFSMF Eu Sm Co A1		LU0125944966		Trust Share		0.004
MFSMF Em M Dbt A1		LU0125948108		Trust Share		1.447
MFSMF Em M Dbt A2		LU0125948280		Trust Share		0.011
MFSMF Em M Dbt B2		LU0125948520		Trust Share		0.013
MFSMF Eu Val A1		LU0125951151		Trust Share		0.168
MFSMF US Val A1		LU0125979160		Trust Share		0.015
Fourp Info Tech RC		LU0127700903		Trust Share		0.043
Pictet-GED-P USD		LU0128467544		Trust Share		0.207
Pictet-GFD-Pdy USD		LU0128468609		Trust Share		0.006
Pictet-GED-I USD		LU0128469243		Trust Share		0.282
Pictet-GED-R USD		LU0128469839		Trust Share		0.074
Pictet-USGvt Bd-P		LU0128488383		Trust Share		0.001
Pictet-STMM EUR P		LU0128494191		Trust Share		0.001
Pictet-STMM EUR R		LU0128495834		Trust Share		0.003
Pictet-STMM USD I		LU0128497707		Trust Share		0.004
Pictet-STMM CHF I		LU0128499158		Trust Share		0.038
Franklin Asian AC		LU0128522157		Trust Share		0.261
Fr TI Em Mkt AC		LU0128522744		Trust Share		0.007
Fr TI Eu AC		LU0128523122		Trust Share		2.000
Fr TI Gl AC		LU0128525929		Trust Share		0.003

 

34

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
R Cap Km M Eq MC		LU0128640439		Trust Share		0.003
JPMF Eu St Va CC		LU0129445192		Trust Share		0.232
JPMFF Em Mk Eq CC		LU0129488242		Trust Share		0.060
Prif A U USD A		LU0129763305		Trust Share		0.004
NIFLI H Gl Eq RAC		LU0130103400		Trust Share		0.005
Pictet-East EU-PEUR		LU0130728842		Trust Share		0.001
Pictet-Em Mkts-PUSD		LU0130729220		Trust Share		0.001
Pictet-Eu Idx-R EUR		LU0130731713		Trust Share		0.006
Pictet-EuEqS-P EUR		LU0130731986		Trust Share		0.001
Pictet-US Id-R USD		LU0130733172		Trust Share		0.006
Fr TI H Yld AC		LU0131126228		Trust Share		0.008
Parv Bd Eur Co CC		LU0131210360		Trust Share		0.010
BNPPL1 Di Wd St CC		LU0132151621		Trust Share		0.023
Fid US HY AD		LU0132282301		Trust Share		8.194
Fid US HY AD		LU0132385534		Trust Share		0.010
Ab Gl Em Eq A2C		LU0132412106		Trust Share		1.493
Aber Se Em Ma B A1D		LU0132413252		Trust Share		0.280
Aber Se Em Ma B A2C		LU0132414144		Trust Share		0.151
JB Mp RSAM SuWa BC		LU0133061175		Trust Share		0.006
T.R Pr Gl HY Bd AC		LU0133082254		Trust Share		0.017
T R Pr US B Chi ACR		LU0133085943		Trust Share		0.015
T.R Pr US Lg Va AC		LU0133099654		Trust Share		1.230
Oyst Ital Opp NL		LU0133192608		Trust Share		0.001
SISF Jap Sm A1C		LU0133712611		Trust Share		0.010
SISF Asian Op A1C		LU0133713346		Trust Share		0.018
SISF USD Bd A1C		LU0133715127		Trust Share		0.010
Sant AM Braz Eq AC		LU0134702512		Trust Share		0.007
JPMLF USD Liq MD		LU0135702214		Trust Share		8.748
JPMLF GBP Liq MD		LU0135704772		Trust Share		1.654
JPMLF GRP Liq RD		LU0135706397		Trust Share		0.200
SISF Eur Liq BC		LU0136043550		Trust Share		0.011
Vonto Em M Eq CC		LU0137006218		Trust Share		0.001
Fr TI Eu S-M Gr AC		LU0138075311		Trust Share		0.007
Sup Gr B GCT EUR		LU0138077283		Trust Share		0.097
Vontobel New Po BC		LU0138259048		Trust Share		0.002
Spinv Gl Val RC		LU0138501191		Trust Share		0.003
Pet L Bd H Y BC		LU0138645519		Trust Share		0.001
Hend H Amer Eq A2C		LU0138820294		Trust Share		0.950
Hend H Europ Eq A2C		LU0138821268		Trust Share		0.077
Spinv Securus RC		LU0139791205		Trust Share		0.001
Spinv Procedo RC		LU0139792278		Trust Share		0.001
Fr TI M Eu AC		LU0140363002		Trust Share		0.008
SISF Gr China AC		LU0140636845		Trust Share		0.009
Target Asia Lux ACR		LU0141108950		Trust Share		0.788
N1 EU HY EUR Bl		LU0141799097		Trust Share		0.038
N1 Eu HY Bd BPC		LU0141799501		Trust Share		1.347
T.R Pr Gl FG Eq AC		LU0143551892		Trust Share		2.929
International Equit		LU0144356200		Trust Share		0.001

 

35

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
D Inv I Top As LCC		LU0145648290		Trust Share		0.095
DWS Inv Euro Bds LC		LU0145655824		Trust Share		0.159
D Inv I Eur Sh FCC		LU0145657366		Trust Share		0.589
BNY MC EC Bd CC		LU0145975222		Trust Share		0.010
UBS L MM USD PC		LU0146075105		Trust Share		0.016
UBAM Corp USD IC		LU0146925176		Trust Share		0.001
BGF US Gr EC		LU0147387970		Trust Share		0.020
BRGF Gl All C2C		LU0147395726		Trust Share		0.290
BGF Gl All EC		LU0147396450		Trust Share		0.180
BGF US B Val C2C		LU0147417470		Trust Share		0.750
BGF US B Val E2C		LU0147417710		Trust Share		0.008
NIFLI US Res RAC		LU0147925118		Trust Share		0.209
Pictet-Jpld-R JPY		LU0148537748		Trust Share		0.005
Pictet-PXJpld-P USD		LU0148538712		Trust Share		0.001
Vitruv Em Eq BC		LU0148753444		Trust Share		0.002
SISF Sw Sm&M Eq AC		LU0149524034		Trust Share		0.023
SISF Sw Sm&M Eq BC		LU0149524117		Trust Share		0.004
SISF Sw Sm&M Eq CC		LU0149524208		Trust Share		0.008
SISF HKD Bd AC		LU0149525270		Trust Share		0.006
SISF Hong K Eq AC		LU0149534421		Trust Share		0.398
E.S.A. Galaxy A		LU0149619255		Trust Share		0.006
HSBC Gl Indi Eq ID		LU0149722851		Trust Share		0.001
UBS LB Sh EUR C PC		LU0151774626		Trust Share		0.152
UBS LB Sh USD C PC		LU0151774972		Trust Share		0.050
Fr TI Asia Gr NC		LU0152928064		Trust Share		0.003
Fr TI Gl Bd AC		LU0152980495		Trust Share		0.206
Fr TI Em Mkt Bd AD		LU0152984307		Trust Share		0.010
3AAF OY MSt USD B		LU0153293864		Trust Share		0.008
3AAF OY MSt EUR B		LU0153294326		Trust Share		0.007
Von EUR CrBd MY BC		LU0153585723		Trust Share		0.002
UBS LKS Eu Eq PC		LU0153925689		Trust Share		1.252
BGF Eu Sp S A2C		LU0154234636		Trust Share		2.917
BGF US Fl Eq A2C		LU0154236417		Trust Share		2.654
BGF USD Sh Bd A2C		LU0154237225		Trust Share		0.014
Eas Iv As Bd C		LU0154356231		Trust Share		0.020
Pictet-AExJP-P USD		LU0155303323		Trust Share		0.005
HSBC Gl UK Eq AD		LU0156331158		Trust Share		0.327
JPMIF US S Eq AHC		LU0157182857		Trust Share		0.010
JPMIF Gl Fin AC		LU0157186924		Trust Share		0.168
Can Bd Eur Conv CC		LU0157930743		Trust Share		0.001
KBC Ins In CUGE IC		LU0159038560		Trust Share		0.006
JPMF Em Mk Eq AHC		LU0159050771		Trust Share		0.212
JB Mbd Gl HY Bd BC		LU0159158970		Trust Share		0.001
LO Cv Bd PC		LU0159201655		Trust Share		0.009
Pharus Bd Opp C		LU0159790970		Trust Share		0.016
Pharus Liq C		LU0159791275		Trust Share		0.004
Orbis Jap Eq		LU0160128749		Trust Share		0.026
Ram Sys Em Eq BC		LU0160155395		Trust Share		0.002

 

36

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Ram Sys Eur Eq BC		LU0160155981		Trust Share		0.001
Ashm Em Dbt R		LU0160485263		Trust Share		0.003
JPM Lq USD L-D-		LU0161687693		Trust Share		0.004
JPMLF EUR Liq DC		LU0161688154		Trust Share		0.002
JPMLF GBP Liq DC		LU0161688402		Trust Share		0.009
UBS LKS Gl Eq PC		LU0161942635		Trust Share		0.792
LO Gold Age PD		LU0161987739		Trust Share		0.665
UBS L Bd EUR Co PC		LU0162626096		Trust Share		0.104
Saur F-S Gl Def AC		LU0163675910		Trust Share		0.402
Carmig Commodit AC		LU0164455502		Trust Share		0.006
HSBC Gl Indi Eq EC		LU0164858028		Trust Share		0.001
HSBC Gl Indi Eq AC		LU0164881194		Trust Share		0.009
CompAM Ac Em Cr A		LU0164978511		Trust Share		0.012
CompAM Ac L Bd A		LU0164978867		Trust Share		0.003
CompAM Ac Eu Eq A		LU0165045302		Trust Share		0.003
QSAM All Wther C		LU0165507954		Trust Share		0.002
Pictet-EUR SMTB-P		LU0167158327		Trust Share		0.002
BNP P ICash GBP CC		LU0167236651		Trust Share		0.001
BNP P ICash EUR CC		LU0167237543		Trust Share		0.004
BNP P ICash EUR PC		LU0167237972		Trust Share		0.002
BNP P ICash USD CC		LU0167238863		Trust Share		0.001
M Bl MS Alt St B		LU0167358505		Trust Share		0.006
M Bl MS St EUR BR		LU0167358844		Trust Share		0.007
Mont Blanc Mult CHF		LU0167359909		Trust Share		0.012
Oyst Eu Cop Bd		LU0167813129		Trust Share		0.003
Prif Al Con A		LU0167857845		Trust Share		0.001
Fid Europ HY AMD		LU0168053600		Trust Share		0.114
Fid USD Bd AMD		LU0168055563		Trust Share		0.010
Fid US H Yld AMD		LU0168057262		Trust Share		0.200
Sifter Global R		LU0168736675		Trust Share		0.003
JPMF As Al PI JPMAC		LU0169518387		Trust Share		0.848
JPMIF Eu Str Div AC		LU0169527297		Trust Share		1.092
Fr TI US Tot Ret AC		LU0170468960		Trust Share		0.009
Fr TI Gl TR AC		LU0170475312		Trust Share		0.972
Fr TI Gl TR AD		LU0170475585		Trust Share		0.831
Fr TI Gl TR NC		LU0170477797		Trust Share		0.017
Pictet-GED-HI CHF		LU0170990518		Trust Share		0.261
Pictet-GED-HP CHF		LU0170990948		Trust Share		0.385
Pictet-GED-HI FUR		LU0170991672		Trust Share		0.476
Pictet-GED-HP EUR		LU0170994346		Trust Share		0.965
BGF Em M A2C		LU0171275786		Trust Share		0.060
BGF Eu Gr A2C		LU0171276677		Trust Share		2.237
BGF Eur M A2C		LU0171277485		Trust Share		0.165
BGF Eu A2C		LU0171280430		Trust Share		0.120
BGF Eu Val A2C		LU0171281750		Trust Share		0.025
BGF Gl All A2C		LU0171283459		Trust Share		0.095
BGF Gl All EC		LU0171283533		Trust Share		0.020
BGF Gl HY Bd A2C		LU0171284937		Trust Share		0.025

 

37

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
BGF L Amer A2C		LU0171289498		Trust Share		0.027
BGF New Energ A2C		LU0171289902		Trust Share		0.648
BGF UK A2C		LU0171293177		Trust Share		0.004
BGF US B Val A2C		LU0171293920		Trust Share		0.010
BGF US Fl Eq A2C		LU0171296865		Trust Share		0.008
BGF Wld Energ A2C		LU0171301533		Trust Share		0.008
BGF Wld Fin A2C		LU0171304719		Trust Share		0.010
BGF Wld Gold A2C		LU0171305526		Trust Share		0.020
BGF Wld Gold EC		LU0171306680		Trust Share		0.005
UBS LB USD Co PC		LU0172069584		Trust Share		0.244
BGF Wld Min A2C		LU0172157280		Trust Share		0.576
BGF As Tig Bd A3D		LU0172393414		Trust Share		0.050
BGF Gl HY Bd A3D		LU0172401969		Trust Share		0.030
BGF US Gov M A3D		LU0172418690		Trust Share		0.020
BGF USD HY Bd A3D		LU0172419151		Trust Share		0.110
Jeff Um Gl C Bd BHC		LU0172460973		Trust Share		0.009
CSPSTL M Strat BHC		LU0173092007		Trust Share		0.002
3AAF OY MSt CHF A		LU0173104455		Trust Share		0.015
3AAF OY MSt CHF B		LU0173104885		Trust Share		0.035
Fid China Foc AD		LU0173614495		Trust Share		1.385
N1 NOK Reserve BPC		LU0173786863		Trust Share		0.032
N1 Nordic Eq. BPC		LU0173922476		Trust Share		0.002
T.Rowe US Large A		LU0174119429		Trust Share		0.030
T.R Pr US L C G IC		LU0174119775		Trust Share		0.024
Pictet-USD SMTB-Pdy		LU0175074193		Trust Share		0.005
JB Mpar Kon GEq BC		LU0175576296		Trust Share		0.002
JPMLF USD Tr Liq AC		LU0176037280		Trust Share		0.026
Pictet-JpEqSe-P JPY		LU0176900511		Trust Share		0.009
Pictet-JpEqSe-R JPY		LU0176901758		Trust Share		0.017
S Lif lG E C AC		LU0177497491		Trust Share		0.021
SISF Em M D AR AHC		LU0177592218		Trust Share		0.010
Lux Sel Xantos C		LU0178215710		Trust Share		0.004
CompAM Bd Risk A		LU0178938824		Trust Share		0.002
DWS Inv convert FC		LU0179220412		Trust Share		0.001
BlueB Inv G Bd B		LU0179826135		Trust Share		0.030
Av I Em M Bd IC		LU0180621947		Trust Share		0.003
SISF Gl R R Bd CCR		LU0180781394		Trust Share		0.010
UBAM NB US Eq IC		LU0181362285		Trust Share		0.007
F Eag Am Intl FUCC		LU0181962126		Trust Share		0.007
Fr TI Gl Bd IC		LU0181997262		Trust Share		0.024
AWF Gl H Yld Bd AC		LU0184630167		Trust Share		0.002
BGF Wld Bd A2C		LU0184696937		Trust Share		0.010
JB Mbd Abs R Bd BC		LU0186678784		Trust Share		0.433
JB Mbd Abs R Bd CC		LU0186679246		Trust Share		0.089
UBS(Lu)SXS-Y(CHF)PA		LU0186859905		Trust Share		1.041
UBS(LU)SXS-B(CHF)PA		LU0186860077		Trust Share		0.645
Schroder Em Mkt A1		LU0186876156		Trust Share		0.010
R Cap Em M Eq DC		LU0187076913		Trust Share		0.003

 

38

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
R Cap RSAM EuEq DC		LU0187077218		Trust Share		0.005
R Cap Chine Eq D		LU0187077309		Trust Share		0.004
R Cap NWF Eq DC		LU0187077481		Trust Share		0.008
R Cap Gl CT Eq DC		LU0187079347		Trust Share		0.036
SISF As Eq Yld AC		LU0188438112		Trust Share		0.070
Pictet He P USD		LU0188501257		Trust Share		0.012
Pictet He R USD		LU0188501331		Trust Share		0.001
JB Mp RSAM SGEq CC		LU0188782675		Trust Share		0.003
Pict USD Indx IC		LU0188798671		Trust Share		0.001
Pictet-Eu Idx-I EUR		LU0188800162		Trust Share		0.008
Pictet-Jpld-I JPY		LU0188802960		Trust Share		0.003
SISF Gl H Yld Ac		LU0189893018		Trust Share		0.040
SISF Gl H Yld A1C		LU0189894172		Trust Share		0.220
Thal Al LS EqUS A		LU0189986374		Trust Share		0.011
Gen H Arb Opp B		LU0189991457		Trust Share		0.001
Prif A Em M A		LU0191762409		Trust Share		0.003
UNI-GL Eq Eu SAC		LU0191819951		Trust Share		0.009
UBAM NB US Eq IHC		LU0192065562		Trust Share		0.041
SISF As Eq Yld AD		LU0192582467		Trust Share		0.051
CIF Gl H Inc O Bd		LU0193743431		Trust Share		0.010
JPMIF Gl Cv US BC		LU0194460696		Trust Share		0.060
JPMIF Gl Cv US AC		LU0194732953		Trust Share		0.126
Nw Vill Asia Sm C A		LU0194874581		Trust Share		0.001
Sigma Abs Ret A		LU0195489025		Trust Share		0.005
Fr TI Asia Gr IC		LU0195950992		Trust Share		0.005
Fr TI Gl TR IC		LU0195953152		Trust Share		0.006
Hend H Gl Tech I2C		LU0196035553		Trust Share		0.018
UBS(LU)KSSic-GAEUPA		LU0197216558		Trust Share		0.089
UBS(Lu)KSSIC-GACHPA		LU0197216715		Trust Share		0.018
Fid India AD USD		LU0197229882		Trust Share		0.044
Fid India AD EUR		LU0197230542		Trust Share		0.019
HSBC Gl As x HD AD		LU0197773673		Trust Share		1.326
UBS L Eq USA Gr PC		LU0198837287		Trust Share		3.130
UBS L Eq Sm Eur PC		LU0198839143		Trust Share		0.178
UBS(LU)SXS-Y(USD)PA		LU0200190857		Trust Share		0.095
UBS(Lu)SXS-B(USD)PA		LU0200191152		Trust Share		0.030
BGF Em M Bd A2C		LU0200680600		Trust Share		0.080
BGF US B Val A2C		LU0200685153		Trust Share		0.080
BGF US B Val E2C		LU0200685666		Trust Share		0.005
HGF Cont Eur RC		LU0201071890		Trust Share		1.942
SISF Gl Cor Bd AHC		LU0201324851		Trust Share		0.007
Amundi Eq L Am AUC		LU0201575346		Trust Share		0.001
FAST Europ AC		LU0202403266		Trust Share		0.046
UBS LB Cv Gl PC		LU0203937692		Trust Share		0.511
R Cap BP G P Eq BD		LU0203975197		Trust Share		0.004
R Cap BP G P Eq DC		LU0203975437		Trust Share		0.010
BGF UK A4RFD		LU0204064025		Trust Share		0.017
BGF US B Val A4RFD		LU0204064967		Trust Share		0.010

 

39

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
SISF US Sm&M Eq AC		LU0205193047		Trust Share		0.010
SISF US Sm&M Eq A1C		LU0205193989		Trust Share		0.020
Fid As P Div AD		LU0205439572		Trust Share		0.458
BlueB HY Bd R		LU0206510082		Trust Share		0.060
Dinvest Sel III A		LU0206594326		Trust Share		0.001
Dinvest Sel III AE		LU0206595307		Trust Share		0.003
BlueB Em Bd R		LU0206733890		Trust Share		0.074
JPMF Gl Nat Res AC		LU0208853274		Trust Share		0.127
JPMF Gl Nat Res AD		LU0208853514		Trust Share		0.045
Hend H Gl Tech A1D		LU0209158467		Trust Share		0.150
JPMF India JPMAC		LU0210527015		Trust Share		0.007
JPMF As Pa In JPMAC		LU0210527791		Trust Share		0.051
JPMF Taiwan JPMAC		LU0210528419		Trust Share		0.009
JPMF Em Eu Eq AC		LU0210529573		Trust Share		0.009
JPMF Em Mk Eq AC		LU0210529656		Trust Share		0.201
JPMF Eu St Gr AC		LU0210531801		Trust Share		0.005
JPMF US Aggr Bd AC		LU0210532957		Trust Share		0.007
JPMF L Amer Eq		LU0210535034		Trust Share		0.064
Fr TI Gl Inc AC		LU0211326755		Trust Share		0.013
Fr TI Gl Inc AD		LU0211326839		Trust Share		0.008
Fr TI Gl Inc NC		LU0211327480		Trust Share		0.007
Mosaic I USD		LU0211629901		Trust Share		0.001
Mosaic HI EUR		LU0211630404		Trust Share		0.002
Mosaic Trad HI CHF		LU0211630826		Trust Share		0.001
Mosaic Trad HI EUR		LU0211631048		Trust Share		0.002
Parv Eq Eu Sm CC		LU0212178916		Trust Share		0.002
BGF Jap Fl Eq E2C		LU0212924947		Trust Share		0.030
BGF Gl All A2C		LU0212925753		Trust Share		0.205
BGF Gl All E2C		LU0212926132		Trust Share		0.010
S Lif IG Chi Eq AC		LU0213068272		Trust Share		0.019
R Cap Eur Gv Bd DHC		LU0213453268		Trust Share		0.001
Mosaic HR		LU0213918591		Trust Share		0.004
NN L US HD PC		LU0214494824		Trust Share		0.003
NN L US HD PD		LU0214495128		Trust Share		0.001
HSBC Gl BRIC Eq M2C		LU0214875030		Trust Share		0.048
UBS L Bd Em Eu PD		LU0214904665		Trust Share		0.141
UBS L Bd Em Eu PC		LU0214905043		Trust Share		0.004
JPMF Russia AD		LU0215049551		Trust Share		0.028
Luxic P Sh IC		LU0215791574		Trust Share		0.006
JSS In EqS IIID PC		LU0215909168		Trust Share		0.079
AWF F Eu RES AC		LU0216734045		Trust Share		0.030
VG Wld Eq IC		LU0216945922		Trust Share		0.050
Pictet-PBrd-R EUR		LU0217138725		Trust Share		0.003
Pictet-PBrd-P EUR		LU0217139020		Trust Share		0.039
BlueB Inv G Bd R		LU0217402501		Trust Share		0.734
JPMF Em Mk Eq AC		LU0217576759		Trust Share		0.267
Belm L M-Str B		LU0217835874		Trust Share		0.015
JPMIF US S Eq AC		LU0218171717		Trust Share		0.044

 

40

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
SISF Em M D AR CHD		LU0218201134		Trust Share		0.010
Vonto Em M Eq HhC		LU0218912235		Trust Share		0.001
MFSMF Eu Res I1		LU0219424131		Trust Share		0.004
MFSMF Eu Val I1		LU0219424487		Trust Share		0.005
MFSMF Gl Eq I1		LU0219424644		Trust Share		0.002
MFSMF UK Eq A1		LU0219431854		Trust Share		0.233
MFSMF Eu Sm Co A1		LU0219440681		Trust Share		0.006
MFSMF Eu Val A1		LU0219440764		Trust Share		0.059
MFSMF Gl Eq A1		LU0219441069		Trust Share		0.106
MFSMF Gl T Ret A1		LU0219441499		Trust Share		0.045
MFSMF Ltd Mat A1		LU0219442893		Trust Share		0.094
MFSMF Infl-Ad Bd A1		LU0219444592		Trust Share		0.013
MFSMF US Con Gr I1		LU0219445482		Trust Share		0.005
MFSMF Gl Eq I1		LU0219454633		Trust Share		0.004
MFSMF Gl T Ret C2		LU0219492567		Trust Share		0.510
Gems P Low Vol R		LU0221728677		Trust Share		0.013
Gems P Recovery R		LU0221730905		Trust Share		0.003
BlueB HY Bd DR		LU0222772781		Trust Share		0.002
BlueB Inv G Bd D		LU0223989970		Trust Share		0.003
BGF Co Eu Fl A2RFC		LU0224105477		Trust Share		0.047
BGF Gl Eq A2C		LU0224106525		Trust Share		0.047
UBS L 2 MBd GBP PC		LU0224520709		Trust Share		0.003
Foc CORPBDE FC		LU0224579853		Trust Share		0.765
Foc HGB EUR FC		LU0224580430		Trust Share		0.238
Foc HGB CHF FC		LU0224580604		Trust Share		0.454
Foc HGB USD FC		LU0224580786		Trust Share		0.211
SISF Gl Eq Alp AC		LU0225283273		Trust Share		0.003
JPMF Russia AC		LU0225506756		Trust Share		0.067
MSIF US Adv AC		LU0225737302		Trust Share		0.003
R Cap US Pr Eq DC		LU0226953718		Trust Share		0.017
R Cap Eu HY Bd DHC		LU0226953981		Trust Share		0.002
R Cap US Pr Eq IC		LU0226954369		Trust Share		0.436
AWF Eur Sh IC		LU0227127643		Trust Share		0.240
AWF Gl Inf Bd IC		LU0227145629		Trust Share		0.204
N1 St Ret BPC		LU0227384020		Trust Share		0.120
N1 St Ret EC		LU0227385266		Trust Share		0.028
R Cap H Y Bd IHC		LU0227757233		Trust Share		0.002
NN L Fl Sen L IC		LU0228524426		Trust Share		0.001
SISF BRIC AC		LU0228659784		Trust Share		0.075
SISF BRIC CC		LU0228660014		Trust Share		0.010
BGF Eu Foc A2C		LU0229084990		Trust Share		0.010
Hend H AP Pr Eq A1D		LU0229494629		Trust Share		0.009
Hend H AP Pr Eq A2C		LU0229494975		Trust Share		0.010
JSS In OS Eq Gl PD		LU0229773345		Trust Share		0.030
Fr TI Asia Gr AC		LU0229940001		Trust Share		0.014
Fr TI BRIC AC		LU0229945570		Trust Share		0.117
Fr TI Gl RE AC		LU0229948087		Trust Share		0.012
Fr TI Asia Bd AC		LU0229949994		Trust Share		0.160

 

41

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Fr TI Asia Bd AD		LU0229950067		Trust Share		0.040
Fr TI India AC		LU0231203729		Trust Share		0.149
Fr TI India AC		LU0231205187		Trust Share		0.027
Ab Gl Asia P Eq D2C		LU0231455378		Trust Share		0.174
Ab Gl Em Eq D2C		LU0231456343		Trust Share		0.348
Ab Gl Asia Sm A2C		LU0231459107		Trust Share		0.380
Ab Gl As L Cur I2C		LU0231477935		Trust Share		0.011
Ab Gl Em Eq I2C		LU0231479717		Trust Share		0.059
Aber Se Em Ma B I2C		LU0231480137		Trust Share		0.364
Ab Gl Wld Eq I2C		LU0231482349		Trust Share		0.059
Ab Gl Asia Sm I2C		LU0231483313		Trust Share		0.013
Ab Gl China Eq A2C		LU0231483743		Trust Share		0.028
Ab Gl India Eq A2C		LU0231490524		Trust Share		0.020
Ab Gl India Eq I2C		LU0231490953		Trust Share		0.013
SF L2 Sk Mat Pr16l		LU0231665851		Trust Share		0.001
E.S.A. Gl Fut A		LU0232557826		Trust Share		0.002
E.S.A. Gl Fut B		LU0232558717		Trust Share		0.002
Spinv HY Val Bd RC		LU0232765429		Trust Share		0.005
Pict Alt PCO I USD		LU0232830348		Trust Share		0.001
Pict Alt PCO HI CHF		LU0232830934		Trust Share		0.003
Pict Alt PCO HJ EUR		LU0232831585		Trust Share		0.004
Pict Alt PCO HI EUR		LU0232832476		Trust Share		0.003
SISF BRIC AC		LU0232931963		Trust Share		0.034
SAS Commod AHC		LU0233036713		Trust Share		0.070
GS Gr&EM Debt C		LU0234573003		Trust Share		0.228
GS Gl H Yld C		LU0234573771		Trust Share		2.419
UBS LSX Yld EUR PD		LU0234735347		Trust Share		0.045
UBS LSX Yld CHF PD		LU0234737475		Trust Share		0.997
UBS LSX Bal CHF PD		LU0234744687		Trust Share		0.274
Fr TI Gl TR AD		LU0234926953		Trust Share		0.097
R Cap Prop Eq IC		LU0234965001		Trust Share		0.012
Alken Eu Opp RC		LU0235308482		Trust Share		0.028
NIFLI H Gl Eq SAC		LU0235979852		Trust Share		0.587
UBS(LU)KSSIC-ASEQPA		LU0235996351		Trust Share		0.050
UBS LKS EUR BE PC		LU0235997086		Trust Share		0.001
UBS L Eq US Opp PHC		LU0236040357		Trust Share		0.002
BGF Gl All A2C		LU0236177068		Trust Share		0.080
UBS LKS EUR BE PD		LU0236485982		Trust Share		0.002
N1 Eu HY Bd BPC		LU0236489380		Trust Share		0.002
SISF Jap Eq AHC		LU0236737465		Trust Share		0.015
SISF Jap Eq CHC		LU0236738356		Trust Share		0.020
Dual R V Microf P		LU0236782842		Trust Share		1.000
CompAM Ac Eu Eq Z		LU0236972112		Trust Share		0.001
Fid Eu AC		LU0238202427		Trust Share		0.010
BlueB Em LC Bd B		LU0238483688		Trust Share		0.129
BGF Gl Dyn Eq A2C		LU0238689110		Trust Share		0.020
UBS(LU)STSI-RCOMUP		LU0239752032		Trust Share		0.260
UBS(LU)STSI-RCOMEP		LU0239752115		Trust Share		0.048

 

42

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBS(LU)STSI-RCOMCP		LU0239752628		Trust Share		0.167
Rob L-o-r DHUSDC		LU0239949414		Trust Share		0.002
Rob L-o-R IEHCHFDD		LU0239950180		Trust Share		0.001
Rob L-o-r EHEURDD		LU0239950263		Trust Share		0.001
Rob L-o-r IHEURC		LU0239950693		Trust Share		0.008
BlueB Em LC Bd R		LU0240767763		Trust Share		0.006
BlueB Em LC Bd R		LU0240772680		Trust Share		0.001
BlueB Em LC Bd D		LU0240774033		Trust Share		0.003
BlueB Em LC Bd I		LU0240775436		Trust Share		0.001
SISF Gl Sm AC		LU0240877869		Trust Share		0.010
Orbis As ex Eq I		LU0241795839		Trust Share		0.358
BlueB HY Bd B		LU0241881910		Trust Share		0.002
BlueB HY Bd R		LU0241882488		Trust Share		0.044
BlueB Inv G Bd B		LU0241884427		Trust Share		0.008
BlueB Inv G Bd R		LU0241884856		Trust Share		0.030
BlueB Inv G Bd I		LU0241885077		Trust Share		0.001
SISF As Eq Yld AD		LU0242608361		Trust Share		0.010
Prif A P Sec A		LU0242657657		Trust Share		0.005
Prif A P Sec A		LU0242659943		Trust Share		1.189
Inv Asia Infra EC		LU0243956348		Trust Share		0.040
Inv P Eu H Inc AC		LU0243957239		Trust Share		1.037
Inv P Eu H Inc CC		LU0243957668		Trust Share		0.060
Inv P Eu H lnc EC		LU0243957742		Trust Share		0.070
Inv Eur Corp Bd AC		LU0243957825		Trust Share		0.115
LTI SIA Classic		LU0244071956		Trust Share		0.524
SISF China Opp AC		LU0244354667		Trust Share		0.005
MFSMF Eu Res I1		LU0244615992		Trust Share		0.001
MM Acc Eu Eq BC		LU0245618367		Trust Share		0.170
MM Acc US Eq AD		LU0245618797		Trust Share		0.135
MM Acc US Eq BC		LU0245619092		Trust Share		0.488
Man CG EUR		LU0245991913		Trust Share		1.413
Man CA D10C		LU0246000094		Trust Share		0.001
SISF Eu Sp Sit AC		LU0246035637		Trust Share		1.539
SISF Eu Sp Sit CC		LU0246036288		Trust Share		0.732
UBS LKS As Eq PD		LU0246169758		Trust Share		0.002
UBS L Eq Rus PC		LU0246274897		Trust Share		0.461
UNI-GL Eq Jap SAC		LU0246474125		Trust Share		0.008
Pictet-ARGD-P EUR		LU0247079469		Trust Share		0.003
Hend H Eu Sm X2C		LU0247697633		Trust Share		0.010
JPMIF Gl Fin AD		LU0247983728		Trust Share		0.010
JPMIF Eu Str Div AD		LU0247987802		Trust Share		0.130
JPMIF Eu Sel Eq IC		LU0247995813		Trust Share		0.008
Inv Eur Corp Bd AD		LU0248037169		Trust Share		0.020
SISF Asian Op AC		LU0248184466		Trust Share		0.040
SISF US Lg AC		LU0248185190		Trust Share		0.020
BGF India A2C		LU0248272758		Trust Share		0.090
Pictet He HP EUR		LU0248320664		Trust Share		0.002
BGF Jap Fl Eq A2C		LU0249410860		Trust Share		0.010

 

43

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Bl Ed Select BhCHF		LU0250482295		Trust Share		0.904
Fid America AC		LU0251127410		Trust Share		0.080
Fid Eur Blue AC		LU0251128657		Trust Share		0.010
Fid Eur Bd AC		LU0251130638		Trust Share		0.030
Fid Eu HY AC		LU0251130802		Trust Share		0.620
Fid America AC		LU0251131958		Trust Share		0.030
AWF Eur Sh AC		LU0251661756		Trust Share		0.840
AWT Gl H Yld Bd IC		LU0252440952		Trust Share		0.002
JPMF Eur MM AC		LU0252499412		Trust Share		0.094
Fr TI Gl Bd AC		LU0252652382		Trust Share		0.763
BGF Wld Gold D2C		LU0252968424		Trust Share		0.007
NevaFd Alpha+ CE		LU0253243587		Trust Share		0.001
GS Str AR Bd II HC		LU0254093452		Trust Share		0.020
GS Str AR Bd II C		LU0254094427		Trust Share		0.001
R Cap Em St Eq DC		LU0254836850		Trust Share		0.005
NIFLI Gl Infl RAC		LU0255251679		Trust Share		1.000
BGF Jap Sm Opp A2C		LU0255399742		Trust Share		0.020
Pictet-ALCD-P USD		LU0255797556		Trust Share		0.003
Pictet-ELCD-I USD		LU0255798018		Trust Share		0.001
Pictet-ELCD-P USD		LU0255798109		Trust Share		0.010
Pictet-ELCD-R USD		LU0255798364		Trust Share		0.002
Pictet-Water-I USD		LU0255980244		Trust Share		0.365
Pictet-Water-P USD		LU0255980327		Trust Share		0.021
Pictet-EulId-IS EUR		LU0255980830		Trust Share		0.002
Pictet-EurlId-P EUR		LU0255980913		Trust Share		0.001
JB Mbd Abs Bd Pl BC		LU0256048223		Trust Share		0.507
JB Mbd Abs Bd Pl CC		LU0256049627		Trust Share		0.007
JB Mbd Abs Bd Pl BC		LU0256055517		Trust Share		0.002
JB Mbd Abs Bd Pl CC		LU0256056671		Trust Share		0.001
SISF Gl Energy AC		LU0256331488		Trust Share		0.046
SISF Gl Energy A1C		LU0256332296		Trust Share		0.020
AGIF Eu Eq Gr AD		LU0256839191		Trust Share		0.001
AGIF Eu Eq Gr ATC		LU0256839274		Trust Share		0.012
AGIF Eurl Eq Gr AD		LU0256839944		Trust Share		0.005
Pictet-U EqS P USD		LU0256840108		Trust Share		0.002
AGIF Eurl Eq Gr ATC		LU0256840447		Trust Share		0.018
Pictet-U EqS R USD		LU0256842575		Trust Share		0.002
Pictet-Secur-P USD		LU0256846139		Trust Share		0.003
Pictet-Secur-PdyUSD		LU0256846303		Trust Share		0.011
Foc CONVGL EU FC		LU0257064047		Trust Share		0.713
Foc CONVGL HFC		LU0257065010		Trust Share		0.221
Mel ST Jap Adv B3C		LU0258103505		Trust Share		0.002
Jup Gl Eu Gr LC		LU0260085492		Trust Share		0.017
Jup Gl Eu Opp LC		LU0260086623		Trust Share		0.026
Fr TI Gl TR AC		LU0260870661		Trust Share		0.016
Fr TI Gl TR NC		LU0260870745		Trust Share		0.006
Fr TI Eu S-M Gr AC		LU0260871552		Trust Share		0.005
Ashm Loc Curr R		LU0261074230		Trust Share		4.637

 

44

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Ashm Loc Curr R		LU0261074586		Trust Share		1.066
MI-FD L 30 AD		LU0261662687		Trust Share		0.003
MI-FD L 30 BC		LU0261662760		Trust Share		0.010
MI-FD L 40 EUR AD		LU0261662844		Trust Share		0.005
MI-FD L 40 EUR BC		LU0261662927		Trust Share		0.005
MI-FD L 50 AD		LU0261663065		Trust Share		0.004
MI-FD L 50 BC		LU0261663149		Trust Share		0.013
MI-FD L InterBd AG		LU0261663578		Trust Share		0.004
MI-FD L InterBd BC		LU0261663651		Trust Share		0.011
MI-FD L InterSt AD		LU0261663735		Trust Share		0.004
MI-FD L InterSt BC		LU0261663818		Trust Share		0.004
MI-FD L SwissSt AD		LU0261663909		Trust Share		0.006
MI-FD L SwissSt BC		LU0261664030		Trust Share		0.005
JB Mbd Gl Cv Bd BC		LU0261938426		Trust Share		0.011
JB Mbd Abs R Bd BC		LU0261940752		Trust Share		0.003
JB Mbd Abs R Bd BC		LU0261945710		Trust Share		0.004
JB Mbd Abs R Bd CC		LU0261946106		Trust Share		0.003
Fid Intl Bd AC		LU0261946288		Trust Share		0.010
Fid S East Asia AC		LU0261946445		Trust Share		0.023
Fid USD Bd AC		LU0261947682		Trust Share		0.044
Fid Stlg Bd AC		LU0261947765		Trust Share		0.086
Fid Germany AC		LU0261948227		Trust Share		4.330
Fid Iberia AC		LU0261948904		Trust Share		0.316
Fid Nordic AC		LU0261949381		Trust Share		0.005
Fid Australia AC		LU0261950041		Trust Share		0.080
Fid Em AC		LU0261950470		Trust Share		0.007
Fid Eur Bal AC		LU0261950553		Trust Share		0.010
Fid Eu Sm AC		LU0261951528		Trust Share		0.119
Fid US HY AC		LU0261953904		Trust Share		1.130
Fid Eu Dyn Gr AC		LU0261959422		Trust Share		0.020
GS Gr&EM Debt C		LU0262418394		Trust Share		0.023
Dinvest Tot Ret AQ		LU0262583320		Trust Share		0.006
UBS(LU)KSSic-GAEUPA		LU0263318890		Trust Share		0.011
P Gr L I L Infr IC		LU0263854829		Trust Share		0.008
P Gr L I L Infr PC		LU0263855479		Trust Share		0.200
Hend H P Eu Al A2C		LU0264597617		Trust Share		0.043
Hend H P Eu Al I2C		LU0264598268		Trust Share		0.056
Hend H Asi Div A2C		LU0264606111		Trust Share		0.010
Spinv Eu Val RC		LU0264920413		Trust Share		0.001
Spinv IG Val Bd RC		LU0264925727		Trust Share		0.001
Spinv IG Val Bd IC		LU0264926378		Trust Share		0.001
Parv Eq Rus Op IC		LU0265343219		Trust Share		1.001
BGF Gl Enh Eq A5D		LU0265550946		Trust Share		0.060
AWF Gl Inf Bd AC		LU0266009793		Trust Share		0.003
AWF Gl Inf Bd AHC		LU0266009959		Trust Share		0.008
AWF Gl Inf Bd IHD		LU0266010379		Trust Share		0.035
AWF Framl Helth AC		LU0266013472		Trust Share		0.355
MSIF Gl Prop AC		LU0266114312		Trust Share		0.018

 

45

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
MSIF Em Debt AHC		LU0266119204		Trust Share		0.215
JPMF Gl Nat Res AC		LU0266512127		Trust Share		0.018
Fid Eur Sh Bd AC		LU0267388220		Trust Share		0.010
Inv P Eu Eq CD		LU0267984853		Trust Share		0.081
Inv Gl Struct Eq AD		LU0267984937		Trust Share		0.008
Inv P Eu Eq AD		LU0267985231		Trust Share		0.020
Inv Gl Struct Eq EC		LU0267985314		Trust Share		0.010
Inv UK Inv G Bd AD		LU0267985660		Trust Share		0.218
Ram Sys Eur Eq FC		LU0268506903		Trust Share		0.001
R Cap Em M Eq DC		LU0269635834		Trust Share		0.002
SISF Gl Em Opp A1C		LU0269905484		Trust Share		0.064
SISF Asi Pac Se AC		LU0269905997		Trust Share		0.010
Foc HGB GBP FC		LU0270448243		Trust Share		0.161
Foc HGLTB CHF FC		LU0270449050		Trust Share		0.014
Foc HGLTB GBP FC		LU0270450223		Trust Share		0.141
SISF Taiwan Eq AC		LU0270814014		Trust Share		0.073
SISF Taiwan Eq A1C		LU0270816068		Trust Share		0.010
Pictet-Secur-P EUR		LU0270904781		Trust Share		0.002
BlueB Em Se Bd R		LU0271024092		Trust Share		0.004
BlueB Em Se Bd R		LU0271024506		Trust Share		0.002
SF(LU)SIC2-SKAMPF22		LU0271866880		Trust Share		0.001
Kairos II Dyn P		LU0271893850		Trust Share		0.002
Amundi AV Eu Eq AEC		LU0272941971		Trust Share		0.011
Amundi AV Eu Eq SEC		LU0272942433		Trust Share		0.010
D Inv I Gl Agr NCC		LU0273147594		Trust Share		0.003
D Inv I Chin Eq LCC		LU0273157635		Trust Share		0.308
D Inv I Gl Agr LCC		LU0273158872		Trust Share		0.028
D Inv I Gl Agr LCC		LU0273164847		Trust Share		0.078
RWC Gl Conv A		LU0273642768		Trust Share		0.005
RWC Gl Conv AC		LU0273642925		Trust Share		0.002
RWC Gl Conv BC		LU0273643493		Trust Share		0.001
RWC Gl Conv BC		LU0273643733		Trust Share		0.007
BGF US B Val D2C		LU0275209954		Trust Share		0.049
SISF Japan Op AD		LU0275265352		Trust Share		0.020
AWF US HY Bd AHC		LU0276013082		Trust Share		0.002
AWF US HY Bd IHD		LU0276013835		Trust Share		0.012
AWF US HY Bd IHC		LU0276014130		Trust Share		0.015
AWF US HY Bd AC		LU0276014999		Trust Share		0.004
AWF US HY Bd ID		LU0276015616		Trust Share		0.058
AWF US HY Bd IC		LU0276015889		Trust Share		0.920
Vonto FR Bd IC		LU0278084768		Trust Share		0.001
BGF Fx Gl Opp A2C		LU0278453476		Trust Share		0.180
BGF Fx Gl Opp D2C		LU0278456651		Trust Share		0.013
BGF Em M LC Bd A2C		LU0278457204		Trust Share		0.009
BGF Fx Gl Opp D2C		LU0278463947		Trust Share		0.213
BGF Fx Gl Opp A2C		LU0278465488		Trust Share		0.030
BGF Fx Gl Opp A2C		LU0278466700		Trust Share		0.915
BGF Fx Gl Opp D2C		LU0278469043		Trust Share		0.096

 

46

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
BGF Em M LC Bd A2C		LU0278470058		Trust Share		0.367
BGF Em M LC Bd A3D		LU0278470132		Trust Share		0.070
Farring I Alp 1 C		LU0278513808		Trust Share		0.001
Ab Gl Jap Sm I2C		LU0278930234		Trust Share		0.006
Ab Gl Jap Sm A2C		LU0278936439		Trust Share		0.012
Ab Gl Em Mkt Sm A2C		LU0278937759		Trust Share		0.052
Nova Abs Ret IC		LU0279673619		Trust Share		0.003
Pictet-PBrd-P USD		LU0280433847		Trust Share		0.064
Pictet-PBrd-R USD		LU0280434068		Trust Share		0.003
Pictet-ELCD-I EUR		LU0280437160		Trust Share		0.001
Pictet-ELCD-P EUR		LU0280437673		Trust Share		0.008
Pictet-ALCD-P EUR		LU0280438309		Trust Share		0.003
RWC Gl Conv AC		LU0280814137		Trust Share		0.003
MPC Gl Conv BC		LU0280814301		Trust Share		0.015
DNCA I Eurose AC		LU0284394235		Trust Share		0.009
DNCA IN Evolut AC		LU0284394664		Trust Share		0.001
DNCA IN Evolut BC		LU0284394821		Trust Share		0.002
DNCA I S Eu Opp IC		LU0284395125		Trust Share		0.002
DNCA IN Val Eu AC		LU0284396016		Trust Share		0.001
Exane 1 Ceres AC		LU0284634564		Trust Share		0.003
NN L Fl Sen L GC		LU0285691738		Trust Share		0.004
Tweedy B Gl HDV DC		LU0285922489		Trust Share		0.512
Part Gr Gl Val I		LU0286628747		Trust Share		0.010
Part Gr Gl Val R		LU0286629125		Trust Share		0.020
Fid Asia HY AC		LU0286668453		Trust Share		0.128
Fid Asia HY AMD		LU0286669428		Trust Share		1.280
Fid Asia HY AMD		LU0286669774		Trust Share		0.140
UBS L Eq Braz PC		LU0286682959		Trust Share		0.111
Fid China Focus AD		LU0287142896		Trust Share		0.737
UBS(LU)KSSIC-GAESPA		LU0287180474		Trust Share		0.010
JSS In Sus E NP PC		LU0288930869		Trust Share		0.025
JPMF Eu Eq Pl AC		LU0289089384		Trust Share		0.019
JPMF US Eq Pl AD		LU0289232281		Trust Share		0.017
JPMIF Inc Opp AHD		LU0289470972		Trust Share		0.020
JPMIF Inc Opp CHC		LU0289472085		Trust Share		0.025
JPMIF Inc Opp DC		LU0289473059		Trust Share		0.041
JPMIF Inc Opp AHD		LU0289479841		Trust Share		0.008
SISF USD Bd AC		LU0291343597		Trust Share		1.016
Pharus Absl Ret C		LU0291569647		Trust Share		0.002
HSBC QA GBMN300 GBC		LU0293109475		Trust Share		0.001
AGIF Enh Sh Eur ATC		LU0293294277		Trust Share		0.005
AGIF Eu Sm Eq AD		LU0293315023		Trust Share		0.001
Fr TI Gl Bd AH1C		LU0294219869		Trust Share		0.438
Fr TI Gl Bd NH1C		LU0294220107		Trust Share		0.005
Fr TI Gl TR AH1C		LU0294221097		Trust Share		0.311
Fr TI Gl TR NH1C		LU0294221253		Trust Share		0.009
BGF Eur Bd D2C		LU0297941469		Trust Share		3.105
BGF Wld Bd D2C		LU0297941972		Trust Share		0.035

 

47

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
MSIF Div APl AC		LU0299413608		Trust Share		0.026
D Inv l EC Bd FCC		LU0300357802		Trust Share		0.005
Fr TI Str Inc AC		LU0300737037		Trust Share		0.036
Fr TI Str Inc AD		LU0300737201		Trust Share		0.017
Alken Sm Eu RC		LU0300834669		Trust Share		0.002
LTI SIA Classic		LU0301246772		Trust Share		0.002
LTI SIA Classic		LU0301247077		Trust Share		0.001
LTI SIA Nat Res		LU0301247234		Trust Share		0.002
AberII GBP Bd A1D		LU0304259285		Trust Share		0.056
MM Acc Gl Eq BC		LU0306084707		Trust Share		0.842
LFP Opp D Eur HR BC		LU0306489781		Trust Share		0.003
SISF Gl Div Max AD		LU0306807586		Trust Share		0.200
PAF-Mo Eur I EUR		LU0306904607		Trust Share		0.002
UBS LB Brazil PC		LU0307095868		Trust Share		0.095
GS Str AR Bd II EC		LU0308381069		Trust Share		0.003
BGF Gl AII A2C		LU0308772762		Trust Share		0.579
SISF Gl Div Max A1D		LU0308882355		Trust Share		0.019
JCI Cap Gl As A		LU0310185367		Trust Share		0.003
T.R Pr ME Af Eq AC		LU0310187579		Trust Share		0.865
R Cap Eu Cons Eq IC		LU0312333569		Trust Share		0.002
R Cap Eu Cons Eq BD		LU0312334617		Trust Share		0.002
MMA2 Eu M C BIC		LU0313363508		Trust Share		7.778
MMA2 Eu M C BIC		LU0313363680		Trust Share		0.079
MMA2 Eu M C BIC		LU0313363763		Trust Share		0.003
MMA2 Gl Fix BIC		LU0313364142		Trust Share		1.511
MMA2 US M C BIC		LU0313364498		Trust Share		0.698
MMA2 Gl Fix BIC		LU0313364571		Trust Share		1.176
MMA2 US M C BIC		LU0313364738		Trust Share		0.381
MMA2 Gl Fix BIC		LU0313364811		Trust Share		1.106
BR SF Eu Opp Ex A2C		LU0313923228		Trust Share		0.192
SISF Midd East AC		LU0314587907		Trust Share		0.010
UBS L Bd Co Gl PD		LU0315165794		Trust Share		0.006
Fr TI Gl TR AH1D		LU0316493153		Trust Share		0.027
Fr TI Gl TR IH1C		LU0316493237		Trust Share		0.007
UBS S Xt Fl CHF PA		LU0317277589		Trust Share		0.017
Fid China Focus AC		LU0318931192		Trust Share		0.070
Fid Italy YC		LU0318940342		Trust Share		0.020
Amundi AV Wl Eq AU		LU0319687124		Trust Share		0.058
Amundi AV Wl E Q AUD		LU0319687397		Trust Share		0.001
Amundi B Gl Agg AUC		LU0319688015		Trust Share		0.023
Amundi B Gl Agg SUC		LU0319688361		Trust Share		0.003
Variop Tar Wat R1C		LU0319773478		Trust Share		0.010
Variop Tar Wat WC		LU0319773635		Trust Share		0.001
SISF QEP Gl Q CC		LU0319795521		Trust Share		0.518
SAS Commod AC		LU0319973649		Trust Share		0.020
Prif A U CHF G		LU0320581241		Trust Share		0.005
R Cap US Pr Eq DHC		LU0320896664		Trust Share		0.710
R Cap US Pr Eq IHC		LU0320897043		Trust Share		0.002

 

48

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Prospera Senectute		LU0322204107		Trust Share		0.001
UBS MS Man Opp BC		LU0322667899		Trust Share		0.020
UBS MS Man Opp BC		LU0322668194		Trust Share		0.109
UBS MS Man Opp BC		LU0322668350		Trust Share		0.026
UBSLI-EMEPUXA		LU0322730093		Trust Share		0.001
JPMIF Inc Opp AHC		LU0323456383		Trust Share		0.010
JPMIF Inc Opp CHD		LU0323456540		Trust Share		0.016
JPMIF Inc Opp CC		LU0323456896		Trust Share		0.009
Flo v St M Opp RD		LU0323578657		Trust Share		0.821
Flexi Eq Sm ChA CC		LU0324177442		Trust Share		0.001
Loys Gl ND		LU0324426252		Trust Share		2.000
RP RP AV Ausgew CD		LU0324636652		Trust Share		0.001
Pictet-LLCD-R EUR		LU0325328705		Trust Share		0.002
Parv Enh C 6M CC		LU0325598166		Trust Share		0.001
Foc Gl Bd HFC		LU0326809257		Trust Share		1.977
Foc Gl Bd HFC		LU0326809505		Trust Share		0.001
Foc Gl Bd HFC		LU0326809844		Trust Share		0.324
Foc Gl Bd HFUKD		LU0326810180		Trust Share		0.158
SISF As TR AC		LU0326948709		Trust Share		0.170
SISF As TR CC		LU0326949186		Trust Share		0.030
Hend H China A2C		LU0327786744		Trust Share		0.018
Hend H China A1D		LU0327786827		Trust Share		0.100
Hend H China I2C		LU0327787049		Trust Share		0.080
UBS L Eq EmM Gr PC		LU0328353924		Trust Share		0.003
Jup Gl Ch Sel LC		LU0329070832		Trust Share		0.010
JB Mst Luxur Br CC		LU0329430390		Trust Share		0.002
JB Mst Luxur Br CC		LU0329430473		Trust Share		0.003
JB Mst Luxur Br CC		LU0329430630		Trust Share		0.001
BGF Gl All D2HC		LU0329591480		Trust Share		0.010
BGF US B Val D2HC		LU0329591993		Trust Share		0.516
BGF Eur Sh Bd D2C		LU0329592371		Trust Share		4.069
D Inv I Gl Infr NCC		LU0329760853		Trust Share		0.001
D Inv I Gl Agr LDDD		LU0329762636		Trust Share		0.002
OPPI MultiStr A		LU0331963347		Trust Share		0.013
MLIS M WT Mkt N GBC		LU0333227121		Trust Share		0.005
GS India Eq D		LU0333810009		Trust Share		0.011
GS India Eq C		LU0333810181		Trust Share		0.357
GS India Eq EC		LU0333810850		Trust Share		0.011
SISF Hong K Eq BHC		LU0334662938		Trust Share		0.010
SISF US Sm&M Eq AHC		LU0334663233		Trust Share		0.020
Alpha Life Sett AOC		LU0334803425		Trust Share		0.004
Inv Asia Co Dem AC		LU0334857355		Trust Share		0.020
Inv P Eu Eq AD		LU0334858593		Trust Share		0.070
Inv P Eu Sm Eq AD		LU0334858676		Trust Share		0.010
Orbis Gl Eq I		LU0334985271		Trust Share		0.004
N1 Nordic Eq. BIC		LU0335102843		Trust Share		0.002
MSIF Gl Brds AHC		LU0335216932		Trust Share		0.169
HDF SPE L Eurov AC		LU0335568613		Trust Share		0.003

 

49

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
HDF SPE L Eurov CC		LU0335569009		Trust Share		0.005
Oyst Eu Fx Inc I		LU0335770102		Trust Share		0.001
Carmig Gl Bd AC		LU0336083497		Trust Share		0.001
Carmig Cap Pl AC		LU0336084032		Trust Share		0.142
Mirae Korea Eq AC		LU0336294433		Trust Share		0.014
UNI-GL Eq Wor SAC		LU0337270119		Trust Share		0.020
UNI-GL Eq Wor SAHC		LU0337271356		Trust Share		0.004
UBS L KS2 A S Eq PD		LU0337456056		Trust Share		0.001
Fid US HY AHC		LU0337581549		Trust Share		0.069
MFSMF Pr Wealth A1		LU0337786437		Trust Share		0.076
Cap Intl Em M X		LU0337791783		Trust Share		0.010
SISF Taiwan Eq AD		LU0338530842		Trust Share		0.016
R Cap Eu Cons Eq DC		LU0339661307		Trust Share		0.003
MSIF US Adv BHC		LU0341469269		Trust Share		0.002
IGS Gr Corp Bd FC		LU0345764087		Trust Share		0.006
IGS EM L C Dbt AC		LU0345767262		Trust Share		0.008
IGS Gl Str Eq CD		LU0345771025		Trust Share		0.004
IGS Asian Eq AC		LU0345775950		Trust Share		0.011
IGS Asian Eq CD		LU0345776339		Trust Share		0.006
IGS Gl Energy AC		LU0345779275		Trust Share		0.012
IGS Gl Energy AD		LU0345779515		Trust Share		0.007
IGS Gl Energy CD		LU0345779606		Trust Share		0.001
Fid Eur Blue YC		LU0346388290		Trust Share		1.478
Fid Germany YC		LU0346388530		Trust Share		0.440
Fid Gl Fin Serv YC		LU0346388704		Trust Share		0.030
Fidelity EU HY EURc		LU0346390270		Trust Share		2.398
Fid Asia Sp Sit YC		LU0346390601		Trust Share		0.020
Fid Em YC		LU0346390940		Trust Share		0.031
Fid Indonesia YC		LU0346391328		Trust Share		0.030
Fid Malaysia YC		LU0346391757		Trust Share		0.010
Fid Singapore YC		LU0346391914		Trust Share		0.010
Fid USD Bd YC		LU0346392482		Trust Share		0.953
UBS L Eq EmM S PC		LU0346595837		Trust Share		0.022
Alken Eu Opp UD		LU0347565383		Trust Share		0.002
UBS GS Fx Inc BISC		LU0347929506		Trust Share		0.003
UBS GS Inc E FC		LU0347929761		Trust Share		0.033
UBS GS Yld E FC		LU0347929928		Trust Share		0.124
UBS GS Bal E FC		LU0347930181		Trust Share		0.083
UBS GS Gr E FC		LU0347930348		Trust Share		0.010
UBS GS Eq E FC		LU0347930694		Trust Share		0.002
UBS GS Yld C FC		LU0347931825		Trust Share		0.049
UBS GS Bal C FC		LU0347932120		Trust Share		0.040
CSIF5 Rus Eq BC		LU0348403774		Trust Share		0.221
AGIF Em Asia Eq AD		LU0348788117		Trust Share		0.444
AGIF Thail Eq AD		LU0348798009		Trust Share		0.002
UBS L REFS GlI12C		LU0349525153		Trust Share		0.002
SISF As Con Bd AC		LU0351440481		Trust Share		0.040
SISF Gl Con Bd AC		LU0351442180		Trust Share		0.021

 

50

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
AEPI Strat 50 CTC		LU0352312184		Trust Share		0.001
Alessia ARM RC		LU0352949456		Trust Share		0.001
WFLW US All Gr A		LU0353189680		Trust Share		0.149
WFLW US All Gr I		LU0353189763		Trust Share		0.002
WFLW US All Gr I		LU0353189847		Trust Share		0.001
Fid Gl Infl Bd AHC		LU0353649279		Trust Share		0.020
R Cap US Pr Eq MHC		LU0355496257		Trust Share		0.001
R Cap US Pr Eq MC		LU0355496760		Trust Share		0.003
BlueB Em Co Bd B		LU0356217413		Trust Share		0.596
BlueB Em Co Bd R		LU0356217504		Trust Share		0.141
BlueB Em Co Bd RD		LU0356217686		Trust Share		0.085
BlueB Em Co Bd B		LU0356217843		Trust Share		0.004
BlueB Em Co Bd R		LU0356218064		Trust Share		0.073
BlueB Em Co Bd DR		LU0356218650		Trust Share		0.003
BlueB Inv G Li R		LU0356219625		Trust Share		0.071
BlueB Inv G Li R		LU0356220391		Trust Share		0.355
BlueB Inv G Li I		LU0356220987		Trust Share		0.001
JPMIF Gl HY Bd AD		LU0356780857		Trust Share		0.100
Bak Gl Pr Met A2C		LU0357130854		Trust Share		0.012
BlueB Em LC Bd RD		LU0357315554		Trust Share		0.002
UBS L Bd Co Gl QC		LU0358423738		Trust Share		0.002
UBS L Eq USA G QC		LU0358729654		Trust Share		0.005
BGF Em M LC Bd A2HC		LU0359002093		Trust Share		0.340
BGF China A2HC		LU0359201455		Trust Share		0.020
BGF China A2C		LU0359201612		Trust Share		0.130
BGF China A2C		LU0359201885		Trust Share		0.030
MSIF Gl Brds ZC		LU0360482987		Trust Share		0.017
MSIF Gl Brds ZHC		LU0360483019		Trust Share		0.008
MSIF Div A Pl ZHC		LU0360491202		Trust Share		0.008
SWI Verm W C		LU0362406109		Trust Share		0.001
Jup Mer ltl Bal LAD		LU0362742552		Trust Share		0.008
Jup Mer ltl Eq LAD		LU0362742982		Trust Share		0.006
Belm L Gl Em Mkt B		LU0366039252		Trust Share		0.045
Pictet-Water PdyGBP		LU0366531837		Trust Share		0.001
Pictet-GEC-P USD		LU0366532561		Trust Share		0.019
Pictet-SSTMM EU P		LU0366536711		Trust Share		0.002
Fr TI Gl TR AH1D		LU0366773504		Trust Share		0.018
Fr TI Gl Bd AH1D		LU0366777323		Trust Share		0.108
Inv Asia Bal AQD		LU0367026134		Trust Share		0.390
Inv Asia Bal AC		LU0367026217		Trust Share		0.790
Av I Gl HYield AhC		LU0367993408		Trust Share		0.066
BGF Gl All I2C		LU0368249560		Trust Share		0.010
BGF Wld Energ A2HC		LU0368265418		Trust Share		0.170
SISF As TR CHC		LU0372741511		Trust Share		0.003
R Cap Chine Eq DC		LU0374106598		Trust Share		0.003
IRIS Radar C		LU0374219441		Trust Share		0.002
IRIS TRE C		LU0374219524		Trust Share		0.003
Plan Anth Grey AC		LU0374938560		Trust Share		0.003

 

51

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
BGF Sw S M Opp A2C		LU0376446257		Trust Share		0.030
Aber Se EMB A2BCEC		LU0376989207		Trust Share		0.004
F MI AN GCFIG IHC		LU0378095946		Trust Share		0.001
SISF As TR CD		LU0378802051		Trust Share		0.152
DNCA I Gl Lead AC		LU0383783841		Trust Share		0.001
DNCA I Gl Lead BC		LU0383784146		Trust Share		0.002
Pictet-Water-HP USD		LU0385405567		Trust Share		0.029
JPMF Gl C EUR AHC		LU0385794523		Trust Share		0.038
Pictet-GMTS-P EUR		LU0386882277		Trust Share		0.012
R Cap G Star Eq DC		LU0387754996		Trust Share		0.004
Best Bestifund RC		LU0389173070		Trust Share		0.011
Best Intern RC		LU0389173401		Trust Share		0.014
Best Iberian RC		LU0389174128		Trust Share		0.006
Fr TI Asia Sm AC		LU0390135332		Trust Share		0.005
Fr TI Front M AC		LU0390136736		Trust Share		0.088
Fr TI Front M IC		LU0390136900		Trust Share		0.007
Fr TI Front M AC		LU0390137031		Trust Share		0.013
Fr TI Front M IC		LU0390137205		Trust Share		0.128
Foc CONVGL HFC		LU0390330545		Trust Share		0.212
Foc CONVGL HFC		LU0390330628		Trust Share		0.072
SFL3 KMMHF Div EUR		LU0390556354		Trust Share		0.136
UBS LB Gl Cor IBC		LU0390864253		Trust Share		0.004
UBS LB Gl Cor IXC		LU0390864410		Trust Share		0.003
SFL3 KMMHF Div CHF		LU0391226189		Trust Share		0.006
Pictet-GMTS-R EUR		LU0391944815		Trust Share		0.001
Part Gr Gl Val I		LU0392036694		Trust Share		0.040
Part Gr Gl Val R		LU0392036850		Trust Share		275.761
Part Gr Gl Val D		LU0392037403		Trust Share		0.010
JPMIF Gl Inc AD		LU0395794307		Trust Share		0.156
BlueB St HI L O L		LU0395883407		Trust Share		0.009
BlueB St HI Lo H		LU0395883589		Trust Share		0.001
UBS L Bd Co Gl IA1C		LU0396331836		Trust Share		0.001
UBS LB Sh Eur IA1C		LU0396349614		Trust Share		0.001
UBS LB Sh Eur IBC		LU0396350380		Trust Share		0.001
UBS LB Sh Eur IXC		LU0396350547		Trust Share		0.008
UBS LB Sh USD C QC		LU0396352592		Trust Share		0.009
UBS LB Sh USD CIBD		LU0396353301		Trust Share		0.002
UBS LB USD Co FC		LU0396366626		Trust Share		0.028
UBS LB USD Co QC		LU0396366972		Trust Share		0.001
UBS LB USD Co IA1C		LU0396367277		Trust Share		0.013
UBS LB USD Co IA3C		LU0396367608		Trust Share		0.004
UBS LB USD HY FC		LU0396369489		Trust Share		0.310
UBS LB USD HY IA1C		LU0396369992		Trust Share		0.055
UBS LB USD HY IXC		LU0396370818		Trust Share		0.003
UBS LB USD HY UXC		LU0396371030		Trust Share		0.003
UBS L1 All Ro PC		LU0397594465		Trust Share		0.029
UBS L1 All Ro PhC		LU0397599340		Trust Share		0.336
UBS L1 All Ro IXhC		LU0397604876		Trust Share		0.004

 

52

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBS L1 All Ro PhC		LU0397605766		Trust Share		0.176
UBS L1 All Ro IXhC		LU0397610766		Trust Share		0.253
UBS L1 US EqN UXC		LU0397651364		Trust Share		0.004
Areca Val Discov A		LU0397699488		Trust Share		0.003
Areca Val Discov A		LU0397699561		Trust Share		0.002
Areca Val Discov A		LU0397699645		Trust Share		0.013
Av I GI HYield IxhD		LU0397835769		Trust Share		0.020
R Cap H Y Bd IHC		LU0398248921		Trust Share		0.001
UBS L Eq EmM S PC		LU0398999499		Trust Share		0.352
UBS L Eq USA G IA1C		LU0399032613		Trust Share		0.010
UBS L Eq USA G IXC		LU0399033694		Trust Share		0.001
UBS L Eq USA En FC		LU0399034312		Trust Share		0.583
UBS L Eq USA En UXC		LU0399035988		Trust Share		0.001
DWS Inv LA Eq LCC		LU0399356780		Trust Share		3.024
Amundi Is GI R CC		LU0399640407		Trust Share		0.001
DNCA IN Convert IC		LU0401808935		Trust Share		0.001
DNCA IN Convert AC		LU0401809073		Trust Share		0.013
BlueB G Con Bd R		LU0403658932		Trust Share		0.004
BlueB G Con Bd RD		LU0403659070		Trust Share		0.001
BlueB G Con Bd B		LU0403659237		Trust Share		0.001
BlueB G Con Bd R		LU0403659310		Trust Share		0.001
BlueB G Con Bd RD		LU0403659401		Trust Share		0.001
UBS L KS2 Eu Eq UX		LU0404160300		Trust Share		0.004
GS GI H YId HC		LU0405800185		Trust Share		2.555
Lux Se Asian SW A2C		LU0405860593		Trust Share		0.002
BGF Co Eu FI D2RFC		LU0406496546		Trust Share		0.030
JPMLF USD Gov L AC		LU0406512847		Trust Share		0.001
Paret Cart Eq IIBC		LU0406591452		Trust Share		0.001
Kairos Intl Bd P		LU0406837046		Trust Share		0.004
Pictet-EmMkt-HP EUR		LU0407233740		Trust Share		0.001
BBH Lux Core Sel IC		LU0407242659		Trust Share		0.009
JPMF GI Co Bd AC		LU0408846375		Trust Share		0.017
IRIS Sfera C		LU0411150179		Trust Share		0.001
NIFLI LS GI Cr RAC		LU0411266801		Trust Share		0.743
BRSF Eu AR A2C		LU0411704413		Trust Share		0.085
Dinvest TR AQ SP		LU0412215005		Trust Share		0.024
Dinvest Sel I EM SP		LU0412216821		Trust Share		0.003
Dinvest Se I FQ SP		LU0412217399		Trust Share		0.001
Dinvest Sel I EG SP		LU0412217555		Trust Share		0.001
Dinvest Se II EQ SP		LU0412218447		Trust Share		0.002
MSIF Div A PI AHC		LU0413863472		Trust Share		0.011
BRSF Eu AR D2C		LU0414666189		Trust Share		0.020
Bellev L BB EE IC		LU0415392165		Trust Share		0.001
Bellev L BB AB BC		LU0415392322		Trust Share		0.001
MSIF Div A PI ZHC		LU0415628626		Trust Share		0.013
IGS Gr Corp Bd A2HD		LU0416337789		Trust Share		0.637
UBS L 2 MM EUR FC		LU0417386850		Trust Share		0.068
UBS L2 MM USD FC		LU0417389524		Trust Share		0.980

 

53

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Exane 1 Archim AC		LU0417733242		Trust Share		0.010
Exane 1 Templ AC		LU0417733598		Trust Share		0.006
Tril Med Vol PC		LU0419242689		Trust Share		0.008
Enea Div Mult EC		LU0420115767		Trust Share		0.003
Dinvest Core G		LU0421555516		Trust Share		0.002
Dinvest TRHoI AQ		LU0421556241		Trust Share		0.002
UBS LKS GI Eq IXC		LU0421789263		Trust Share		0.008
UBSLUKSS GAUSIXC		LU0423408631		Trust Share		0.018
Man AHL Trend EUR D		LU0424370004		Trust Share		3.087
Man AHL Div GBP D		LU0424370269		Trust Share		0.084
Man AHL Div GBP D		LU0424370343		Trust Share		2.264
UBS LKS Dy AI IXC		LU0425154852		Trust Share		0.006
UBS LKS Asi Eq UXC		LU0425186540		Trust Share		0.003
BGF GI InfLB A3D		LU0425308243		Trust Share		0.020
Kairos II M-S UP		LU0425741047		Trust Share		0.002
IVA Global I AC		LU0426100623		Trust Share		0.015
IGS GI Franch AC		LU0426412945		Trust Share		3.726
IGS GI Franch AD		LU0426417589		Trust Share		0.043
IGS GI Franch FC		LU0426418637		Trust Share		0.013
NN L FI Sen L IHC		LU0426533492		Trust Share		0.028
BI Ed Dy StAI BEUR		LU0427434617		Trust Share		0.004
Bl Ed Dy StAI BUSD		LU0427434708		Trust Share		0.001
Bl Ed Dy StAI BCHF		LU0427434880		Trust Share		0.005
Anax Bd Opp L AD		LU0427619407		Trust Share		0.009
Argos Argonaut EC		LU0428315906		Trust Share		0.020
Argos Argonaut AC		LU0428317514		Trust Share		0.003
SISF Eu Corp Bd AHC		LU0428345051		Trust Share		0.020
Man AHL Trend USD I		LU0428380124		Trust Share		0.327
Man AHL Trend CHF D		LU0428380470		Trust Share		0.001
Man AHL Trend GBP D		LU0428380553		Trust Share		0.001
NN L FI Sen L IHD		LU0428438658		Trust Share		0.042
Sant AM L Am FI Dd		LU0428587066		Trust Share		0.002
Miralt Europe A		LU0429745101		Trust Share		0.001
Ashm Loc Curr R		LU0430656966		Trust Share		0.100
CONREN Fortune IID		LU0430796895		Trust Share		1.000
Vitruv G Chi Eq BC		LU0431685097		Trust Share		0.002
R Cap US Pr Eq IED		LU0432313244		Trust Share		0.001
R Cap US Pr Eq EHD		LU0432313756		Trust Share		0.008
MARS (EUR) SP RAC		LU0432563780		Trust Share		0.191
Inv BalRisk AII AC		LU0432616737		Trust Share		0.286
Inv BalRisk AII CC		LU0432616810		Trust Share		0.045
Inv BalRisk AII EC		LU0432616901		Trust Share		0.020
Inv BalRisk AII CHC		LU0432617032		Trust Share		0.081
Alken Eu Opp ZC		LU0432793510		Trust Share		0.144
JPMF GI Health AD		LU0432979374		Trust Share		0.001
JPMF GI Healt JPMAD		LU0432979457		Trust Share		0.001
JPMF GI Health AC		LU0432979614		Trust Share		0.070
JPMF GI Health BC		LU0432979705		Trust Share		0.001

 

54

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Amundi Intl ASCC		LU0433182093		Trust Share		0.002
F Eag Am Intl IUCC		LU0433182176		Trust Share		0.002
F Eag Am Intl AHECC		LU0433182416		Trust Share		0.403
1741 AM Mul-Str B		LU0434907969		Trust Share		0.683
R Cap US Pr Eq DC		LU0434928536		Trust Share		0.023
Oyst GI Convert I		LU0435362065		Trust Share		0.001
BlueB HY Cor Bd B		LU0435649511		Trust Share		0.004
BlueB HY Cor Bd R		LU0435649602		Trust Share		0.001
DWS In GI Agb RDD		LU0435837942		Trust Share		0.114
BRSF Fix In Str A2C		LU0438336264		Trust Share		0.069
BRSF Fix In Str D2C		LU0438336421		Trust Share		0.010
BlueB HY Bd R		LU0438373200		Trust Share		0.001
Oyst US Value I2		LU0440354487		Trust Share		0.005
DWS Inv Eu C Bd LDD		LU0441433728		Trust Share		0.010
JPMF Ase Eq JPMCC		LU0441851648		Trust Share		0.004
JPMF Ase Eq JPMBC		LU0441852885		Trust Share		0.001
SISF GI H YId CHD		LU0441868451		Trust Share		0.010
Amundi I E N AmAUCC		LU0442407853		Trust Share		0.001
FU Alt Bet+Dai ED		LU0442867007		Trust Share		0.010
JB Mbd GI HY Bd BC		LU0443274229		Trust Share		0.002
BGF Eu Sh Bd A4DSHD		LU0448387703		Trust Share		0.010
Pictet-PBrd-ldy GBP		LU0448836519		Trust Share		0.001
PFLUX Agricult Idi		LU0448837160		Trust Share		0.003
HSBCGI ESI US E YD		LU0449516656		Trust Share		0.066
Fr TI GI TR AH1C		LU0450468185		Trust Share		0.009
Fr TI GI TR AH1D		LU0450468698		Trust Share		0.074
Hend Hor E Corp I2C		LU0451950587		Trust Share		0.290
Hend Hor E Corp I1D		LU0451950660		Trust Share		0.002
RWC US Abs Alph AC		LU0453474784		Trust Share		0.002
RWC US Abs Alph AC		LU0453474867		Trust Share		0.003
RWC US Abs Alpha B		LU0453475088		Trust Share		0.005
RWC US Abs Alpha B		LU0453475161		Trust Share		0.003
UBS L Bd GI In PC		LU0455550201		Trust Share		0.014
UBS L Bd GI In PC		LU0455553486		Trust Share		0.037
UBS L Bd GI In PC		LU0455556406		Trust Share		0.040
UBS L Eq Water PC		LU0456449445		Trust Share		1.177
RP RP AV Dynam CD		LU0458234829		Trust Share		0.001
CS In1 GIVa Bd BHC		LU0458988655		Trust Share		0.004
UBS LB USD HY PMD		LU0459103858		Trust Share		0.332
Glob Val&Growth C		LU0459208012		Trust Share		0.004
Pharus Val Inc C		LU0460960882		Trust Share		0.004
DBPI4 Sys Al I1CE		LU0462954396		Trust Share		0.844
DBPI4 Sys Al l1CU		LU0462954479		Trust Share		1.491
DBPI4 Sys Al I1CG		LU0462954552		Trust Share		0.012
DBPI4 Sys Al R1CE		LU0462954800		Trust Share		0.317
DBPI4 Sys Al R1CU		LU0462954982		Trust Share		0.118
Leo I Miura BC		LU0462973347		Trust Share		0.001
Aur I M2T M-Str AC		LU0463175132		Trust Share		0.350

 

55

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
S GAIA Eg Eq AC		LU0463469048		Trust Share		0.013
Sel My Ivy GIAS AC		LU0464267110		Trust Share		0.001
JPMIF Inc Opp BHC		LU0464446391		Trust Share		0.010
PFLUX Em Lo Cu Idi		LU0465232295		Trust Share		0.004
1741 AM GI RD B		LU0466440772		Trust Share		0.005
1741 AM GI RD OCSH		LU0466440855		Trust Share		0.101
1741 AM GI RD OCSH		LU0466441077		Trust Share		0.001
1741 AM GI RD A		LU0466441234		Trust Share		0.002
1741 AM GI RD AH		LU0466441317		Trust Share		0.001
BGF GI AII A2C		LU0468326631		Trust Share		0.070
Struc S Lit I Str C		LU0470205575		Trust Share		0.009
SSGA Sect Hc Eq PC		LU0471611425		Trust Share		0.008
SSGA Sect Hc Eq IC		LU0471611698		Trust Share		0.008
Pharus Tit Aggr C		LU0471904440		Trust Share		0.003
Pharus Int Eq Q AC		LU0471904796		Trust Share		0.002
Far C Eur Eq LS C		LU0472681682		Trust Share		0.003
Duem CQ Eu I PI CD		LU0473982238		Trust Share		0.017
R Cap US L C Eq IC		LU0474363545		Trust Share		0.041
R Cap US L C Eq DC		LU0474363974		Trust Share		0.003
JB Mbd Cr Opp Bd BC		LU0474693768		Trust Share		0.001
MLIS CCI HLSU UBC		LU0475778295		Trust Share		0.001
MLIS CCI HLSU ECC		LU0475778535		Trust Share		0.001
MLIS CCI HLSU UCC		LU0475778618		Trust Share		0.120
N1 US Corp Bd BIC		LU0475887237		Trust Share		0.093
N1 US Corp. Bd HBIC		LU0475887740		Trust Share		0.142
Intl GI Ob Co Eur C		LU0476041503		Trust Share		0.002
SISF Em M D AR AHC		LU0476445340		Trust Share		0.005
Pictet-GED-Pdm USD		LU0476845010		Trust Share		0.009
Pictet-ELCD-Pdm USD		LU0476845101		Trust Share		0.002
Fr TI GI TR AD		LU0476943708		Trust Share		0.024
Fr TI GI Inc. ZC		LU0476944342		Trust Share		0.008
Fr TI Em Mkt Bd AC		LU0478345209		Trust Share		0.016
RWC G Gr Ab Alp BC		LU0479712688		Trust Share		0.001
AWF GI Inf Bd AHCR		LU0482269908		Trust Share		0.703
AWF GI Inf Bd ACR		LU0482270153		Trust Share		2.583
AWF GI Inf Bd AHCR		LU0482270237		Trust Share		0.6l6
AWF GI Inf Bd IC		LU0482270666		Trust Share		1.013
AWF GI Inf Bd IHCR		LU0482270740		Trust Share		0.351
AWF GI Inf Bd IHCR		LU0482271045		Trust Share		0.029
Inv Gr Ch Eq AHC		LU0482497798		Trust Share		0.010
Inv BalRisk All AD		LU0482498176		Trust Share		0.017
Inv BalRisk All AHC		LU0482498762		Trust Share		0.033
Kotak India Gr AC		LU0487139049		Trust Share		0.009
R Cap As-Pac Eq DC		LU0487305319		Trust Share		0.006
R Cap GTAA DC		LU0487478926		Trust Share		0.004
UNI-GL Eq Em M SAC		LU0487500448		Trust Share		0.024
Mand Un SMC Eu RC		LU0489687243		Trust Share		0.004
SISF GI Cor Bd AHC		LU0491680988		Trust Share		0.010

 

56

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
MA Pacif Tiger IC		LU0491816475		Trust Share		0.280
MA Asia Div Fd AC		LU0491817952		Trust Share		0.010
MA Asia Div Fd IC		LU0491818331		Trust Share		0.080
MA Asia Div Fd ID		LU0491818414		Trust Share		0.010
Flexi Bond RMB CC		LU0492116438		Trust Share		0.003
IGS Lat Am Co D F2D		LU0492942635		Trust Share		0.011
SISF Gr China CD		LU0492969166		Trust Share		0.016
Ashm EM Co Dbt R		LU0493851884		Trust Share		0.312
Fr TI Front M AH1C		LU0496363770		Trust Share		0.215
PTR Corto Eu P EUR		LU0496442723		Trust Share		0.001
UBS L REFS GI K1D		LU0498014322		Trust Share		0.001
Ab GI Em Eq E2C		LU0498181733		Trust Share		0.129
Ab GI Wld Eq E2C		LU0498189041		Trust Share		0.042
ZEST AM Em Mkt+ RC		LU0499300621		Trust Share		0.001
UBS LB Cv Bd QC		LU0499399060		Trust Share		0.002
UBS LB Cv GI PC		LU0499399144		Trust Share		0.287
IGS Asia Pac Eq AC		LU0499858602		Trust Share		5.175
UBAM Europ Conv IHC		LU0500229868		Trust Share		0.003
Oyster MSUA EUR		LU0501118490		Trust Share		0.002
JPMF GI Focus CC		LU0501950314		Trust Share		0.002
UBS LKS GI AO PC		LU0502418741		Trust Share		2’197.634
UBS LKS GI AO HPC		LU0502419046		Trust Share		0.031
UBS(Lux) GAO(USD)-P		LU0502419392		Trust Share		0.012
Permal MM China A		LU0502513731		Trust Share		0.006
Pictet-H Div S-PUSD		LU0503635202		Trust Share		0.004
Pictet-HDivS-PdmUSD		LU0503635467		Trust Share		0.022
Argos I Gadd Bal C		LU0503755950		Trust Share		0.002
Von Belv Comm HhC		LU0505242726		Trust Share		0.003
Aber Wor Res Eq S2C		LU0505784297		Trust Share		4.896
Hend H P Eu AI A2HC		LU0506197614		Trust Share		0.271
Hend H P Eu AI X2HC		LU0506198851		Trust Share		0.010
Oyst Eu Opp		LU0507009503		Trust Share		0.010
Oyst Eu Opp R		LU0507009925		Trust Share		0.014
Oyst US Value		LU0507010188		Trust Share		0.001
DWS Inv To Div LCC		LU0507265923		Trust Share		0.122
D Inv I T Div LDD		LU0507266061		Trust Share		0.203
D Inv I T Div FCC		LU0507266228		Trust Share		1.199
DWS Inv To Div LCC		LU0507266491		Trust Share		0.082
BS L Eq USA Gr QC		LU0508198768		Trust Share		0.192
MLIS Yk E-D Uc UEC		LU0508546396		Trust Share		0.003
MLIS Yk E-D Uc UFC		LU0508546636		Trust Share		0.056
MLIS Yk E-D Uc EFC		LU0508546719		Trust Share		0.001
R Cap US L C Eq DC		LU0510167009		Trust Share		0.011
R Cap US L C Eq DHC		LU0510167264		Trust Share		0.004
OPPI MultiStr B		LU0511408857		Trust Share		0.001
DWS Inv To Div LDDD		LU0511520347		Trust Share		0.180
BS L Eq USA Gr PC		LU0511785726		Trust Share		0.416
Unicorn I FoF G2C		LU0511796848		Trust Share		0.001

 

57

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
MSIF GI Infr BHC		LU0512092577		Trust Share		0.005
DNCA I Eurose BC		LU0512121004		Trust Share		0.014
DNCA IN Convert BC		LU0512124107		Trust Share		0.003
DNCA I Miura AC		LU0512124362		Trust Share		0.001
JPMF Em Corp Bd AC		LU0512127548		Trust Share		0.014
JPMF Em Corp Bd AHC		LU0512127621		Trust Share		0.250
JPMF Em Corp Bd CC		LU0512127977		Trust Share		0.133
JPMF Em Corp Bd CHC		LU0512128199		Trust Share		1.142
Ab GI2 Eur G Bd A1D		LU0513834357		Trust Share		0.401
Ab GI2 Eur G Bd A2C		LU0513834514		Trust Share		0.012
Pharus B GI Man AC		LU0513910553		Trust Share		0.002
Sol Tr lnv GI Eq IC		LU0514848356		Trust Share		0.002
Sol Tr Inv GI Fi IC		LU0514848430		Trust Share		0.004
Sol Tr lnv GI Fi IC		LU0514848513		Trust Share		0.002
JBMlab Artemide BC		LU0515666294		Trust Share		0.001
JBMlab Artemide CC		LU0515666377		Trust Share		0.015
AGIF US HY AMD		LU0516397667		Trust Share		0.126
Sig Cap Alt Se II C		LU0517058318		Trust Share		0.003
MLIS TE Eq LS U EBC		LU0517905021		Trust Share		0.009
Sparinv Em Mkt C RC		LU0519053697		Trust Share		0.004
BGF Wld Min A2HC		LU0521028554		Trust Share		0.180
OPPI Mat prem		LU0521032317		Trust Share		0.002
CS IF 4 Pr M-S BHC		LU0522193704		Trust Share		0.009
CS IF 4 Pr M-S BHC		LU0522194009		Trust Share		0.001
RWC Eur Abs Alp AC		LU0523287307		Trust Share		0.035
RWC Eur Abs Alp BC		LU0523287489		Trust Share		0.011
RWC Eur Abs Alp AC		LU0523287646		Trust Share		0.064
RWC Eur Abs Alp BC		LU0523287729		Trust Share		0.011
Falcon Tw ILS AD		LU0524669891		Trust Share		0.001
Ashm Loc Curr R		LU0525380092		Trust Share		0.300
Foc CORPBDE FUKD		LU0526609044		Trust Share		0.017
Foc GI Bd HFUKD		LU0526609390		Trust Share		0.010
Foc HGB EUR FUKD		LU0526609473		Trust Share		0.305
Foc HGB GBP FUKD		LU0526609556		Trust Share		0.292
Foc HGLTB EUR FUKD		LU0526609630		Trust Share		0.303
Foc HGLTB GBP FUKD		LU0526609713		Trust Share		0.210
NevaFd Clima Ch+ BI		LU0526638654		Trust Share		0.007
BGF Eu A2HC		LU0526926950		Trust Share		0.400
NN L Eu HY PD		LU0529381633		Trust Share		0.001
JB Mst AR Eur E BC		LU0529497694		Trust Share		0.002
JB Mst AR Eur E CC		LU0529497777		Trust Share		0.001
JB Mst AR Eur E EC		LU0529497934		Trust Share		0.001
JB Mst As Foc AD		LU0529499807		Trust Share		0.058
ChinaAMC Chin Op AC		LU0531876760		Trust Share		0.010
Fid US HY AMD		LU0532245122		Trust Share		0.020
SISF GI Cor Bd A1HD		LU0532872800		Trust Share		0.010
Dual R V Mic LC P		LU0533937727		Trust Share		1.000
Inv G TR EUR Bd AC		LU0534239909		Trust Share		0.010

 

58

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Oyster MA AR E 2		LU0536156861		Trust Share		0.006
Oyst Wld Opp I2		LU0536296956		Trust Share		0.001
Fr TI GI TR AH1D		LU0536402737		Trust Share		0.012
BRSF Eu DEq AR A2HC		LU0539767862		Trust Share		0.010
UBAM Russian Eq AD		LU0541092028		Trust Share		0.030
Cat No Co Bd FI RC		LU0542989941		Trust Share		0.001
BGF Gl Eq Inc A2C		LU0545039389		Trust Share		0.070
R Cap H Y Bd oDHC		LU0545439217		Trust Share		0.003
UBS L Eq Sw Opp PC		LU0546265769		Trust Share		0.067
UBS L Eq Sw Opp PC		LU0546268359		Trust Share		0.007
Exp Inv 12 Insur BC		LU0546622035		Trust Share		1.381
NN L As D HC PC		LU0546914168		Trust Share		0.003
NN L EM Db HC PHC		LU0546915058		Trust Share		0.001
NN L EM Db HC XHC		LU0546915215		Trust Share		0.003
NN L EM Db LC PHC		LU0546916023		Trust Share		0.031
NN L EM Db LC PC		LU0546916379		Trust Share		0.006
NN L US Cr PC		LU0546920488		Trust Share		0.002
NN L Gl Bd Opp PC		LU0546921023		Trust Share		0.002
DGC Flex Alloc		LU0547752963		Trust Share		0.462
BNP PICash EUR CT1C		LU0547770783		Trust Share		0.002
S Life IG GARS AC		LU0548153104		Trust Share		0.022
S Life IG GARS DC		LU0548153799		Trust Share		0.008
S Lif IG GARS AHC		LU0548154680		Trust Share		0.049
S GAIA Eg Eq AHC		LU0548376150		Trust Share		0.090
S GAIA Eg Eq CHC		LU0548376580		Trust Share		0.010
Duem CQ Gl ConP C		LU0548808715		Trust Share		0.001
Pictet-HDivS-PdmEUR		LU0550966351		Trust Share		0.001
Kairos II Dyn A		LU0551508699		Trust Share		0.002
Kairos Intl Bd A		LU0551508939		Trust Share		0.001
UBS LB Sh Eur IXC		LU0551565905		Trust Share		0.004
IGS Lat Am Co D A2D		LU0553431791		Trust Share		0.033
FU Commodity IC		LU0554755982		Trust Share		0.010
R Cap GI CT Eq DC		LU0554840073		Trust Share		0.010
R Cap GI CT Eq MC		LU0554840230		Trust Share		0.006
VG Wld Eq SC		LU0554961291		Trust Share		0.030
NN L EM Db HC PC		LU0555020303		Trust Share		0.001
NN L EM Db HC XC		LU0555020568		Trust Share		0.001
NN L EM Db LB IC		LU0555021707		Trust Share		0.010
SISF Hong K Eq A1C		LU0555809101		Trust Share		0.030
Flexi Bond RMB CC		LU0558232780		Trust Share		0.026
Multi Str Trend IC		LU0560038274		Trust Share		0.001
Multi Str Vision IC		LU0560038357		Trust Share		0.004
Nord DI LNF Opp BIC		LU0560186115		Trust Share		0.001
BGF Eu Eq Inc A5GD		LU0561744862		Trust Share		0.020
SISF Front M Eq AC		LU0562313402		Trust Share		0.081
DBPI4 Sys Al R1CS		LU0562753474		Trust Share		0.051
BGF Eu Eq Inc A2C		LU0562822386		Trust Share		0.010
Fr TI Asia Bd AH1D		LU0563142537		Trust Share		0.021

 

59

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
LO AR Bd PC		LU0564203478		Trust Share		0.008
Perinv L H US Eq AC		LU0564489937		Trust Share		0.004
JBaer M EM In L CC		LU0564970050		Trust Share		0.116
R Cap AQ Em Eq DC		LU0565011698		Trust Share		0.001
F Eag Am Intl AECC		LU0565135745		Trust Share		0.030
UBS L Eq Eu HD PC		LU0566497433		Trust Share		0.409
UBS L Eq Eu HD PD		LU0566497516		Trust Share		0.103
UBS LB USD HY PC		LU0566797311		Trust Share		0.012
Amundi Eq Ja T AJC		LU0568583008		Trust Share		0.001
Amundi BdUSOCP IUC		LU0568616618		Trust Share		0.001
Amundi MM Eur MEC		LU0568620305		Trust Share		0.001
Amundi Cash EUR AEC		LU0568620560		Trust Share		0.126
Amundi Cash USD AUC		LU0568621618		Trust Share		0.002
UBAM Gl HY Sol AC		LU0569862351		Trust Share		0.005
UBAM Gl HY Sol AD		LU0569862435		Trust Share		0.001
UBAM Gl HY Sol AHC		LU0569862518		Trust Share		0.002
UBAM Gl HY EUR IHC		LU0569863755		Trust Share		3.322
R Cap H Y Bd olHC		LU0570123827		Trust Share		0.022
MLIS OCH-Z Eu M EBC		LU0571576239		Trust Share		0.002
MLIS OCH-Z Eu M UBC		LU0571576312		Trust Share		0.001
UBS L Eq Eu HD PD		LU0571744555		Trust Share		0.003
UBS L Eq Eu HD PC		LU0571745446		Trust Share		0.027
UBS L Eq Eu HD PC		LU0571745792		Trust Share		0.189
Alken Abs Ret Eu AC		LU0572586591		Trust Share		0.052
Alken Abs Ret Eu IC		LU0572586674		Trust Share		0.026
Hend H GI Tech A2C		LU0572952017		Trust Share		0.011
Hend H GI Tech A2C		LU0572952280		Trust Share		0.538
ChinaAMC Chin Gr IC		LU0573368387		Trust Share		0.007
UBS LB As LCB PC		LU0573605267		Trust Share		0.269
UBS LB As LCB PMD		LU0573605424		Trust Share		0.055
UBS LB As LCB HPC		LU0573606232		Trust Share		0.159
UBS LB As LCB HPC		LU0573606588		Trust Share		0.088
UBS LB As LCB HPMD		LU0573606828		Trust Share		0.023
UBS LKS GI RE PC		LU0574507207		Trust Share		0.011
UBS L Bd S D HY PC		LU0577855355		Trust Share		0.692
UBS L Bd S D HY QC		LU0577855512		Trust Share		0.039
UBS L Bd S D HY PC		LU0577855785		Trust Share		2.079
UBS L Bd S D HY PC		LU0577855942		Trust Share		1.089
Hend H P Eu AI S2HC		LU0579024422		Trust Share		0.010
Ign GI AR GoBd I2HC		LU0579399311		Trust Share		0.640
SISF Eu Corp Bd CHC		LU0579529461		Trust Share		0.004
R Cap H Y Bd oIHC		LU0579622084		Trust Share		0.003
JPMIF Inc Opp IC		LU0579853648		Trust Share		0.006
R Cap AS Eur 40DHC		LU0580362852		Trust Share		0.001
Inv Asia Bal AD		LU0580551074		Trust Share		0.030
Plat U GI Div UC AD		LU0580901238		Trust Share		0.010
Plat U GI Div UC BD		LU0580916699		Trust Share		0.007
Foc CORPBDE HFC		LU0581055034		Trust Share		1.325

 

60

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Paret Cartes In IBC		LU0581203592		Trust Share		0.001
R Cap Em Con Eq IC		LU0582530498		Trust Share		0.009
R Cap Em Con Eq BD		LU0582532197		Trust Share		0.003
R Cap Em Con Eq DC		LU0582533245		Trust Share		0.004
Lux Se Aty G Opp AC		LU0583074082		Trust Share		0.004
MFSMF UK Eq W1		LU0583245583		Trust Share		0.184
BSI-Mul Cash EUR AC		LU0585204463		Trust Share		0.024
BSI-Mul Cash USD AC		LU0585204547		Trust Share		0.001
UBS L Bd S D HY PMD		LU0590765581		Trust Share		0.505
UBS L Bd SD HY PhMD		LU0590766043		Trust Share		0.109
UBS L Bd SD HY PhMD		LU0590766472		Trust Share		0.020
R Cap Asi St Eq DC		LU0591059224		Trust Share		0.001
R Cap Asi St Eq DC		LU0591060586		Trust Share		0.001
Dual R V Mic LC A		LU0591909972		Trust Share		0.962
BS L Eq USA Gr PC		LU0592661101		Trust Share		0.086
Carmig Em Patr AC		LU0592698954		Trust Share		0.013
Carmig Em Patr EC		LU0592699093		Trust Share		0.002
JPMF Em Mk Eq CD		LU0593319907		Trust Share		0.044
Mirae Asia GC Eq AC		LU0593848301		Trust Share		0.025
Mirae Asia GC Eq AC		LU0593848723		Trust Share		0.012
Fid China Cons AC		LU0594300096		Trust Share		0.022
Fid China Cons AC		LU0594300179		Trust Share		0.009
R Cap RSAM SAEq DC		LU0594694878		Trust Share		0.001
R Cap H Y Bd DHC		LU0594695099		Trust Share		0.006
R Cap H Y Bd oDHC		LU0594695172		Trust Share		0.015
Plan Anth White AC		LU0599024402		Trust Share		0.001
DWS Conc Kaldem LCC		LU0599946893		Trust Share		0.011
DWS Conc Kaldem NCC		LU0599947198		Trust Share		0.001
DWS Conc Kaldem FCC		LU0599947271		Trust Share		0.001
GS GI Str In Bd D		LU0600005812		Trust Share		0.002
GS GI Str In Bd C		LU0600006117		Trust Share		0.012
GS GI Str In Bd ID		LU0600008089		Trust Share		0.001
GS GI Str In Bd IHC		LU0600009053		Trust Share		0.013
GS GI Str In Bd AD		LU0600009640		Trust Share		0.001
GS GI Str In Bd EHC		LU0600010143		Trust Share		0.002
Fid Asia HY AMD		LU0605512788		Trust Share		0.060
Fid US HY AC		LU0605520377		Trust Share		0.217
BlueB Em Co Bd R		LU0605619310		Trust Share		0.001
BlueB Inv G Bd R		LU0605623189		Trust Share		0.002
BlueB Inv G Li R		LU0605624401		Trust Share		0.418
Hend H P Eu AI S2HC		LU0606744349		Trust Share		0.020
Foc CORPBDE DHFC		LU0606765773		Trust Share		1.835
Foc CORPBDE DHFC		LU0606771078		Trust Share		1.122
Foc CORPBDE DHFC		LU0606775061		Trust Share		1.119
SISF Hong K Eq AC		LU0607220059		Trust Share		0.020
Inv GI Sm C Eq AC		LU0607512778		Trust Share		0.068
Inv GI Eq Inc. AC		LU0607513230		Trust Share		0.015
Inv Jap Eq Adv CC		LU0607514808		Trust Share		0.038

 

61

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Inv Jap Val Eq AC		LU0607515367		Trust Share		0.277
Inv Em Corp. Bd CC		LU0607517579		Trust Share		0.010
Inv Nipp Sm/M Eq AD		LU0607522496		Trust Share		0.020
N1 US Corp Bd HBIC		LU0607987962		Trust Share		0.890
Oyst Eu Opp		LU0608364427		Trust Share		0.001
GS GI Str In Bd HC		LU0609002307		Trust Share		0.001
DGC Eq Wld		LU0610332032		Trust Share		1.617
UBS(LU)EqSIC-GHDUP		LU0611173427		Trust Share		0.067
UBS L Eq GI HD PC		LU0611173930		Trust Share		0.133
IGS EM Corp Dbt IC		LU0611395327		Trust Share		0.009
Fid Japan AHD		LU0611489658		Trust Share		0.013
UBS LSX Fx CHF PC		LU0612034438		Trust Share		0.001
Ign GI AR Go Bd AHC		LU0612891514		Trust Share		0.253
Amundi AV EuEq AHCC		LU0613079408		Trust Share		0.002
JRS LU GI B Opp HC		LU0615744504		Trust Share		0.670
JRS LU GI B Opp HC		LU0615745147		Trust Share		0.287
DWS Inv China LCC		LU0616856422		Trust Share		0.002
P Gr LI L Infr PC		LU0617149793		Trust Share		0.001
Lakef Dyn RA Str AC		LU0618355985		Trust Share		0.002
Lakef Dyn RA Str BC		LU0618382104		Trust Share		0.003
Lakef Dyn RA Str CC		LU0618388994		Trust Share		0.003
AWF US HY Bd IHC		LU0619167173		Trust Share		0.286
BRSF Eu Cr Str H2HC		LU0620247808		Trust Share		0.060
Man GLG M Str D140C		LU0620439629		Trust Share		0.009
UBS L Eq En Tr PC		LU0622290632		Trust Share		0.008
Eff Gr Eu GI Bd PC		LU0622616760		Trust Share		0.014
UBS LB Brazil PMD		LU0623363313		Trust Share		0.009
LO AI Jap PC		LU0625024012		Trust Share		0.012
UBS L Eq Em HD PC		LU0625543631		Trust Share		0.039
UBS L Eq Em HD PD		LU0625543805		Trust Share		0.013
UBS L Eq Em HD PD		LU0625544019		Trust Share		0.005
UBS L Eq As HD PC		LU0625544449		Trust Share		0.019
UBS L Eq As HD PD		LU0625544795		Trust Share		0.021
UBS L Eq As HD PD		LU0625544951		Trust Share		0.015
UBS LKS MA In HPD		LU0626809114		Trust Share		0.105
UBS LKS MA In HPD		LU0626809387		Trust Share		0.063
UBS LKS MA I PD		LU0626809460		Trust Share		0.006
UBS L Eq GI HD PD		LU0626901861		Trust Share		0.577
UBS LB As HY PC		LU0626906662		Trust Share		0.027
UBS LB As HY PMD		LU0626906746		Trust Share		0.063
UBS LB As HY HPC		LU0626907397		Trust Share		0.004
UBS LB As HY HPC		LU0626907470		Trust Share		0.026
BlueB IG Abs R B		LU0627761702		Trust Share		0.004
BlueB IG Abs R R		LU0627761884		Trust Share		0.003
BlueB IG Abs R B		LU0627762262		Trust Share		0.002
BlueB IG Abs R I		LU0627764557		Trust Share		0.003
BGF Co. Eu FI A		LU0628613803		Trust Share		0.009
UBS LB Cv GI PC		LU0629154393		Trust Share		0.032

 

62

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
TREA 3G Cr Opp EHC		LU0629658609		Trust Share		0.001
UBS(LU)EqSIC-EHDUUX		LU0630196821		Trust Share		0.001
Atrium P Quad AC		LU0630472958		Trust Share		0.001
GS GI H Yld DH		LU0630478302		Trust Share		0.094
GS GI H Yld DHC		LU0630478484		Trust Share		0.054
Macq S Asia NS CC		LU0633126650		Trust Share		0.020
Macq S Asia NS CC		LU0633127112		Trust Share		0.050
ACMB RMB Inc PI A2		LU0633139554		Trust Share		0.024
ACMB RMB Inc. PI AT		LU0633139711		Trust Share		0.003
ACMB RMB Inc. PI AT		LU0633139984		Trust Share		0.045
PTR Kosmos HP		LU0635022196		Trust Share		0.001
NN L FI Sen L GHC		LU0635160079		Trust Share		0.001
Artico Em Mkt IC		LU0638828284		Trust Share		0.001
Art Dyn Em Mkt C		LU0638829688		Trust Share		0.004
JPMIF Inc. Opp BHD		LU0642142763		Trust Share		0.023
Hend H GI Tech A2HC		LU0642271901		Trust Share		0.117
JBMrange PAAIc A2hD		LU0643338360		Trust Share		0.010
Harm MM H Cap DC		LU0645415281		Trust Share		0.001
Harm MM H Cap EC		LU0645415521		Trust Share		0.001
Pharus BGM FI Eq AC		LU0645706689		Trust Share		0.005
RAMG Rus E All C		LU0646376730		Trust Share		0.650
AGIF US HY AMD		LU0648978533		Trust Share		0.013
F Eag Am Intl IHCCC		LU0650093072		Trust Share		0.001
UNI-GL MV World D1C		LU0650751489		Trust Share		0.040
Duet Men Hor A		LU0651840448		Trust Share		0.002
GMF Guard RI D		LU0654022549		Trust Share		0.525
JPMIF GI HY Bd BC		LU0654543270		Trust Share		0.020
ACMB Sh D HY A2		LU0654559516		Trust Share		0.016
Pictet-GED-Hldy EUR		LU0655939121		Trust Share		0.001
Lux Se PEF Pr Eq C		LU0659267842		Trust Share		0.002
UBS L Bd Cur Di PC		LU0659916679		Trust Share		0.018
JPMIF Inc. Opp AHC		LU0661553403		Trust Share		0.497
Parv M-S MV CC		LU0662593408		Trust Share		0.142
Pictet-PBrd-HPSGD		LU0663513272		Trust Share		0.001
Exp Inv Ath GAA AC		LU0666547616		Trust Share		0.039
Ser PI S Eq L/S IC		LU0669522319		Trust Share		0.001
Ser PI S Eq L/S IC		LU0669522582		Trust Share		0.001
UBS L Eq Em HD PD		LU0669577131		Trust Share		0.431
UBS L Eq As HD PC		LU0669706045		Trust Share		0.003
SISF GI Con Bd AHD		LU0671500402		Trust Share		0.020
MSIF GI Brds AHC		LU0671505468		Trust Share		0.006
Fr TI GI TR AH1D		LU0672654083		Trust Share		0.011
R Cap US SO Eq IHC		LU0674139976		Trust Share		0.007
R Cap US SO Eq DHC		LU0674140040		Trust Share		0.081
R Cap US SO Eq IC		LU0674140123		Trust Share		0.021
R Cap US SO Eq DC		LU0674140396		Trust Share		0.550
TrT Patrim Itl PC		LU0675135841		Trust Share		0.001
L/S Sel Lynx IC		LU0675178148		Trust Share		0.001

 

63

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
L/S Sel Asia IC		LU0675179039		Trust Share		0.005
Argos Argonaut AC		LU0675400260		Trust Share		0.001
R Cap H Y Bd DHC		LU0677789876		Trust Share		0.002
UBS L Eq GI HD IXC		LU0678866319		Trust Share		0.003
BGF Renminbi Bd A2C		LU0679941327		Trust Share		0.062
CB-AL Sw Bd Opp AHC		LU0681571880		Trust Share		0.001
ACMB Sel US Eq A		LU0683600562		Trust Share		0.700
ACMB Sel US Eq AH		LU0683600646		Trust Share		0.397
ACMB Sel US Eq I		LU0683600992		Trust Share		0.015
ACMB Sel US Eq IH		LU0683601024		Trust Share		1.630
Pegaso C Str Bd RC		LU0683646987		Trust Share		0.002
AGIF Inc Grow ITC		LU0685222696		Trust Share		0.001
Oyster Eu Sel R		LU0688633170		Trust Share		0.020
Oyster GI HY		LU0688633410		Trust Share		0.008
Oyster GI HY		LU0688633501		Trust Share		0.001
Oyster GI HY		LU0688633683		Trust Share		0.008
AGIF Inc. Grow ATC		LU0689472784		Trust Share		0.092
JBMlab Hybrid CC		LU0693173832		Trust Share		0.003
ECM Cr Fin IC		LU0694358317		Trust Share		0.012
SISF GI Bd AHC		LU0694808618		Trust Share		0.030
LO Cv Bd PSHC		LU0699842661		Trust Share		0.012
LO Cv Bd PSHD		LU0699842745		Trust Share		0.057
Aberd GL M-M WE A2C		LU0700927519		Trust Share		0.175
PAF-Commo I USD		LU0701675141		Trust Share		0.001
Fid As Sm Com AC		LU0702159699		Trust Share		0.030
March I Tor Lux IC		LU0704114668		Trust Share		0.002
Ram Sys Em Eq IC		LU0704154458		Trust Share		1.319
UBS L 1 GES II IBHC		LU0704569663		Trust Share		0.007
Hend H Europ Eq A2C		LU0705775699		Trust Share		0.036
R Cap GI Cs Eq DC		LU0705782398		Trust Share		0.002
UBS L Bd Cur Di PC		LU0706127809		Trust Share		0.072
China SDD CNBO AC		LU0708185235		Trust Share		0.010
BRSF Eu Cr Str H2HC		LU0708805394		Trust Share		0.002
GBM AM Mexico JC		LU0709026131		Trust Share		0.026
Thr L UK Eq AGPD		LU0713318813		Trust Share		0.043
JPMIF Eu Str Div AD		LU0714182432		Trust Share		0.190
Eff Gr GI Yield PC		LU0717068695		Trust Share		0.004
Exane 2 Eq S Eu BC		LU0719899097		Trust Share		0.001
Pigt Str USD L V CC		LU0721785722		Trust Share		0.004
Pigt Str USD Dyn CC		LU0721786027		Trust Share		0.004
Foc HGLTB USD FUKD		LU0723399837		Trust Share		0.118
UBS L Eq EO Unc PC		LU0723564463		Trust Share		1.268
BGF GI All A4D		LU0724617625		Trust Share		0.010
Vitruv Eu Eq BC		LU0725173008		Trust Share		0.002
Vitruv Eu Eq BIC		LU0725173180		Trust Share		0.001
UBS LB As HY PD		LU0725271786		Trust Share		0.002
UBS L Bd Cur Di PC		LU0726085425		Trust Share		0.010
Pictet-ESTHY-P		LU0726357527		Trust Share		0.005

 

64

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBS L Eq Em SmC PC		LU0727654609		Trust Share		0.006
JPMIF GI HY Bd AD		LU0727847666		Trust Share		0.010
UBS LKS Em All PC		LU0730958831		Trust Share		0.020
UBS LKS Em All HPC		LU0730959052		Trust Share		0.191
UBS LKS Em All HPC		LU0730959219		Trust Share		0.019
Fid Gl Div AMD		LU0731783048		Trust Share		0.010
CGS FMS GE FrM RC		LU0735966888		Trust Share		0.002
Pictet-ESTHY-HIUSD		LU0736302158		Trust Share		0.001
ACMB Sel Ab Al A		LU0736558973		Trust Share		0.077
ACMB Sel Ab Al I		LU0736559948		Trust Share		0.036
Fid China Foc AC		LU0737861699		Trust Share		0.060
BGF GI Eq Inc A6D		LU0738911758		Trust Share		0.010
BGF USD HY Bd A6D		LU0738912566		Trust Share		1.040
D Inv I Germ Eq LCC		LU0740824916		Trust Share		0.001
D Inv I T Div LDHPD		LU0740838031		Trust Share		0.001
JPMIF GI Inc. AC		LU0740858229		Trust Share		0.329
JPMIF GI Inc. DC		LU0740858492		Trust Share		0.010
China SDD HY B RD		LU0744024968		Trust Share		0.002
China SDD HY B RHD		LU0744025189		Trust Share		0.012
RBR Eu LS PHC		LU0744210245		Trust Share		0.025
RBR Eu LS PHC		LU0744210328		Trust Share		0.001
RBR Eu LS PC		LU0744210591		Trust Share		0.003
RBR Eu LS IHC		LU0744210674		Trust Share		0.007
RBR Eu LS IC		LU0744210831		Trust Share		0.003
UBS L Eq GI HD IXC		LU0745893759		Trust Share		0.001
UBS LKS MA In HIC		LU0745895374		Trust Share		0.008
UBS LB Em B16E PC		LU0746009306		Trust Share		0.001
UBS LB Em B16E PD		LU0746009488		Trust Share		0.001
UBS LB Em B16E IA1D		LU0746009991		Trust Share		0.001
Pharus Algo Fle BC		LU0746320174		Trust Share		0.001
Pharus Target AD		LU0746320414		Trust Share		0.004
Pharus Tot Ret AC		LU0746320687		Trust Share		0.008
Pharus Tot Ret BC		LU0746320760		Trust Share		0.001
UBS L Eq As SC PC		LU0746413003		Trust Share		0.004
SISF QEP GI EM CC		LU0747139474		Trust Share		0.066
SISF QEP GI EM CC		LU0747140647		Trust Share		1.997
Oyster US Sel R2		LU0747344215		Trust Share		0.001
UBS LKS MA In HPD		LU0749797188		Trust Share		0.006
Argos GI Eq AC		LU0754593514		Trust Share		0.001
Wildhorn Ber RS C		LU0756162524		Trust Share		0.010
SISF GI MA Inc AD		LU0757359954		Trust Share		0.020
SISF GI MA Inc A1D		LU0757360028		Trust Share		0.010
JPMIF GI Inc. AHC		LU0762807625		Trust Share		0.021
SOL Fur Prem CC		LU0763009254		Trust Share		0.001
BGF Em M Bd A6D		LU0764617162		Trust Share		0.150
BGF As Tig Bd A6D		LU0764618053		Trust Share		0.030
BGF GI HY Bd A6D		LU0764618640		Trust Share		0.060
SKY HGI US SDHY AHC		LU0765417018		Trust Share		0.020

 

65

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
SKY HGI US SDHY AHC		LU0765417448		Trust Share		0.030
DNCA I Eurose BC		LU0765621056		Trust Share		0.009
LO GI Gov Fu PUC		LU0765756902		Trust Share		0.111
BGF Co. Eu Fl A2C		LU0769137737		Trust Share		0.010
JPMIF Gl Cv US AD		LU0770164902		Trust Share		0.008
N1 NOK Reserve BIC		LU0772961230		Trust Share		0.002
Kron Vis Bal Sl AC		LU0773014963		Trust Share		0.001
UBS L Eq Ger HD PC		LU0775052292		Trust Share		0.016
UBS L Eq Ger HD PD		LU0775052615		Trust Share		0.003
UBS L Eq Ger HD PC		LU0775053266		Trust Share		0.011
UBS LB EUR Co PhC		LU0776291147		Trust Share		0.003
UBS L Bd USD Co PhC		LU0776291220		Trust Share		0.003
SISF Gl Div Gro CHC		LU0776412115		Trust Share		0.010
SISF Gl Dyn Bal CC		LU0776414327		Trust Share		0.010
JPMIF Inc. Opp AD		LU0781560155		Trust Share		0.100
JPMIF Gl Inc. CC		LU0782316961		Trust Share		0.008
2Perf Bd Opp C		LU0782681661		Trust Share		0.001
BGF GI M AssIn A6D		LU0784384876		Trust Share		0.020
BGF GI M AssIn D2C		LU0784385337		Trust Share		0.010
BGF GI M AssIn A2C		LU0784385840		Trust Share		0.010
JB Mbd Em Bd USD CC		LU0784392036		Trust Share		0.003
JBaer M EM C Bd BC		LU0784392895		Trust Share		0.001
UBS L Bd SD HY PhMD		LU0784638644		Trust Share		0.033
JPMF As Pa In JPMAD		LU0784638990		Trust Share		0.087
JPMF As Pa In JPMAD		LU0784639295		Trust Share		0.436
JPMF As Pa In JPMDD		LU0784639618		Trust Share		0.002
ACMB Sel US Eq AH		LU0787776995		Trust Share		0.021
BGF GI Co Bd A6D		LU0788109634		Trust Share		0.010
FL Asian Bd AC		LU0790902711		Trust Share		0.080
R Cap Em M Eq FC		LU0792910308		Trust Share		0.001
R Cap US Pr Eq FC		LU0792910720		Trust Share		0.007
Hector Oack C BC		LU0794227628		Trust Share		0.004
Inv GI Sm C Eq AHC		LU0794791284		Trust Share		0.040
Inv GI Eq Inc AHC		LU0794791870		Trust Share		0.010
JPMIF GI Inc AD		LU0795875086		Trust Share		0.020
Neutr N O Bd In SC		LU0795886794		Trust Share		0.002
UBS L Eq Ger HD PD		LU0797316337		Trust Share		0.006
ACMB Sel Ab Al AH		LU0800111485		Trust Share		0.007
Fr TI Br Op AC		LU0800341058		Trust Share		0.011
AWF EM Sh D Bds AC		LU0800597873		Trust Share		0.003
Anax Bd Opp L CC		LU0801082149		Trust Share		0.020
Wh FI OLZ EWEME BC		LU0803003523		Trust Share		0.004
Wh FI OLZ EWEME RC		LU0803005494		Trust Share		0.010
BGF USD HY Bd A3MD		LU0803751741		Trust Share		0.050
BGF Renminbi B E2HC		LU0803752129		Trust Share		0.010
Carmig Commodit AHC		LU0807690754		Trust Share		0.002
MFSMF GI Tot Re W2		LU0808561723		Trust Share		0.010
MFSMF Pr Wealth A1H		LU0808562614		Trust Share		0.025

 

66

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Mul St Biot AC		LU0809733578		Trust Share		0.002
QFS Em Eq MinR D		LU0812874229		Trust Share		0.090
As Sp Opp Ch OG AC		LU0814891734		Trust Share		0.003
JPMIF GI Inc AHD		LU0815074496		Trust Share		0.003
MSIF E Ld Eq AC		LU0815263628		Trust Share		0.007
Thr L UK Eq ZGC		LU0815284467		Trust Share		0.044
Am I VaR 2 EUR IHUC		LU0818113770		Trust Share		0.001
AGIF Inc Grow AMD		LU0820561818		Trust Share		1.604
AGIF Inc Grow AMD		LU0820561909		Trust Share		0.137
AGIF Inc Grow AMH2D		LU0820562030		Trust Share		0.283
AGIF Inc Grow AMH2D		LU0820562113		Trust Share		0.031
AGIF Inc Grow AMH2D		LU0820562386		Trust Share		0.016
GS US RE B C		LU0820775533		Trust Share		0.034
GS US RE B IID		LU0320775616		Trust Share		0.075
GS US RE B HIID		LU0820775889		Trust Share		0.011
SISF Hong K Eq CC		LU0820944667		Trust Share		0.010
R Cap Em Con Eq IC		LU0821169231		Trust Share		0.001
R Cap H Y Bd IHC		LU0821169405		Trust Share		0.002
UBS LKS MA In HPC		LU0822113493		Trust Share		0.005
UBS LKS MA In HPC		LU0822114038		Trust Share		0.069
R Cap H Y Bd BxHD		LU0823114243		Trust Share		0.011
Parv Eq BS Eu IC		LU0823400337		Trust Share		0.002
Parv Eq Eur Em CC		LU0823403356		Trust Share		0.010
Parv Eq W Ut CC		LU0823424519		Trust Snare		0.003
Parv Eq W Ut CC		LU0823424782		Trust Share		0.003
Parv Eq China CC		LU0823426308		Trust Share		0.002
Parv Eq Russ CC		LU0823431563		Trust Share		0.004
Parv Eq USA Gr CC		LU0823434583		Trust Share		0.008
UBS L Eq Eu HD PD		LU0826316233		Trust Share		0.162
N1 St Eq L/S BPC		LU0826409327		Trust Share		0.001
N1 US Tot R Bd BIC		LU0826413865		Trust Share		0.001
N1 US Tot R Bd BPC		LU0826414673		Trust Share		0.051
BGF GI All D2HC		LU0827880344		Trust Share		0.015
BGF L Amer D2HC		LU0827884254		Trust Share		0.009
BGF US B Val D2C		LU0827886119		Trust Share		0.020
BGF US B Val D2C		LU0827886200		Trust Share		0.010
BGF US B Val D4RFD		LU0827886549		Trust Share		0.082
BGF USD Sh Bd D2C		LU0827887356		Trust Share		0.010
BGF Wld Gold D4D		LU0827889139		Trust Share		0.009
BGF Wld Min D4RFD		LU0827889725		Trust Share		0.007
BGF Eu D2HC		LU0827890574		Trust Share		0.187
Eff Gr Eu GI Bd IC		LU0828733419		Trust Share		0.002
Hend H GI Tech H2C		LU0828813369		Trust Share		0.078
Hend H Eu HYB A2HC		LU0828816461		Trust Share		0.188
Kairos Intl Fur P		LU0828890789		Trust Share		0.004
FL Asian Bd AHC		LU0830378575		Trust Share		0.025
FL Asian Bd AD		LU0830378658		Trust Share		0.030
GS GI Eq P RC		LU0830623475		Trust Share		0.027

 

67

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
GS Gr&EM Debt RC		LU0830653209		Trust Share		0.019
GS GI H Yld RC		LU0830672258		Trust Share		5.321
Kite Tot Ret AC		LU0830807797		Trust Share		0.003
JPMF As Pa In JPMAD		LU0831103253		Trust Share		0.037
Alken Ab RetEu US1C		LU0832412760		Trust Share		0.009
R Cap US Pr Eq GHD		LU0832431802		Trust Share		0.006
Pharus Algo Fle AC		LU0833009060		Trust Share		0.008
JB Mbd T R Bd BC		LU0837554152		Trust Share		0.004
Lemanik Adw L/S RC		LU0840527526		Trust Share		0.002
Lemanik Adw Bd RC		LU0840527872		Trust Share		0.001
JPMF Em Corp Bd AD		LU0841817579		Trust Share		0.004
BlueB Em LC Bd C		LU0842203704		Trust Share		0.258
BlueB HY CorBd C		LU0842207101		Trust Share		0.001
BlueB Inv GrBd CAID		LU0842208174		Trust Share		0.001
BlueB Inv Gr Bd C		LU0842208760		Trust Share		0.001
UBS L 2 MM EUR FUKD		LU0842540022		Trust Share		0.044
Pictet-Water-HP CHF		LU0843168575		Trust Share		0.019
Pictet-ECBd-l USD		LU0844696376		Trust Share		0.060
GS US RE B I IID		LU0846206455		Trust Share		0.002
IGS GI Franch AC		LU0846948197		Trust Share		0.031
BlueB EM C Bd R		LU0847088449		Trust Share		0.001
BlueB GI IGC Bd l		LU0847090932		Trust Snare		0.001
UBS L Eq EO Unc QC		LU0848002365		Trust Share		0.005
7H Act AC		LU0848226634		Trust Share		0.006
Von Sus GI L BC		LU0848325378		Trust Share		0.206
UBS L Bd SD HY IA1C		LU0849031918		Trust Share		0.001
UBS LKS Dyn Alp HPC		LU0849401350		Trust Share		0.002
UIS Al As Pac IC		LU0849971451		Trust Share		0.003
WFLW US All Gr ZC		LU0851225333		Trust Share		0.001
UBS LKS Comm St UXC		LU0851683713		Trust Share		0.004
Man GLG FI Bd D236C		LU0851820562		Trust Share		0.007
Man GLG FI Bd I254C		LU0851822691		Trust Share		0.003
Man GLG FIBd I258HD		LU0851823079		Trust Share		0.012
Jup Dynamic LC		LU0853555380		Trust Share		0.040
Oak GI C Bd BC		LU0854923066		Trust Share		0.805
Oak GI C Bd HGBC		LU0854923736		Trust Share		0.003
Oak GI HY Bd HBC		LU0854923900		Trust Share		0.090
Oak GI HY Bd HGBC		LU0854924387		Trust Share		0.877
R Cap Em Con Eq DC		LU0854930350		Trust Share		0.002
Halley As Prosp A1C		LU0855165584		Trust Share		0.006
Halley As Prosp A1D		LU0855165667		Trust Share		0.003
IGS GI Franch AHC		LU0855493085		Trust Share		0.012
GS Gr&EM Debt RHC		LU0858293516		Trust Share		0.289
GS GI H Yld RHC		LU0858294753		Trust Share		16.297
GS GI H Yld RHD		LU0858294910		Trust Share		0.460
GS US RE B RD		LU0858296535		Trust Share		0.001
R Cap AQ Em Eq IC		LU0858455784		Trust Share		0.004
UBS L Eq SCB PC		LU0859451659		Trust Share		0.041

 

68

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBS L Eq SCB PC		LU0859451907		Trust Share		0.302
UBS L Eq SCB PC		LU0859452384		Trust Share		0.055
UBS L West Win PC		LU0859500539		Trust Share		0.057
UBS L West Win PC		LU0859500968		Trust Share		0.554
UBS L West Win PC		LU0859501420		Trust Share		0.061
2Perf Patrim C		LU0860703833		Trust Share		0.001
MLIS OCH-Z Eu M GZC		LU0860709798		Trust Share		0.001
ECM Cr DC BC		LU0861002235		Trust Share		0.001
LBLux T I Bal ITL2C		LU0861031929		Trust Share		0.889
PCA P Opt B2		LU0862327581		Trust Share		0.002
PCA P Opt B4		LU0862327821		Trust Share		0.010
Alken Ab RetEu US2C		LU0866837924		Trust Share		0.002
Alken Ab RetEu EU1C		LU0866838229		Trust Share		0.004
JPMF Gl Bd Opp AC		LU0867954264		Trust Share		0.001
UBS L Eq US TY PC		LU0868494617		Trust Share		0.898
UBS L Eq US TY PD		LU0868494708		Trust Share		0.139
UBS L Eq US TY PC		LU0868494880		Trust Share		0.699
UBS L Eq US TY PD		LU0868494963		Trust Share		0.210
UBS L Eq US TY PC		LU0868495002		Trust Share		0.143
UBS L Eq US TY PD		LU0868495184		Trust Share		0.001
BGF Eur Bd A2HC		LU0869650977		Trust Share		0.010
MFSMF Pr Wealth N1		LU0870264776		Trust Share		0.012
DB Pl Loom S I2CUC		LU0870310553		Trust Share		0.791
BGF Gl HY Bd A8HD		LU0871640040		Trust Share		0.100
BGF USD HY Bd A8HD		LU0871640396		Trust Share		0.040
R Cap As-Pac Eq IC		LU0875837915		Trust Share		0.104
Staff Gl Eq RC		LU0877783398		Trust Share		0.001
UBS LKS E M Inc PMD		LU0878004406		Trust Share		0.200
UBS LKS E M Inc. PD		LU0878005478		Trust Share		0.015
UBS LKS E M Inc. PC		LU0878005551		Trust Share		0.020
F Eag A Intl AHSQDD		LU0878866978		Trust Share		0.047
Parv Bd USD CC		LU0879078136		Trust Share		0.012
MLIS BPDC UCITS EBC		LU0879472206		Trust Share		0.002
JPMF Gl Health AC		LU0880062913		Trust Share		0.002
Ashm Loc Curr Z		LU0880946032		Trust Share		0.507
Ashm Loc Curr Z		LU0880946388		Trust Share		1.679
Pharus Gl Dyn O BC		LU0881534720		Trust Share		0.003
Fid Eu HY AMD		LU0882574212		Trust Share		0.040
UBS LKS E MInc PHMD		LU0882747412		Trust Share		0.068
UBS LKS E M Inc PMD		LU0882747503		Trust Share		0.034
Spinv HY Val Bd RC		LU0885593714		Trust Share		0.012
S GAIA Sir USEq AC		LU0885727932		Trust Share		0.190
S GAIA Sir USEq CC		LU0885728070		Trust Share		0.028
S GAIA Sir USEq AHC		LU0885728310		Trust Share		0.080
S GAIA Sir USEq CHC		LU0885728401		Trust Share		0.010
Duem CQ AsBdOp C		LU0886781847		Trust Share		0.002
BS L Eq USA Gr PC		LU0887386083		Trust Share		0.009
Fr TI Eu Gr AC		LU0889566211		Trust Share		0.015

 

69

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Argos I Yld Opp A1		LU0889843073		Trust Share		0.001
NN L Fl Sen L GHD		LU0890545089		Trust Share		0.033
NN L Fl Sen L GHD		LU0890545832		Trust Share		0.010
Method Inv XChC IC		LU0891380601		Trust Share		0.002
UBS L Bd Gl Dyn PC		LU0891671751		Trust Share		0.003
UBS L Bd Gl Dyn PD		LU0891671835		Trust Share		0.002
UBS L Bd Gl Dyn PHC		LU0891672056		Trust Share		0.022
UBS L Bd Gl Dyn PHD		LU0891672130		Trust Share		0.002
UBS L Bd Gl Dyn PHC		LU0891672213		Trust Share		0.043
UBS L Bd Gl Dyn PHD		LU0891672304		Trust Share		0.013
MPC Gl Conv BD		LU0892083196		Trust Share		0.003
Hend H Gl Tech A2HC		LU0892275776		Trust Share		0.069
Jup Dynamic DHC		LU0895805793		Trust Share		0.010
Pictet-JaEqO-HIUSD		LU0895849734		Trust Share		0.001
UBS L Bd Em EC PC		LU0896022034		Trust Share		0.014
UBS L Bd Em EC PHC		LU0896022380		Trust Share		0.064
UBS L Bd Em EC PHD		LU0896022463		Trust Share		0.012
UBS L Bd Em EC PHC		LU0896022620		Trust Share		0.002
UBS L Bd Gl Op PC		LU0897701065		Trust Share		0.002
UBS L Bd Gl Op PHC		LU0897701909		Trust Share		0.008
UBS L Bd Gl Op PHC		LU0897702469		Trust Share		0.002
UBS L Bd Gl Op PHD		LU0897702543		Trust Share		0.007
ECM Sen Sec SSS CCC		LU0898252373		Trust Share		0.002
JPMF AsPa In JPMAHD		LU0898667661		Trust Share		0.062
DGC Conv Cred AC		LU0903161841		Trust Share		0.031
SISF Jap Eq AHC		LU0903425923		Trust Share		0.013
Amundi B Gl A AHEC		LU0906524193		Trust Share		0.002
Amundi Patrim IEC		LU0907914518		Trust Share		0.002
R Cap US L C Eq MC		LU0910073989		Trust Share		0.002
R Cap Eu Cv Eq DC		LU0910541241		Trust Share		0.001
SISF Gl MA Inc. AHD		LU0911024122		Trust Share		0.010
D Inv I Ger Eq LCHC		LU0911036720		Trust Share		0.001
JPMF Em Corp Bd CHD		LU0920199691		Trust Share		0.003
GS Japan HC		LU0920312682		Trust Share		0.012
Pareto HY Nor AC		LU0922130215		Trust Share		0.032
Fid Italy AC		LU0922333322		Trust Share		0.050
Ash Inv Gl L Eq DC		LU0923647043		Trust Share		0.007
RFCap Sierra Eu IC		LU0929020484		Trust Share		0.004
BGF Jap Sm Opp A2HC		LU0931342652		Trust Share		0.010
JPM Liq USD Liq RC		LU0933168436		Trust Share		0.013
Oyst Eu Opp I2		LU0933606302		Trust Share		0.001
Rorento DHC		LU0934195610		Trust Share		0.893
Von E Un EM Bd I2C		LU0935021591		Trust Share		0.003
RAM LTFII AB TR KC		LU0935724160		Trust Share		0.020
FAST US AHC		LU0936198034		Trust Share		0.020
Fid Em YD		LU0936576593		Trust Share		0.110
UBS LKS MA In HPD		LU0937166477		Trust Share		0.005

 

70

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG /

Vermögensübertragungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 1c IV

Various Securities /

Anhang 1c IV

Diverse Wertschriften

(pages 71-116 / Seiten 71-116)

 

Notariat Hottingen-Zürich

Roman Sandmayr, Notar

 

71

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBS LKS E Mlne PHMD		LU0937166550		Trust Share		0.006
Kairos Intl It P		LU0937844727		Trust Share		0.003
Av I GI HYield MhC		LU0938923561		Trust Share		1.791
Av I GI HYield MC		LU0938923728		Trust Share		0.532
Avi GI HYield MhC		LU0938924023		Trust Share		0.919
CIF Jap Eq Bh		LU0939052618		Trust Share		0.020
R Cap Asi St Eq FC		LU0940005217		Trust Share		0.001
JPMF Em Mk Eq CHC		LU0940708216		Trust Share		0.265
P Gr L I Lis In PD		LU0941494444		Trust Share		0.001
UBS L Eq US TY PD		LU0942090050		Trust Share		o.296
AGIF Inc Grow AMH2D		LU0943347566		Trust Share		0.219
UBS LKS Dy Al HIXC		LU0943632256		Trust Share		0.006
IGS Asia Pac Eq JC		LU0944440550		Trust Share		0.283
UBS LKS Dy AI HIXC		LU0945635695		Trust Share		0.002
UBS LB USD HY FD		LU0945635935		Trust Share		0.016
UBS LB USD HY FHD		LU0945636156		Trust Share		0.271
UBS LB USD HY FHD		LU0945636230		Trust Share		0.087
Fid America AHC		LU0945775517		Trust Share		0.012
UBS L Eq USA Gr FC		LU0946081121		Trust Share		10.042
Pictet-HDivS-HPdmAU		LU0946722799		Trust Share		0.001
Pictet-HDivS-HPdmHK		LU0946727160		Trust Share		0.002
F&C Pf GI SC Eq AC		LU0947186945		Trust Share		0.008
SFL3 KMMHF Foc EUR		LU0947614417		Trust Share		0.019
SFL3 KMMHF Foc CHF		LU0947614680		Trust Share		0.001
MFSMF Eu Val A1H		LU0947761044		Trust Share		0.204
DGC Stock Sel AC		LU0947862669		Trust Share		0.001
DGC Stock Sel AC		LU0947862743		Trust Share		0.001
UBS LB USD HY FHC		LU0949580830		Trust Share		0.947
UBS L Bd SD HY FHC		LU0949593064		Trust Share		0.001
P Gr L I L Infr PD		LU0949730401		Trust Share		0.001
Mul St Em M LCD AD		LU0950572924		Trust Share		0.004
NS Sel Arowana AUC		LU0950665264		Trust Share		0.003
LGT L III ILS P BC		LU0950816578		Trust Share		0.003
LGT L III ILS P BC		LU0950816735		Trust Share		0.002
R Cap BP G P Eq DC		LU0951559797		Trust Share		0.004
R Cap GI CT Eq BD		LU0951559953		Trust Share		0.003
S GAIA Cat Bd FC		LU0951570505		Trust Share		0.004
S GAIA Cat Bd IFC		LU0951570687		Trust Share		0.020
S GAIA Cat Bd FHC		LU0951571149		Trust Share		0.016
Pictet-GED-Idy USD		LU0953040879		Trust Share		0.006
DGC FAB Gl Bal AC		LU0953300703		Trust Share		0.002
MSIF Gl Qual ZC		LU0955011258		Trust Share		0.006
Rorento IHC		LU0955120620		Trust Share		0.001
JPMIF US Eq AC		LU0955510259		Trust Share		0.010
S GAIA Sir USEq AHC		LU0955587471		Trust Share		0.010
SISF As Div Max AD		LU0955648018		Trust Share		0.010
SISF As Div Max AD		LU0955649842		Trust Share		0.010
Inv Jap Eq Adv CHC		LU0955866511		Trust Share		0.138

 

72

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
R Cap US SO Eq FC		LU0955988976		Trust Share		0.002
SSGA Eu CoExFBl PC		LU0956453996		Trust Share		0.019
UBS L.2 MBd GBP FUKD		LU0956985732		Trust Share		0.186
Thr L Amer Sel ZFHC		LU0957797193		Trust Share		0.171
GS GI H Yld HDHD		LU0960305505		Trust Share		0.016
FL As SD Bd AC		LU0960982600		Trust Share		0.010
Mirab GI Str Bd AC		LU0963986202		Trust Share		0.001
Mirab GI Str Bd AHC		LU0963986467		Trust Share		0.001
AWF GI Inf Bd IHRC		LU0964938608		Trust Share		0.428
UBS L Bd SD HY lBHC		LU0965046831		Trust Share		0.004
FL As SD Bd AHD		LU0965069965		Trust Share		0.030
Pet L Bd H Y BC		LU0966593187		Trust Share		0.002
Jup GI Eu Gr LHC		LU0966834136		Trust Share		0.016
2CG Eur Cap Gr RD		LU0968447275		Trust Share		1.069
BlueB Inv Gr Bd S		LU0968473941		Trust Share		0.353
BlueB Inv Gr Bd S		LU0968474162		Trust Share		0.008
BlueB Inv G Li S		LU0968474915		Trust Share		0.172
BlueB Inv G Li S		LU0968475136		Trust Share		0.212
Echiq Agressor AC		LU0969068971		Trust Share		0.003
BGF Eu Sp S A2HC		LU0969580561		Trust Share		0.010
R Cap Fin In Bd CHD		LU0971565576		Trust Share		0.005
GaII GI FIF AC		LU0972097231		Trust Share		0.003
UBS LB Em B 17 PC		LU0972641715		Trust Share		0.011
UBS LB Em B 17 PD		LU0972641806		Trust Share		0.036
S GAIA KKR Cred CC		LU0972983513		Trust Share		0.040
S GAIA KKR Cred AHC		LU0972983786		Trust Share		0.010
S GAIA KKR Cred CHC		LU0972983869		Trust Share		0.020
Hend H EuropEq A2HC		LU0974284688		Trust Share		0.104
UBS L Bd E B17E PC		LU0974615030		T rust Share		0.003
UBS L Bd E B17E PD		LU0974615113		Trust Share		0.002
UBS LKS AGSB US PMD		LU0974636119		Trust Share		0.012
UBS LKS AGSB US PC		LU0974636200		Trust Share		0.021
UBS LKS AGSB US PD		LU0974636382		Trust Share		0.001
UBS LKS AGSB US PMD		LU0974636549		Trust Share		0.005
UBS LKS AGSB US PC		LU0974636622		Trust Share		0.002
UBS LKS AGSBUS PHMD		LU0974636895		Trust Share		0.020
UBS L Eq EO Unc PC		LU0975313742		Trust Share		2.233
R Cap US S O Eq ED		LU0975848770		Trust Share		0.003
R Cap US S O Eq DC		LU0975848937		Trust Share		0.067
R Cap US Pr Eq KHC		LU0975849075		Trust Share		17.495
R Cap US Pr Eq KHC		LU0975849158		Trust Share		0.305
R Cap US Pr Eq KC		LU0975849232		Trust Share		1.843
Fr TI Front M WC		LU0976564525		Trust Share		0.162
Fid GI MA In YC		LU0979392502		Trust Share		0.240
JPMF Eurold Eq AHC		LU0979766432		Trust Share		0.001
GS GI H Yld RHC		LU0979888624		Trust Share		18.996
JB Mst China Ev CC		LU0982190059		Trust Share		0.001
JPMIF Eu StrDiv AMD		LU0983207175		Trust Share		1.343

 

73

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
GS GI H Yld BDHD		LU0984041128		Trust Share		0.132
J B Mco Com CC		LU0984247501		Trust Share		0.002
Pharus Bd Opp CD		LU0985039519		Trust Share		0.001
MMA2 Em M D BIC		LU0985399996		Trust Share		2.976
MMA2 Em M D BIHC		LU0985400083		Trust Share		0.718
MMA2 Em M D BIHC		LU0985400166		Trust Share		1.116
MMA2 Em M D IHD		LU0985400752		Trust Share		0.003
MMA2 Em M D IHD		LU0985400919		Trust Share		0.174
GS GI H Yld HDHD		LU0985485647		Trust Share		0.012
F Eag Am Intl AHSCC		LU0985489474		Trust Share		0.001
Nova Matterh BD		LU0986091485		Trust Share		0.001
Pictet-ARFI-HP EUR		LU0988402730		Trust Share		0.022
Verraz Adv Eur EIC		LU0990520404		Trust Share		0.003
FL As SD Bd AD		LU0991972695		Trust Share		0.020
UBS L KS2 GI QU IXC		LU0992307545		Trust Share		0.001
Carmig Patrim FC		LU0992627611		Trust Share		0.020
Carmig Gl Bd FHC		LU0992630755		Trust Share		0.001
UBS LB USD HY FHC		LU0994470523		Trust Share		0.399
UBS L St In CHF PD		LU0994669108		Trust Share		0.186
UBS L St In EUR PD		LU0994669793		Trust Share		0.013
UBS L St In CHF PC		LU0994951381		Trust Share		0.266
UBS L St In EUR PC		LU0994951464		Trust Share		0.151
UBS L St In USD PC		LU0994951548		Trust Share		0.041
SISF Eu Opp AD		LU0995122370		Trust Share		0.010
SISF UK Opp AD		LU0995122701		Trust Share		0.010
SISF UK Opp CD		LU0995122883		Trust Share		0.020
Colnv Vol Arbit IC		LU0996345962		Trust Share		0.004
JPMIF Inc Opp AHC		LU0996453428		Trust Share		0.010
UBS L Eq EO Unc PC		LU0996708193		Trust Share		0.191
Exane 2 Pr Tech BC		LU0997366314		Trust Share		0.001
UBS LB USD Co FD		LU0997823744		Trust Share		0.062
UBS LB USD Co FhD		LU0997824395		Trust Share		0.004
UBS LB USD Co FhD		LU0997824478		Trust Share		0.007
AWF US HY Bd IHC		LU0997828206		Trust Share		1.314
SISF Eur Eq AHC		LU0999521056		Trust Share		0.030
SISF Eur Eq CHC		LU0999521130		Trust Share		0.010
UBS L Eq USA En FC		LU0999556359		Trust Share		0.093
UBS L Eq USA En FC		LU0999558058		Trust Share		0.040
UBS L Eq USA En FC		LU0999559296		Trust Share		0.001
UBS L E Mkt Enh FC		LU1000742061		Trust Share		0.610
UBS LB USD Co FhD		LU1000757093		Trust Share		0.003
East C D V IA0114C		LU1001588414		Trust Share		0.001
JPMF Eu Eq AA AC		LU1001747408		Trust Share		0.005
JPMF Eu Eq AA BC		LU1001748042		Trust Share		0.011
JPMIF GL Inc CHD		LU1002459144		Trust Share		0.008
20UGS TWC UPBS A		LU1002972054		Trust Share		0.001
MMA2 US M C IHD		LU1003004865		Trust Share		0.134
BGF Fix GL Opp A1D		LU1003076855		Trust Share		0.014

 

74

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
BGF Fix Gl Opp A3D		LU1003076939		Trust Share		0.020
Inv Gl Targ Ret CC		LU1004133028		Trust Share		0.014
LFP 1 M R Es Op AD		LU1004413578		Trust Share		0.003
ING L Eur H Div UC		LU1004492267		Trust Share		0.056
MM Acc US Eq BHC		LU1005242018		Trust Share		0.237
MM Acc US Eq BHC		LU1005242364		Trust Share		0.046
MM Acc US Eq BHC		LU1005242448		Trust Share		0.002
Ed R Quam 5 A		LU1005537912		Trust Share		0.004
Ed R Quam 5 A		LU1005538217		Trust Share		0.001
Ed R Quam 5 A		LU1005538308		Trust Share		0.003
Ed R Quam 10 A		LU1005539611		Trust Share		0.003
Ed R Quam 10 A		LU1005539967		Trust Share		0.001
Ed R Quam 15 A		LU1005541518		Trust Share		0.003
Ed R Quam 15 A		LU1005541609		Trust Share		0.001
CIF Jap Eq Zh		LU1006072711		Trust Share		0.010
UBS L1 MTCB EUR FD		LU1008479146		Trust Share		0.005
UBS L1 MTCB USD FC		LU1008479229		Trust Share		1.602
UBS L1 MTCB USD FD		LU1008479492		Trust Share		0.031
UBS L1 MTCB USD FHC		LU1008479575		Trust Share		1.306
UBS L1 MTCB USD FHD		LU1008479658		Trust Share		0.003
UBS L1 MTCB USD FHD		LU1008479815		Trust Share		0.012
UBS L1 MTCB EUR FC		LU1008873801		Trust Share		0.732
JPMF Em Corp Bd CD		LU1009069961		Trust Share		0.025
UBS L1 EMUEE EU FC		LU1011257422		Trust Share		0.017
JBMlab Lyra CC		LU1012189889		Trust Share		0.001
UBS L Eq Gl Inc. PC		LU1013383713		Trust Share		0.181
UBS L Eq Gl Inc. PD		LU1013383804		Trust Share		0.041
UBS L Eq Gl Inc. PC		LU1013383986		Trust Share		0.008
UBS L Eq Gl Inc. PD		LU1013384018		Trust Share		0.001
UBS L Eq Gl Inc. PC		LU1013384109		Trust Share		0.027
UBS L Eq Gl Inc. PD		LU1013384281		Trust Share		0.008
Wh Fl OLZ EWE BC		LU1013689630		Trust Share		0.084
SISF Eur Eq AHC		LU1015429803		Trust Share		0.060
UBS L Eq EO Unc PC		LU1017644862		Trust Share		0.046
Verraz Eur LS RC		LU1019496998		Trust Share		0.003
Verraz Eur LS RHC		LU1019497293		Trust Share		0.001
Verraz Eur LS EIC		LU1019497616		Trust Share		0.001
BGF Eu Eq Inc A6HD		LU1019632923		Trust Share		0.140
JPMF Em Corp Bd CHD		LU1021315921		Trust Share		0.003
Parv Eq USA Val CC		LU1022399973		Trust Share		0.003
BGF Eu Val A2HC		LU1023061473		Trust Share		0.010
R Cap Fin In Bd DHC		LU1025004406		Trust Share		0.001
NN L Eur H Div XHMD		LU1028811179		Trust Share		0.012
UBS L Bd EB18U PC		LU1029154967		Trust Share		0.018
UBS L Bd EB18U PD		LU1029155006		Trust Share		0.010
UBS L Bd EB18U QC		LU1029155188		Trust Share		0.001
UBS L Bd EB18E PC		LU1029155857		Trust Share		0.002
UBS L Bd EB18E PD		LU1029156079		Trust Share		0.001

 

75

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBS L Bd EB18C PC		LU1029156749		Trust Share		0.030
UBS L Bd EB18C PD		LU1029156822		Trust Share		0.011
UBS LB EMHY18U PC		LU1029157804		Trust Share		0.012
UBS LB EMHY18U PD		LU1029158018		Trust Share		0.004
Parwld T EMU110 PD		LU1030898677		Trust Share		1.000
UBS LB EMHY18E PD		LU1031035097		Trust Share		0.001
UBS L Bd EUR C PhMD		LU1031037465		Trust Share		0.003
UBS L Eq EM RG PC		LU1031037549		Trust Share		0.005
UBS L Eq EM RG PC		LU1031037895		Trust Share		0.004
UBS L Eq EM RG PC		LU1031037978		Trust Share		0.183
UBS L Eq EO Unc PC		LU1031038273		Trust Share		0.059
SISF Eu Eq Yld A1HD		LU1031140988		Trust Share		0.100
T.R Pr Eu HY Bd QC		LU1032541671		Trust Share		0.040
UIS AI As Pac IC		LU1033631018		Trust Share		0.001
UBS L Bd SD HY PhMD		LU1033669257		Trust Share		0.005
MFSMF UK Eq I1X		LU1033711471		Trust Share		0.111
UBS LKS Eu GI PC		LU1038902331		Trust Share		0.031
UBS LKS Eu GI PMD		LU1038902414		Trust Share		0.166
UBS LKS Eu GI PHC		LU1038902505		Trust Share		0.156
UBS LKS Eu GI PHMD		LU1038902687		Trust Share		1.119
UBS LKS Eu GI PHMD		LU1038902844		Trust Share		0.154
UBS LKS Eu GI PHC		LU1038902927		Trust Share		0.003
UBS LKS Eu GI PHMD		LU1038903065		Trust Share		0.081
Hend Hor Eurol A2HC		LU1039938227		Trust Share		0.016
Alken Ab RetEu US3C		LU1040154095		Trust Share		0.068
MLIS MLCX CEB BC		LU1042053212		Trust Share		0.002
AWF F Eu RES AHC		LU1042830981		Trust Share		0.031
AWF F Eu RES FHC		LU1042831013		Trust Share		0.006
Atomo Cred Op IC		LU1043139903		Trust Share		0.006
UBS L Eq GI Inc QC		LU1043174561		Trust Share		0.001
Oyster Flex Cr 2		LU1045039002		Trust Share		0.004
UBS LKS CommSt IXHC		LU1045828263		Trust Share		0.009
SISF GI Div Max AXD		LU1046231400		Trust Share		0.060
SISF Eu Div Max AHD		LU1046234339		Trust Share		0.020
Fid Eur Bd AHC		LU1046421522		Trust Share		0.010
Fid Germany AHC		LU1046421878		Trust Share		1.790
UBS LKS Eu GI PHMD		LU1046463011		Trust Share		0.008
UBS LKS Eu GI PHMD		LU1046463953		Trust Share		0.001
GS N Am SR&E BD		LU1046545338		Trust Share		0.017
GS N Am SR&E BC		LU1046545411		Trust Share		0.252
GS N Am SR&E EC		LU1046545502		Trust Share		0.010
Spar HYVBSD 17 IDD		LU1047164154		Trust Share		0.001
Hend Hor Eurol G2C		LU1047639791		Trust Share		0.955
JPMIF Eu StrDiv AHD		LU1048177775		Trust Share		0.048
BGF Em M Bd I2C		LU1048586868		Trust Share		0.010
R Cap BP G P Eq IC		LU1048590118		Trust Share		0.001
Blue L Tetr ZC		LU1050631990		Trust Share		0.004
UBS L Eq USA Gr FC		LU1050652996		Trust Share		0.019

 

76

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBS L Eq USA Gr FC		LU1050658415		Trust Share		0.045
BGF Fix GI Opp A6HD		LU1051769021		Trust Share		0.010
CompAM Mul G Eq M		LU1055116559		Trust Share		0.001
Pion Eu Agg Bd JC		LU1056479568		Trust Share		0.042
UBS L Eq Sm Eur PC		LU1056569806		Trust Share		0.088
BNPPL1 Eq Wd QF CC		LU1056591487		Trust Share		0.002
GS GI H Yld ISC		LU1057464155		Trust Share		0.476
UBS L Bd GI Op IBHC		LU1059388964		Trust Share		0.003
UBS L Eq EO Unc QC		LU1059394855		Trust Share		0.011
UBS L St XY EUR PC		LU1059709862		Trust Share		0.051
UBS L St XY EUR PD		LU1060236970		Trust Share		0.001
Int Inv Alt Opp AC		LU1061605116		Trust Share		0.103
S GAIA Paul M A AC		LU1062022659		Trust Share		1.040
S GAIA Paul M A CC		LU1062022733		Trust Share		0.010
S GAIA Paul M A AHC		LU1062023038		Trust Share		0.010
GS GI H Yld ISHC		LU1064793307		Trust Share		0.758
GS GI H Yld ISHC		LU1064793489		Trust Share		1.011
M Div TAB USEq AC		LU1067856606		Trust Share		0.007
MM Acc EMU Eq BC		LU1070033045		Trust Share		2.062
PTR Agora P EUR		LU1071462615		Trust Share		0.002
Talos Balanced AC		LU1071846601		Trust Share		0.004
Aber Cp WGBS RC		LU1074026086		Trust Share		0.001
SGAIA Paul MA AHC-S		LU1074554186		Trust Share		0.020
MM Acc EMU Eq BHC		LU1075562733		Trust Share		0.011
PrivE IP RMB D IUC		LU1075799665		Trust Share		2.000
UBS L Eq GI Inc PMD		LU1076699146		Trust Share		0.245
R Cap Fin In Bd BHD		LU1079558448		Trust Share		0.002
GS GI H Yld ISHD		LU1079597776		Trust Share		0.015
UBS L Eq Em HD FC		LU1081984863		Trust Share		0.003
UBS L Eq Em HD PC		LU1081987023		Trust Share		0.214
UBS L Eq Em HD PC		LU1081987536		Trust Share		0.121
MSIF Div A PI ZHXD		LU1087826092		Trust Share		0.043
UBS LKS Eu GI PHMD		LU1089952383		Trust Share		0.063
DB PI Iv Op R5CUC-S		LU1094758403		Trust Share		0.007
Eff Gr Eu GI Bd PPC		LU1095075120		Trust Share		0.003
ESM AC		LU1097312349		Trust Share		0.001
ESM CC		LU1097312695		Trust Share		0.002
Prism As AC		LU1097312778		Trust Share		0.003
Inv P Eu Sm Eq AHC		LU1097691858		Trust Share		0.010
Fid Em AHC		LU1097728288		Trust Share		0.030
Base Inv EF MEq BC		LU1100163440		Trust Share		0.001
MFM L Con Bd Op RD		LU1105777459		Trust Share		0.650
Von AR Bd Dyn HC		LU1106544213		Trust Share		0.001
UBS LKS AGSB US PMD		LU1107510874		Trust Share		0.013
UBS L Eq GI HD PMD		LU1107510957		Trust Share		0.010
Method At GI Op IHC		LU1111203151		Trust Share		0.002
JAR Cap S In UI DD		LU1112873846		Trust Share		0.001
UBS L Eq GI HD PMD		LU1115419902		Trust Share		0.001

 

77

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBS GS Bd Dyn E FC		LU1116894400		Trust Share		0.558
UBS GS Cor Bd E FC		LU1116894749		Trust Share		0.552
UBS GS GEq D E FC		LU1116895126		Trust Share		0.425
UBS GS GEqDII E FC		LU1116895555		Trust Share		0.110
UBS GS Bd Dyn E FD		LU1116896363		Trust Share		0.007
UBS GS Bd Dyn U FD		LU1116896520		Trust Share		0.036
UBS GS Cor Bd E FD		LU1116896876		Trust Share		0.005
UBS GS Cor Bd U FD		LU1116896959		Trust Share		0.033
UBS GS GEqDII E FD		LU1116897502		Trust Share		0.001
UBS GS HYEM BdU FD		LU1116897924		Trust Share		0.037
UBS GS HYEM BdU FHC		LU1121026048		Trust Share		0.553
UBS GS HYEM BdU FHD		LU1121028259		Trust Share		0.006
UBS L Eq Eur CI PC		LU1121265208		Trust Share		0.024
UBS L Eq Eur CI PD		LU1121265380		Trust Share		0.004
UBS L Eq Eur CI PHC		LU1121265463		Trust Share		0.030
UBS L Eq Eur CI PHD		LU1121265547		Trust Share		0.007
UBS L Eq Eur CI PHC		LU1121265620		Trust Share		0.012
UBS L Eq Eur CI PHD		LU1121265893		Trust Share		0.008
BGF Fix GI Opp A2HC		LU1121327164		Trust Share		0.036
UBS LKS Eu GI PHMD		LU1124146223		Trust Share		0.009
East CL Fr Mkt AC		LU1125674538		Trust Share		0.009
Haus Haussmann CD		LU1129548993		Trust Share		0.029
Haus Haussmann DD		LU1129549454		Trust Share		0.002
Oyster AR GBP MI		LU1130232017		Trust Share		0.010
ICBC E CORQFIIB IUC		LU1130473561		Trust Share		0.008
Coeli I Sweden IC		LU1133292117		Trust Share		0.001
Part Gr GI Val R		LU1135197975		Trust Share		0.070
UBS L Eq US TY FD		LU1135392162		Trust Share		0.001
Foc GI Eq S USD FHC		LU1136068514		Trust Share		0.959
Foc GI Eq S USD FHC		LU1136068944		Trust Share		0.216
Foc HGLTB USD FHC		LU1140787190		Trust Share		0.017
DGC Fr Mul Lux AC		LU1143003819		Trust Share		0.006
UBS L Eq GI Inc PMD		LU1145057144		Trust Share		0.030
UBS L Eq GI HD PMD		LU1145061096		Trust Share		0.014
UBS L Eq US Inc. PC		LU1149724525		Trust Share		0.006
UBS L Eq US Inc. PD		LU1149724798		Trust Share		0.003
UBS L Eq US Inc PHC		LU1149725092		Trust Share		0.009
UBS L Eq US Inc PHD		LU1149725175		Trust Share		0.002
BNPPL1 Patr PC		LU1151728836		Trust Share		0.001
BRSF GI LS Eq D2C		LU1153525040		Trust Share		0.030
Part Gr GI Val E		LU1157260990		Trust Share		0.030
Part Gr GI Val E		LU1157261618		Trust Share		0.014
UBS LS XBal EUR PC		LU1161073173		Trust Share		0.002
JPMF GI C EUR AHC		LU1163233973		Trust Share		0.002
Foc GI Bd FUKD		LU1164771658		Trust Share		0.014
UBS GS UK Eq G FD		LU1172251354		Trust Share		0.062
UBS GS HYEM BdU FHD		LU1172251438		Trust Share		0.073
UBS GS GEqDII E FHD		LU1172251602		Trust Share		0.034

 

78

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBS GS Bd Dyn G FD		LU1172251784		Trust Share		0.070
UBS GS Bd PI U FD		LU1172251867		Trust Share		0.042
UBS GS GEq P U FD		LU1172251941		Trust Share		0.029
UBS GS Cor Bd U FHD		LU1172252089		Trust Share		0.059
UBS GS GEq D E FHD		LU1177367411		Trust Share		0.012
UBS GS GEqDII E FHD		LU1177369623		Trust Share		0.015
UBS GS GEq D E FHD		LU1184008958		Trust Share		0.037
BGF Fur M D2HC		LU1185942403		Trust Share		0.020
URS L Eq EO Unc PC		LU1185964712		Trust Share		0.009
VG GI Bd RC		LU1189797290		Trust Share		0.008
Fid Germany AHC		LU1190411048		Trust Share		0.120
R Cap US SO Eq DHC		LU1193126635		Trust Share		0.002
CS IF2 GI Pr Eq BC		LU1193860985		Trust Share		0.010
UBS LKS Com St IA1C		LU1195739989		Trust Share		0.002
UBS LKS Comm St IBC		LU1195740052		Trust Share		0.001
BGF Co Eu FI A2HC		LU1196525536		Trust Share		0.050
JPMF GI C EUR BHC		LU1200241161		Trust Share		0.001
Oyster MA Actip		LU1204262817		Trust Share		0.001
UBS L Eq EO Unc PC		LU1209147237		Trust Share		0.004
UBS L Eq EurCI PHMD		LU1216467149		Trust Share		0.036
UBS L Eq US Inc PMD		LU1217041372		Trust Share		0.002
UBS LKS GI Ml PMD		LU1224426327		Trust Share		0.005
Timeless PrM Fd		MT0000072612		Trust Share		0.177
InvestInvent Wind B		MT0000072992		Trust Share		0.007
InvestInv Wind C Ac		MT0000074295		Trust Share		0.003
RFID Invest II		MT0000074626		Trust Share		0.001
SJP Opportu A		MT0000076324		Trust Share		0.001
The ARP Diver C USD		MT0000078122		Trust Share		0.008
Hedge Invest SS		MT7000000915		Trust Share		0.004
Hedge Invest SS		MT7000000923		Trust Share		0.001
Hedge Invest GI		MT7000000931		Trust Share		0.002
Hedge Invest GI		MT7000000956		Trust Share		0.008
Abb Capital CHF B		MT7000001095		Trust Share		0.004
Fixed Inc Alloc A		MT7000001228		Trust Share		0.002
Fixed Inc Alloc B		MT7000001236		Trust Share		0.016
Fixed Inc Alloc C		MT7000001244		Trust Share		0.001
Fixed Inc Alloc M		MT7000002515		Trust Share		0.002
Smeraldo S-F		MT7000007282		Trust Share		0.005
HI Portfol Feed A		MT7000007506		Trust Share		0.006
Spinoz GI Qn VI		MT7000008538		Trust Share		0.001
Cembra High Yld USD		MT7000008652		Trust Share		0.017
Cembra BrazilFd USD		MT7000008710		Trust Share		0.008
Great China Val USD		MT7000008736		Trust Share		0.001
2.1 Alt In MkNt A		MT7000009312		Trust Share		0.003
JPM India Fund		MU0129U00005		Trust Share		0.037
2i Capital PCC		MU0193S00021		Trust Share		0.002
Ari.Africa Cons.Fd		MU0265S00019		Trust Share		4.170
EV Smaller Cos Fd		NL0000685261		Trust Share		0.002

 

79

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Hoofbosch		NL0006327413		Trust Share		0.059
Silsto Inv Fd		NL0009224021		Trust Share		0.001
Odin Europa		NO0010029044		Trust Share		0.017
Pareto Hoyerente		NO0010106230		Trust Share		0.001
UBS Priv Eq -A-		QT0022184185		Trust Share		0.010
Nucleus Fd A/L USD		QT0039738361		Trust Share		0.001
SAM Sci Dis USD-S1-		QT0101391461		Trust Share		0.001
JCAM Glo E/EX0609		QT0103765845		Trust Share		0.001
Theta V 07/08 F(l)		QT0149989185		Trust Share		0.001
UBS Glbl AM AIV MP		QT0160016645		Trust Share		0.025
Eton Mo Mark12/09-1		QT0160017106		Trust Share		0.001
AHV-OBL CHF AUSL		QT0160017395		Trust Share		0.002
MAAHV-AKTJPLC		QT0160017403		Trust Share		0.002
AHV-ID IMMO CHII		QT0160017411		Trust Share		0.002
MAAHV-DARLEHEN		QT0160017767		Trust Share		0.002
MAAHV-OBLCHFINLA		QT0160017775		Trust Share		0.004
MAAHV-SELECSOVER		QT0160017783		Trust Share		0.004
MAAHV-USTREAS		QT0160017791		Trust Share		0.003
MAAHV-GLINFLGOBL		QT0160017809		Trust Share		0.002
MAAHV-OBLSCHLDI		QT0160017817		Trust Share		0.004
MAAHV-OBLSCHLDII		QT0160017825		Trust Share		0.004
MAAHV-EURUNTALI		QT0160017833		Trust Share		0.003
MAAHV-USDUNTALI		QT0160017858		Trust Share		0.002
MAAHV-USDUNTALIE		QT0160017866		Trust Share		0.011
MAAHV-USDSIGD		QT0160017874		Trust Share		0.005
MAAHV-OBLUSDSEZD		QT0160017882		Trust Share		0.006
MAAHV-AKTEMULC		QT0160017890		Trust Share		0.002
MAAHV-AKTNALC		QT0160017908		Trust Share		0.002
MAAHV-AKTCHSMC		QT0160017916		Trust Share		0.002
MAAHV-AKTUSASMC		QT0160017940		Trust Share		0.002
MAAHV-AKTSCGLOB		QT0160017965		Trust Share		0.005
MAAHV-AKTSCHLD		QT0160017973		Trust Share		0.003
MAAHV-INDIMMOCHI		QT0160017981		Trust Share		0.002
MAAHV-IMMOWexCH		QT0160017999		Trust Share		0.005
MAAHV-COMMDITIES		QT0160018005		Trust Share		0.002
MAAHV-AKVSTEUANL		QT0160018013		Trust Share		0.001
UBSGLAM-AlVREMP		QT0160018716		Trust Share		0.007
MAAHV-EURUAFIN		QT0160019458		Trust Share		0.003
MAAHV-EURSIG		QT0160019466		Trust Share		0.003
MAAHV-EUTREAS		QT0160019755		Trust Share		0.002
MAC GEMINI IMMO		QT0160020951		Trust Share		0.003
MAC GEMINI LQMG		QT0160020969		Trust Share		0.069
MAC GEMINI IMNKT		QT0160021298		Trust Share		0.011
MAAHV-AKTCHLGC		QT0160021462		Trust Share		0.002
MAAHV-AKTUKNLGC		QT0160021470		Trust Share		0.002
MAAHV-AKTPACXJLC		QT0160021488		Trust Share		0.002
MAAHVIVEO- Direkte		QT0160022320		Trust Share		0.002
MA AHV / IV / EO		QT0160023211		Trust Share		0.002

 

80

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
MAAHV- Geld EUR		QT0160023229		Trust Share		0.002
MA AHV/IV/EO Geld		QT0160023237		Trust Share		0.002
Lege Artis MG/CHF		QT0160024573		Trust Share		0.002
MGHY Liqud SVP-A		QT0191442083		Trust Share		7.000
Sigma Abs Ret RA		QT0191773107		Trust Share		0.003
Lion III EUR-S2-A CC		QT0201974828		Trust Share		0.020
Lont Cerrado IV/EUR		QT0231083038		Trust Share		0.001
Horizon Growth C1		QT0238170929		Trust Share		0.269
Susa Europ Mangt Cl		QTX001074967		Trust Share		0.001
OWL Cre C/3AA/0309		QTX001608509		Trust Share		0.003
Theta V Oct 08 E(l)		QTX002523160		Trust Share		0.001
Blkrock Dbt Strg Fd		US09255R1032		Trust Share		2.000
Capital In Bld-A		US1401931035		Trust Share		0.016
Dfa Us Sm Cap		US2332038437		Trust Share		0.005
Fairholme		US3048711069		Trust Share		0.007
Fidelity Fix In Tr		US3161461096		Trust Share		7.793
Am Fd Fundm Invs-A		US3608021024		Trust Share		0.006
Goldman Sachs Core		US38141W7864		Trust Share		2.372
Har Assoc Oak Eq-I		US4138384007		Trust Share		1.321
Jacob Internet-Inv		US4697856049		Trust Share		21.153
Leuthold Core Invst		US5272891020		Trust Share		1.201
Nrtll Al Frank-Inv		US66538A3564		Trust Share		1.724
Pimco Tot Return-C		US6933904293		Trust Share		0.159
Pimco Tot Ret Instl		US6933907007		Trust Share		1.220
PIMCO Pac Emg-lnstl		US6933915596		Trust Share		2.057
Tocqueville Euro-A		US8888943003		Trust Share		3.118
UBS US Small Grw-Y		US90262H6356		Trust Share		0.005
Vang Div Growth		US9219086041		Trust Share		0.007
Vanguard Intl Grw		US9219102046		Trust Share		0.009
Vangrd Sh-Trm Bd Ix		US9219372078		Trust Share		2.373
Vg Intrm-Tm Bd Ix		US9219373068		Trust Share		0.255
Vanguard Long Term		US9219374058		Trust Share		1.966
Vang Long Term Inv		US9220311099		Trust Share		0.612
Vanguard High Yield		US9220312089		Trust Share		2.201
Vg IntTm Inv Gr-Inv		US9220318854		Trust Share		0.226
Vanguard Glbl Eqty		US9220382033		Trust Share		3.041
Vanguard Euro Stock		US9220422052		Trust Share		0.010
Vanguard Emerg Mkt		US9220423043		Trust Share		0.005
Vanguard 500 Index		US9229081081		Trust Share		0.009
Vanguard Ext Market		US9229082071		Trust Share		0.002
Vanguard Total Stk		US9229083061		Trust Share		0.139
Vct MnGrwt Opp Fd-A		US92646A2942		Trust Share		1.916
FENJA Fd Multi Pref		VCP391381057		Trust Share		0.001
AJR Intl B 1		VGG008712215		Trust Share		0.262
Alpha J/05/08/USD		VGG022331315		Trust Share		0.002
Antarctica Mkt AX		VGG0392Z6066		Trust Share		0.040
Antarctica Mar BX		VGG0392Z6306		Trust Share		0.010
Arab Gateway		VGG0504F1009		Trust Share		0.006

 

81

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Blue Rock Fund -B-		VGG1193H1001		Trust Share		0.001
Brownston Real B/NI		VGG163921056		Trust Share		0.001
Call Abs Ret A/EUR		VGG1769S1002		Trust Share		0.009
Calli Abs Ret C/USD		VGG1769S1184		Trust Share		0.008
Calli Abs Ret D/CHF		VGG1769S1267		Trust Share		2.232
Callisto Rel SP USD		VGG1769X1096		Trust Share		0.003
Cannonball -C-		VGG1821U1194		Trust Share		0.030
Cannonball Plus C		VGG1822D1160		Trust Share		0.025
Cannonball Fd II B		VGG190841053		Trust Share		0.011
Cannonball II C/EUR		VGG190841137		Trust Share		0.027
Caxton E/A/USD/RE		VGG198081231		Trust Share		0.001
Cax SI/SI-A/A/12/11		VGG198081314		Trust Share		0.147
CIM Div Inc P		VGG2199S1323		Trust Share		0.777
Culross Glb I/EUR		VGG258791000		Trust Share		0.003
Culross Gbl I/CHF		VGG258791919		Trust Share		0.002
Delphi Arbitrage A		VGG2707R1055		Trust Share		0.002
Direct C Poinciana		VGG276721567		Trust Share		0.001
Double U Fund		VGG281841020		Trust Share		0.005
Dynamic Alternative		VGG2889F1018		Trust Share		0.003
Diva Synergy B		VGG2890W1014		Trust Share		0.003
Diva Synergy A		VGG2890W1196		Trust Share		0.002
Diva Synergy C		VGG2890W1279		Trust Share		0.004
Efficiency Abs -AX-		VGG293981426		Trust Share		0.001
Efficiency Absol-C-		VGG2939B1269		Trust Share		0.003
Egerton L/S C/1/EUR		VGG2944F1466		Trust Share		0.007
Enable A(AN)/08/08		VGG3042K1021		Trust Share		0.001
Firesto Fd A/A1 Unr		VGG3524H1064		Trust Share		0.003
Gabelli Associat B		VGG3577E1097		Trust Share		0.002
Galiplan Seven -B-		VGG3709L1123		Trust Share		0.001
GAM USD Special Bd		VGG3715B1242		Trust Share		0.034
GAM GAMCO Equity		VGG3715Z1053		Trust Share		0.008
GAM Div II Open/EUR		VGG371601193		Trust Share		0.008
GAM Div II Open/GBP		VGG371601276		Trust Share		0.110
GAM Div 2.5XL/USD		VGG371634103		Trust Share		0.009
GAM Div 2.5XL/GBP		VGG371635191		Trust Share		0.008
GAM EuSBo CHF Op		VGG3717H1038		Trust Share		0.008
GAM EuSBo EUR/Open		VGG3717H1376		Trust Share		0.014
GAM Tra II USD Op		VGG3718Z1027		Trust Share		0.214
GAM Tra II EUR Op		VGG3718Z1100		Trust Share		0.050
GAM Trading II GBP		VGG3718Z1282		Trust Share		0.030
GAM Selection Hedge		VGG371961050		Trust Share		0.004
GAM Gbl Div USD Op		VGG3719A1066		Trust Share		0.020
GAM Div III USD/Ope		VGG372021011		Trust Share		0.004
GAM Co GI Bal USD		VGG372131240		Trust Share		0.006
GAM Co GI Bal EUR		VGG372131323		Trust Share		0.001
GAM Multi Arb USD		VGG372141140		Trust Share		0.012
GAM Multi Arb GBP		VGG372141306		Trust Share		0.040
GAM Multi Arb CHF		VGG372141710		Trust Share		0.211

 

82

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
GAM Multi-Arb EUR		VGG372141975		Trust Share		0.060
GAM Multi Res USD		VGG372142056		Trust Share		0.022
GAM Multi-Arb GBP		VGG372142213		Trust Share		0.010
GAM Multi SI-1 USD		VGG372142882		Trust Share		0.041
GAM Multi SI-1 EUR		VGG372142965		Trust Share		0.020
GAM Multi SI-1 CHF		VGG372143120		Trust Share		0.010
GAM Multi SI-2/CHF		VGG372143872		Trust Share		0.050
GAM Trad V GBP Open		VGG3722G1404		Trust Share		0.010
GAM Tra II CHF Op		VGG3723K1811		Trust Share		0.114
GAM Mul-Em EUR/Open		VGG3724N1270		Trust Share		0.195
GAM FCM Cat USD		VGG3727T1545		Trust Share		0.010
Giada F Jubilaeum		VGG385461428		Trust Share		0.004
GAM Tra IV EUR/Open		VGG3919K1104		Trust Share		0.065
Global Matrix E		VGG392821507		Trust Share		0.001
GVA Mkt Neutral E		VGG399981445		Trust Share		0.020
GVA Mkt Neutral -F-		VGG399981932		Trust Share		0.001
Greenlight Cap E/01		VGG4094N3664		Trust Share		0.002
Hermes Neutral CHF		VGG4111P1053		Trust Share		1’000.025
Hermes Neutral USD		VGG4411P1100		Trust Share		0.012
Hermes Univers USD		VGG4411P2199		Trust Share		0.009
Hermes Neutral EURO		VGG4411P2926		Trust Share		0.061
Hermes Univers-EURO		VGG4411P3593		Trust Share		0.006
Kawa Off Lead		VGG5220K1012		Trust Share		0.002
King Street A/1/NI		VGG5266L1123		Trust Share		0.688
King Str S/14		VGG5266L3103		Trust Share		0.037
King Str S/18		VGG5266L3517		Trust Share		0.088
King Street S/28		VGG5266L4358		Trust Share		0.050
King Str S/40		VGG5266L5595		Trust Share		0.001
King Street S/13		VGG5266M1106		Trust Share		0.209
La Fay Hldg B/USD		VGG534221467		Trust Share		1.051
La Fay Hldg B/EUR		VGG534221533		Trust Share		4.493
Lighthouse Glb LS A		VGG5492G1019		Trust Share		0.001
Novy A		VGG6675B1094		Trust Share		0.001
Novy fund D/Windw		VGG6675B1417		Trust Share		0.001
Olympia Star I USD		VGG6762G1283		Trust Share		0.002
Orange Opp Lead		VGG6776Q1046		Trust Share		0.001
1.2 EUR		VGG677711084		Trust Share		0.006
Osmose FoF -C-		VGG684131227		Trust Share		0.001
Archet Invmt SPC G		VGG690341661		Trust Share		0.014
Partnerships Opp		VGG6925V1031		Trust Share		0.006
Peak Perform Fd -A-		VGG695971058		Trust Share		0.001
Peak Per Dyn Val D		VGG695971397		Trust Share		0.001
Pentag Mul Str A/S1		VGG7004Z1229		Trust Share		0.001
Permal Macro -A-		VGG7011E1126		Trust Share		0.009
Permal Macro A/EUR		VGG7011E1381		Trust Share		0.023
Permal Glb Opp AQ		VGG701201375		Trust Share		0.005
Richcourt Composite		VGG7550D1033		Trust Share		0.125
Richcourt Composite		VGG7550D1298		Trust Share		0.020

 

83

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Richcourt Comp RVF		VGG7550D1371		Trust Share		0.001
Sign Crdt SP EUR		VGG7558X1924		Trust Share		0.051
Signet Credit I CHF		VGG7558X2427		Trust Share		0.007
Richct Euro Strat E		VGG756561194		Trust Share		29.305
First EURO Compos		VGG778301009		Trust Share		0.010
Stenham Univ II E		VGG8058B1444		Trust Share		0.002
Stenham Universal B		VGG8058G1274		Trust Share		0.928
Sherwood Investment		VGG809661074		Trust Share		0.001
Sonic Abs Ret A1		VGG8268D1042		Trust Share		0.001
Sonic Abs Ret A2		VGG8268E1280		Trust Share		0.001
LTrade Plus		VGG8799A1167		Trust Share		0.016
Trocadero Cap C/CHF		VGG9078S1092		Trust Share		0.002
Trocadero Capital B		VGG9078S1258		Trust Share		0.003
TS Multi Stra USD		VGG9120Z1018		Trust Share		0.001
TVP Val Ptnr A/MI		VGG9139F1045		Trust Share		0.004
Twister Oppor A/EUR		VGG9152N1096		Trust Share		0.001
VIC Eq Strat SP		VGG9346N1143		Trust Share		0.001
Winton Futures B		VGG971821936		Trust Share		0.115
Winton Futures D		VGG971822769		Trust Share		0.005
W-Xerof For EUR		VGG981381111		Trust Share		0.001
Egerton L/S A/USD		XD0003977838		Trust Share		0.004
Objective Fd Cl Gbl		XD0013414749		Trust Share		0.008
Brevan Howard A/USD		XD0015728070		Trust Share		0.019
Philo Al Ed EUR-A-		XD0016917946		Trust Share		0.004
Lucas En A/1-S/1		XD0017170131		Trust Share		0.001
Sunflower Fund		XD0017743440		Trust Share		0.009
H3 Comp A/Ini/01/04		XD0018530333		Trust Share		0.003
UBS Event Dvn J USD		XD0019554464		Trust Share		0.002
UBS AFA Trad B/EUR		XD0019824982		Trust Share		0.072
UBS AFA Tr B/CHF/RE		XD0020030272		Trust Share		0.002
Drake Gbl Opp A 1		XD0020355612		Trust Share		0.010
Third Point Off E/1		XD0020742736		Trust Share		0.004
UBS Alpha Sel P USD		XD0020951204		Trust Share		0.008
UBS-ASEL-D-USD		XD0021363235		Trust Share		0.002
UBS Systemat D/USD		XD0021369729		Trust Share		0.001
Taconic Opp A/1/NR		XD0021392010		Trust Share		0.003
UBS Glb Alpha B/1		XD0022284950		Trust Share		0.029
Beach Horizon USD		XD0022410746		Trust Share		0.010
UBS Glb Pri Eq I-B-		XD0022596742		Trust Share		0.027
Zadig A1/12/05/EUR		XD0023687797		Trust Share		0.090
UBS AQAS J/USD		XD0024580983		Trust Share		0.011
UBS A&Q Alt Sol J		XD0024581015		Trust Share		0.027
UBS A&Q Alt Sol J		XD0024581056		Trust Share		0.008
Aurelian Gbl A/1 UR		XD0025408713		Trust Share		0.004
Shannon -C-Ser 0406		XD0025457629		Trust Share		0.004
UBS A&Q Alt Sol J		XD0025655370		Trust Share		0.007
Shepherd Inv S SA01		XD0025738770		Trust Share		0.001
Asken Alpha A/USD		XD0025754033		Trust Share		0.001

 

84

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Pinnacle Nat F20305		XD0025908332		Trust Share		0.001
UBS A&Q Alt B EUR		XD0025956661		Trust Share		0.001
UBS A&Q Alt B CHF		XD0025956703		Trust Share		0.002
Glenview Cap S/4		XD0026519047		Trust Share		0.001
Shep Inv Int S/SA15		XD0027170873		Trust Share		0.001
Gavea Glb C/1106		XD0028373039		Trust Share		0.008
Viking Gbl Eq3 H/1E		XD0029031347		Trust Share		0.001
Maverick Fund C1/1		XD0029078868		Trust Share		0.001
Top World Yld Sel		XD0029457054		Trust Share		0.001
Mangart Glb B/EUR		XD0029540016		Trust Share		0.001
Pollux Private A		XD0029678048		Trust Share		0.001
Shep Inv Int S/SA21		XD0030005421		Trust Share		0.001
Gryphin M-S A/0407		XD0030579466		Trust Share		0.003
VIP Executive Fd A		XD0030614438		Trust Share		0.002
Jabcap Gbl Bala Z R		XD0030813303		Trust Share		0.003
Millenniu OO/01A/NI		XD0030897959		Trust Share		0.243
CAMINO ALTO-A-USD		XD0031382084		Trust Share		0.001
Heriot Afr Tr A/1		XD0032954238		Trust Share		0.003
Draw H10/S/SP4/0707		XD0033749116		Trust Share		0.002
Huds Invr A/1/NI		XD0034612552		Trust Share		0.001
Shepherd S/SA31		XD0034812525		Trust Share		0.001
Sierra Eu D/EUR/NI		XD0035222757		Trust Share		0.001
Gryphin M-S A/1107		XD0035470497		Trust Share		0.001
Calib St DSI/EUR/NV		XD0036157242		Trust Share		0.197
UBS Relt Val Gusto		XD0036476550		Trust Share		0.001
Sagarmatha Bra 0907		XD0036751929		Trust Share		0.006
Gryphin M-S A/0108		XD0036827620		Trust Share		0.001
Iva Global 0109 EUR		XD0038299836		Trust Share		0.009
Pond View B-1/2		XD0038728982		Trust Share		0.010
Shepherd Inv S/SA35		XD0038881039		Trust Share		0.003
Draw H10/S/SP7/0208		XD0039305905		Trust Share		0.003
Arden Opport X/0208		XD0039309030		Trust Share		0.068
Fairfax A/2 L USD		XD0039489758		Trust Share		0.005
Fairfax A4-N USD		XD0039516436		Trust Share		0.004
Fairfax A/1 L USD		XD0039540832		Trust Share		0.001
Fairfax A/4 L USD		XD0039542465		Trust Share		0.011
Fairfax A/4 L EUR		XD0039542713		Trust Share		0.001
Lee Enh A/A1/10		XD0039899816		Trust Share		0.001
One MST S/EUR		XD0042201737		Trust Share		0.002
Raptor Gbl Rap Pr		XD0042222238		Trust Share		0.002
Squadra Bra LB 0508		XD0042449823		Trust Share		0.018
OZ Ove L/67/Prm/NNI		XD0043171111		Trust Share		0.009
UBS Evt Gusto/2		XD0043461645		Trust Share		0.001
UBS-RV-GUSTO-2-USD		XD0043461686		Trust Share		0.001
Segan As Pac A1/UR		XD0043530605		Trust Share		0.006
Fairfax A/2 N2 USD		XD0044149520		Trust Share		0.001
Edison A/4 SP2 N2		XD0044359145		Trust Share		0.001
Schultz A/05/08/SP2		XD0044365282		Trust Share		0.033

 

85

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Esses A/6 NL2-SP2 E		XD0045730211		Trust Share		0.001
Fair A/2/SP3 N3 USD		XD0047167636		Trust Share		0.001
Fairfax A/4 N3 USD		XD0047169491		Trust Share		0.005
Ediso A/4 SP3 N3 US		XD0047362971		Trust Share		0.001
Harbinger Cap PE/1		XD0047522962		Trust Share		0.001
UBS-GAS-B-1-CHF		XD0047734849		Trust Share		0.133
UBS GAS J/CHF		XD0047782905		Trust Share		0.069
Dra H10/S/SP11 0908		XD0048080515		Trust Share		0.001
Headstrat C1/SSP		XD0049428317		Trust Share		7.218
Headstart Fd B1/SSP		XD0049500438		Trust Share		1.161
Schultze A/1108SP3		XD0049745207		Trust Share		0.001
Sonic Red 1/USD		XD0100001581		Trust Share		0.002
MVP Fund Of Fd S-A		XD0100028634		Trust Share		0.001
Plat Part Val Ini		XD0100107222		Trust Share		0.004
Tudor Glb A Legacy		XD0100150859		Trust Share		0.004
White Oak St B/USD		XD0100187745		Trust Share		0.003
PHI Russia B/1208		XD0100286026		Trust Share		0.002
Coat A/C/5/03/08/UR		XD0100363155		Trust Share		0.002
UBS Systema J/09USD		XD0100465745		Trust Share		0.007
Liquidity Veh USD		XD0100468277		Trust Share		0.051
Liquidity Veh EUR		XD0100468285		Trust Share		0.016
Highbridge C/N 0708		XD0100483656		Trust Share		0.001
Ave Eu Int L1/0109L		XD0100754809		Trust Share		0.001
Hermitage Gbl A/SSP		XD0101257570		Trust Share		0.011
Anchorage Cap A/062		XD0101447734		Trust Share		0.002
Tocqueville Go C/9		XD0101531909		Trust Share		0.001
Lond Di E/Des/USDIn		XD0101819650		Trust Share		0.012
Autonomy Cap B/4CGC		XD0101922538		Trust Share		0.011
Shepherd Sel A/USD		XD0102031016		Trust Share		0.030
Castler F1/ 0109		XD0102475908		Trust Share		0.037
Antarctica Mkt DE/2		XD0102924186		Trust Share		0.002
Headstart Gbl SSP 2		XD0103027153		Trust Share		0.063
BTG Pac Pa PI/L-Mas		XD0103473951		Trust Share		0.002
Sansar Cap Hold A-2		XD0103902371		Trust Share		0.001
Red Vehicle 2 USD		XD0104135849		Trust Share		0.001
Harbinger L/6		XD0104580101		Trust Share		0.001
M GLG Mul-Str CB		XD0104953910		Trust Share		5.185
Dinvest Con S/USD		XD0106346022		Trust Share		0.001
Tyru Cap A/USD/NR		XD0106814052		Trust Share		0.002
Kondor Falkon Eq SP		XD0106864404		Trust Share		0.005
LC Cap Off L/1009		XD0107203594		Trust Share		0.001
Blue El L-IS E0205		XD0107483402		Trust Share		0.001
Moore Gbl G/USD		XD0107899599		Trust Share		0.101
Aris MST Liq A/0404		XD0108709359		Trust Share		0.003
UBS Neut Alpha J/4		XD0109709382		Trust Share		0.035
Protege A/10		XD0111041527		Trust Share		0.012
Mill DD/III/01A/NNI		XD0111093601		Trust Share		0.001
Stride Inv Balan		XD0111176554		Trust Share		0.004

 

86

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Caspian I/1%10%0509		XD0111391146		Trust Share		0.002
Millenni EE/III/01A		XD0111536856		Trust Share		0.001
Belm L Gl Em Mk BSP		XD0111658734		Trust Share		0.015
MDF Sp Inv Cerberus		XD0111985137		Trust Share		0.001
Unique Fd Sp A		XD0112191834		Trust Share		0.001
Marat Spe Opp SP7		XD0112209321		Trust Share		0.001
TFO Priv Equity AF		XD0112465709		Trust Share		0.001
Schultze A/0310 SP4		XD0112683913		Trust Share		0.018
Millenn MM/III/01A		XD0113396804		Trust Share		309.894
Glb Enh Inv Des Inv		XD0113671156		Trust Share		0.006
Sel ARV/ARV/P/CHF		XD0113968891		Trust Share		0.002
TPG-Axon Part K/8		XD0115512432		Trust Share		0.168
TFO Priv Equ AJ		XD0115938157		Trust Share		0.001
Enable A(AN)/0509		XD0115973865		Trust Share		0.001
Enable A(AN)/ Initi		XD0115978930		Trust Share		0.001
Kondor Tiller SP		XD0117789285		Trust Share		0.003
O’Co Glb MS L EOP/1		XD0118078159		Trust Share		0.016
UBS Alpha Selec EOP		XD0118136189		Trust Share		0.008
Master Bonus USD		XD0118847413		Trust Share		0.009
Quest Brazil 6/10		XD0121049841		Trust Share		0.006
SEA Glb Bal EUR		XD0122238856		Trust Share		0.021
Tra Or SP C/S/II/II		XD0122299254		Trust Share		0.014
Saba Cap A/1/2/NI		XD0125037560		Trust Share		0.001
Protege Ptnr A/11		XD0126218037		Trust Share		0.010
Glenview Cap H/26		XD0127263305		Trust Share		0.001
Sel A/ARV II/RHM		XD0127848758		Trust Share		0.187
Alpha L/S Eq G		XD0128068109		Trust Share		0.002
Sel A/ARVII/RHM/CHF		XD0128630122		Trust Share		0.449
HFCM Andante ANDRF		XD0129959066		Trust Share		0.001
Diva Synergy C/12		XD0131800217		Trust Share		0.001
Schultze A/05/11		XD0132344603		Trust Share		0.008
Apoll S2/52/07/2007		XD0134001128		Trust Share		0.001
Sel ARV II A/MC/CHF		XD0135572333		Trust Share		0.001
Green-Grn90-01May06		XD0137026973		Trust Share		0.009
ADM Galleus I Z/1		XD0140238094		Trust Share		0.970
OZ Overseas C/0162		XD0140321114		Trust Share		0.001
OZ Overseas C/0127		XD0140386257		Trust Share		0.027
Artemis Mas SPV USD		XD0144933856		Trust Share		30.286
Whitebo M/S B/B/11		XD0180492734		Trust Share		0.003
Prote Ptnrs A/12/UR		XD0181050325		Trust Share		0.010
Sel A/ARVII/RHM/USD		XD0185406390		Trust Share		0.001
Caspian I/1/15/Ini		XD0186703621		Trust Share		0.001
Saisei A/2/01/11		XD0188409912		Trust Share		0.032
Tit U/4/4/12/USD/RE		XD0189841774		Trust Share		0.001
Headstart Glb SSP/3		XD0190544326		Trust Share		0.007
Schultze A/06/12/2		XD0191177076		Trust Share		0.001
Susa Eurp A1/EUR/UR		XD0191608310		Trust Share		0.004
Caxto Glb A/A/01/12		XD0200860779		Trust Share		0.076

 

87

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Keswick A/1/1/EUR		XD0202337412		Trust Share		0.006
Eton S1/0608/07/05		XD0202406092		Trust Share		0.005
Eton S1/0608/11/04		XD0202406100		Trust Share		0.001
Cerberus Intl A/USD		XD0203515388		Trust Share		0.001
Stable Alp J/2/SGD		XD0206577062		Trust Share		0.002
XPI Holdings I/USD		XD0206891117		Trust Share		0.004
King St Cap S/53		XD0208488102		Trust Share		0.006
KMMHF Foc CHF		XD0209061338		Trust Share		2.287
Schultz Off A/0313		XD0211800467		Trust Share		0.107
O’Connor Q/1/CHF		XD0214723492		Trust Share		0.011
O’Connor Q/1/USD		XD0214733525		Trust Share		0.006
Spinnaker Glb K1/Q1		XD0216597001		Trust Share		0.005
UBS MMAC Q/USD		XD0216804399		Trust Share		0.008
UBS MMAC Q/CHF		XD0216804555		Trust Share		0.001
UBS MMAC Q/EUR		XD0216804720		Trust Share		0.001
Multi Strgy Res USD		XD0228165839		Trust Share		2.846
Multi Strgy Res EUR		XD0228167678		Trust Share		0.453
Anchorage Cap E/512		XD0231050911		Trust Share		0.001
King Street S/56		XD0235819303		Trust Share		0.005
Stable Alpha B/2		XD0237621608		Trust Share		0.002
Stable Alph J/2/EUR		XD0237621780		Trust Share		0.002
UBS AFA Q/USD/RE		XD0237698481		Trust Share		0.010
King Street S/60		XD0238764233		Trust Share		0.030
UBS NAS B/36/CHF/RE		XD0242896690		Trust Share		0.008
Dr G/SP4/DB/G100/NI		XD0244186728		Trust Share		0.001
Dra G/DB/G100/SP12		XD0244205767		Trust Share		0.001
Dr G/G24/SP11/09/08		XD0244235764		Trust Share		0.001
King St Cap S/65		XD0247847045		Trust Share		0.009
Schul A/06/14/4/USD		XD0250020241		Trust Share		0.002
Kin St Cap S/70/USD		XD0253379305		Trust Share		0.004
Stable Alph J/3/EUR		XD0265296596		Trust Share		0.002
Kin St Cap S/80/USD		XD0265309704		Trust Share		0.026
Stable Gr B/3/USD		XD0268300205		Trust Share		0.015
King Street S/85		XD0270903921		Trust Share		0.002
LL Assets H/EUR		XD0272432366		Trust Share		0.003
Chil S/C B/01/15/RE		XD0273006201		Trust Share		0.006
David C/3/01/15/NI		XD0278655457		Trust Share		0.001
Selectin R/1/CHF		XD0280739729		Trust Share		0.738
Selectinv ARV R/1		XD0280756129		Trust Share		3.070
Selectinv ARV R/1		XD0281281226		Trust Share		0.001
3BG EmC Conv GI T		AT0000636824		Trust Unit		0.046
Pio Aust Stock V		AT0000674908		Trust Unit		0.500
Tri Style Fund T		AT0000701164		Trust Unit		0.390
RF-Euro-Corp R V		AT0000712534		Trust Unit		0.001
RF-Eurasien-Akt R		AT0000745856		Trust Unit		0.001
RF-EuHighYield R VA		AT0000765599		Trust Unit		0.001
ESPA ST EUR-EMER T		AT0000812938		Trust Unit		0.222
Sp SparTrust M T		AT0000817960		Trust Unit		0.650

 

88

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
ZZ2		AT0000831425		Trust Unit		0.305
ESPA STOCK VIENNA		AT0000858147		Trust Unit		0.710
RF-Osteur-Akt R		AT0000936513		Trust Unit		0.900
ESPA BD EM CORP T		AT0000A05HR3		Trust Unit		2.000
C-Q ARTS TR Bal V		AT0000A08EV6		Trust Unit		0.017
C-Q ARTS Best M V		AT0000A08LD9		Trust Unit		0.004
UBS(CH)SF-BA(EUR) P		CH0000474541		Trust Unit		0.003
UBS(CH)EF-EnUSD P		CH0000584505		Trust Unit		0.065
SWC(CH)BF C H CHF A		CH0000700903		Trust Unit		0.580
ENISO Forte G CHF		CH0000823531		Trust Unit		1.000
UBS(CH)EF-EM As P		CH0000966991		Trust Unit		0.329
UBS(CH)EF-SCpEU P		CH0000967031		Trust Unit		0.001
UBS(CH)EF-EM HD P		CH0001071940		Trust Unit		0.033
UBS(CH)EF-MCSCH P		CH0001117248		Trust Unit		0.004
UBSCHEF-GIMatUS P		CH0002609698		Trust Unit		0.251
CSFd2 CorCHFBdF		CH0002770201		Trust Unit		0.503
Ab Glb Ph EF A		CH0002772652		Trust Unit		0.375
BSI - Multibond CHF		CH0002775176		Trust Unit		1.011
BSI MULT BD EU A		CH0002775184		Trust Unit		2.916
BSI MULT BD US A		CH0002775192		Trust Unit		0.648
BSI MULT GLDYN A		CH0002775200		Trust Unit		1.052
BSI MULT NIP A		CH0002775226		Trust Unit		0.882
UBSCHKSFdCHFBdE P		CH0002775242		Trust Unit		0.010
SWC (CH) Pf Valca		CH0002779632		Trust Unit		0.170
SWC(CH)BF CHF A		CH0002779665		Trust Unit		0.170
SWC(CH)BF INTL A		CH0002779673		Trust Unit		0.099
Falcon Gold Eq A		CH0002783535		Trust Unit		0.434
UBSCHEF-USAMS P		CH0002788401		Trust Unit		0.062
UBS(CH)EF-GO US P		CH0002788500		Trust Unit		0.071
UBS(CH)BF-USD P		CH0002788534		Trust Unit		0.033
UBS(CH)BF-CHF P		CH0002788567		Trust Unit		0.428
UBS(CH)BF-EUR P		CH0002788591		Trust Unit		0.020
UBS(CH)EqFdGdUS P		CH0002788690		Trust Unit		1.693
UBS(CH)EqFdAsUS P		CH0002788708		Trust Unit		0.034
UBS100 IndFd CH P		CH0002788807		Trust Unit		0.006
CS EF(CH)CH Blu B		CH0002788906		Trust Unit		0.160
L&P CrStFdCSF A CH		CH0002789847		Trust Unit		1.361
UBS(CH)BF-ConAs P		CH0002791587		Trust Unit		0.301
UBS(CH)EF Eu Op P		CH0002791702		Trust Unit		0.073
UBS(CH)EF-SWITZ P		CH0002791769		Trust Unit		0.064
UBS(CH)BF-CH Dm P		CH0002791843		Trust Unit		0.095
UBS(CH)EF-PacUS P		CH0002791884		Trust Unit		0.005
LOFCH GlEqRP P		CH0002792056		Trust Unit		0.453
UBS(CH)SF-YD(CHF) P		CH0002792114		Trust Unit		0.113
UBS(CH)SF-BA(CHF) P		CH0002792122		Trust Unit		0.084
UBS(CH)SF-YD(USD) P		CH0002792171		Trust Unit		0.125
UBS(CH)SF-BA(USD) P		CH0002792189		Trust Unit		0.002
VT Swiss Sm Cap A		CH0002795729		Trust Unit		0.008

 

89

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
PictCH SMSC PdyCHF		CH0003299580		Trust Unit		0.002
DWS(CH) Aktien Glb		CH0003531974		Trust Unit		0.500
DWS(CH)Balance Glb		CH0003531990		Trust Unit		0.603
DWS Bond Fd SFR		CH0004164858		Trust Unit		0.451
UBS(CH)EF-SC SW P		CH0004311335		Trust Unit		0.003
UBS(CH)EF-LAmUS P		CH0004370927		Trust Unit		0.105
IAM-Swiss Eq Fd A		CH0004395791		Trust Unit		0.001
DWS CH US Equities		CH0004459506		Trust Unit		0.496
SWC(CH)EQ EM MKT A		CH0004661267		Trust Unit		0.331
LOFdCHSwCpexSMI P		CH0005067829		Trust Unit		0.002
SWC(CH)PF WRLD 30		CH0005621468		Trust Unit		0.854
SWC(CH)EQ TIGER A		CH0005910697		Trust Unit		0.976
PostFi 1 Bd		CH0006869207		Trust Unit		0.003
POST FD 2		CH0006869215		Trust Unit		0.010
POST FD 3		CH0006869231		Trust Unit		0.003
UBS(CH)EF-EasEu P		CH0006893843		Trust Unit		0.028
SLF(CH)PfGlblCHF A1		CH0007294892		Trust Unit		0.017
SLF(CH)PfGlbBCHF A1		CH0007294918		Trust Unit		0.022
POST FD 4		CH0007304386		Trust Unit		0.011
POST FD 5		CH0007305680		Trust Unit		0.004
AIG Divers Stra A		CH0007529909		Trust Unit		1.541
VVA OB CHF I		CH0008410174		Trust Unit		0.354
VVA OB CHF II		CH0008410224		Trust Unit		1.381
VVA AK CH		CH0008410448		Trust Unit		0.824
VVA AK Euro F		CH0008410471		Trust Unit		0.104
IAM-EMERG MKTS A		CH0009733814		Trust Unit		0.001
SWC(CH)ALT DV EUR B		CH0010199443		Trust Unit		0.008
SLF Equity CH		CH0010970421		Trust Unit		0.025
PictCH STMM CHF Pdy		CH0011292312		Trust Unit		0.001
UBSCHIF-SMCCHIB		CH0011764310		Trust Unit		0.001
LOFdCHSwissLead P		CH0011786628		Trust Unit		0.002
POST PE 45		CH0012056203		Trust Unit		0.139
POST PE 25		CH0012056260		Trust Unit		0.113
SLF Bond CH		CH0012162779		Trust Unit		0.023
UBSCHIF-EQCH IB		CH0012966674		Trust Unit		0.001
UBSCHIF-BDCHI IB		CH0012966799		Trust Unit		0.029
POST FD SUI		CH0013211575		Trust Unit		0.006
PI-Foreign Bds-I		CH0013458671		Trust Unit		0.001
UBSCHIF-BDCPIIB		CH0014265471		Trust Unit		0.005
UBS Property Anfos		CH0014420829		Trust Unit		0.890
UBS Foncipars		CH0014420852		Trust Unit		0.082
UBS Swiss Mix Sima		CH0014420878		Trust Unit		0.465
UBS Swissreal		CH0014420886		Trust Unit		1.000
POST FD GL		CH0014933193		Trust Unit		0.011
UBSCHIF-EQCPLIB		CH0015709675		Trust Unit		0.012
UBSCHIF-EQCPLIX		CH0015709683		Trust Unit		0.001
UBSCHIF-BDCHAIA1		CH0015796813		Trust Unit		0.018
UBSCHIF-BDCHAIX		CH0015796904		Trust Unit		0.001

 

90

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBSCHIF-BDCHI IA1		CH0015797019		Trust Unit		0.011
UBSCHIF-BDCHI IX		CH0015797134		Trust Unit		0.014
UBSCHIF-GLBD1IA1A		CH0015797340		Trust Unit		0.025
UBSCHIF-GLBD1IB		CH0015797472		Trust Unit		0.003
UBSCHIF-GLBD1IX		CH0015797662		Trust Unit		0.009
UBSCHIF-GLBD3IX		CH0015798090		Trust Unit		0.003
UBSCHIF-GLEQEC IX		CH0015798504		Trust Unit		0.006
UBSCHIF-BDCPIIA1		CH0015798520		Trust Unit		0.013
UBSCHIF-EQEUP IA		CH0015798637		Trust Unit		0.001
UBSCHIF-EQEUAP IB		CH0015799569		Trust Unit		0.028
UBSCHIF-EQEUP IX		CH0015799643		Trust Unit		0.023
UBSCHIF-EQUSP IA1		CH0015799726		Trust Unit		0.001
UBSCHIF-SMCCHIX		CH0015800003		Trust Unit		0.005
AIG Divers Strat B		CH0015986687		Trust Unit		0.177
SWC(CH)ALT DV CHF B		CH0016103415		Trust Unit		0.016
PictCH-CHF BdTR Pdy		CH0016431766		Trust Unit		0.001
PictCH-CHF BdTR Zdy		CH0016431774		Trust Unit		0.010
UBSCHIF-GLBD4IB		CH0016640929		Trust Unit		0.011
UBSCHIF-GLBD4IX		CH0016640937		Trust Unit		0.008
1741 EqAcWId V		CH0017007094		Trust Unit		0.558
UBS(CH)EFSICH P		CH0017043958		Trust Unit		1.048
UBSCHIF-EQGLPIA1		CH0017256857		Trust Unit		0.003
UBSCHIF-EQLPIB		CH0017256865		Trust Unit		0.004
UBSCHIF-EQJAP IA1		CH0017256899		Trust Unit		0.089
UBSCHIF-EQJAPA IB		CH0017256907		Trust Unit		0.020
UBSCHIF-EQJAPA IX		CH0017256915		Trust Unit		0.020
UBSCHIF-BCIMTIA1		CH0017257004		Trust Unit		0.027
UBSCHIF-BCIMTIB		CH0017257012		Trust Unit		0.012
UBSCHIF- BCIMTIX		CH0017257038		Trust Unit		0.020
JSS DynEqSw MCHFd		CH0017324911		Trust Unit		0.001
CSFd2 CoEURBdF A		CH0017630242		Trust Unit		0.007
UBSCHIF-BDCAP IA1		CH0018234531		Trust Unit		0.043
UBSCHIF-BDCAP IB		CH0018234549		Trust Unit		0.015
UBSCHIF-BDCAP IX		CH0018234564		Trust Unit		0.003
UBSCHIF-BDCIP IA1		CH0018234580		Trust Unit		0.070
UBSCHIF-BDCIPA IB		CH0018234606		Trust Unit		0.060
UBSCHIF-BDCIPA IX		CH0018234614		Trust Unit		0.063
UBS(CH)GAS(CHF)P-PF		CH0018784717		Trust Unit		26.476
UBSCHIF-EQEMGIA1		CH0018841301		Trust Unit		0.014
UBSCHIF-EQEMGIX		CH0018841327		Trust Unit		0.022
PictCH SMSC IdyCHF		CH0019087177		Trust Unit		0.003
CommRPex-Ag P		CH0019140737		Trust Unit		0.002
BDF Tact (EUR)		CH0019243093		Trust Unit		0.458
ZKB FdsAktFindI AA		CH0019509238		Trust Unit		0.151
JSS IF-Eq EM		CH0019515730		Trust Unit		0.003
JSS IF-Eq GIb T		CH0019515755		Trust Unit		0.001
AFIAA Immo-CHF		CH0019574729		Trust Unit		0.006
JSS IF-Bd CHF F		CH0019578068		Trust Unit		0.002

 

91

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
JSS IF-Bd F Cur		CH0019578084		Trust Unit		0.001
JSS IF-Bd CHF D		CH0019578126		Trust Unit		0.001
PvB(CH)ANGISgPt K		CH0019988333		Trust Unit		0.001
PvB(CH)AN EmPrt K		CH0019988564		Trust Unit		0.007
LOFdCHSwCpexSMI I		CH0020299548		Trust Unit		0.002
SGKBCHMulFokCHF A		CH0020306186		Trust Unit		0.004
UBS(CH)Comm CHF P		CH0021046880		Trust Unit		0.378
UBSCHIF GRESP IA1		CH0021980898		Trust Unit		0.003
UBSCHIF-GRESP IB		CH0021980948		Trust Unit		0.001
UBSCHIF-GRESP IX		CH0021980963		Trust Unit		0.006
UBSCHIF-BDCPAIA1		CH0022466079		Trust Unit		0.003
UBS(CH)VITA-12W U		CH0022476441		Trust Unit		0.032
UBS(CH)VITA-25W U		CH0022476466		Trust Unit		0.923
UBS(CH)VITA-40W U		CH0022476482		Trust Unit		0.834
UBS(CH)VITA-50W U		CH0022476508		Trust Unit		97.851
PictCH CHF BdTr ldy		CH0022509316		Trust Unit		0.001
Pl-Swiss Eq Tr I		CH0022513706		Trust Unit		0.001
UBSCHIF-GLBDPIA1		CH0022650144		Trust Unit		0.035
UBSCHIF-GLBDPIB		CH0022650706		Trust Unit		0.008
UBSCHIF-GLBDPIX		CH0022650888		Trust Unit		0.003
JBInst CH WohnbFd I		CH0022682048		Trust Unit		0.008
UBSCHIF2-EQGPIA1		CH0022985227		Trust Unit		0.002
UBSCHIF-EQGPIB		CH0022985268		Trust Unit		0.003
UBSCHIF-EQGPIX		CH0022985367		Trust Unit		0.005
Mi-Fd(CH)-10 A		CH0023406421		Trust Unit		0.007
Mi-Fd(CH)-30 A		CH0023406470		Trust Unit		0.020
MI-FD(CH)-40 A		CH0023406512		Trust Unit		0.008
MiFd(CH)-50 A		CH0023406553		Trust Unit		0.012
Mi-Fd(CH)-SwSt A		CH0023406587		Trust Unit		0.011
Mi-Fd(CH)-EuSt A		CH0023406629		Trust Unit		0.006
Mi-Fd(CH)-IntSt A		CH0023406652		Trust Unit		0.006
Mi-Fd(CH)-CHFBd A		CH0023406702		Trust Unit		0.014
Mi-Fd(CH)CHBdMT A		CH0023406751		Trust Unit		0.014
RFP CH Eq Plus A		CH0023449892		Trust Unit		0.393
V Fd EthEqSM&S A		CH0023568022		Trust Unit		0.001
Ethos Eq CH indxd E		CH0023568071		Trust Unit		0.002
Ethos Bd CHF E		CH0023568386		Trust Unit		0.004
SYNERGIEOMGXCHF		CH0023645184		Trust Unit		0.650
UBSCHIF-EQEMM IA1		CH0023760173		Trust Unit		0.002
UBSCHIF-EQEXS IA1		CH0023761049		Trust Unit		0.001
ROPAS(CH)IF-BDCHDO		CH0024102888		Trust Unit		0.005
ROPAS(CH)IF-EQ EU		CH0024103126		Trust Unit		0.012
ROPAS(CH)IF-EQ SW		CH0024117365		Trust Unit		0.011
SWC(CH) SPI INDEX A		CH0025417491		Trust Unit		0.006
PvB(CH)Ass-B Sec A		CH0025508901		Trust Unit		0.049
RoPAS(CH)IF-EQJ		CH0025818805		Trust Unit		0.019
RoPAS(CH)IF-EUS		CH0025818813		Trust Unit		0.011
RoPAS(CH)IF-BGO		CH0025818839		Trust Unit		0.010

 

92

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
ROPAS(CH)IF-BD EUR		CH0025818854		Trust Unit		0.009
BBGI Shs Gold USD A		CH0026103025		Trust Unit		0.210
SWC(CH)BD MT CHF A		CH0027064630		Trust Unit		0.400
SLF Mat Gu 17+2		CH0027412854		Trust Unit		0.009
ROPAS(CH)IF-RES		CH0027908489		Trust Unit		0.004
ROPAS(CH)IF-BDCHIN		CH0027908547		Trust Unit		0.008
WexSEqTUSTEUSD ZXdy		CH0028692975		Trust Unit		0.003
PictCHNAEqTrUSD Zdy		CH0028695036		Trust Unit		0.002
PictCHJapEqTJPY Zdy		CH0028696141		Trust Unit		0.001
PacfexJpEqTrUSD Zdy		CH0028712872		Trust Unit		0.002
UBSCHIF-EUBDPIA1		CH0028924543		Trust Unit		0.001
UBSCHIF-EUBDPIB		CH0028924568		Trust Unit		0.002
UBSCHIF-EUBDPIX		CH0028924576		Trust Unit		0.002
UBSCHIF-GBPHCIA1		CH0028924592		Trust Unit		0.007
UBSCHIF-GBPHCIB		CH0028924618		Trust Unit		0.012
UBSCHIF-GBPHCIX		CH0028924626		Trust Unit		0.037
IST Imm CH I		CH0029031223		Trust Unit		0.004
LO Sw Fr Bd I		CH0029510879		Trust Unit		0.003
OLZ EW(R)BGLT h I		CH0029757991		Trust Unit		0.020
UBSCHIF-EQIXSIB		CH0032870971		Trust Unit		0.015
UBSCHIF-EQIXSIX		CH0032871029		Trust Unit		0.008
UBSCHIF2-EIXSIB		CH0032887587		Trust Unit		0.009
PvB(CH)Ass-B Sec S		CH0034402450		Trust Unit		0.008
PE CH SEq130/30 Zdy		CH0034886389		Trust Unit		0.002
UBSCHIF-SWRES IA1		CH0035427274		Trust Unit		0.005
UBSCHIF-SWRES IB		CH0035433488		Trust Unit		0.024
UBSCHIF-SWRES IX		CH0035433595		Trust Unit		0.055
LO SF CR Bd I		CH0036282942		Trust Unit		0.007
LO SF CR Bd S		CH0036282983		Trust Unit		0.001
LO SF CR Bd Z		CH0036283031		Trust Unit		0.008
LO SF HiGrBd Z		CH0037074645		Trust Unit		0.004
ROPAS(CH)IF-EQASEJ		CH0038563083		Trust Unit		0.015
RoPAS(CH)lF-ShD A		CH0038563182		Trust Unit		0.015
PictCH SSMM USD Pdy		CH0038911712		Trust Unit		0.003
ZKB ZinsertrNach AA		CH0039299455		Trust Unit		0.500
UBSCHIF3-SREP IB		CH0042114337		Trust Unit		0.009
UBSCHIF3-SREP IX		CH0042114378		Trust Unit		0.050
UBSCHIF-USBDP I-A1		CH0043486577		Trust Unit		0.003
UBSCHIF3-CH Exp IX		CH0043947545		Trust Unit		0.015
UBSCHIF-GBPIICIB		CH0044514732		Trust Unit		0.003
UBSCHIF-GBPIICIX		CH0044515267		Trust Unit		0.033
JB PhysGd AX		CH0044781257		Trust Unit		0.410
PictCHEmMktTUSD Zdy		CH0045325690		Trust Unit		0.001
zCap Sw S&M Cp A		CH0045341648		Trust Unit		0.176
UBSCHIF-BCAPIIIB		CH0046159221		Trust Unit		0.004
UBSCHIF-BCAPIIIX		CH0046159262		Trust Unit		0.002
UBSCHIF-BCIPIIIB		CH0046159403		Trust Unit		0.027
UBSCHIF-BCIPIIIX		CH0046159437		Trust Unit		0.174

 

93

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBSCHIF-ESPAIIIX		CH0046161532		Trust Unit		0.005
UBSCHIF-ESPLIIIX		CH0046164148		Trust Unit		0.003
UBSCHIF2-EGPIIIX		CH0046164783		Trust Unit		0.007
Vont CH SusSwEq IA		CH0046964547		Trust Unit		0.303
PictCH CHF BdTr Jdy		CH0048352006		Trust Unit		0.001
UBS(CH)CommCHFI-62		CH0048503335		Trust Unit		0.016
UBS (CH) MM-CH I-M1		CH0048799099		Trust Unit		0.004
UBS (CH) MM-CHF I-B		CH0048799131		Trust Unit		0.032
UBS (CH) MM-CHF I-X		CH0048799156		Trust Unit		0.027
UBS(CH)CommCHFI-X-d		CH0048804659		Trust Unit		0.002
MFM Fd-ConBdO EUR A		CH0048946757		Trust Unit		0.650
SAST ImmNachhCH		CH0049550269		Trust Unit		0.002
UBSCHIF-EQGPIIIB		CH0101922331		Trust Unit		0.001
UBSCHIF-EQGPIIX		CH0101922372		Trust Unit		0.004
Mi-Fd(CH)45 S A		CH0102705651		Trust Unit		0.018
UBSCHEF-USAMS F		CH0102756522		Trust Unit		0.174
CSA Glo Bd Hdg		CH0103990336		Trust Unit		0.229
Pictet(CH) PM P CHF		CH0104851016		Trust Unit		0.017
UBSCHIF-EQEMGP I-X		CH0106623884		Trust Unit		0.091
UBSCHIF-EQEMGP I-A1		CH0106623892		Trust Unit		0.003
UBSCHIF-EQEMGP I-B		CH0106623900		Trust Unit		0.018
UBS (CH) MM-CHF F		CH0106627877		Trust Unit		0.524
UBS(CH)GAS(USD)P-PF		CH0107690874		Trust Unit		0.011
UBS(CH)GAS(EUR)P-PF		CH0107690882		Trust Unit		0.030
AEIS IF-CHF Obl		CH0108293249		Trust Unit		0.001
AEIS IF-Obl Glb		CH0108293306		Trust Unit		0.011
AEIS IF-AktSchw		CH0108293355		Trust Unit		0.002
AElS IF-Akt Glb		CH0108293462		Trust Unit		0.005
AEIS IF-ShDrCHh		CH0108293512		Trust Unit		0.039
Mi-Fd(CH)Swimmo		CH0108311728		Trust Unit		0.009
UBS(CH)VITA25SU		CH0108526911		Trust Unit		2.134
UBS(CH)VITA50SU		CH0108526986		Trust Unit		1.937
UBSCHSUIS 25CH P		CH0109738986		Trust Unit		0.982
UBSCHSUIS45CH Pdist		CH0109738994		Trust Unit		1.800
UBSCHSUIS65CH 65 Pd		CH0109739000		Trust Unit		0.532
NOVP I EqWdxUS IB		CH0110893903		Trust Unit		0.004
LOFCH ShTMMktCH I		CH0111012818		Trust Unit		0.008
LOFCH ShTMMktUS I		CH0111012925		Trust Unit		0.009
LOFCH ShTMMktEU I		CH0111013014		Trust Unit		0.007
SLFCH iDynLight A1		CH0111458680		Trust Unit		0.270
SLFoFCHiDynPlus		CH0111458813		Trust Unit		0.007
RoPAS(CH)IF CF		CH0111719339		Trust Unit		0.007
AXAIMSwFBdCHF A		CH0112537516		Trust Unit		1.537
AXAIMSwFBdCHF I		CH0112537557		Trust Unit		0.053
UBSCHIF-GBPII I-B		CH0113816083		Trust Unit		0.001
AXAIMSwFBdCHF I AC		CH0114292540		Trust Unit		0.052
UBS BdMeTeCHF I-28		CH0116028587		Trust Unit		0.004
UBS BdMeTeCHF I-X		CH0116029072		Trust Unit		0.002

 

94

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
SLFoFCHiDynHigh		CH0116601821		Trust Unit		0.026
SLFoFCHiDynMax		CH0116601839		Trust Unit		0.019
Sw Fr Bd P		CH0116771152		Trust Unit		0.076
UBSCHIF-BCIMTP I-X		CH0117297561		Trust Unit		0.047
UBSCHIF-BCAMTP I-X		CH0117299278		Trust Unit		0.002
HAF-HLS Eq CHF I		CH0117502572		Trust Unit		0.050
AST Ob.CHF Inl.I-A1		CH0117611522		Trust Unit		0.006
AST Aktien CH I-A1		CH0117616703		Trust Unit		43.743
UBSAST CHLII-A1		CH0117616885		Trust Unit		0.001
UBSASTAkGIxCHI I-A1		CH0117619376		Trust Unit		0.001
UBSASTBVG12Inh I-A1		CH0117643749		Trust Unit		0.001
UBSASTBVG25Inh I-A1		CH0117644150		Trust Unit		0.006
UBSASTBVG25Inh I-A2		CH0117644168		Trust Unit		0.001
UBSASTBVG40Inh I-A2		CH0117646072		Trust Unit		0.006
AST Immopar.CH I-A1		CH0117646163		Trust Unit		0.008
VFVaSwEqSPII+		CH0117698560		Trust Unit		0.030
ProviHeSTFIFCHF dir		CH0117941192		Trust Unit		0.001
ProviHeSTFIFCHF ind		CH0117941200		Trust Unit		0.005
ProviHeSTFIFEUR ind		CH0117941234		Trust Unit		0.001
ProviHeSTFIFUSD dir		CH0117941242		Trust Unit		0.001
ProviHeSTFIFUSD ind		CH0117941259		Trust Unit		0.004
OLZ(CH)AKT CH IR		CH0118503355		Trust Unit		0.001
AST Immopar.CH I-B		CH0118674412		Trust Unit		0.013
AST Ob.CHF Ausl.I-B		CH0118674511		Trust Unit		0.002
AST Ob.CHF Ausl.I-X		CH0118674636		Trust Unit		0.008
AST Ob.CHF Inla.I-B		CH0118674677		Trust Unit		0.008
AST Ob.CHF lnla.I-X		CH0118674735		Trust Unit		0.015
UBSCHIF-BCAMTP I-A1		CH0120248965		Trust Unit		0.022
UBSCHIF-BCIMTP I-A1		CH0120249013		Trust Unit		0.024
RaiffeisonlnSPI		CH0120927568		Trust Unit		0.308
Raiff Ind EU ST		CH0120927584		Trust Unit		0.213
UBSCHIFGABCHhll I-X		CH0121275595		Trust Unit		0.033
UBSCHIFGABCHhll I-B		CH0121800822		Trust Unit		0.001
AST Ob.CHF Indx.I-X		CH0121950445		Trust Unit		0.012
AST2BVGAkt25Id I-S1		CH0121950601		Trust Unit		0.001
AST2BVGAkt40Id I-S1		CH0121950858		Trust Unit		0.001
UBSCHIF-BCAMTP I-B		CH0122211979		Trust Unit		0.019
UBSCHIF-BCIMTP I-B		CH0122212027		Trust Unit		0.020
UBSAST CHLII-X		CH0123536200		Trust Unit		0.001
AST3 GRE ex CH I-A0		CH0123558782		Trust Unit		0.001
UBSCHIF-EQJAPII I-X		CH0125121183		Trust Unit		0.007
UBSCHIFEQCAPAII I-X		CH0125122009		Trust Unit		0.001
UBSCHIFEQEUPAII I-X		CH0125122173		Trust Unit		0.004
UBSCHIF3CCMCHFhl-A1		CH0126480547		Trust Unit		0.015
UBSCHIF3CCMCHFhl-B		CH0126480554		Trust Unit		0.023
UBSCHIF3CCMCHFhl-X		CH0126480562		Trust Unit		0.027
UBSCHEqFdSHDCH P		CH0127276381		Trust Unit		1.664
AST Ob.CHF Inde.I-B		CH0127445457		Trust Unit		0.001

 

95

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBSCHIF-EQJAPII I-B		CH0129809304		Trust Unit		0.001
UBSCHIFEQCAPAII I-B		CH0129810047		Trust Unit		0.004
OLZ EW(R)BGMT h I		CH0130597583		Trust Unit		0.012
SL CH RE Switz A2		CH0130611400		Trust Unit		0.020
M&C Strat Schw T		CH0131220854		Trust Unit		0.500
UBSAST CHLI I-B		CH0135670112		Trust Unit		0.001
AST Akt.S&MC.CH I-X		CH0135670211		Trust Unit		0.001
LO Fd CH GlobEq Z		CH0137503295		Trust Unit		0.002
UBSCHIF-GBDiv I-A1		CH0139572181		Trust Unit		0.028
UBSCHIF-GBDiv I-B		CH0139572215		Trust Unit		0.008
UBSCHIF-GBDiv I-X		CH0139572223		Trust Unit		0.003
UBS (CH)MM-USD I-M3		CH0140909331		Trust Unit		0.003
UBS (CH) MM-USD I-X		CH0140909372		Trust Unit		0.010
Sw RckGd B (USD)		CH0142702932		Trust Unit		0.008
UBSASTGlbEqxCHhCHF		CH0147419797		Trust Unit		0.001
UBSCHIFEQPXJPII I-X		CH0147422908		Trust Unit		0.001
SL LifeFI CH Dy A		CH0149177567		Trust Unit		0.006
GEMINIFd-CHFBds		CH0149466754		Trust Unit		0.009
GEMINI FD-FOCUBD		CH0149466770		Trust Unit		0.025
GEMINI FD-GCOVBD		CH0149479443		Trust Unit		0.006
GEMINI FD-SWEQ		CH0149479450		Trust Unit		0.005
GEMINI FD-GLBEQ		CH0149479468		Trust Unit		0.005
GEMINI FD-GEQCHD		CH0149479484		Trust Unit		0.003
GEMINI FD-EMMAEQ		CH0149479492		Trust Unit		0.003
GEMINI FD-GCBDS		CH0149479542		Trust Unit		0.029
UBSCHIF-SWRES IA3		CH0180512904		Trust Unit		0.001
PictCHEmMktT Z USD		CH0180951227		Trust Unit		0.006
PictCHJapEqT Z JPY		CH0180951755		Trust Unit		0.001
PictCHSwEqTr Z CHF		CH0180952423		Trust Unit		0.002
WexSEqTUSTE ZX USD		CH0180952720		Trust Unit		0.002
PictCH CHFBdT Z CHF		CH0180953066		Trust Unit		0.001
PictCHFrBdT HZ CHF		CH0180953132		Trust Unit		0.001
MRB WandeloblFd CHF		CH0181115798		Trust Unit		0.424
UBSAST BVG-TR7 I-A2		CH0181524874		Trust Unit		0.001
AST BVG TrR 7% I-A0		CH0181533784		Trust Unit		0.006
AST AkCH TrR 12%I-B		CH0183644456		Trust Unit		0.001
UBSCHIF-GICoBP I-A1		CH0184182621		Trust Unit		0.001
UBSCHIF-GICorBP I-B		CH0184182662		Trust Unit		0.004
Glb Corp B Pv I-X		CH0184182670		Trust Unit		0.018
UBSCHIF-GABdPII I-B		CH0184182738		Trust Unit		0.006
UBSCHIF-GABdPII I-X		CH0184182746		Trust Unit		0.001
Glb Sm Caps I-B		CH0184182803		Trust Unit		0.002
UBS EqGISmCp II I-X		CH0184182811		Trust Unit		0.001
PARtact DynStFd		CH0185662878		Trust Unit		0.004
UBS(CH)EF-EM As h P		CH0186920168		Trust Unit		0.005
Hel Immo Schw		CH0188230780		Trust Unit		0.008
CSIF BdWexCHlnB ZAH		CH0188772989		Trust Unit		0.001
Raiff Ind PenGr I		CH0189322339		Trust Unit		0.294

 

96

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBSCHIFGBFSPCHFIB		CH0189613562		Trust Unit		0.003
UBSCHIFGBFSPCHFI-X		CH0189613620		Trust Unit		0.007
UBSCHIF-BCHACP I-A1		CH0189613653		Trust Unit		0.004
UBSCHIF-BCHACP I-X		CH0189613695		Trust Unit		0.003
UBSI-BCICP I-B		CH0189613711		Trust Unit		0.001
UBSCHIFBCICP II I-X		CH0189613752		Trust Unit		0.005
FrlStk Fd AS CH A		CH0190657251		Trust Unit		0.002
FrlStk Fd AS EU A		CH0193724298		Trust Unit		0.001
AST2 EALifeC 2025N2		CH0200514237		Trust Unit		0.001
AST2 EALifeC 2030N2		CH0200514252		Trust Unit		0.001
AST2 EALifeC 2035N2		CH0200514278		Trust Unit		0.001
AST2 EALifeC 2040N2		CH0200514302		Trust Unit		0.001
AST2 EALifeC 2045N2		CH0200514468		Trust Unit		0.001
UBS EqGlbSCP II I-B		CH0209675138		Trust Unit		0.006
UBS EqGlbSCP II I-X		CH0209675195		Trust Unit		258.039
ACH-ACHJ I CHFh		CH0209886826		Trust Unit		0.002
Raiff Ind PenGr A		CH0210462187		Trust Unit		0.107
UBS(CH)EF-EM HD F		CH0215017663		Trust Unit		0.006
UBS(CH)EF-SC SW F		CH0215017721		Trust Unit		0.374
USBAST2EOIHICN2		CH0222760842		Trust Unit		0.001
UBSA2EGCN2		CH0222761147		Trust Unit		0.002
SLFdCBO18CHA1		CH0223804284		Trust Unit		0.015
UBSCHEESwEhnChF		CH0226287891		Trust Unit		0.847
Mrbd Sw Eq Asm I		CH0227792063		Trust Unit		0.030
UBS(CH)IFBUIP IX		CH0228562168		Trust Unit		0.001
GalNatrlReFd X CHF		CH0229089567		Trust Unit		0.002
UBSCHIF3-EqSII I-B		CH0229995755		Trust Unit		0.001
UBSCHIF3-EqSII I-X		CH0229995763		Trust Unit		0.002
CSIF Japan IndexZAH		CH0231665131		Trust Unit		0.001
UBSIF3-BCIMTPII IX		CH0232004017		Trust Unit		0.013
UBSCHIF3 BCSTII IA1		CH0232004066		Trust Unit		0.003
UBSCHIF3 BCSTII I-B		CH0232006095		Trust Unit		0.010
UBSCHIF3 BCSTII I-X		CH0232006111		Trust Unit		0.021
OLZEfWldDvEq I-A Ch		CH0240440187		Trust Unit		0.021
OLZ - Bd CHF I-A		CH0247156695		Trust Unit		0.003
Pil Inv Inc CHF I		CH0249153716		Trust Unit		0.005
Eulach II-Gl Eq		CH0252192601		Trust Unit		0.001
UBSCHIF-EQEMG CHFIB		CH0252809584		Trust Unit		0.004
UBSCHIF-EEMG CHF IX		CH0252809626		Trust Unit		0.001
UBSCHIF-EEMGP CHFIB		CH0252809667		Trust Unit		0.001
UBSCHIF-EEMGP CHFIX		CH0252809717		Trust Unit		0.018
UBSCHIEqGISCPII I-X		CH0255695477		Trust Unit		0.019
GEMINI Fd-ShDur		CH0256574440		Trust Unit		0.008
Galileo AS Fd A USD		CH0258835005		Trust Unit		0.015
UBSASTAkEmMGlo I-A1		CH0273983293		Trust Unit		0.004
UBSASTBVG40Akv I-A1		CH0273997871		Trust Unit		0.001
UBSASTBVG40lnh I-A1		CH0274003463		Trust Unit		0.014
UBS ASTGMCHF I-A1		CH0274003737		Trust Unit		0.005

 

97

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
DWS Germ SmMidC		DE0005152409		Trust Unit		0.004
DWS Glob Growth		DE0005152441		Trust Unit		0.015
Deka-Technologie T		DE0005152631		Trust Unit		5.141
Deka-MegaTrend CF T		DE0005152706		Trust Unit		0.573
Unistrategie Kons		DE0005314108		Trust Unit		0.192
BBBnk Knti UnioT		DE0005314231		Trust Unit		0.392
BB Bank Wachs Union		DE0005314249		Trust Unit		1.216
UniRak net		DE0005314462		Trust Unit		0.619
Global Selec OP T		DE0005315188		Trust Unit		0.230
UBS Renten I		DE0005320485		Trust Unit		0.005
KCD-Un Nachhal RENT		DE0005326524		Trust Unit		0.351
KCD-Un Nachhalt Akt		DE0005326532		Trust Unit		2.106
VR Sachsen Glo UniT		DE0005326698		Trust Unit		3.000
Profi-Balance T		DE0005326813		Trust Unit		1.998
Veri ETF-DCHFDS P T		DE0005561674		Trust Unit		0.539
Deka-Stiftung Balan		DE0005896864		Trust Unit		5.301
Dk-Euroland Bal CF		DE0005896872		Trust Unit		3.075
Bst-i-On EurBal T		DE0006372568		Trust Unit		0.004
Warburg-Zukun-Str A		DE0006780265		Trust Unit		0.617
Amp Eu Mtd Akfd P T		DE0007248627		Trust Unit		1.750
DEGI International		DE0008007998		Trust Unit		1.497
Fondra A (EUR)		DE0008471004		Trust Unit		0.647
Fondak A (EUR)		DE0008471012		Trust Unit		0.152
Allnz Rntfds AE		DE0008471400		Trust Unit		0.843
Allnz Gldmrktfd AE		DE0008471442		Trust Unit		0.772
DWS Investa		DE0008474008		Trust Unit		0.001
DWS Akkumula T		DE0008474024		Trust Unit		0.322
DWS EurolStratR		DE0008474032		Trust Unit		0.007
DWS Inter-Renta LD		DE0008474040		Trust Unit		0.009
DWS ESG Gl-GBd LD T		DE0008474081		Trust Unit		0.009
DWS Gl Nt Rs Eq		DE0008474123		Trust Unit		2.581
DWS Tech Typ O		DE0008474149		Trust Unit		0.643
DWS EuropOpport		DE0008474156		Trust Unit		0.285
DWS Telemed T O		DE0008474214		Trust Unit		0.133
DWS FlexiPlus T		DE0008474230		Trust Unit		0.161
DWS Convertibles LD		DE0008474263		Trust Unit		0.004
DWS Ger Eq TypO T		DE0008474289		Trust Unit		0.170
AriDk CF		DE0008474511		Trust Unit		0.388
DkTresor T		DE0008474750		Trust Unit		2.000
Industria A EUR		DE0008475021		Trust Unit		0.158
Allnz Eur Rntfd AE		DE0008475047		Trust Unit		0.009
All Rohst A EUR		DE0008475096		Trust Unit		0.004
All Fds Jp A E		DE0008475112		Trust Unit		0.758
Allnz Eur Rnf A EUR		DE0008475187		Trust Unit		2.175
Allnz Eurzins AE		DE0008476037		Trust Unit		0.659
DWS Vermbildfd R		DE0008476516		Trust Unit		4.151
DWS Vermfd I LD		DE0008476524		Trust Unit		0.004
DWS Covered Bd LD		DE0008476532		Trust Unit		0.002

 

98

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UniFav:Aktien		DE0008477076		Trust Unit		2.147
FMM-Fonds T		DE0008478116		Trust Unit		0.731
DkGen + Ren		DE0008479825		Trust Unit		7.050
Koeln-Renfds Dk		DE0008480666		Trust Unit		0.797
S-Bayrent Deka		DE0008480773		Trust Unit		1.000
BerolinaRent Dk		DE0008480799		Trust Unit		0.136
SGB GELDMARKT T		DE0008488032		Trust Unit		0.303
UBS(D) Eq Fd-Gl Opp		DE0008488214		Trust Unit		0.517
DWS Zuer Inv A Schw		DE0008490145		Trust Unit		0.089
Universal Fl Fd R		DE0008490772		Trust Unit		0.644
De QuantEqLVoE NC T		DE0008490822		Trust Unit		0.001
DWS US Growth		DE0008490897		Trust Unit		0.037
DWS Deutschland T		DE0008490962		Trust Unit		0.589
UniRenta		DE0008491028		Trust Unit		0.145
UniRak		DE0008491044		Trust Unit		0.493
UniGlobal		DE0008491051		Trust Unit		0.168
BBV-Fonds Union		DE0008491077		Trust Unit		1.552
Condor-Fds-Un		DE0008491101		Trust Unit		2.708
SW Bank Interrent		DE0008491291		Trust Unit		0.497
Bethmann Rntfds		DE0009750042		Trust Unit		0.215
Uninordamerika T		DE0009750075		Trust Unit		0.078
UniDeutschland T		DE0009750117		Trust Unit		0.496
UniKapital -net-		DE0009750174		Trust Unit		2.084
UniEuropa -net-		DE0009750232		Trust Unit		0.383
UniEuropaRenta		DE0009750240		Trust Unit		1.024
UBS(D)EqFd SmCapGeT		DE0009751651		Trust Unit		1.131
UBS(D)EqFd MidCapGT		DE0009751750		Trust Unit		1.429
UBS (D) Rent-Euro T		DE0009752501		Trust Unit		2.018
UBS (D) Rent-Int. T		DE0009752519		Trust Unit		1.168
UniEuroAktien		DE0009757740		Trust Unit		0.348
UniEuRent HY		DE0009757831		Trust Unit		2.583
SW Bank InterShare		DE0009757864		Trust Unit		1.655
Invest Euroland		DE0009757914		Trust Unit		0.762
Invest Global		DE0009757922		Trust Unit		2.789
Dk-Schweiz T		DE0009762864		Trust Unit		0.251
DkValor T		DE0009763169		Trust Unit		0.973
Trend Global		DE0009767392		Trust Unit		0.898
Adireth AT T		DE0009769554		Trust Unit		0.007
CONVEST 21 VL A EUR		DE0009769638		Trust Unit		0.003
DWS In Ren TO T		DE0009769703		Trust Unit		0.949
DWS Top Asien T		DE0009769760		Trust Unit		0.016
DWS Ak Strat T		DE0009769869		Trust Unit		0.009
FT AccuGeld PT T		DE0009770206		Trust Unit		0.068
Dk-Liquid EURO TF		DE0009771824		Trust Unit		0.803
Dk Bd+S Fin 1-3 TF		DE0009771865		Trust Unit		1.260
Dk B+S F 3-7 TF		DE0009771873		Trust Unit		0.423
Koeln-RentFd Dk		DE0009771915		Trust Unit		0.771
Dk-TeleMedien TF		DE0009771923		Trust Unit		0.117

 

99

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Naspa-Aktfds Dk		DE0009771956		Trust Unit		0.872
Dk-EuropaBond TF		DE0009771980		Trust Unit		6.217
UBS (D) Euroinv Imm		DE0009772616		Trust Unit		0.525
UBS D 3 SecREEu		DE0009772681		Trust Unit		8.466
LINGOHR-SY-LBB-IN T		DE0009774794		Trust Unit		0.217
Pio Inv Akt Rhst A		DE0009779884		Trust Unit		1.000
StarC BdV UI A		DE0009781872		Trust Unit		0.578
UBS(D)Konzept I		DE0009785162		Trust Unit		3.667
UBS (D) Konzept III		DE0009785188		Trust Unit		1.030
Naspa-Europa Dk T		DE0009786152		Trust Unit		2.066
Dk-PrivatVors T		DE0009786202		Trust Unit		2.274
Bt-in-OnWrd ATEUR T		DE0009787002		Trust Unit		0.004
F P Eu Akt ULM A T		DE0009795831		Trust Unit		0.351
UBS (D) Konzept IV		DE0009797068		Trust Unit		0.528
UBS (D) Konzept V		DE0009797076		Trust Unit		3.315
Mesina-Renten-UBS T		DE0009797126		Trust Unit		4.226
GR Noah T		DE0009799536		Trust Unit		0.168
SEB ImmoInvest P		DE0009802306		Trust Unit		0.749
Grundbesitz Eur RC		DE0009807008		Trust Unit		0.550
hausInvest		DE0009807016		Trust Unit		1.283
Grundbesitz-Glob R		DE0009807057		Trust Unit		0.740
DEGI EUROPA		DE0009807800		Trust Unit		1.576
AXA Immoselect		DE0009846451		Trust Unit		1.136
DWS Top Dvd LD		DE0009848119		Trust Unit		0.688
FndsSecure System T		DE000A0D95Y4		Trust Unit		6.620
TMW Immo Weltfnd P		DE000A0DJ328		Trust Unit		6.000
UBS Renten II T		DE000A0DNHM5		Trust Unit		0.002
inprimoRtWchAMI P		DE000A0F5HA3		Trust Unit		0.956
efv-Persp-Fd II T		DE000A0H0PJ6		Trust Unit		1.000
LAPLACE EuEq T		DE000A0HGMJ6		Trust Unit		0.099
UBS(D) S T Cred T		DE000A0HMK58		Trust Unit		0.661
UBS Stiftung I		DE000A0HMK66		Trust Unit		0.095
EarthExp UI EUR R T		DE000A0J3UF6		Trust Unit		6.382
UniStrg Flex T		DE000A0KDYC7		Trust Unit		1.656
UniStrg Flex T		DE000A0KDYD5		Trust Unit		1.148
VR B Rh-Nk U BI T		DE000A0KDYG8		Trust Unit		0.990
efv Persp III T		DE000A0KFF26		Trust Unit		5.000
First Priv AkGl A T		DE000A0KFRT0		Trust Unit		0.564
GAP Prtf UI		DE000A0M1307		Trust Unit		0.999
UBS Portf I EUR T		DE000A0M6TQ3		Trust Unit		0.732
UBS Port II EUR T		DE000A0M6TR1		Trust Unit		0.752
UBS(D)EurAkt-BI		DE000A0M6TT7		Trust Unit		1.532
UBS(D)EurAkt-Dy		DE000A0M6TU5		Trust Unit		0.519
RW Portf Strat		DE000A0M7WP7		Trust Unit		0.223
GF Glbl UI T		DE000A0MRAA7		Trust Unit		0.863
Metzler Wefs 93 A T		DE000A0MY0U9		Trust Unit		0.052
LBBW DivStrEurL I		DE000A0NAUM4		Trust Unit		0.690
Grundbesitz Eur IC		DE000A0NDW81		Trust Unit		0.860

 

100

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
DUI Global Yld T		DE000A0NEBA1		Trust Unit		3.478
Aramea Rndt Pls		DE000A0NEKQ8		Trust Unit		0.994
UBS Vermoeg Akt T		DE000A0NJQ67		Trust Unit		1.782
EarthGld UI EUR R T		DE000A0Q2SD8		Trust Unit		0.201
CONCEPT Aur.Gl T		DE000A0Q8A07		Trust Unit		0.889
Gen Inv7:3 var T		DE000A0Q8HF3		Trust Unit		0.714
GenInv Eu-A AMI P T		DE000A0Q8HL1		Trust Unit		0.410
Zant Eu Corp Bd P		DE000A0Q8HP2		Trust Unit		0.359
Zant Eu Corp Bd I		DE000A0Q8HQ0		Trust Unit		0.683
InvAG TGV-BUS.O T		DE000A0RAAR6		Trust Unit		1.000
ACAT DatValflx A		DE000A0RKXJ4		Trust Unit		0.214
Aktivportfolio T		DE000A0RKXK2		Trust Unit		1.000
PrivF: KontrPro		DE000A0RPAN3		Trust Unit		0.901
ACAT GA VAL EV A T		DE000A0X7541		Trust Unit		0.923
Zant Eu HighYld P		DE000A0YAX56		Trust Unit		0.128
ACAT GA VAL EV B		DE000A1C5D13		Trust Unit		0.543
S4A US Long T A		DE000A1H6HH3		Trust Unit		0.756
ACAT Dat Valflx B T		DE000A1H72F1		Trust Unit		0.196
S4A EU Pure Eq T		DE000A1JUW44		Trust Unit		1.999
FO Vermverwfds		DE000A1JZLG8		Trust Unit		2.923
Dk-EuropaBond CF		DE000DK091G0		Trust Unit		0.780
Dk-Euro RePls CF T		DE000DK0A012		Trust Unit		1.000
Dk-ZielF20-24 T		DE000DK0A0E9		Trust Unit		0.919
Dk-ZielF25-29 T		DE000DK0A0F6		Trust Unit		0.844
BW Zielfonds 2020 T		DE000DK0ECN3		Trust Unit		0.738
Dk-UmweltInv CF T		DE000DK0ECS2		Trust Unit		0.282
Dk-UmweltInvTF T		DE000DK0ECT0		Trust Unit		2.504
DkRent-intl TF		DE000DK1A6Q9		Trust Unit		1.784
Dk-Eurl Ba TF		DE000DK1CHH6		Trust Unit		0.152
Dk-EuroRent 2y CF T		DE000DK1CJE9		Trust Unit		2.000
Dk-EuroRent 2y TF T		DE000DK1CJF6		Trust Unit		0.627
DkStr 5 EP		DE000DK1CJM2		Trust Unit		0.567
DkStr 5 ChP		DE000DK1CJQ3		Trust Unit		0.950
Deka-Wertknzpt TF T		DE000DK2CDL5		Trust Unit		1.964
Deka-DivStr CF (A)		DE000DK2CDS0		Trust Unit		0.187
Dk-BasAnla A20 T		DE000DK2CFP1		Trust Unit		1.935
Dk-BasAnla A40 T		DE000DK2CFQ9		Trust Unit		0.406
Dk-BasAnla A60 T		DE000DK2CFR7		Trust Unit		0.989
Dk-Eurp DsntStr T		DE000DK2CGN4		Trust Unit		1.298
DWS AktSchwCHF LC T		DE000DWS0D27		Trust Unit		1.598
DWS AktSchwCHF FC T		DE000DWS1VC7		Trust Unit		0.343
Trigon NewEurpF C		EE3600102372		Trust Unit		0.733
Bestinfond		ES0114673033		Trust Unit		0.013
BancMadrlberiAccion		ES0114903000		Trust Unit		0.002
Mutuafondo Gest Bon		ES0131366033		Trust Unit		0.002
Bestinver Bolsa		ES0147622031		Trust Unit		0.381
Mutuaf Corto Plazo		ES0165142037		Trust Unit		0.001
Mutuafondo Gest Acc		ES0165181035		Trust Unit		0.001

 

101

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Mutufaondo Gest Mix		ES0165268030		Trust Unit		0.003
Front Strategy A3		FI4000041362		Trust Unit		0.001
R Euro Credit -C-		FR0007008750		Trust Unit		0.119
Eurose C		FR0007051040		Trust Unit		0.920
Metrop Select A 5D		FR0007078811		Trust Unit		0.570
BNPP Cash Invest-P-		FR0007496047		Trust Unit		0.001
Cand ldx Ar C EU 3D		FR0010016477		Trust Unit		0.002
Euro Rende.Reel -C-		FR0010107706		Trust Unit		0.100
Carm Patri A EUR		FR0010135103		Trust Unit		0.032
Carm Inves A EUR 3D		FR0010148981		Trust Unit		0.066
C Euro Entr A EUR D		FR0010149112		Trust Unit		0.001
Carm Secur A EUR 3D		FR0010149120		Trust Unit		0.103
Carmignac Euro Patr		FR0010149179		Trust Unit		0.005
C Pr Rea 50 A EU 3D		FR0010149203		Trust Unit		0.096
Carm Emerg A EUR 3D		FR0010149302		Trust Unit		0.001
BDL Rem.Eur.		FR0010174144		Trust Unit		0.007
Etoile Act.Styl.		FR0010194464		Trust Unit		0.001
EDR Euro.Conv.A		FR0010204552		Trust Unit		0.001
Groupam.Entr.IC 4D		FR0010213355		Trust Unit		0.009
Groupama Entr.-N-		FR0010288316		Trust Unit		0.001
El 1818 Strat R		FR0010289827		Trust Unit		0.001
A In Yi Cu Abs I		FR0010297473		Trust Unit		0.001
Carm Patri E EUR		FR0010306142		Trust Unit		0.012
Carm Inves E EUR		FR0010312660		Trust Unit		0.001
Echiq Agressor 3		FR0010321802		Trust Unit		0.005
Echiquier Agen		FR0010321810		Trust Unit		0.004
Neufl Obli CT C		FR0010362830		Trust Unit		0.001
EDR Eur.Synerg.A		FR0010398966		Trust Unit		0.008
Moneta Lg Short A		FR0010400762		Trust Unit		0.120
Echiquier Patrim.3D		FR0010434019		Trust Unit		0.001
Et.Multi Ges.Eur.		FR0010540856		Trust Unit		0.001
Focus Generat I		FR0010541441		Trust Unit		0.003
R Club -C-		FR0010541557		Trust Unit		0.001
Tocquev.Divid.-C-4D		FR0010546929		Trust Unit		0.653
EDR US Val.Yi.-C-3D		FR0010589044		Trust Unit		0.001
EDR US Val.Yi.-I-		FR0010594002		Trust Unit		0.001
Echiq Arty EA		FR0010611293		Trust Unit		0.001
EDR Euro.Conv.I		FR0010614586		Trust Unit		0.001
Aviv.Inv.Alp Yi.		FR0010645325		Trust Unit		0.001
Evolut Europe C		FR0010682732		Trust Unit		0.004
CCR Act.Biot.-B-		FR0010734376		Trust Unit		0.353
L.Ris.Ar.UCITS A		FR0010762187		Trust Unit		0.004
E Eu CV Fd J EU		FR0010868919		Trust Unit		0.001
Moneta Lg Sh.R		FR0010871830		Trust Unit		0.001
EDR Chinagora -S-		FR0010886770		Trust Unit		0.010
H2O Multibonds R		FR0010923375		Trust Unit		0.013
An Bd Op Sh D E1		FR0010951426		Trust Unit		0.013
An Bd Op Sh D S1		FR0010951442		Trust Unit		0.011

 

102

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
An Bd Op Sh D U1		FR0010951467		Trust Unit		0.001
EDR US Val.Yi.IH 3D		FR0011178144		Trust Unit		0.115
EDR US Val.Yi.CH 3D		FR0011178151		Trust Unit		0.003
Carm Patr A USD		FR0011269067		Trust Unit		0.002
An Bd Op US17 E1		FR0011347178		Trust Unit		0.001
A Bd Op Eu 18 S1		FR0011426923		Trust Unit		0.002
A Bd Op Eu 18 E2		FR0011512375		Trust Unit		0.001
Perm Har Fd 1 CHF		FR0011543099		Trust Unit		0.001
Perm Har Fd 1 EUR		FR0011543107		Trust Unit		0.004
Oddo Av Eu P EUR		FR0011571371		Trust Unit		0.001
Sycom Select PME I		FR0011707470		Trust Unit		0.561
Union Jap 225 Yen		FR0011950708		Trust Unit		0.001
Ash Em Mks USD		GB0000242932		Trust Unit		0.325
Baring Europe Sel		GB0000796242		Trust Unit		1.189
Baring Eur Grw GBP		GB0000804335		Trust Unit		0.280
Baring Korea Tst Ac		GB0000840719		Trust Unit		0.407
AXA Fra UK Opp-R-Ac		GB0003501581		Trust Unit		0.083
AXA Fra GBP-R Acc		GB0003506424		Trust Unit		0.316
Jupit Mer Gro Po Ac		GB0003629267		Trust Unit		0.220
Ju Me Inc Po Ac GBP		GB0003629374		Trust Unit		0.130
ACPI Al MS USD-Acc		GB0004178934		Trust Unit		0.009
BR UK Acc		GB0005773774		Trust Unit		0.024
HSBC Sel GH USD Acc		GB0007344061		Trust Unit		0.010
Schrd Recovery Ac-A		GB0007893760		Trust Unit		0.960
Schr UK Mid 250 acA		GB0008528696		Trust Unit		0.050
Baring Eur Sel EUR		GB0030655780		Trust Unit		0.010
Jupiter Merl Bal-Ac		GB0031845141		Trust Unit		0.200
HSBC Arb EUR Acc		GB00B01FQW75		Trust Unit		0.019
HSBC Sel GH CHF-Acc		GB00B01FR355		Trust Unit		0.020
ISPart Argon CHF-Ac		GB00B0BV3S03		Trust Unit		0.318
HSBC Trad AdvntEdge		GB00B0WD2B15		Trust Unit		0.021
Barin Eu Sel EUR-Ac		GB00B3NSX137		Trust Unit		0.010
Jup Abs Ret GBP Ac		GB00B5129B32		Trust Unit		0.750
Jup Mer Gr GBP-I-Ac		GB00B6QGLF53		Trust Unit		0.090
Schroder China Eqty		HK0000037405		Trust Unit		0.006
JPM As Dom USD acc		HK0000038148		Trust Unit		0.015
JF Asia New Front		HK0000055555		Trust Unit		0.012
JF China Pioneer		HK0000055621		Trust Unit		0.006
JF Eastern Fund		HK0000055639		Trust Unit		0.882
JF Eastern Smaller		HK0000055647		Trust Unit		0.204
JF Japan (Yen) Fd		HK0000055670		Trust Unit		0.010
JF Korea Fund		HK0000055712		Trust Unit		0.003
JPM Malaysi USD acc		HK0000055720		Trust Unit		0.006
JF Philippine Fund		HK0000055779		Trust Unit		0.948
JPM Thailan USD acc		HK0000055787		Trust Unit		0.008
BEA HKD Bd HKD -R-		HK00000G5166		Trust Unit		0.001
Sc RMB Fi USD-C-Acc		HK0000069143		Trust Unit		1.650
Schr Asia HKD-A-Acc		HK0000081841		Trust Unit		0.120

 

103

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Schr Asia USD-A-Acc		HK0000081874		Trust Unit		1.170
Schr Asian HKD -A-		HK0000081908		Trust Unit		1.505
Schr Asian USD -A-		HK0000081932		Trust Unit		6.721
Schroder RMB USD-C-		HK0000110905		Trust Unit		0.050
Sch Asi AUD Hedge A		HK0000126141		Trust Unit		0.450
CSOP S Zh -A- (USD)-		HK0000186020		Trust Unit		0.010
BarbGlb Est USD-A-		IE0000805634		Trust Unit		0.934
Ba In Hon USD-A-Inc		IE0000829238		Trust Unit		0.115
Ba In Aus USD A Inc		IE0000829451		Trust Unit		0.002
Bar Glb Hig USD-A-		IE0000835953		Trust Unit		0.284
Bar Glb Res USD-A-		IE0000931182		Trust Unit		0.250
Inves Emrg Mkt Bd-A		IE0001673817		Trust Unit		0.030
Eqtr US Eqty Ind-1-		IE0002293995		Trust Unit		1.736
Equ Con EU Eq Idx-1		IE0002294183		Trust Unit		0.560
Eqtr Pac Bas Eqty-1		IE0002294308		Trust Unit		0.506
Eq UK Sov Bd GBP-1		IE0002294639		Trust Unit		0.435
Equat Con Eu Sov-1		IE0002294852		Trust Unit		0.036
Equ Cou Sw Fr Bd-1		IE0002295040		Trust Unit		0.776
Invesc 5 PRC Eqty-A		IE0003583568		Trust Unit		0.168
Inve 4 SC Eq USD-A-		IE0003594896		Trust Unit		0.410
Invesco Pac Eqty-A-		IE0003600388		Trust Unit		0.050
Inv 5 Emg Mkt Eqt-A		IE0003600727		Trust Unit		0.010
Invesco 2 Gilt -A-		IE0003703166		Trust Unit		0.890
Invesc 3 Glb Tech-A		IE0003707928		Trust Unit		1.146
Inv Con Eur USD-A-		IE0003708116		Trust Unit		0.390
AXA Ros Jap Sm Cp B		IE0004354423		Trust Unit		0.004
Bar Ho Ko EUR-A-Inc		IE0004866889		Trust Unit		0.003
Baring Pacific Fund		IE0004868828		Trust Unit		0.002
Muz EurYld EUR-A-Ac		IE0005315449		Trust Unit		0.017
Seilern Stryx		IE0007940574		Trust Unit		0.002
Axa Ros JAP SM CP-A		IE0008366696		Trust Unit		0.113
Inv 6 Strl Bnd Ac-A		IE0030233831		Trust Unit		0.246
Invesco Asian Eqt-A		IE0030381945		Trust Unit		0.097
Atl Int Chin USD Ac		IE0031603545		Trust Unit		0.051
Muz AmrYld EUR-A-Ac		IE0032860458		Trust Unit		0.012
Muz Tr Hd EUR-A-Ac		IE0033510391		Trust Unit		0.001
Muzin Enh EUR-A-Ac		IE0033758917		Trust Unit		0.092
Muz Enhncd GBP-A-		IE0033759329		T rust Unit		0.052
Muz Enhn USD-A-Ac		IE0033759436		Trust Unit		0.007
Inv Gl HI USD-A-		IE00B01VQZ85		Trust Unit		0.010
Invsc Stg Bd GBP-A-		IE00B06BX294		Trust Unit		0.097
Sw SC Modus -A-		IE00B0DBTM45		Trust Unit		0.020
Sw SC Modus CHF-C-		IE00B0DBTQ82		Trust Unit		0.022
All US Eq EUR-AT-Ac		IE00B1CD3R11		Trust Unit		0.001
Lyx Eps Mg Ft A/USD		IE00B1YBPY49		Trust Unit		0.040
Inv PRC EUR-A-Acc		IE00B29WLS52		Trust Unit		0.325
Ell Glb Prop USD-I-		IE00B2NY0P74		Trust Unit		0.001
Muz Enh ST CHF-R-Ac		IE00B3L1G048		Trust Unit		0.698

 

104

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Muni Shrt EUR-R- Ac		IE00B3MB7B14		Trust Unit		0.005
SC Mo USD-S-SP-Ac		IE00B3MCQ512		Trust Unit		8.894
Inv Jap Eq JPY-A-Ac		IE00B428SJ43		Trust Unit		0.020
Mun Shrt Dur CHF Ac		IE00B4L78B47		Trust Unit		0.001
Muz ShD-HY-USD-R-Ac		IE00B4PTJ249		Trust Unit		0.045
Muz Enh Sh USD-R-Ac		IE00B51H7M53		Trust Unit		0.817
Muz Shrt Dur USD-Ac		IE00B59XD059		Trust Unit		0.047
Muz Shrt Dur EUR-Ac		IE00B5BHGW80		Trust Unit		0.041
Muz Enh ST EUR-R-Ac		IE00B65YMK29		Trust Unit		0.333
Muni Shrt GBP-Hgd-		IE00B685HQ37		Trust Unit		0.003
Gav Chi Fx USD-A-Ac		IE00B734TY42		Trust Unit		0.009
Inv Jap Eq USD-A-Ac		IE00B79Y1J76		Trust Unit		0.210
Gav Chi Fx EUR-A-Ac		IE00B7LZ3N65		Trust Unit		0.004
FL Glb Sol USD-I-Ac		IE00B7W51Q45		Trust Unit		0.079
Muz L/S Cr CHF-A-Ac		IE00B85RQG91		Trust Unit		0.008
Muz Ln/Sh USD-NR-Ac		IE00BF8H6P48		Trust Unit		0.001
Muz Gl Tac USD-A-Ac		IE00BHLSHZ54		Trust Unit		0.001
Muz EurYld USD-A-Ac		IE00BJVWTG61		Trust Unit		0.001
PLU Au EUR-Ins-A-Ac		IE00BLY1R155		Trust Unit		0.005
PLU EUR-RetPre-A-Ac		IE00BLY1R262		Trust Unit		0.003
Thema		IT0004390826		Trust Unit		0.003
Alpi Hedge		IT0004765837		Trust Unit		0.001
ACPI Realis USD-Acc		JE00B50NFH55		Trust Unit		0.001
Liq H2O USD-A-1-Ac		JE00BN79RB05		Trust Unit		0.002
Fulle RMB F/l A/USD		KYG3691E2907		Trust Unit		0.050
Fullerton China A		KYG3691E3400		Trust Unit		0.045
NN Cay China A II J		KYG479302120		Trust Unit		0.009
Nikko AM RMB USD		KYG652171383		Trust Unit		0.080
UBS Neut Alph Yen J		KYG916871067		Trust Unit		0.030
Value Partners C		KYG9316N1280		Trust Unit		0.070
Val Prtns HY A1/USD		KYG931731056		Trust Unit		0.028
VP Chinese Mainland		KYG9317Q1120		Trust Unit		0.010
Val Ptnrs A2/Mdis		KYG9318L1041		Trust Unit		0.010
LLB StrRend EUR		LI0008127503		Trust Unit		0.507
LLB StrAusg CHF		LI0008127511		Trust Unit		0.248
LLB AktPzif JPY		Ll0013255612		Trust Unit		0.430
Craton CPM Fd A		LI0016742681		Trust Unit		0.885
Classic Value Eq Fd		LI0019077903		Trust Unit		0.463
SafePort G&S Mg		LI0020325713		Trust Unit		0.259
LLB Defensive EUR		Ll0021535245		Trust Unit		0.689
SafePo Silv Mng		LI0026391222		Trust Unit		0.015
Imperium Balanced		LI0028060825		Trust Unit		0.600
MPC Prime Baskt		L10033472098		Trust Unit		0.160
Value-HldgEurop		Ll0039541953		Trust Unit		0.485
COVAMOS GlbSt K3		LI0047792119		Trust Unit		0.031
AIF Master Medea		LI0049727261		Trust Unit		0.460
SafePort PS 95+		LI0103770090		Trust Unit		0.418
Qualitium FoHFUSD I		LI0104530832		Trust Unit		0.001

 

105

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
FAM HF Sel EUR		LI0111017062		Trust Unit		0.001
Terra Metal		LI0131626629		Trust Unit		1.070
Diamonds Value		LI0139416916		Trust Unit		3 000
Qualitium FoHF PCHF		LI0183053722		Trust Unit		0.010
Progrsv Opp Fd I		LI0198497518		Trust Unit		0.420
UniEuropaRenta AD		LU0003562807		Trust Unit		0.188
UniFav Rent AD		LU0006041197		Trust Unit		0.398
UBS LMMF GBP PC		LU0006277635		Trust Unit		0.016
UBS LMMF USD PC		LU0006277684		Trust Unit		0.037
UBS LMMF EUR PC		LU0006344922		Trust Unit		0.149
UBS(LU)EF-EUR OP P		LU0006391097		Trust Unit		0.007
UBS(Lu)BF-CHF P-D		LU0010001286		Trust Unit		0.054
UBS(Lu)BF-CHF P-A		LU0010001369		Trust Unit		0.017
UBS(LU)MMI-EUR P		LU0010009420		Trust Unit		0.061
Call Asset C1C		LU0012008875		Trust Unit		0.030
SEBF1 Nordic CC		LU0030165871		Trust Unit		0.019
UBS LSF Gr CHF PC		LU0033034892		Trust Unit		0.127
UBS LSF Yld CHF PD		LU0033035352		Trust Unit		0.095
UBS LSF Yld CHF PC		LU0033035865		Trust Unit		0.089
UBS LSF Gr EUR PC		LU0033036590		Trust Unit		0.017
UBS(LU)SF-YD(EUR)PD		LU0033040600		Trust Unit		0.028
UBS LSF Yld EUR PC		LU0033040782		Trust Unit		0.068
UBS LSF Gr USD PC		LU0033040865		Trust Unit		0.021
UBS LSF Yld USD PD		LU0033041590		Trust Unit		0.017
UBS LSF Yld USD PC		LU0033043885		Trust Unit		0.069
UBS(Lu)BF-CAD PD		LU0033047795		Trust Unit		0.012
UBS(Lu)BF-CAD P-A		LU0033048686		Trust Unit		0.011
UBS(Lu)BF-EUR PD		LU0033049577		Trust Unit		0.002
UBS(Lu)BF-EUR P-A		LU0033050237		Trust Unit		0.333
UBS LMMF CAD PC		LU0033504282		Trust Unit		0.022
D FI Rate Not LC		LU0034353002		Trust Unit		3.524
UBS(Lu)BF-AUD PD		LU0035338242		Trust Unit		0.122
UBS(Lu)BF-AUD P-A		LU0035338325		Trust Unit		0.048
UBS(Lu)BF-GBP P-D		LU0035345882		Trust Unit		0.020
UBS(Lu)BF-GBP P-A		LU0035346187		Trust Unit		0.250
UBS(Lu)BF-USD PD		LU0035346344		Trust Unit		0.003
UBS(Lu)BF-USD PC		LU0035346773		Trust Unit		0.083
UniAsia C		LU0037079034		Trust Unit		0.530
UBS(LU)EF-SC USA P		LU0038842364		Trust Unit		0.157
UBS LSF Fx CHF PC		LU0039343222		Trust Unit		0.004
UBS LSF Fx EUR PD		LU0039343651		Trust Unit		0.010
UniRenta Corp AD		LU0039632921		Trust Unit		2.636
UBS LSF Fx EUR PC		LU0039703029		Trust Unit		0.022
UBS LSF Fx USD PD		LU0039703375		Trust Unit		0.008
UBS LSF Fx USD PC		LU0039703532		Trust Unit		0.045
Dk-Rt Eur 3-7 CF AC		LU0041228874		Trust Unit		0.167
Deut FRN USD D		LU0041580167		Trust Unit		0.001
UBS(LU)EF-CANADA P		LU0043389872		Trust Unit		0.022

 

106

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBS(LU)EF-AUSTRAL P		LU0044681806		Trust Unit		0.066
ACMB Amer Inc A		LU0044957727		Trust Unit		0.374
CS IF 14 SwFr B AD		LU0049528473		Trust Unit		0.064
UBS LSF Bal CHF PD		LU0049785107		Trust Unit		0.069
UBS LSF Bal CHF PC		LU0049785289		Trust Unit		0.179
UBS(LU)SF-BA(EUR)PD		LU0049785362		Trust Unit		0.008
UBS LSF Bal EUR PC		LU0049785446		Trust Unit		0.049
UBS LSF Bal USD PD		LU0049785529		Trust Unit		0.022
UBS LSF Bal USD PC		LU0049785792		Trust Unit		0.054
UBS(LU)EF-MC USA P		LU0049842262		Trust Unit		0.013
UBS(LU)EF-MC EURO P		LU0049842692		Trust Unit		0.043
UBS(LU)EF-SMC JAP P		LU0049845281		Trust Unit		0.011
CB Geld Dtsch I AD		LU0052221412		Trust Unit		0.527
UniEM Osteuropa D		LU0054734388		Trust Unit		0.517
UBS L EE Lat Bd PC		LU0055660533		Trust Unit		0.012
CS IF 11 USA Eq BC		LU0055732977		Trust Unit		0.302
UBS LMTB CHF PD		LU0057954785		Trust Unit		0.303
UBS LMTB CHF PC		LU0057954868		Trust Unit		0.262
UBS LMTB USD PC		LU0057957531		Trust Unit		0.103
UniReserve USD AD		LU0059863547		Trust Unit		0.439
DWS Osteuropa C		LU0062756647		Trust Unit		0.001
DkL-USA TF D		LU0064405334		Trust Unit		0.401
DkL-Geldmkt USD D		LU0065060971		Trust Unit		1.774
UBS LMMF AUD PC		LU0066649970		Trust Unit		0.003
UBS(LU)EF-CENT EU P		LU0067027168		Trust Unit		0.006
UBS(LU)EF-AS OP P		LU0067411347		Trust Unit		0.021
UBS(LU)EF-SINGAP P		LU0067411776		Trust Unit		0.015
UBS(LU)EF-CH OP P		LU0067412154		Trust Unit		0.080
UBS(LU)EF-BIOTEC P		LU0069152568		Trust Unit		0.082
LiLux Convert		LU0069514817		Trust Unit		0.703
UBS(Lu)BF-G (CHF)PD		LU0071005408		Trust Unit		0.019
UBS(Lu)BF-G (CHF)PA		LU0071006638		Trust Unit		0.021
UBS LSF Eq CHF PC		LU0071007289		Trust Unit		0.251
UBS(LU)EF-GR CHIN P		LU0072913022		Trust Unit		0.101
UBS LSF Eq EUR PC		LU0073129206		Trust Unit		0.258
UBS LSF Eq USD PC		LU0073129545		Trust Unit		0.019
UBS LMTB AUD PC		LU0074904532		Trust Unit		0.146
UBS LMTB CAD PC		LU0074904615		Trust Unit		0.005
UBS LMTB GBP PC		LU0074904888		Trust Unit		0.413
UBS L Gl Sus P		LU0076532638		Trust Unit		0.038
CSIF 12 PFI CHF BC		LU0078042883		Trust Unit		1.051
ACMB Amer Gr A		LU0079474960		Trust Unit		0.002
Dan I Dan M Bd AC		LU0080347536		Trust Unit		0.001
UBS(LU)EF-GL MT P		LU0081259029		Trust Unit		0.750
ACMB Gl H Y A		LU0081336892		Trust Unit		0.343
UBS LEE Gl Bd PC		LU0084219863		Trust Unit		0.179
UBS(LU)EF-EUCOOP P		LU0085870433		Trust Unit		0.040
UBS(LU)EF-TAIWAN P		LU0085870607		Trust Unit		0.057

 

107

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBS(LU)EF-HEALTH P		LU0085953304		Trust Unit		0.063
UBS L Bd Eu HY PD		LU0085995990		Trust Unit		0.048
UBS L Bd Eu HY PC		LU0086177085		Trust Unit		0.147
Carn Worldwide A1C		LU0086737722		Trust Unit		0.004
CSIF 12 PFI EUR BC		LU0091100890		Trust Unit		0.001
ACMB Gl H Y B		LU0091433861		Trust Unit		0.099
UBS LI Eu Bd AAC		LU0093640489		Trust Unit		0.060
UBS LI Eu Bd BAC		LU0093640562		Trust Unit		0.011
UBS LMTB EUR PD		LU0094864450		Trust Unit		0.078
UBS LMTB USD PD		LU0094864534		Trust Unit		0.035
ACMB Amer Inc A2		LU0095030564		Trust Unit		0.260
BerolinaC Chance D		LU0096429435		Trust Unit		0.615
UniEuroAspirant AD		LU0097169550		Trust Unit		1.681
DkStr Wachst D		LU0098472516		Trust Unit		6.196
UBS(LU)EF-GR BRIT P		LU0098994139		Trust Unit		0.026
UBS(LU)EF-JAPAN P		LU0098994485		Trust Unit		0.042
UBS(LU)EF-USA MS P		LU0098995292		Trust Unit		0.888
UBS(LU)EF-FIN SER P		LU0099863671		Trust Unit		0.050
UniSect BioPharm AD		LU0101441086		Trust Unit		0.448
UniSect HighTech AD		LU0101441672		Trust Unit		1.544
SWC(LU)EQ SEL EN BC		LU0102843504		Trust Unit		0.001
Multi Invest OP R		LU0103598305		Trust Unit		0.236
NaspaFdStr Cha D		LU0104457105		Trust Unit		0.654
UBS(LU)EF-ASIA CO P		LU0106959298		Trust Unit		0.592
UBS L Bd Co Eur PD		LU0108060624		Trust Unit		0.012
UBS L Bd Co Eur PC		LU0108066076		Trust Unit		0.145
Nestor Osteurop B-C		LU0108457267		Trust Unit		0.007
UBS LSF Bal CHF PCD		LU0108564260		Trust Unit		0.001
DkStr2 ErtragPI D		LU0109011469		Trust Unit		0.314
Bantl Anl Ret ID		LU0109659770		Trust Unit		0.965
Deka-CorpBd Eur CFD		LU0112241566		Trust Unit		1.251
Deka-Corp Eu TFD		LU0112250559		Trust Unit		1.151
SWC(LU)PF Yld A		LU0112800569		Trust Unit		0.678
SWC(Lux) Pf Bal A		LU0112803316		Trust Unit		0.289
Dk-Rt Eur 3-7 CF BD		LU0116762864		Trust Unit		0.544
UniEuroRent Corp AD		LU0117072461		Trust Unit		2.753
SEB C Biotech D		LU0118405827		Trust Unit		0.002
Pion Eurold Eq AC		LU0119345287		Trust Unit		0.661
Dan I Eu Sm AC		LU0123485178		Trust Unit		0.002
SWC (Lux)Eq SMC Jap		LU0123487463		Trust Unit		0.620
ACMB Gl Val A		LU0124673897		Trust Unit		0.058
UniValue Global AD		LU0126315885		Trust Unit		2.055
UniValue Global nAD		LU0126316180		Trust Unit		0.079
BR GIS Inc Str AD		LU0128061594		Trust Unit		0.050
ACMB Gl Val I		LU0128316923		Trust Unit		0.006
UBS(L)IF-EurCBd BA		LU0130422412		Trust Unit		0.015
UBS L Gl Su In PC		LU0130799603		Trust Unit		0.129
Deka-ConvRenten CFD		LU0133666163		Trust Unit		2.757

 

108

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Deka-ConvRenten TFD		LU0133666247		Trust Unit		0.064
Deka-ConvAkt CFC		LU0133666676		Trust Unit		1.742
Akrobat Europa AC		LU0138526776		Trust Unit		0.001
Dk-Co Bd HY Eur CFD		LU0139115926		Trust Unit		1.227
SWC(LU)MM AUD BC		LU0141249184		Trust Unit		0.001
SWC(LU)MM CHF BC		LU0141249424		Trust Unit		0.764
SWC(LU)MM USD BC		LU0141250786		Trust Unit		0.009
Carn Svensk KR A1C		LU0144963195		Trust Unit		0.006
DWS Russia C		LU0146864797		Trust Unit		0.001
UniEuroRenta Em AD		LU0149266669		Trust Unit		0.388
1822-St Ertr PI D		LU0151486320		Trust Unit		1.000
1822-St Wachst D		LU0151487302		Trust Unit		0.374
1822-St Chance D		LU0151488029		Trust Unit		0.187
1822-St Chance PI D		LU0151488458		Trust Unit		1.321
ACMB Gl H Y I2		LU0154094527		Trust Unit		0.024
UBS LI KS EE AAC		LU0154869704		Trust Unit		0.103
UBS(LU)IF-KSEEADT2		LU0154876311		Trust Unit		0.039
UBS LI KS UE AACR		LU0154877988		Trust Unit		0.112
UBS(L)IF-Key US BA		LU0154878283		Trust Unit		0.002
UBS(L)IF-Key Glb AA		LU0155225690		Trust Unit		0.053
Dan I E Eu Conv AC		LU0156840208		Trust Unit		0.002
ACMB Gl H Y AT		LU0156897901		Trust Unit		1.469
UBS(L)IF-EuBd ADT2D		LU0157015289		Trust Unit		0.040
ACMB Amer Inc AT		LU0157308031		Trust Unit		1.340
SWC(LU)BI AUD B		LU0161529945		Trust Unit		1.467
SWC(LU)PF Gl BAL B		LU0161535165		Trust Unit		0.824
SWC(LU)PF YLD B		LU0161539233		Trust Unit		0.414
Fisch CB Gl Op BCC		LU0162832744		Trust Unit		0.001
UniProt Europa C		LU0165183871		Trust Unit		0.716
UniEuroKap Corp AD		LU0168092178		Trust Unit		0.556
FOC-BD USD FC		LU0170517170		Trust Unit		0.248
ACMB Eu Inc AT		LU0173638916		Trust Unit		0.018
UBS(LU)IF-EUBDXA		LU0176375417		Trust Unit		0.011
UBS(LU)IF-EUCRPXA		LU0176376811		Trust Unit		0.009
UniExtr EuStoxx50 D		LU0186860234		Trust Unit		0.412
AXA IM Fx US Sh AC		LU0188167505		Trust Unit		0.020
AXA IM Fx US Sh IC		LU0188172174		Trust Unit		0.505
DJE Real Estate PD		LU0188853955		Trust Unit		0.676
AXA FIIS US Cor AC		LU0192238508		Trust Unit		0.079
Dan I India AC		LU0193801577		Trust Unit		0.002
AXA FIIS US Sh IhC		LU0194346564		Trust Unit		0.011
UniEuroRenta 5J D		LU0194854047		Trust Unit		2.933
Haspa Multi Ertr+ D		LU0194942768		Trust Unit		4.000
Unil Conv Prot D		LU0200666799		Trust Unit		0.130
NaspaFdStr Cha PI D		LU0202181771		Trust Unit		1.558
Carn 2 FoF Intl 1AC		LU0202205463		Trust Unit		0.006
AXA FIIS US Sh BC		LU0211118053		Trust Unit		0.004
AXA FIIS US Sh BC		LU0211118483		Trust Unit		0.001

 

109

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
AXA FIIS US Cor AC		LU0211300792		Trust Unit		0.138
DMC E Bd Eu MAS RC		LU0212850480		Trust Unit		0.001
PHARMA/wHEALTH I		LU0215655985		Trust Unit		0.015
Foc Fd HGBd EUR FC		LU0217572097		Trust Unit		1.396
Foc Fd GHLTBd C FC		LU0217572253		Trust Unit		0.237
UniEuroRent Co 17 D		LU0219921789		Trust Unit		1.216
AXA FIIS US Sh AD		LU0224433721		Trust Unit		0.021
AXA FIIS US Sh ID		LU0224435858		Trust Unit		0.017
Pion Eur H Yld AC		LU0229386064		Trust Unit		0.003
Pion N Am Ba Va IC		LU0229389084		Trust Unit		0.004
Pion USD A Bd AC		LU0229391221		Trust Unit		0.003
SWC(LU)EQ TD EU BC		LU0230112558		Trust Unit		0.955
Dk-LiquiditPl 2 TFD		LU0232183136		Trust Unit		0.621
ACMB Jap Str Val A		LU0239027880		Trust Unit		0.001
Dk-Gl ConvRent TFD		LU0245302137		Trust Unit		1.318
ACMB Em M Dbt AT		LU0246605835		Trust Unit		0.012
Foc Fd HGLTBd E FC		LU0249181222		Trust Unit		1.308
Dk-LiquiditPl CFD		LU0249486092		Trust Unit		0.224
Dk-Ins Liq G CFTC		LU0250598322		Trust Unit		0.400
UBS(LU)IF-GCB BA		LU0251253554		Trust Unit		0.001
UBS(LU)IF-GCB CA		LU0251472279		Trust Unit		0.001
UBS(LU)IF-GCB YA		LU0251487541		Trust Unit		0.006
UniWirtschaftAsp AD		LU0252123129		Trust Unit		0.219
Dk-LiquiditPl 2 CFD		LU0258316081		Trust Unit		0.503
Inv Zod US SL HC		LU0258954014		Trust Unit		0.124
Inv Zod US SL HXD		LU0258954444		Trust Unit		0.234
UniOpti4 D		LU0262776809		Trust Unit		0.350
Dk-Commod CFAD		LU0263138306		Trust Unit		0.267
DWS Gl Agribusi LCC		LU0264451831		Trust Unit		0.321
DWS Gl Agribusi LCC		LU0264453456		Trust Unit		0.003
Dk-LiquiditPl TFD		LU0268059614		Trust Unit		0.786
Dk-Gl ConAkt TFD		LU0271177593		Trust Unit		1.243
Pion USD A Bd AAD		LU0271651175		Trust Unit		0.003
Pion Gl Ecology AC		LU0271656133		Trust Unit		0.001
Pion SF EUR Comm AC		LU0271695388		Trust Unit		0.007
Dk-OptRt 2y II D		LU0274156792		Trust Unit		0.793
SWC(LU)BI MT USD I		LU0276848669		Trust Unit		0.001
UBS LEE Gl Bd PD		LU0281209311		Trust Unit		0.361
UniProfiAnlage 19 C		LU0282376697		Trust Unit		0.125
Dk-ZielG 34-37 C		LU0287949837		Trust Unit		0.103
Inv Zod US SL HHC		LU0288029514		Trust Unit		0.002
AXA FIIS US Sh FC		LU0292585030		Trust Unit		0.002
AXA FIIS US Sh FC		LU0292585626		Trust Unit		0.002
FBG 4Elements PC		LU0298627968		Trust Unit		0.983
DNB Fund India AC		LU0302237721		Trust Unit		0.001
Pion Gl Ecology AC		LU0302740245		Trust Unit		0.044
SWC(LU)EQ WATER BC		LU0302976872		Trust Unit		0.099
DWS Vermm Dyn D		LU0309483781		Trust Unit		0.001

 

110

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Pion Eur Agg Bd AC		LU0313644931		Trust Unit		0.015
Pion Eur Agg Bd IC		LU0313645821		Trust Unit		0.118
Pion Eu Eq Val AC		LU0313647520		Trust Unit		0.001
UniSect Klimawan AD		LU0315365378		Trust Unit		2.835
VM Chance AD		LU0321021585		Trust Unit		0.002
HWB Alex St Pfl RC		LU0322055855		Trust Unit		0.229
BlueB Fe Cr Opp LC		LU0322811091		Trust Unit		0.001
Dk DiscStr 5y D		LU0323234723		Trust Unit		0.224
GoldP Stab PD		LU0323357649		Trust Unit		0.552
DWS Gar 80 FPI C		LU0327386305		Trust Unit		0.008
Dk-OptiRent 3y TFD		LU0332479749		Trust Unit		0.213
UBS(LU)EF-INFR USP		LU0334923918		Trust Unit		0.001
EurizE Bd HY Z		LU0335991534		Trust Unit		0.011
SEBF5 Dan M Bd CC		LU0337316391		Trust Unit		0.001
Bantl Opp S PTC		LU0337411200		Trust Unit		0.910
Bantl Opp S PAD		LU0337413677		Trust Unit		1.925
Bantl Opp S ITC		LU0337413834		Trust Unit		0.299
Bantl Opp S IAD		LU0337414139		Trust Unit		2.436
Bantl Opp L PTC		LU0337414303		Trust Unit		0.363
Bantl Opp L PAD		LU0337414485		Trust Unit		0.147
UBS L Gl Su In PC		LU0341351699		Trust Unit		0.013
DkL-PharmaTech CFD		LU0348413229		Trust Unit		0.989
DkL-BioTech CFD		LU0348461467		Trust Unit		0.314
DkL-GlResourc CFD		LU0349172485		Trust Unit		3.844
DkL-GlResourc TFD		LU0349172725		Trust Unit		1.576
DkLT-GlSel CFD		LU0350093026		Trust Unit		1.362
DkLT-GlSel TFD		LU0350094933		Trust Unit		0.817
DkLT-EM Bd CFD		LU0350136957		Trust Unit		2.540
DkLT-EmMkt D		LU0350482435		Trust Unit		0.584
AC Risk Par 7 BC		LU0355228080		Trust Unit		0.610
AC Risk Par 7 AC		LU0355228163		Trust Unit		0.001
UBS LMMF EUR QC		LU0357613495		Trust Unit		0.090
UBS LMTB EUR QC		LU0358446192		Trust Unit		0.005
Alken Cap One JC		LU0360936099		Trust Unit		0.003
UniProfiAnl 2024 C		LU0364819192		Trust Unit		0.494
UBS(LU)EF-INFR EUP		LU0366711900		Trust Unit		0.014
Dk-WldG 4 C		LU0367985057		Trust Unit		0.187
Bantl Opp Cash IAD		LU0371477885		Trust Unit		0.145
AC Risk Par 12 AC		LU0374108537		Trust Unit		0.004
Pion SF Eu EqM+ AC		LU0380935170		Trust Unit		0.009
UniRak Em Mkt AD		LU0383775318		Trust Unit		0.877
UBS LMMF EUR I18C		LU0395206054		Trust Unit		0.026
UBS LMMF USD IA1C		LU0395209405		Trust Unit		0.001
Pion Eu Potent AC		LU0398873470		Trust Unit		0.001
UBS(LU)EF-ASIA FC		LU0400029798		Trust Unit		0.112
UBS(LU)EF-AUSTRAL U		LU0400034012		Trust Unit		0.001
UBS(LU)EF-EUCOOP FC		LU0401310270		Trust Unit		0.005
UBS(LU)EF-EUCOOPIXC		LU0401311674		Trust Unit		0.003

 

111

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBS(LU)EF-GR BRIT F		LU0403287187		Trust Unit		0.046
UBS(LU)EF-GRCH UIXC		LU0403291452		Trust Unit		0.004
UBS(LU)EF-MC USA UX		LU0403314684		Trust Unit		0.001
UBS(LU)EF-SING PC		LU0403317604		Trust Unit		0.016
UBS(LU)EF-SC USA F		LU0404627084		Trust Unit		0.144
UBS(LU)EF-TAIW IA1C		LU0404630385		Trust Unit		0.001
UBS(LU)EF-USA MS F		LU0404639410		Trust Unit		0.009
AXA FIIS US Sh AhD		LU0412185844		Trust Unit		0.034
UBS(Lu)BF-CHF FC		LU0415163566		Trust Unit		0.001
UBS(Lu)BF-EUR FC		LU0415166403		Trust Unit		0.007
UBS(Lu)BF-USD FC		LU0415176030		Trust Unit		0.197
UBS L Bd Co Eur FC		LU0415178838		Trust Unit		0.023
UBS L EU HY EUR F		LU0415181469		Trust Unit		0.004
ACMB Amer Inc AT		LU0417103065		Trust Unit		0.138
ACMB GI H Y A2		LU0417103495		Trust Unit		0.002
ACMB GI H Y AT		LU0417103578		Trust Unit		0.096
UBS L Bd Eu HY PD		LU0417441200		Trust Unit		0.343
UBS LEE GI Bd IA1C		LU0426895305		Trust Unit		0.050
UBS LEE GI Bd IBC		LU0426896022		Trust Unit		0.008
UBS LEE GI Bd IXC		LU0426896378		Trust Unit		0.004
AC Risk Par 12 BC		LU0430218775		Trust Unit		1.377
UBS LMTB EUR IA1C		LU0441486411		Trust Unit		0.005
UBS LMTB EUR FC		LU0441494431		Trust Unit		0.001
UBS LMTB CHF FC		LU0441495677		Trust Unit		0.115
UBS LMTB USD FC		LU0441496998		Trust Unit		0.003
UBS(LU)EF-ASIA CO P		LU0443062806		Trust Unit		0.016
ACMB GI H Y ATHD		LU0448041581		Trust Unit		0.063
UBS LMMF CHF FC		LU0454362921		Trust Unit		0.806
UBS LMMF AUD FC		LU0454363226		Trust Unit		0.001
UBS LMMF CAD FC		LU0454363572		Trust Unit		0.001
UBS LMMF EUR FC		LU0454363739		Trust Unit		0.010
UBS LMMF GBP FC		LU0454364034		Trust Unit		0.044
UBS LMMF USD FC		LU0454364208		Trust Unit		0.187
UBS L Bd FCAB PD		LU0464244259		Trust Unit		0.285
UBS L Bd FCAB PC		LU0464244333		Trust Unit		0.338
UBS L Bd FCAB FC		LU0464245496		Trust Unit		0.021
UBS L Bd FCAB IA1C		LU0464245819		Trust Unit		0.002
UBS L Bd FCAB IXC		LU0464246890		Trust Unit		0.001
UBS L Bd FCAB PhD		LU0464247435		Trust Unit		0.150
UBS L Bd FCAB PHC		LU0464247518		Trust Unit		0.001
UBS L Bd FCAB PhD		LU0464250496		Trust Unit		0.036
UBS L Bd FCAB PHC		LU0464250652		Trust Unit		0.062
SGKB Mul Sp CHF BC		LU0466399879		Trust Unit		0.134
UBS LB GI C PhD		LU0487186123		Trust Unit		0.002
SWC(LU)BI GI Co BH		LU0489326578		Trust Unit		0.060
Squad Cap Sq Mak SC		LU0490818126		Trust Unit		0.001
UBS(LU)EF-GR CHPC		LU0501845795		Trust Unit		0.024
UBS LEE GI Bd HPD		LU0505553213		Trust Unit		0.259

 

112

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBS L EE GI ST PD		LU0509218086		Trust Unit		0.014
UBS L EE GI ST PC		LU0509218169		Trust Unit		0.178
UBS L EE GI ST PD		LU0509218326		Trust Unit		0.137
UniEuroKap 2017 D		LU0509225537		Trust Unit		1.122
ACMB GI H Y ATHD		LU0511405911		Trust Unit		0.449
ACMB Amer Inc ATHD		LU0511406216		Trust Unit		0.340
ACMB Em M Dbt ATHD		LU0511407883		Trust Unit		0.011
UBS L EE GI ST PD		LU0512596619		Trust Unit		0.016
AXA FIIS US Sh FhC		LU0523283140		Trust Unit		0.048
Bantl Anl Yld PTC		LU0524467916		Trust Unit		0.461
AC Risk Par 12 AC		LU0531219185		Trust Unit		0.003
ACMB Amer Inc ATHD		LU0539799634		Trust Unit		0.031
ACMB Eu Inc. ATHD		LU0539802446		Trust Unit		0.216
AXA FIIS US Cor FhC		LU0546066993		Trust Unit		0.002
AXA FIIS US Sh EC		LU0546067702		Trust Unit		0.006
DNB Fund ECO AR AC		LU0547714443		Trust Unit		0.001
UER Co. 50 2015 NAD		LU0553027581		Trust Unit		0.165
AC Risk Par 7 BC		LU0554703750		Trust Unit		0.003
AC Risk Par 12 BC		LU0554704055		Trust Unit		0.004
AC Risk Par 12 AC		LU0554704139		Trust Unit		0.001
Inv Zod US SL GC		LU0564079282		Trust Unit		0.025
Inv Zod US SL GXD		LU0564079365		Trust Unit		0.006
Inv Zod US SL GHC		LU0564079522		Trust Unit		0.001
Sing SI OFI HAN A		LU0575322465		Trust Unit		0.002
ACMB Amer Inc ATHD		LU0592505407		Trust Unit		0.077
ACMB Amer Inc. A2HC		LU0592505589		Trust Unit		0.174
ACMB Amer Inc ATHD		LU0592505829		Trust Unit		0.087
ACMB GI H Y ATHD		LU0592507361		Trust Unit		0.049
ACMB GI H Y ATD		LU0592507528		Trust Unit		0.051
FOC-BD USD DHFC		LU0592656101		Trust Unit		0.576
FOC-BD USD hDHFC		LU0592656283		Trust Unit		1.297
FOC-BD USD hDHFC		LU0592656366		Trust Unit		0.710
SWC(LU)BI G Coc BH		LU0599119533		Trust Unit		0.001
SWC(LU)BI G Coc JH		LU0599119616		Trust Unit		1.001
SWC(LU)BI G Coc BH		LU0599119707		Trust Unit		0.002
SWC(LU)BI G Coc JH		LU0599119889		Trust Unit		0.002
Commod Alph OP IND		LU0622688918		Trust Unit		1.000
XAIA Cr Db Ca ID		LU0644384843		Trust Unit		0.006
UBS L EE GI ST PMD		LU0649560199		Trust Unit		0.004
CSIF13 B EUR B AD		LU0650586935		Trust Unit		0.236
CSIF13 As LC Bd BC		LU0650589442		Trust Unit		0.135
JSS SI Ins B PD		LU0654946630		Trust Unit		0.003
AXA FIIS Sh HY FC		LU0658026603		Trust Unit		0.002
AXA FIIS US CorAhC		LU0665681309		Trust Unit		0.280
AISM GO Low Vol RC		LU0677960808		Trust Unit		0.009
ACMB Amer Inc. ATHD		LU0689625878		Trust Unit		0.016
Inv Zod US SL HHXD		LU0704905362		Trust Unit		0.004
Inv Zod US SL GHC		LU0704905446		Trust Unit		0.001

 

113

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBS(LU)EF-ASIA C PH		LU0763732723		Trust Unit		0.066
UBS(LU)EF-GR CH CPC		LU0763739066		Trust Unit		0.016
UBS(LU)EF-GR CH EPC		LU0763739140		Trust Unit		0.041
UBS L Bd Co Eur PhC		LU0776290768		Trust Unit		0.003
UBS L Bd Eu HY PhC		LU0776290842		Trust Unit		0.029
UBS LEE GI Bd HPC		LU0776291576		Trust Unit		0.002
UBS LEE GI Bd HPC		LU0776291659		Trust Unit		0.003
UBS LEE GI ST HPC		LU0776291733		Trust Unit		0.039
UBS(LU)EF-MC USA P		LU0781589055		Trust Unit		0.121
UBS(LU)EF-MC USA P		LU0781589212		Trust Unit		0.026
UBS(LU)EF-GL MT PH		LU0804734787		Trust Unit		0.095
UBS LB GI C PhC		LU0817644254		Trust Unit		0.596
Pion GI Eq T In AQD		LU0830747522		Trust Unit		0.005
AXAIMILS Gai VC1C		LU0835347021		Trust Unit		0.003
UBS L EE GI ST HPD		LU0851682582		Trust Unit		0.011
UBS(LU)EF-GL MT PH		LU0855184452		Trust Unit		0.011
SWC(LU)EQ WATER PC		LU0866297715		Trust Unit		0.001
SWC(LU)BI G Coc PH		LU0866336398		Trust Unit		0.001
SWC(LU)BI STGHY PHC		LU0866336711		Trust Unit		0.001
UBS(LU)EF-CH OP PC		LU0880133367		Trust Unit		0.071
DMC Dyn Lux B IhC		LU0888110201		Trust Unit		0.001
Ass Cr Select ID		LU0890803710		Trust Unit		0.001
SWC(LU)BI MT CHF PC		LU0899938814		Trust Unit		0.001
SWC(LU)BI MT EUR PC		LU0899938905		Trust Unit		0.001
SWC(LU)MM EUR PC		LU0899940125		Trust Unit		0.006
UBS L Bd Eu HY PhD		LU0937166394		Trust Unit		1.873
UBS L EE GI ST FC		LU0942710616		Trust Unit		0.056
UBS L Bd Eu HY PhD		LU0945635778		Trust Unit		0.226
UBS L Bd Eu HY PhD		LU0945635851		Trust Unit		0.088
UBS(LU)MMI-EUR FC		LU0957230393		Trust Unit		0.056
SWC(LU)BI GIAbR AHD		LU0957585929		Trust Unit		0.070
SWC(LU)BI GIAbR BHC		LU0957586067		Trust Unit		0.001
SEBF1 Glob CC		LU0957649758		Trust Unit		0.008
UBS(LU)EF-EUR OPHPC		LU0964806797		Trust Unit		0.108
Pion Top EuPlay AHC		LU0969890168		Trust Unit		0.002
UBS L Bd Eu HY PhD		LU0973218331		Trust Unit		0.178
Inv Zod US SL HHXD		LU0981926206		Trust Unit		0.002
Pion Eurold Eq JC		LU0984026590		Trust Unit		0.229
Eth-AKT TC		LU0985094027		Trust Unit		0.001
FOC-BD USD hFC		LU0985522860		Trust Unit		0.001
FOC-BD USD hFC		LU0985522944		Trust Unit		0.001
Pion Eur Agg Bd JC		LU0986070992		Trust Unit		0.238
Pion Eurold Eq AHC		LU0988498829		Trust Unit		0.008
DWS Mul Opp LDD		LU0989117667		Trust Unit		0.001
UBS L Bd Eu HY PhD		LU0989134753		Trust Unit		0.174
UBS L Bd Eu HY PhC		LU0994471687		Trust Unit		0.126
UBS L Bd Eu HY PhD		LU0997192736		Trust Unit		0.013
UBS(LU)EF-CH OP PC		LU1008478684		Trust Unit		0.153

 

114

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
UBS LSF Bal USD PD		LU1008478767		Trust Unit		0.057
UBS LSF Bal USD PHD		LU1008478841		Trust Unit		0.124
UBS LSF Bal EUR PHD		LU1008479062		Trust Unit		0.015
ACMB GI H Y AAD		LU1008669860		Trust Unit		0.039
UBS(LU)EF-USAMS FHC		LU1009600286		Trust Unit		0.001
UBS(LU)EF-USAMS FHC		LU1009600955		Trust Unit		0.007
ACMB Eu Inc. AAHD		LU1013768186		Trust Unit		0.050
ACMB Mort Inc AA		LU1021288698		Trust Unit		0.033
ACMB Amer In AADPHD		LU1035779930		Trust Unit		0.015
SWC(LU)BI S HY PHC		LU1057798792		Trust Unit		0.001
ACMB Eu Inc. AAHD		LU1069347893		Trust Unit		0.011
SMT Eq JF VaSa IaHC		LU1081597822		Trust Unit		0.001
UBS LSF Bal USD PD		LU1107502343		Trust Unit		0.153
UBS LSF Bal USD PHD		LU1107510445		Trust Unit		0.056
UBS LSF Bal USD PHD		LU1121136656		Trust Unit		0.033
UBS LSF Bal USD PD		LU1121136813		Trust Unit		0.008
UBS(LU)EF-CH OP PD		LU1152091168		Trust Unit		0.026
UBS(LU)EF-CH OP PD		LU1152091754		Trust Unit		0.004
Multiw S Abs Ret CD		LU1152094345		Trust Unit		7.366
UBS LSF Bal USD PHD		LU1191161477		Trust Unit		0.001
UBS LSF Bal EUR PHD		LU1195739633		Trust Unit		0.004
UBS LSF Bal EUR PHD		LU1195739716		Trust Unit		0.001
UBS(LU)EF-CH OP PHC		LU1227825731		Trust Unit		0.002
Theta Mlt Md -B- in		NL0009611185		Trust Unit		0.003
Odin Sverige		NO0008000023		Trust Unit		0.007
Odin Norden		NO0008000155		Trust Unit		0.011
Skagen Global A		NO0008004009		Trust Unit		0.063
Odin Offshore		NO0010062961		Trust Unit		0.001
Skagen Kon-Tiki A		NO0010140502		Trust Unit		0.332
Pareto Kreditt A		NO0010324551		Trust Unit		0.012
Skagen Kon-Tiki B		NO0010679038		Trust Unit		0.001
Dyn Eq Inc CAD BE-G		QT0125719028		Trust Unit		0.121
Signat CAD DSC TU-A		QY9933212723		Trust Unit		0.028
TD Div Inc DSC TU-A		QY9939720414		Trust Unit		1.057
Sentry Egy CAD FE-A		QY9999VXC447		Trust Unit		0.239
Dyn Egy CAD FE TU-G		QY9999VXFE96		Trust Unit		0.178
HB Langra Crit A1		SE0000356297		Trust Unit		0.083
HB Kort Crit A1		SE0000356305		Trust Unit		0.001
Didner & Gerge		SE0000428336		Trust Unit		0.001
Carnegie Sverige		SE0000429789		Trust Unit		0.006
Carnegie Strategi		SE0000429813		Trust Unit		0.005
Carnegie Likviditet		SE0000429854		Trust Unit		0.002
Catella Avkastning		SE0000577280		Trust Unit		0.023
Robur-Smaeb Sverige		SE0000602302		Trust Unit		0.009
AMF-Balansfond		SE0000739179		Trust Unit		0.001
Lannebo Smaebol Fnd		SE0000740698		Trust Unit		0.005
East Capital Baltik		SE0000777724		Trust Unit		0.004
Lynx Fond		SE0000801482		Trust Unit		0.004

 

115

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Security Short Name		Security ID		Security Type (detailed)		Number of Pieces
Wertschrift / Kurzname		Wertschrift ID		Wertschrift Typ		Anzahl Stücke
Trust Units / Anteile an Wertpapierfonds
Nektar		SE0000886871		Trust Unit		0.010
East Cap-East Europ		SE0000888208		Trust Unit		0.015
Brum Multi-Strategy		SE0000912057		Trust Unit		0.011
Lannebo Smabol Sel		SE0000917205		Trust Unit		0.002
Br Multi-Strat EUR		SE0000987307		Trust Unit		0.017
Atlant Fonder-Edge		SE0001007527		Trust Unit		0.001
Catella-Hedge Fund		SE0001131335		Trust Unit		0.005
Carnegie Indienfond		SE0001209834		Trust Unit		0.004
EC Balkanfonden		SE0001244328		Trust Unit		0.578
Simplicity Indien		SE0001338740		Trust Unit		0.007
Cliens Mix Sv A		SE0001338815		Trust Unit		0.005
EastCap Turkish Fd		SE0001621327		Trust Unit		0.027
Simplicity Afrika		SE0001702408		Trust Unit		0.005
Simplicity Asien		SE0001832072		Trust Unit		0.004
Enter Select		SE0002096545		Trust Unit		0.004
Spiltan Rantef Sver		SE0002152140		Trust Unit		0.002
SEB Sve Indexfond		SE0002593673		Trust Unit		0.001
Didn&Gerge Smabolag		SE0002699421		Trust Unit		0.001
Carnegie Smabol		SE0004392025		Trust Unit		0.002
Simplicity Fore		SE0004452118		Trust Unit		0.004
Aberdeen Sel China		SG9999000368		Trust Unit		1.630
Aber Pac Eqt Fd SGD		SG9999000459		Trust Unit		0.119
Aberdeen Sel-Spore		SG9999000475		Trust Unit		0.043
Aber Thai Eqty SGD		SG9999000483		Trust Unit		0.140
Schroder SGD Reserv		SG9999000517		Trust Unit		0.314
Aber Glb Eme Mkt SG		SG9999002042		Trust Unit		0.340
Aber Asi Sma Co-SGD		SG9999002984		Trust Unit		0.090
DWS Spore Equity Fd		SG9999004923		Trust Unit		0.080
DeutSpore S/M Cap-A		SG9999004949		Trust Unit		0.800
Phillip Money Mkt F		SG9999005987		Trust Unit		0.150
Fullerton Asian Bd		SG9999006100		Trust Unit		0.022
The Gb Strategy		SG9999006787		Trust Unit		0.001
Fullerton SG In -A-		SG9999008411		Trust Unit		0.334
Allard Gr General		XD0015556950		Trust Unit		0.024
AJVF -Absolute A/1-		XD0018696183		Trust Unit		0.001
Emerg Mark AB/36		XD0102419385		Trust Unit		0.001

 

116

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG /

Vermögensübertragungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 1d

Intangible assets /

Anhang 1d

Immaterielle Vermögenswerte

 

Notariat Hottingen-Zürich

Roman Sandmayr, Notar

 

1

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Description		Book Value (CHF)
Beschreibung		Buchwert (CHF)
Goodwill / Goodwill			5’250’000’000

This position is included in the transfer balance sheet as part of fixed assets.

Diese Position ist in der Transferbilanz als Teil des Anlagevermögens enthalten.

Value as of 31 March 2015.

Wert per 31. März 2015.

 

2

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG /

Vermögensübertragungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 1e

Movables and other important assets /

Anhang 1e

Bewegliche Sachen und andere wichtige Vermögenswerte

 

Notariat Hottingen-Zürich

Roman Sandmayr, Notar

 

1

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

I.	Movables (except for ships) / Bewegliche Sachen (ausser Schiffe)

 

Ledger number		Description						Aggregate book value (CHF)
Kontonummer		Beschreibung						Aggregierter Buchwert (CHF)
18590 (Group Account) 1		Physical precious metal in silver (XAG) mostly standard bars Edelmetallbestände in Silber (XAG) mehrheitlich in der Form von Standard Barren						286’334’525 1
18590 (Group Account) 1		Physical precious metal in gold (XAU) mostly standard bars Edelmetallbestände in Gold (XAU) mehrheitlich in der Form von Standard Barren						1’752’971’766 1
18590 (Group Account) 1		Physical precious metal in platinum (XPT) mostly standard bars Edelmetallbestände in Platin (XPT) mehrheitlich in der Form von Standard Barren						665’806’981 1
18590 (Group Account) 1		Physical precious metal in palladium (XPD) mostly standard bars Edelmetallbestände in Palladium (XPD) mehrheitlich in der Form von Standard Barren						57’281’299 1
16200, 16205, 16220, 16225, 16296 2		All of the Parent’s ATMs (“Bancomaten”), “Multimaten”, “Automated Teller Safes”, and “Changeomaten” and “E-Windows-Screens” within Switzerland. Alle Bancomaten, Multimaten, Automatischen Kassentresore (AKT), und Fremdwährungswechselautomaten und “E-Windows-Bildschirme” innerhalb der Schweiz.						22’084’427 2
n/a 3		All Ships listed in the separate inventory below Alle im separaten, untenstehenden Inventar aufgelisteten Schiffe						n/a 3

 

2

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Ledger number		Description						Aggregate book value (CHF)
Kontonummer		Beschreibung						Aggregierter Buchwert (CHF)
		All tangible assets which are owned by the Parent and which relate to the leasing business operated by the Parent within the business area Corporate & Institutional Clients (railcar train-sets, cableways, chairlifts, industrial facilities and machineries; this in addition to the ships, which are listed under section II of this Annex 1e), including but not limited to the following tangible assets which have been leased by the Parent as lessor:
		Alle Wirtschaftsgüter im Eigentum der M UTTERGESELLSCHAFT , die im Zusammenhang mit dem von der M UTTERGESELLSCHAFT innerhalb des Business Area Corporate & Institutional Clients betriebenen, Leasing-Geschäfts stehen (Triebwagen, Seil- und Sesselbahnen, Industrieanlagen und Maschinen; dies neben den Schiffen, welche unter Ziff. II dieses Anhangs 1e aufgelistet sind), darunter insbesondere folgende Sachen, welche von der M UTTERGESELLSCHAFT als Leasinggeberin verleast worden sind:
				(i)		11 railcar train-sets type FLIRT (leasing contract No. 1009496)
n/a 3				(ii)		3 quadripartite panorama railcar train-sets and 2 tripartite panorama railcar train-sets (leasing contract No. 1009497)		n/a 3
				(iii)		4 electric rack-wheel double railcar train-sets (leasing contract No. 1008032)
				(iv)		A monocable cableway on two legs with cabins for 10 passengers each (leasing contract No. 1022033)
				(v)		71 chemical rail tank cars and 79 railway cars for transportation of cargo (leasing contract No. 1025421)
				(vi)		4 panorama passenger railcars type Ap 1301 – 1304, 4 panorama passenger railcars type Bp 2521 – 2524 and 2 panorama passenger railcars with service compartment type Bp 2512 – 2513 (leasing contract No. 1004942)
				(vii)		4 double railcar train-sets 2nd generation (leasing contract No. 1003895)
				(viii)		A cableway manufactured by Garaventa with cabins for 8 passengers each (leasing contract No. 1022828)
				(ix)		A lake waterworks, including equipment and upgrades according to protocol (leas-

 

3

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Ledger number		Description						Aggregate book value (CHF)
Kontonummer		Beschreibung						Aggregierter Buchwert (CHF)
				(ix)		A lake waterworks, including equipment and upgrades according to protocol (leasing contract No. 1004436)
				(x)		Industrial facility type “Belagswerk Universal NG 320” (leasing contract No. 1023676)
				(xi)		Various equipment for radiology (leasing contract No. 1024966)
				(xii)		Various other leasing assets (leased by way of various agreements)
				(i)		11 Triebzüge des Typs FLIRT (mit Vertrag Nr. 1009496 verleast)
				(ii)		3 vierteilige Panorama Triebzüge sowie 2 dreiteilige Panorama Triebzüge (mit Vertrag Nr. 1009497 verleast)
				(iii)		4 elektrische Zahnrad-Doppeltreibwagen (mit Vertrag Nr. 1008032 verleast)
				(iv)		eine 10er Kabinen-Einseilumlaufbahn mit zwei Teilstrecken “Stand-Xpress” (mit Vertrag Nr. 1022033 verleast)
				(v)		71 Chemiekesselwagen und 79 Eisenbahnwagons für Gütertransporte (Tank-, Gas- und Schüttgutwagen) (mit Vertrag Nr. 1025421 verleast),
				(vi)		4 Panorama-Reisezugwagen Typ Ap 1301 – 1304, 4 Panorama-Reisezugwagen Typ Bp 2521 – 2524 und 2 Panorama-Reisezugwagen mit Serviceabteil Typ Bp 2512 - 2513 (mit Vertrag Nr. 1004942 verleast)
				(vii)		4 Doppeltriebwagen der 2. Generation (mit Vertrag Nr. 1003895 verleast)
				(viii)		eine Seilbahn mit je 8 Plätzen (mit Vertrag Nr. 1022828 verleast)
				(ix)		Seewasserwerk, einschliesslich Ausrüstung (mit Vertrag Nr. 1004436 verleast)
				(x)		Belagswerk Universal NG 320 (mit Vertrag Nr. 1023676 verleast)
				(xi)		Diverse Ausrüstungsgegenstände für Radiologie (mit Vertrag Nr. 1024966 verleast)
				(xii)		Diverse weitere Leasinggegenstände (unter diversen Verträgen verleast)

 

4

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Ledger number		Description						Aggregate book value (CHF)
Kontonummer		Beschreibung						Aggregierter Buchwert (CHF)
10000, 10050, 18520 4		All of the Parent’s coins and banknotes as well as precious metal coins and medals located in the ATMs (“Bancomaten”), “Automated Teller Safes”, “Changeomaten”, “Tagestresoren”, as well as in the Parents safe storage facilities in Zürich and Genf or with the designated secure transport service provider within Switzerland.						1’198’694’613 4
		Alle Münzen und Banknoten der M UTTERGESELLSCHAFT sowie Edelmetallmünzen und Medaillen, die sich in Bankomaten, Automatischen Kassentresoren (AKT), und Fremdwährungswechselautomaten, Tagestresoren, sowie in den Tresorlagerstätten der M UTTERGESELLSCHAFT in Zürich und Genf oder beim entsprechend beauftragen Sicherheitstransportunternehmen innerhalb der Schweiz befinden.

 

1.	This position is included in the transfer balance sheet as part of trading balances in securities and precious metals.

2.	This position is included in the transfer balance sheet as part of fixed assets.

3.	These positions are off balance sheet.

4.	This position is included in the transfer balance sheet as part of liquid assets and other assets.

 

1.	Diese Position ist in der Transferbilanz als Teil der Handelsbestände in Wertschriften und Edelmetalle enthalten.

2.	Diese Position ist in der Transferbilanz als Teil der Sachanlagen enthalten.

3.	Diese Positionen sind ausserbilanzielle Positionen.

4.	Diese Position ist in der Transferbilanz als Teil der Flüssigen Mittel und Sonstigen Aktiven enthalten.

Book Values as of 31 March 2015.

Buchwerte per 31. März 2015.

 

5

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

II.	Ships / Schiffe

 

Contract number		Ship Register		Ship name		Register number (ship register Basle)
Vertragsnummer		Schiffsregister		Name Schiff		Registernummer (Schiffsregister Basel)
1013464		Basel		Swiss Jewel		1906
1016422		Basel		Esprit		1923
1018518		Basel		Alina		1934
1018925		Basel		Treasures		1943
1022415		Basel		Amelia		1948
1023882		Basel		Edelweiss		1964
1003154		Basel		Excellence Rhône		1833
1025492		Basel		Piz Arina		1868

These positions are off-balance sheet.

Diese Positionen sind ausserbilanzielle Positionen.

As of 11 June 2015.

Per 11. Juni 2015.

 

6

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

III.	Other assets / Andere Vermögenswerte

 

Ledger number		Description		Aggregate book value (CHF)
Kontonummer		Beschreibung		Aggregierter Buchwert (CHF)
n/a		All receivables relating to the B USINESS (consisting of 30’265 receivables in the aggregate amount of approximately CHF 5’236’067’195 (as per transfer balance sheet date of the transfer balance sheet, (a) on which certificates of shortfall from seizure ( Pfändungsverlustscheine ), certificates of shortfall from realization of collateral ( Pfandausfallscheine ), certificates of shortfall from bankruptcy ( Konkursverlustscheine ), debtor warrant agreements ( Besserungsvereinbarungen ), debt management plan ( Abzahlungsvereinbarungen ) or similar (“Notes”) have been issued, (b) which are embodied in such Kotes or (c) which are otherwise subject to such Notes (always independent of whether they are currently managed by the parent company or by one of its subsidiaries (e.g., UBS Card Center AG)).			n/a
		Sämtliche Forderungen mit Bezug zum G ESCHÄFT (bestehend aus 30’265 Forderungen im Gesamtbetrag von rund CHF 5’236’067’195 (per B ILANZSTICHTAG der Ü BERTRAGUNGSBILANZ ), (a) über welche Pfändungsverlustscheine, Pfandausfallscheine, Konkursverlustscheine, Besserungsvereinbarungen, Abzahlungsvereinbarungen oder dgl. (“Notes”) ausgestellt wurden, (b) welche in den Notes verkörpert werden oder (c) welche sonst wie deren Gegenstand der Notes sind (in allen Fällen gleichgültig, ob sie derzeit von der Muttergesellschaft oder einer ihrer Tochtergesellschaften (z.B. UBS Card Center AG) bewirtschaftet werden)
n/a		All other receivables of any kind of the parent company belonging to the B USINESS , including receivables in connection with unlawful behavior of former or current employees or civil law claims against former or current employees, receivables in connection with unlawful behavior of external third parties or customers etc.			n/a
		Sämtliche übrigen Forderungen der Muttergesellschaft aller Art, welche zum G ESCHÄFT gehören, einschliesslich Forderungen im Zusammenhang mit deliktischem Verhalten ehemaliger oder gegenwärtiger Mitarbeiter oder zivilrechtliche Ansprüche gegenüber ehemaligen oder gegenwärtigen Mitarbeitern, Forderungen im Zusammenhang mit deliktischem Verhalten externer D RITTPARTEIEN oder Kunden etc.

 

7

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Ledger number		Description		Aggregate book value (CHF)
Kontonummer		Beschreibung		Aggregierter Buchwert (CHF)
n/a		All movables (art, jewelry watches, etc.) which were acquired by way of realization/self-sales of the pledge asset of a defaulted credit claim or credit claim written off.			n/a
		Alle Gegenstände (Kunstgegenstände, Schmuck, Uhren, etc.), welche durch Selbsteintritt aus Liquidation von Pfändern aus notleidenden oder abgeschriebenen Kreditforderungen übernommen wurden.
n/a		All receivables existing under a life insurance contract between a client and an insurance company which have been assigned to the Parent as a security in connection with mortgage lending agreements related to real estates located in Germany.			n/a
		Alle Forderungen aus einem bestehenden Lebensversicherungsvertrag zwischen einem Kunden und einer Versicherungsgesellschaft, welche als Sicherheit im Zusammenhang mit Hypothekarkreditvereinbarungen für in Deutschland belegene Grundstücke an die M UTTERGESELLSCHAFT abgetreten wurden.

These positions are off balance sheet.

Diese Positionen sind ausserbilanzielle Positionen.

Values/amounts as of 31 March 2015.

Werte/Beträge per 31. Marz 2015.

 

8

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG /

Vermögensübertragungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 1f

Additional intra-group transactions /

Anhang 1f

Zusätzliche konzerninterne Transaktionen

 

Notariat Hottingen-Zürich

Roman Sandmayr, Notar

 

1

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

3.12	Transfer of benefits and risks relating to Parent’s foreign exchange, interest rate, and credit risk management /

Übertragung von Nutzen und Risiken im Zusammenhang mit dem Wechselkurs, Zins- und Kreditrisiko-Management der M UTTERGESELLSCHAFT

 

Description		Fair Value (CHF thousand)
Beschreibung		Marktwert (CHF Tausend)
Interest Rate Swaps (IRS)			260’802
Overnight index swaps (OIS / TOIS) Forward rate agreement (FRA)			-2’746
Interest Rate Swaptions			0
FX Swap			-279’677
FX Spot			3
FX Forward			0
X-currency basis swap			19
FX Options			0
Credit default swap (CDS)			2’745

Note: generally net-positions are shown / grundsätzlich werden Nettopositionen gezeigt.

This position is included in the transfer balance sheet as part of positive / negative replacement values.

Diese Position ist in der Transferbilanz als Teil der Positiven / Negativen Wiederbeschaffungswerte enthalten.

Values as of 10 June 2015.

Werte per 10. Juni 2015.

 

2

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

3.13	Transfer of benefits and risks of internal repo and securities lending & borrowing transactions /

Übertragung von Nutzen und Risiken von internen Repo- und Wertpapierleihe-Transaktionen

 

Description		Fair Value (CHF thousand)
Beschreibung		Marktwert (CHF Tausend)
Repo & reverse repo			9’925’985	*
Securities lending & borrowing			1’619’762	*

 

*	Approximation calculated on the basis of book values plus related accruals.

Näherungswerte, berechnet auf der Grundlage von Buchwerten zuzüglich Rückstellungen.

Note: generally net-positions are shown / grundsätzlich werden Nettopositionen gezeigt

This position is included in the transfer balance sheet as part of due from banks / due to banks.

Diese Position ist in der Transferbilanz als Teil der Forderungen gegenüber Banken / Verbindlichkeiten gegenüber Banken enthalten.

Values as of 10 June 2015

Werte per 10. Juni 2015

 

3

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

3.14	Transfer of benefits and risks of internal money market transactions / Übertragung von Nutzen und Risiken von internen Geldmarkt-Transaktionen

 

Description		Nominal Value (CHF thousand)
Beschreibung		Nominalwert (CHF Tausend)
Outstanding money market products			none

Note: generally net-positions are shown / grundsätzlich werden Nettopositionen gezeigt.

This position is included in the transfer balance sheet as part of due from banks / due to banks.

Diese Position ist in der Transferbilanz als Teil der Forderungen gegenüber Banken / Verbindlichkeiten gegenüber Banken enthalten.

Values as of 10 June 2015.

Werte per 10 Juni 2015.

 

4

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

Annex 1g

Excluded Assets and Excluded Liabilities /

Anhang 1g

A USGENOMMENE V ERMÖGENSWERTE und A USGENOMMENE V ERBINDLICHKEITEN

 

Notariat Hottingen-Zürich

Roman Sandmayr, Notar

 

1

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

I.	Excluded Assets / A USGENOMMENE V ERMÖGENSWERTE

For the avoidance of doubt, the Parent does not transfer the following assets (irrespective of whether they relate to the Business or not):

Zur Klarstellung sei festgehalten, dass die M UTTERGESELLSCHAFT die folgenden A USGENOMMENEN V ERMÖGENSWERTE nicht überträgt (unabhängig davon, ob diese einen Bezug zum G ESCHÄFT haben oder nicht):

 

(a)	Global Property Fund / Global Property Fund

Legacy investments in the Global Property Fund which are currently booked in the accounts of Retail & Corporate and Wealth Management in the Parent’s segment reporting.

Bestehende Investitionen in den Global Property Fund, die gegenwärtig in den Konti von Retail & Corporate und Wealth Management in der Segment-Berichterstattung der M UTTERGESELLSCHAFT gebucht sind.

 

(b)	Claims in connection with the 2011 UK Tax Treaty /

Forderungen im Zusammenhang mit dem 2011-S TEUERABKOMMEN -GB

All reimbursement or other claims of Parent in connection with the 2011 UK Tax Treaty and related provisions of the International Withholding Tax Act, including those under the loan agreement with the Verein Vorauszahlung UK (as listed under Annex 2d , section I. (v));

Alle Rückerstattungen oder andere Forderungen der M UTTERGESELLSCHAFT im Zusammenhang mit dem 2011-S TEUERABKOMMEN -GB und damit zusammenhängenden Bestimmungen des IQG, einschliesslich derjenigen unter dem Darlehensvertrag mit dem Verein, Vorauszahlung UK (wie in Anhang 2d , Z IFF . I.(v) aufgeführt).

 

II.	Excluded Liabilities (related to taxes) /

A USGENOMMENE V ERBINDLICHKEITEN (betreffend Steuern)

For the avoidance of doubt, the Parent does not transfer the following liabilities (irrespective of whether they relate to the Business or not):

Zur Klarstellung sei festgehalten, dass die M UTTERGESELLSCHAFT die folgenden Verbindlichkeiten nicht überträgt (unabhängig davon, ob diese einen Bezug zum G ESCHÄFT haben oder nicht):

 

(a)	Tax liabilities accrued before 1 January 2015 /

Vor dem 1. Januar 2015 aufgelaufene Steuerverbindlichkeiten

All obligations and liabilities of the Parent related to the following taxes or duties to the extent they have accrued before 1 January 2015 (irrespective of whether they are recorded as a liability on the Parent’s balance sheet or not):

 

•

Stamp duty on bank documents, as stipulated by the law on stamp duty and on cinematographic performances in the Canton of Ticino;

 

•

Federal law on the treaty with the European Community regarding taxation of savings (Zinsbesteuerungsgesetz) (SR 641.91):

Alle Verpflichtungen und Verbindlichkeiten der M UTTERGESELLSCHAFT bezüglich der folgenden Steuern oder Abgaben soweit diese vor dem 1. Januar 2015 aufgelaufen sind (unbesehen davon, ob sie in der Bilanz der M UTTERGESELLSCHAFT als Verbindlichkeit enthalten sind oder nicht):

 

•

Stempelsteuer auf Bankunterlagen, wie im Gesetz über die Stempelsteuer und Kinovorstellungen im Kanton Tessin festgelegt;

 

•

Bundesgesetz zum Zinsbesteuerungsabkommen mit der Europäischen Gemeinschaft (Zinsbesteuerungsgesetz) (SR 641.91).

 

2

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

(b)	Other Tax liabilities accrued before 1 April 2015 /

Andere vor dem 1. April 2015 aufgelaufene Steuerverpflichtungen

All obligations and liabilities of the Parent related to taxes, duties, levies, or any other charges of a public law nature (except for those mentioned in the foregoing section (b)) that have accrued before 1 April 2015 (irrespective of whether they are recorded as a liability on the Parent’s balance sheet or not), such as:

Alle Verpflichtungen und Verbindlichkeiten der M UTTERGESELLSCHAFT bezüglich Steuern, Abgaben, Gebühren oder anderen öffentlich-rechtlichen Abgaben (ausgenommen die in vorstehend (a) genannten), die vor dem 1. April 2015 aufgelaufen sind (unbesehen davon, ob sie in der Bilanz der M UTTERGESELLSCHAFT als Verbindlichkeit enthalten sind oder nicht), wie etwa:

 

•

Corporate income and capital taxes;

 

•

Payroll taxes including social security contributions;

 

•

Value added taxes;

 

•

Swiss withholding tax;

 

•

Final withholding tax ( Abgeltungssteuer ) based on applicable tax treaties of Switzerland with the United Kingdom and Austria, respectively;

 

•

Swiss transfer stamp duties;

 

•

Italian and French financial transaction taxes;

 

•

Additional withholding taxes pursuant to double tax treaties of Switzerland with the United States, Canada, Australia and New Zealand, respectively.

 

•

Kapital- und Gewinnsteuern;

 

•

Lohnsteuern einschliesslich Sozialversicherungsabgaben;

 

•

Mehrwertsteuern;

 

•

Schweizerische Verrechnungssteuer;

 

•

Abgeltungssteuer basierend auf anwendbaren Steuerübereinkommen der Schweiz mit dem Vereinigten Königreich bzw. Österreich;

 

•

Schweizerische Stempelsteuern;

 

•

italienische und französische Finanztransaktionssteuern;

 

•

Zusätzliche Verrechnungssteuern gemäss Doppelbesteuerungsabkommen der Schweiz mit den Vereinigten Staaten, Kanada, Australien bzw. Neuseeland.

 

(c)	Liabilities in connection with the 2011 UK Tax Treaty /

Verbindlichkeiten im Zusammenhang mit dem 2011-S TEUERABKOMMEN -GB

Any obligations or liabilities of the Parent relating to the regularization of the past in connection with the 2011 UK Tax Treaty and related provisions of the International Withholding Tax Act, including those under the master agreement with the Swiss Bankers Association and the corresponding loan agreement between the Parent and the Verein Vorauszahlung UK (as listed under Annex 2d , section I.(v)), and including those currently reflected by a provision in the Parent’s balance sheet (but without limitation to the scope or amount of such provision);

Alle Verpflichtungen und Verbindlichkeiten der M UTTERGESELLSCHAFT bezüglich Regularisierung der Vergangenheit im Zusammenhang mit dem 2011-S TEUERABKOMMEN -GB und damit verbundenen Bestimmungen des IQG, einschliesslich derjenigen unter dem Master Agreement mit der Schweizerischen Bankiervereinigung und dem entsprechenden Darlehensvertrag zwischen der M UTTERGESELLSCHAFT und dem Verein Vorauszahlung UK (wie in Anhang 2d , Z IFF . I.(v) aufgeführt), und einschliesslich derjenigen, die gegenwärtig in einer Rückstellung in der Bilanz der M UTTERGESELLSCHAFT reflektiert sind (aber ohne Einschränkung des Umfangs oder des Betrags dieser Rückstellung);

 

(d)	Liabilities related to French tax audit /

Verbindlichkeiten in Bezug zur französischen Steuerprüfung

Any obligations or liabilities of the Parent relating to a tax audit in connection with Parent’s cross-border wealth management services in France, including those currently reflected by a provision in the Parent’s balance sheet (but without limitation to the scope or amount of such provision).

Alle Verpflichtungen oder Verbindlichkeiten der M UTTERGESELLSCHAFT bezüglich einer Steuerprüfung im Zusammenhang mit den grenzüberschreitenden Wealth Management-Dienstleistungen der M UTTERGESELLSCHAFT in Frankreich, einschliesslich derjenigen, die gegenwärtig durch eine Rückstellung in der Bilanz der M UTTERGESELLSCHAFT reflektiert sind (aber ohne Einschränkung des Umfangs oder des Betrags dieser Rückstellung).

 

3

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

III .

Other excluded rights, assets and legal relationships due to special reasons / Andere aufgrund spezieller Gründe ausgenommenen Rechte, Vermögenswerte und Rechtsbeziehungen

 

(a)	Corporate aircraft finance business assets/

Vermögenswerte des Corporate Aircraft Finance-Geschäfts

Notwithstanding the fact that they relate to the Business, the Parent does not transfer any of its rights, claims, assets or other legal relationships that relate to the contracts listed in Annex 2d, Section I.u) (heading “Agreements related to the corporate aircraft finance business / Verträge im Zusammenhang mit dem Corporate Aircraft Finance-Geschäft ”), including corporate aircrafts leased to clients.

Trotz der Tatsache, dass sie einen Bezug zum Geschäft aufweisen, überträgt die Muttergesellschaft keine ihrer Rechte, Forderungen, Vermögenswerte oder andere Rechtsbeziehungen, die sich auf die in Anhang 2d, Ziff I.u) (Titel “Agreements related to the corporate aircraft finance business / Verträge im Zusammenhang mit dem Corporate Aircraft Finance-Geschäft”) beziehen, einschliesslich Geschäfts-flugzeuge, die an Kunden geleast sind.

 

(b)	Litigated assets / Eingeklagte Vermögenswerte

Notwithstanding the fact that they relate to the Business, the Parent does not transfer any of its rights, claims, assets or other legal relationships that are the subject-matter ( Streitgegenstand ) of the following pending litigations or procedures, and the Parent shall continue to be a party in any such litigation or procedure:

Trotz der Tatsache, dass sie einen Bezug zum G ESCHÄFT aufweisen, überträgt die M UTTERGESELLSCHAFT keine ihrer Rechte, Forderungen, Vermögenswerte oder andere Rechtsbeziehungen, die Streitgegenstand der folgenden hängigen Gerichtsverfahren oder Prozesse sind, und die M UTTERGESELLSCHAFT behält ihre volle Parteistellung in allen diesen Gerichtsverfahren oder Prozessen:

 

•

Official investigation against a former employee with respect to misappropriation (art. 138 CC), forgery of a document (art. 251 CC) and attempted breach of banking secrecy (art. 47 Banking Act) the public prosecutor of Zurich (Staatsanwaltschaft III) with case number A-2/2012/510.

Formelles Verfahren der Staatsanwaltschaft Zürich (Staatsanwaltschaft III) gegen einen ehemaligen Mitarbeiter bezüglich Veruntreuung (Art. 138 StGB), Urkundenfälschung (Art. 251 StGB) und versuchter Verletzung des Bankgeheimnisses (Art. 47 BankG) mit Fallnummer A-2/2012/510.

 

•

Court proceedings against a former employee with respect to misappropriation (art. 138 CC), criminal mismanagement (art. 158 CC), forgery of a document (art. 251 CC), obtaining a false certificate by fraud (art. 253 CC) and neglect of duty to support the family (art. 217 CC) at the district court of Zurich (Bezirksgericht Zürich) with case number 09/03160.

Gerichtsverfahren gegen einen ehemaligen Mitarbeiter bezüglich Veruntreuung (Art. 138 StGB), ungetreue Geschäftsbesorgung (Art. 158 StGB), Urkundenfälschung (Art. 251 StGB), Erschleichen einer falschen Beurkundung (Art. 253 StGB) und Vernachlässigung von Unterhaltspflichten (Art. 217 StGB) vor dem Bezirksgericht Zürich mit Fallnummer 09/03160.

 

•

Official investigation against a former employee with respect to misappropriation (art. 138 CC) and/or criminal mismanagement (art. 158 CC) by the prosecutor of Sion with case n° P1 11 479.

Formelles Verfahren der Staatsanwaltschaft Sion gegen einen ehemaligen Mitarbeiter bezüglich Veruntreuung (Art. 138 StGB) und/oder ungetreue Geschäftsbesorgung (Art. 158 StGB) mit Fallnummer P1 11 479.

 

4

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

•

Official investigation against unknown with respect to robbery (art. 140 CC) by the prosecutor of Geneva with case n° P/14276/2013.

Formelles Verfahren der Staatsanwaltschaft Genf gegen unbekannt bezüglich Raub (Art. 140 StGB) mit Fallnummer P/14276/2013.

 

•

Official investigation against unknown with respect to theft (art. 139 CC) and/or criminal damage (art. 144 CC) by the prosecutor of Geneva with case n°P/7392/2014.

Formelles Verfahren der Staatsanwaltschaft Genf gegen unbekannt bezüglich Diebstahl (Art. 139 StGB) und/oder Sachbeschädigung (Art. 144 StGB) mit Fallnummer P/7392/2014.

 

•

Official investigation against unknown with respect to theft (art. 139 CC) and/or criminal damage (art. 144 CC) by the prosecutor of Morges with case n° PE10.028881-MMR.

Formelles Verfahren der Staatsanwaltschaft Morges gegen unbekannt bezüglich Diebstahl (Art. 139 StGB) und/oder Sachbeschädigung (Art. 144 StGB) mit Fallnummer PE10.028881-MMR.

 

•

Official investigation against a former employee with respect to misappropriation (art. 138 CC) and criminal mismanagement (art. 158 CC) by the prosecutor of Geneva with case n° P/10332/2014.

Formelles Verfahren der Staatsanwaltschaft Genf gegen einen ehemaligen Mitarbeiter bezüglich Veruntreuung (Art. 138 StGB) und ungetreuer Geschäftsbesorgung (Art. 158 StGB) mit Fallnummer P/10332/2014.

 

•

Official investigation against a former employee with respect to fraud (art. 146 CC), misappropriation (art. 138 CC), criminal mismanagement (art. 158 CC), theft (art. 139 CC) and money laundering (art. 305 bis CC) by the public prosecutor of the Canton of Geneva with case number P/5529/2011 UBE.

Formelles Verfahren der Staatsanwaltschaft Genf gegen einen ehemaligen Mitarbeiter bezüglich Betrug (Art. 146 StGB), Veruntreuung (Art. 138 StGB), ungetreuer Geschäftsbesorgung (Art. 158 StGB), Diebstahl (Art. 139 StGB) und Geldwäscherei (Art. 305 ^bis StGB) mit Fallnummer P/5529/2011 UBE.

 

•

Official investigation against unknown with respect to fraud (art. 146 CC) and forgery of a document (art. 251 CC) by the public prosecutor of Lugano with case number 2007.210/MCA.

Formelles Verfahren der Staatsanwaltschaft Lugano gegen unbekannt bezüglich Betrug (Art. 146 StGB) und Urkundenfälschung (Art. 251 StGB) mit Fallnummer 2007.210/MCA.

 

•

Official investigation against a former employee and Third Parties with respect to fraud (art. 146 CC), misappropriation (art. 138 CC) and criminal mismanagement (art. 158 CC) by the public prosecutor of Lugano with case number Inc. 2013.268/LF.

Formelles Verfahren der Staatsanwaltschaft Lugano gegen einen ehemaligen Mitarbeiter und D RITTPARTEIEN bezüglich Betrug (Art. 146 StGB), Veruntreuung (Art. 138 StGB) und ungetreuer Geschäftsbesorgung (Art. 158 StGB) mit Fallnummer Inc. 2013.268/LF.

 

•

Official investigation against Third Parties with respect to fraud (art. 146 CC), forgery of a document (art. 251 CC), and fraudulent bankruptcy and fraud against seizure (art. 163 CC) by the public prosecutor of Lugano with case number Inc. 2011.7170/JN.

Formelles Verfahren der Staatsanwaltschaft Lugano gegen D RITTPARTEIEN bezüglich Betrug (Art. 146 StGB), Urkundenfälschung (Art. 251 StGB) und betrügerischem Konkurs und Pfändungsbetrug (Art. 163 StGB) mit Fallnummer Inc. 2011.7170/JN.

 

5

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

•

Official investigation against Third Parties with respect to misappropriation (art. 138 CC) by the public prosecutor of Salerno with case number 3601/12/21.

Formelles Verfahren der Staatsanwaltschaft Salerno gegen D RITTPARTEIEN bezüglich Veruntreuung (Art. 138 StGB) mit Fallnummer 3601/12/21.

 

•

Official investigation against a Third Party with respect to fraud (art. 146 CC) and forgery of a document (art. 251 CC) by the public prosecutor of Lugano with case number Inc. 2003.8575/MN.

Formelles Verfahren der Staatsanwaltschaft Lugano gegen eine D RITTPARTEI bezüglich Betrug (Art. 146 StGB) und Urkundenfälschung (Art. 251 StGB) mit Fallnummer Inc. 2003.8575/MN.

 

•

Official investigation against unknown with respect to fraud (art. 146 CC), forgery of a document (art. 251 CC) and forgery of certificates (art. 252 CC) by the public prosecutor of Geneva with case number P/24743/2014.

Formelles Verfahren der Staatsanwaltschaft Genf gegen Unbekannt bezüglich Betrug (Art. 146 StGB), Urkundenfälschung (Art. 251 StGB) und Fälschung von Ausweisen (Art. 252 StGB) mit Fallnummer P/24743/2014.

 

•

Official investigation against a former employee with respect to misappropriation (art. 138 CC), criminal mismanagement (art. 158 CC) and forgery of a document (art. 251 CC) by the public prosecutor of Geneva with case number PP/4376/2006.

Formelles Verfahren der Staatsanwaltschaft Genf gegen einen ehemaligen Mitarbeiter bezüglich Veruntreuung (Art. 138 StGB), ungetreue Geschäftsbesorgung (Art. 158 StGB) und Urkundenfälschung (Art. 251 StGB) mit Fallnummer PP/4376/2006.

 

•

Official investigation against a former employee with respect to misappropriation (art. 138 CC), criminal mismanagement (art. 158 CC) and forgery of a document (art. 251 CC) by the public prosecutor of Vaud with case number PE11-021403-YGL.

Formelles Verfahren der Staatsanwaltschaft Waadt gegen einen ehemaligen Mitarbeiter bezüglich Veruntreuung (Art. 138 StGB), ungetreue Geschäftsbesorgung (Art. 158 StGB) und Urkundenfälschung (Art. 251 StGB) mit Fallnummer PP11-021403-YGL.

 

•

Court proceedings against a former employee with respect to misappropriation (art. 138 CC) before the Tribunal Correctionnel du Tribunal d’arrondissement de la Côte in Nyon with case number PE 12.018804-ERA/mpd.

Gerichtsverfahren gegen einen ehemaligen Mitarbeiter bezüglich Veruntreuung (Art. 138 StGB) vor dem Tribunal Correctionnel du Tribunal d’arrondissement de la Côte in Nyon mit Fallnummer PE 12.018804-ERA/mpd.

 

•

Official investigation against a Third Party with respect to fraud et al. (art. 146 CC) by the public prosecutor of Geneva with case number P/16293/2011

Formelles Verfahren der Staatsanwaltschaft Genf gegen eine D RITTPARTEI bezüglich u.a. Betrug (Art. 146 StGB) mit Fallnummer P/16293/2011.

 

•

Official investigation against a Third Party with respect to fraud et al. (art. 146 CC) by the public prosecutor of Zurich III with case number B-4/2013/192.

Formelles Verfahren der Staatsanwaltschaft Zürich III gegen eine D RITTPARTEI bezüglich u.a. Betrug (Art. 146 StGB) mit Fallnummer B-4/2013/192.

 

•

Official investigation against a Third Party with respect to fraud et al. (art. 146 CC) by the public prosecutor of Zurich III with case number B-4/2010/83.

Formelles Verfahren der Staatsanwaltschaft Zürich III gegen eine D RITTPARTEI bezüglich u.a. Betrug (Art. 146 StGB) mit Fallnummer B-4/2010/83.

 

6

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

•

Official investigation against Third Parties with respect to fraud (art. 146 CC) and misappropriation (art. 138 CC) by the public prosecutor of Lausanne with case number PE08.027142-CDT.

Formelles Verfahren der Staatsanwaltschaft Lausanne gegen D RITTPARTEIEN bezüglich Betrug (Art. 146 StGB) und Veruntreuung (Art. 138 StGB) mit Fallnummer PE08.027142-CDT.

 

•

Official investigation against a Third Party with respect to misappropriation (art. 138 CC), criminal mismanagement (art. 158 CC), forgery of a document (art. 251 CC) and reduction of assets to the prejudice of creditors (art. 164 CC) by the public prosecutor of the Canton of Jura with case number MP 2755/2009.

Formelles Verfahren der Staatsanwaltschaft des Kantons Jura gegen eine D RITTPARTEI bezüglich Veruntreuung (Art. 138 StGB), ungetreue Geschäftsbesorgung (Art. 158 StGB), Urkundenfälschung (Art. 251 StGB) und Gläubigerschädigung durch Vermögensminderung (Art. 164 StGB) mit Fallnummer MP 2755/2009.

 

•

Bankruptcy proceedings pending before the Commercial Court of Krasnodar Region, Russia, with case number A32-1195/11.

Konkursverfahren, hängig beim Handelsgericht der Region Krasnodar, Russland, mit Fallnummer A32-1195/11.

 

•

Criminal complaint against a client (in the context of two leasing agreements) with respect to misappropriation (art. 138 CC) by the public prosecutor of the “arrondissement de la Côte, canton de Vaud” with case number PE.15009503.XCR.

Strafanzeige der Staatsanwaltschaft des Kantons Waadt “arrondissement de la Côte” gegen einen Kunden (im Zusammenhang mit zwei Leasingverträgen) bezüglich Veruntreuung (Art. 138 StGB) mit Fallnummer PE.15009503.XCR.

 

7

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG /

Vermögensübertragungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 2a

Transferred Contracts /

Anhang 2a

Ü BERTRAGENE V ERTRÄGE

 

Notariat Hottingen-Zürich

Roman Sandmayr, Notar

 

1

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

The Parent transfers and the Subsidiary assumes all Transferred Contracts (meaning the transfer and assumption of Parent’s entire contractual position, including all right, title, interest and burden therein, and any and all rights and claims, obligations and liabilities, formation rights ( Gestaltungsrechte ), base rights ( Stammrechte ) and other rights or legal positions thereunder), such Transferred Contracts including without limitation the following contracts, whether any such contract is currently ongoing or already terminated (but except for the Excluded Contracts listed in Annex 2d ):

Die M UTTERGESELLSCHAFT überträgt und die T OCHTERGESELLSCHAFT übernimmt alle Ü BERTRAGENEN V ERTRÄGE (dies bedeutet die Übertragung und Übernahme sämtlicher Vertragspositionen der M UTTERGESELLSCHAFT , einschliesslich aller Rechte, Titel, Nutzen und Lasten sowie alle Rechte und Ansprüche, Verpflichtungen und Verbindlichkeiten, Gestaltungsrechte, Stammrechte und andere Rechte oder Rechtspositionen unter diesen Verträgen). Folgende Verträge stellen, nicht abschliessend, diese Ü BERTRAGENEN V ERTRÄGE dar, unabhängig davon, ob einer dieser Verträge derzeit in Kraft oder bereits beendet ist (jedoch ohne die A USGENOMMENEN V ERTRÄGE gemäss Anhang 2d ):

 

(a)	all contracts of the Parent with its clients (including subsidiaries of the Parent as the case may be) that meet cumulatively the following criteria:

alle Verträge der M UTTERGESELLSCHAFT mit ihren Kunden (einschliesslich gegebenenfalls Tochtergesellschaften der M UTTERGESELLSCHAFT ), die kumulativ folgende Kriterien erfüllen:

 

(i)

they are entered into by the client with a Swiss branch or office of the Parent (having an address in Switzerland) or directly with the main office of the Parent at its registered address without making reference to a Swiss branch or office (as opposed to contracts entered into with a non-Swiss branch or office of the Parent), and in particular contracts entered into with a Swiss branch or office of the Parent referring to a Swiss interbank clearing number, as per Annex 2b ; and

Sie wurden von einem Kunden mit einer Schweizer Zweigniederlassung oder Geschäftsstelle der M UTTERGESELLSCHAFT (mit Adresse in der Schweiz) oder direkt mit der Hauptgeschäftsstelle der M UTTERGESELLSCHAFT an ihrer eingetragenen Adresse ohne Bezugnahme auf eine Schweizer Zweigniederlassung oder Geschäftsstelle abgeschlossen (im Gegensatz zu Verträgen, die mit einer nicht-schweizerischen Zweigniederlassung oder nicht-schweizerischen Geschäftsstelle der M UTTERGESELLSCHAFT abgeschlossen wurden), und insbesondere Verträge, die mit einer Schweizer Zweigniederlassung oder Geschäftsstelle der M UTTERGESELLSCHAFT unter Bezugnahme auf eine Schweizer Interbank Clearing Nummer gemäss Anhang 2b abgeschlossen wurden; und

 

(ii)

they (A) encompass the products or are related to the subject-matters or services of the Business listed in Annex 2C or (B) encompass other products or are related to other services of the Business (as opposed to products or services of the divisions Investment Banking and Global Asset Management of the Parent);

sie (A) umfassen Produkte oder beziehen sich auf Angelegenheiten oder Dienstleistungen gemäss Anhang 2C oder (B) umfassen andere Produkte oder beziehen sich auf andere Dienstleistungen des G ESCHÄFTS (im Gegensatz zu Produkten oder Dienstleistungen der Unternehmensbereiche Investment Banking und Global Asset Management der M UTTERGESELLSCHAFT );

 

(b)	all UBS KeyLink contracts of the Parent with clients that do not receive any other services from the Parent in Switzerland but hold a banking relationship with the Parent outside of Switzerland;

alle UBS KeyLink Verträge der M UTTERGESELLSCHAFT mit Kunden, die keine anderen Dienstleistungen der M UTTERGESELLSCHAFT in der Schweiz in Anspruch nehmen, aber eine Bankbeziehung mit der M UTTERGESELLSCHAFT ausserhalb der Schweiz unterhalten;

 

(c)	all guarantees and instruments of a similar nature like, e.g. sureties and standby letters of credit issued by the Parent and any other collateral arrangements based on client contracts pursuant to (a) above;

alle gestützt auf Kundenverträge gemäss vorstehend (a) von der M UTTERGESELLSCHAFT gewährten Garantien und garantieähnlichen Instrumente wie z.B. Bürgschaften, standby letters of credit, welche von der M UTTERGESELLSCHAFT ausgestellt wurden, und andere Sicherheitsvereinbarungen;

 

2

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

(d)	all guarantees and instruments of a similar nature like, e.g. sureties and standby letters of credit issued in favour of the Parent and any other collateral arrangements in connection with a Transferred Contract;

alle im Zusammenhang mit einem Ü BERTRAGENEN V ERTRAG zugunsten von der M UTTERGESELLSCHAFT ausgestellten Garantien und garantieähnlichen Instrumente wie z.B. Bürgschaften, standby letters of credit und andere Sicherheitsvereinbarungen;

 

(e)	all letters of credit either issued, advised or confirmed by the Parent in connection with client contracts pursuant to (a) above;

alle von der M UTTERGESELLSCHAFT eröffneten, avisierten oder bestätigten Akkreditive im Zusammenhang mit Kundenverträgen gemäss vorstehend (a);

 

(f)	all sale contracts related to real estate acquired by way of collateral liquidation from defaulted mortgage clients;

alle Verkaufsverträge bezüglich Grundstücken, die durch Sicherheitenverwertung von säumigen Hypothekarkunden erworben wurden;

 

(g)	all contracts related to Mid Market Advisory Switzerland and Corporate and Institutional Client M&A Advisory;

alle Verträge bezüglich Mid Market Advisory Schweiz und Corporate and Institutional Client M&A Advisory;

 

(h)	all escrow agreements where the Parent acts as an escrow agent as part of the service offered by the Business as set out in section (t) of Annex 2c ;

alle Escrowverträge gemäss welchen die M UTTERGESELLSCHAFT für die vom G ESCHÄFT angebotene Dienstleistung gemäss Z IFF . (t) im Anhang 2c als Escrow Agent fungiert;

 

(i)	The following contracts with providers of financial market Infrastructure entered into directly with the main office of the Parent (as opposed to a foreign branch):

Folgende Verträqe mit Anbietern von Finanzmarktinfrastruktur, die direkt mit dem Hauptsitz der M UTTERGESELLSCHAFT abgeschlossen wurden (im Gegensatz zu einer ausländischen Zweigniederlassung):

 

(i)

all contracts related to payment and cash clearing services, including but not limited to contracts with cash correspondent banks, cheques services, bank notes supplier, Postfinance, Swiss National Bank/SIC, SECB/euroSIC;

alle Verträge, die sich auf Zahlungsverkehrsdienstleistungen und Cash Clearing Dienstleistungen beziehen, einschliesslich, aber nicht abschliessend, Verträge mit Korrespondenzbanken, Checkservices, Banknotenlieferanten, Postfinance, Schweizerische Nationalbank/SIC, SECB/euroSIC;

 

(ii)

all contracts related to custody services with sub-custodians, central securities depositories and fund transfer agents, including but not limited to contracts with SIX SIS AG, SIX Terravis AG, X-Clear AG and Clearstream Banking SA, Luxembourg, including without limitation the SIX nominee participant agreement ( Teilnehmervertag betreffend treuhänderische Verwaltung von Register-Schuldbriefen ) with SIX SIS AG;

alle Verträge, die mit Custody-Dienstleistungen mit Drittverwahrungsstellen, zentralen Verwahrungsstellen und Fonds Transfer Agents im Zusammenhang stehen, einschliesslich aber nicht beschränkt auf Verträge mit SIX SIS AG, SIX Terravis AG, X-Clear AG und Clearstream Banking SA, Luxemburg, einschliesslich aber nicht beschränkt auf den Teilnehmervertrag betreffend treuhänderische Verwaltung von Register-Schuldbriefen SIX SIS AG;

 

(iii)

all contracts entered into with SIX Swiss Exchange (except Excluded Contracts as defined in Annex 2d ), including all orders entered and still existing at the moment of transfer in the order books of SIX Swiss Exchange AG and SIX Structured Products Exchange AG;

alle Verträge mit SIX Swiss Exchange (ausser A USGENOMMENE V ERTRÄGE wie in Anhang 2d festgelegt), einschliesslich sämtliche in den Auftragsbüchern der SIX Swiss Exchange AG und der SIX Structured Products Exchange AG erfassten und im Moment der Ü BERTRAGUNG noch bestehenden Aufträge;

 

3

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

(iv)

all contracts related to brokerage services;

alle Verträge bezüglich Brokerage Dienstleistungen;

 

(v)

all contracts related to repo business and covered loans entered into before the Effective Date, including but not limited to SIX Repo AG and the Swiss National Bank;

alle Verträge bezüglich das Repo-Geschäft und gedeckte Darlehen, welche vor dem S TICHTAG abgeschlossen wurden, einschliesslich aber nicht beschränkt auf die SIX Repo AG und die Schweizerische Nationalbank;

 

(vi)

all contracts related to securities lending and borrowing business, including but not limited to the Swiss Master Agreement for Securities Lending and Borrowing (SLB, Effektendarlehen);

alle Verträge bezüglich das Securities Lending and Borrowing-Geschäft, einschliesslich aber nicht beschränkt auf den Schweizer Rahmenvertrag betreffend Securities Lending and Borrowing (SLB, Effektendarlehen);

 

(vii)

all contracts related to fiduciary deposit placements with fiduciary takers (third party banks);

alle Verträge bezüglich treuhänderischen Hinterlegungen mit Treuhändern (Drittbanken);

 

(viii)

the following two contracts related to Trade and Export Finance infrastructure platforms: contract with ELCY and contract with Bolero;

die folgenden zwei Verträge im Zusammenhang mit Handels- und Exportfinanzierungs-Infrastruktur-Plattformen: Verträge mit ELCY und Vertrag mit Bolero;

 

(j)	All contracts related to the funding programs (which are part of the Business), including without limitation:

Alle Verträge im Zusammenhang mit Funding Programmen (die Teil des G ESCHÄFTS bilden), einschliesslich, nicht abschliessend:

 

(i)

the framework agreement and all loan agreements and all other agreements entered into with Pfandbriefbank Schweizerischer Hypothekarinstitute AG;

der Rahmenvertrag und alle Darlehensverträge sowie alle anderen Verträge, die mit der Pfandbriefbank Schweizerischer Hypothekarinstitute AG abgeschlossen wurden;

 

(ii)

all contracts related to liquidity facilities of the Swiss National Bank with Swiss National Bank and SIX SIS AG;

sämtliche im Zusammenhang mit Liquiditätsfazilitäten der Schweizerischen Nationalbank stehende Verträge mit der Schweizerischen Nationalbank und der SIX SIS AG;

 

(k)	Fund contracts under the CISA to which the custodian bank is a party;

Fondsverträge gemäss KAG, bei denen die Depotbank Partei ist;

 

(l)	The following contracts entered into with suppliers and service providers:

Die folgenden Verträge, die mit Lieferanten und Dienstleistungserbringern abgeschlossen wurden:

 

(i)

all contracts related to Recovery Real Estate Portfolio in Switzerland (in particular ground lease and lease agreements, insurance contracts, service agreements, broker mandates, etc.);

alle Verträge im Zusammenhang mit dem Recovery Real Estate Portfolio in der Schweiz (insbesondere Grundstücksmietverträge und Mietverträge, Versicherungsverträge, Dienstleistungsverträge, Vermittlungsaufträge etc.);

 

4

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

(ii)

all contracts related to debit and credit cards with Trüb AG and the following contracts with Intercard AG: master agreement and license agreement;

alle Verträge im Zusammenhang mit Debit- und Kreditkarten mit Trüb AG und folgende Verträge mit Inter card AG: Rahmenvereinbarung und Lizenzvereinbarung;

 

(m)

all cooperation agreements of the Parent with any subsidiary which are related to the Business (including, but not limited to cooperation agreements with UBS Card Center AG, Topcard Service AG, UBS Hypotheken AG or UBS advisory offices) as well as the instrument of parental support issued by the Parent for Topcard Service AG in favour of credit card customers.

Sämtliche mit Tochtergesellschaften abgeschlossenen Zusammenarbeitsverträge der M UTTERGESELLSCHAFT , welche mit dem G ESCHÄFT zusammenhängen (einschliesslich, jedoch nicht abschliessend, Zusammenarbeitsverträge mit UBS Card Center AG, Topcard Service AG, UBS Hypotheken AG oder UBS Advisory Offices) sowie die von der M UTTERGESELLSCHAFT für Topcard Services AG ausgestellte Konzerngarantie zugunsten von Kreditkartenkunden.

 

(n)	Any other contracts with Third Parties related to client contracts pursuant to (a) above (including but not limited to framework agreements with insurance companies, cooperation agreements regarding special conditions, etc.).

Alle anderen Verträge mit D RITTPARTEIEN mit Bezug zu Kundenverträgen gemäss vorstehend (a) (einschliesslich, aber nicht abschliessend, Rahmenverträge mit Versicherungsgesellschaften, Zusammenarbeitsverträge für Speziulkonditionen, etc.).

 

(o)

All other contracts with Third Parties related to client assets or services provided to the clients as set out in Annex 2c (including but not limited to framework agreements with insurance companies related to fire insurance for real estates of clients which are subject to a mortgage loan agreements).

Alle anderen Verträge mit D RITTPARTEIEN in Bezug auf Vermögenwerte von Kunden oder auf Kundendienstlcistungen, wie in Anhang 2c aufgelistet, (einschliesslich, aber nicht abschliessend, Rahmenverträge mit Versicherungsgesellschaften in Bezug auf Biandschutzversicherung für Kundenimmobilien, welche Gegenstand von Hypothekarkreditverträgen sind).

 

5

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG /

Vermögensübertragungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 2b

UBS Swiss Interbank clearing numbers /

Anhang 2b

UBS Swiss Interbank Clearing Nummern

 

Notariat Hottingen-Zürich

Roman Sandmayr, Notar

 

1

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

The following Swiss interbank clearing numbers refer to a Swiss branch or office of the Parent that meets the criterion of lit. (a)(i) of Annex 2a for purposes of identifying Transferred Contracts under lit. (a) of Annex 2a :

Die folgenden Swiss Interbank Clearing Nummern beziehen sich auf eine Schweizer Zweigniederlassung oder Geschäftsstelle der M UTTERGESELLSCHAFT , welche das Kriterium von lit. (a)(i) von Anhang 2a zur Bestimmung der Ü BERTRAGENEN V ERTRÄGE gemäss lit. (a) von Anhang 2a erfüllen:

 

No		Bank or Institution		Canton		City		Street Address		BC Number
Nr.		Bank oder Institution		Kanton		Stadt		Adresse		BC- Nummer
1		UBS AG		AG		Aarau		Bahnhofstrasse 61		231
2		UBS AG		AG		Bad Zurzach		Hauptstrasse 55		232
3		UBS AG		AG		Baden		Badstrasse 12		232
4		UBS AG		AG		Bremgarten AG 1		Zürcherstrasse 7		258
5		UBS AG		AG		Brugg AG		Bahnhofstrasse 11		210
6		UBS AG		AG		Fislisbach		Badenerstrasse 26		232
7		UBS AG		AG		Frick		Hauptstrasse 73		245
8		UBS AG		AG		Lenzburg 1		Bahnhofstrasse 7		231
9		UBS AG		AG		Muri AG		Marktstrasse 7		258
10		UBS AG		AG		Reinach AG		Bahnhofstrasse 5		231
11		UBS AG		AG		Rheinfelden		Kaiserstrasse 9		245
12		UBS AG		AG		Stein AG		Schaffhauserstrasse 28		231
13		UBS AG		AG		Wettingen 1		Landstrasse 61		232
14		UBS AG		AG		Wohlen AG 1		Zentralstrasse 55		258
15		UBS AG		AG		Zofingen		Niklaus-Thut-Platz 9		231
16		UBS AG		AI		Appenzell		Hauptgasse 11		254
17		UBS AG		AR		Gais		Dorfplatz 5		254
18		UBS AG		AR		Heiden		Kirchplatz 4		254
19		UBS AG		AR		Herisau		Obstmarkt 1		254
20		UBS AG		AR		Speicher		Zaun 55		254
21		UBS AG		AR		Teufen AR		Ebni 4		254
22		UBS AG		AR		Urnäsch		Herisauer Strasse 5		254
23		UBS AG		BE		Aarberg		Murtenstrasse 3		272
24		UBS AG		BE		Aarwangen		Langenthalstrasse 33		235
25		UBS AG		BE		Attiswil		Oltenstrasse 5		262
26		UBS AG		BE		Bern		Bümpliz / Bottigenstrasse 2		235
27		UBS AG		BE		Bern 22		Breitenrainstrasse 10		235
28		UBS AG		BE		Bern 9		Länggassstrasse 29		235
29		UBS AG		BE		Bern 94		Bärenplatz 8		235
30		UBS AG		BE		Bern 94		Bubenbergplatz 3		235
31		UBS AG		BE		Biel/Bienne		Nidaugasse 49		272

 

2

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

32		UBS AG		BE		Bolligen Station		Bolligenstrasse 94		235
33		UBS AG		BE		Brügg BE		Bahnhofstrasse 2		272
34		UBS AG		BE		Büren an der Aare		Hauptgasse 5		272
35		UBS AG		BE		Burgdorf		Emmentalstrasse 14		235
36		UBS AG		BE		Erlach		Stadtgraben 4		272
37		UBS AG		BE		Grindelwald		Hauptstrasse		241
38		UBS AG		BE		Grosshöchstetten		Kramgasse 4		235
39		UBS AG		BE		Gstaad		Promenade 780 B		227
40		UBS AG		BE		Gümligen		Moosstrasse 2		235
41		UBS AG		BE		Hasle-Rüegsau		Kalchofenstrasse 6		235
42		UBS AG		BE		Herzogenbuchsee		Wangenstrasse 10		235
43		UBS AG		BE		Hindelbank		Dorfstrasse 4		235
44		UBS AG		BE		Ins		Bahnhofstrasse 11		272
45		UBS AG		BE		Interlaken		Bahnhofstrasse 20		241
46		UBS AG		BE		Ittigen		Talweg 14		235
47		UBS AG		BE		Kirchberg BE		Solothurnstrasse 4		235
48		UBS AG		BE		Köniz		Schwarzenburgstrasse 230		235
49		UBS AG		BE		Konolfingen		Kreuzplatz 1		235
50		UBS AG		BE		Koppigen		St. Niklausstrasse 1		262
51		UBS AG		BE		Langenthal		Marktgasse 16		235
52		UBS AG		BE		Langnau im Emmental		Alleestrasse 10 A		235
53		UBS AG		BE		Lengnau BE		Bielstrasse 24		262
54		UBS AG		BE		Lenk im Simmental		Rawilstrasse 5		227
55		UBS AG		BE		Lyss		Marktplatz 9		272
56		UBS AG		BE		Münchenbuchsee		Klosterweg 2		235
57		UBS AG		BE		Münsingen		Thunstrasse 4		235
58		UBS AG		BE		Nidau		Hauptstrasse 10		272
59		UBS AG		BE		Niederbipp		Dorfstrasse 6		262
60		UBS AG		BE		Oberburg		Emmentalstrasse 11		235
61		UBS AG		BE		Oberdiessbach		Burgdorfstrasse 3		235
62		UBS AG		BE		Roggwil BE		Dorfstrasse 2		235
63		UBS AG		BE		Schüpfen		Dorfstrasse 17		235
64		UBS AG		BE		Spiegel b. Bern		Chasseralstrasse 156		235
65		UBS AG		BE		Spiez		Seestrasse 7		227
66		UBS AG		BE		Thun		Bälliz 1		227
67		UBS AG		BE		Utzenstorf		Hauptstrasse 14		262
68		UBS AG		BE		Wangen an der Aare		Vorstadt 30		235
69		UBS AG		BE		Worb 1		Kirchweg 1		235
70		UBS AG		BE		Zollikofen		Bernstrasse 94		235
71		UBS AG		BE		Zweisimmen		Mühlegasse 1		227

 

3

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

72		UBS AG		BL		Allschwil 1		Baslerstrasse 96		233
73		UBS AG		BL		Arlesheim		Hauptstrasse 31		233
74		UBS AG		BL		Binningen 1		Oberwilerstrasse 2		233
75		UBS AG		BL		Birsfelden		Hauptstrasse 53		233
76		UBS AG		BL		Gelterkinden		Badweg 2		245
77		UBS AG		BL		Laufen		Hauptstrasse 37		245
78		UBS AG		BL		Liestal		Rheinstrasse 12		245
79		UBS AG		BL		Muttenz 1		Hauptstrasse 68		233
80		UBS AG		BL		Oberwil BL		Bottmingerstrasse 75		233
81		UBS AG		BL		Pratteln 1		Bahnhofstrasse 5		233
82		UBS AG		BL		Reinach BL 1		Austrasse 2		233
83		UBS AG		BL		Sissach		Hauptstrasse 54		245
84		UBS AG		BS		Basel		Aeschenplatz 6		233
85		UBS AG		BS		Basel		Aeschenvorstadt 1		292
86		UBS AG		BS		Basel		Ahornhof, Türkheimerstrasse		233
87		UBS AG		BS		Basel		Centralbahnplatz 6		233
88		UBS AG		BS		Basel		Gellert / Hardstrasse 143		233
89		UBS AG		BS		Basel		Kleinbasel / Claraplatz 2		233
90		UBS AG		BS		Basel		Lysbüchel / Elsässersrasse 256		233
91		UBS AG		BS		Basel		Marktplatz 17		233
92		UBS AG		BS		Basel		Neubad / Neubadstrasse 146		233
93		UBS AG		BS		Basel		St. Johann / Elsässerstrasse 16		233
94		UBS AG		BS		Basel		Tellplatz 12		233
95		UBS AG		BS		Riehen 1		Baselstrasse 48		233
96		UBS SA		FR		Bulle		Avenue de la Gare 12		266
97		UBS SA		FR		Châtel-St-Denis		Route de Vevey 30		266
98		UBS AG		FR		Düdingen		Hauptstrasse 44		211
99		UBS SA		FR		Estavayer-le-Lac		Rue de la Gare 14		260
100		UBS AG		FR		Flamatt		Bernstrasse 11		235
101		UBS SA		FR		Fribourg		Route du Jura 37		260
102		UBS SA		FR		Fribourg		Rue Saint-Pierre 1		260
103		UBS AG		FR		Kerzers		Murtenstrasse 12		272
104		UBS SA		FR		Marly 1		Route des Pralettes 1		260
105		UBS AG		FR		Murten/Morat		Hauptgasse 55		260
106		UBS SA		FR		Romont FR		Rue de l’Eglise 96		260
107		UBS SA		GE		Cologny		Place du Manoir 16		240
108		UBS SA		GE		Genève 1		Place de Cornavin 12		240
109		UBS SA		GE		Genève 2		Acacias / Rue des Noirettes 35		240
110		UBS SA		GE		Genève 2		Aéroport Cointrin		240

 

4

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

111		UBS SA		GE		Genève 2		Cern / Route de Meyrin 385		279
112		UBS SA		GE		Genève 2		Lancy-Onex / Rue des Bossons 90		240
113		UBS SA		GE		Genève 2		OMC / Rue de Lausanne 154		279
114		UBS SA		GE		Genève 2		OMS / Avenue Appia 20		279
115		UBS SA		GE		Genève 2		Place des Eaux-Vives 2		240
116		UBS SA		GE		Genève 2		Place du Petit-Saconnex 11		240
117		UBS SA		GE		Genève 2		Plainpalais / Bv.du Pont-d’Arve 39		279
118		UBS SA		GE		Genève 2		Route de Florissant 59		240
119		UBS SA		GE		Genève 2		Rue de Genève 18		279
120		UBS SA		GE		Genève 2		Rue de la Servette 75		240
121		UBS SA		GE		Genève 2		Rue du Rhône 8		240
122		UBS SA		GE		Genève 2		Rue du Rhône 8		279
123		UBS SA		GE		Genève 2		UNO / Palais des Nations		279
124		UBS SA		GE		Genève 2		Vermont-Nat./Ch.Louis-Dunant 17 bis		279
125		UBS SA		GE		Genève 22		BIT / Route des Morillons 4		279
126		UBS SA		GE		Meyrin		Avenue de Feuillasse 24		240
127		UBS SA		GE		Plan-les-Ouates		Route de St-Julien 114		240
128		UBS SA		GE		Vernier		Rue du Village 28		240
129		UBS SA		GE		Versoix		Rampe de la Gare 2		240
130		UBS AG		GL		Glarus		Burgstrasse 1		284
131		UBS AG		GR		Arosa		Poststrasse 198		204
132		UBS AG		GR		Chur		Poststrasse 1		208
133		UBS AG		GR		Davos Platz 1		Promenade 48		209
134		UBS AG		GR		Disentis/Mustér		Via Sursilvana 18		208
135		UBS AG		GR		Flims Dorf		Via Nova 64		208
136		UBS AG		GR		llanz		Bahnhofstrasse 14		208
137		UBS AG		GR		Klosters		Bahnhofstrasse 6		209
138		UBS AG		GR		Lenzerheide/Lai		Voa principala 68		208
139		UBS SA		GR		Poschiavo		Plazza da Cumün		221
140		UBS AG		GR		St. Moritz 1		Plazza Mauritius/Via Maistra 14		221
141		UBS AG		GR		Thusis		Neudorfstrasse 46		208
142		UBS SA		JU		Delémont 1		Rue de l’Avenir 5		226
143		UBS SA		JU		Porrentruy 1		Rue du Jura 11		226
144		UBS AG		LU		Beromünster		Centralstrasse 2		288
145		UBS AG		LU		Emmenbrücke 1		Sonnenplatz		288
146		UBS AG		LU		Hochdorf		Hauptstrasse 5		288
147		UBS AG		LU		Kriens		Gemeindehausstrasse 1		248
148		UBS AG		LU		Luzern		Bahnhofplatz 2		248
149		UBS AG		LU		Luzern 15		Würzenbachstrasse 21		248

 

5

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

150		UBS AG		LU		Malters		Unterfeld 4 A		288
151		UBS AG		LU		Sursee		Bahnhofstrasse 31		288
152		UBS AG		LU		Wolhusen		Bahnhofstrasse 20		288
153		UBS SA		NE		Boudry		Avenue du Collège 8		290
154		UBS SA		NE		Cernier		Frédéric Soguel 1		290
155		UBS SA		NE		Chaux-de-Fonds, La		Avenue Léopold-Robert 16		242
156		UBS SA		NE		Fleurier		Avenue de la Gare 3		290
157		UBS SA		NE		Landeron, Le		Rue de la Gare 10		290
158		UBS SA		NE		Locle, Le		Rue Henry-Grandjean 5		242
159		UBS SA		NE		Neuchâtel		Place Pury 5		290
160		UBS SA		NE		Peseux		Place de la Fontaine 4		290
161		UBS AG		NW		Hergiswil NW		Seestrasse 20		248
162		UBS AG		NW		Stans		Buochserstrasse 2		248
163		UBS AG		OW		Sarnen		Bahnhofplatz 1		248
164		UBS AG		SG		Altstätten SG		Rorschacherstrasse 1		213
165		UBS AG		SG		Bad Ragaz		Am Platz 8		220
166		UBS AG		SG		Buchs SG 1		St. Gallerstrasse 5		220
167		UBS AG		SG		Flawil 1		Bahnhofstrasse 2		254
168		UBS AG		SG		Gossau SG 1		St. Gallerstrasse 57		254
169		UBS AG		SG		Heerbrugg		Kirchstrasse 2		213
170		UBS AG		SG		Lichtensteig		Hauptgasse 8		244
171		UBS AG		SG		Rapperswil SG		Rathausstrasse 8		250
172		UBS AG		SG		Rorschach		Hauptstrasse 78		252
173		UBS AG		SG		Sargans		Grossfeldstrasse 19		208
174		UBS AG		SG		St. Gallen		Am Bahnhofplatz		254
175		UBS AG		SG		St. Gallen		Multertor / Neugasse 54		254
176		UBS AG		SG		St. Margrethen SG		Bahnhofplatz 4		295
177		UBS AG		SG		Wattwil		Bahnhofstrasse 9		244
178		UBS AG		SG		Wil SG 1		Obere Bahnhofstrasse 36		256
179		UBS AG		SH		Schaffhausen		Neuhausen a.R. / Zentralstrasse 2		287
180		UBS AG		SH		Schaffhausen		Schwertstrasse 2		287
181		UBS AG		SO		Breitenbach		Wydehof-Center / Laufenstrasse 4		245
182		UBS AG		SO		Grenchen 1		Marktplatz 6		272
183		UBS AG		SO		Olten		Froburgstrasse 17		261
184		UBS AG		SO		Solothurn		Amthausplatz 1		262
185		UBS AG		SZ		Einsiedeln		Klosterplatz		216
186		UBS AG		SZ		Küssnacht am Rigi		Bahnhofstrasse 28		248
187		UBS AG		SZ		Lachen SZ		Bahnhofplatz 3		216
188		UBS AG		SZ		Pfäffikon SZ		Churerstrasse 70		214
189		UBS AG		SZ		Schwyz		Oberer Steisteg 20		273

 

6

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

190		UBS AG		TG		Amriswil		Bahnhofstrasse 13		239
191		UBS AG		TG		Arbori		Bahnhofstrasse 26		203
192		UBS AG		TG		Bischofszell		Obertor 1		239
193		UBS AG		TG		Frauenfeld		Zürcherstrasse 144		239
194		UBS AG		TG		Kreuzlingen 1		Hauptstrasse 37		217
195		UBS AG		TG		Weinfelden		Rathausstrasse 11		219
196		UBS SA		Tl		Agno		Via Lugano 15		247
197		UBS SA		Tl		Airolo		Via Stazione		234
198		UBS SA		Tl		Ascona		Viale Monte Verità 1		246
199		UBS SA		Tl		Bellinzona		Largo Elvezia 2		234
200		UBS SA		Tl		Biasca		Via A. Pini 34		234
201		UBS SA		Tl		Chiasso 1		Piazza Col. C. Bernasconi 5		236
202		UBS SA		Tl		Giubiasco		Largo Libero Olgiati 79		234
203		UBS SA		Tl		Gordola		Via San Gottardo 77		246
204		UBS SA		Tl		Locarno 1		Piazza Grande 1		246
205		UBS SA		Tl		Lugano		Cassarate / Viale Castagnola 21		247
206		UBS SA		Tl		Lugano		Paradiso / Via G. Guisan 1		247
207		UBS SA		Tl		Lugano		Piazzetta della Posta		247
208		UBS SA		Tl		Manno		Via Cantonale 18		247
209		UBS SA		Tl		Melide		Via Giulio Pocobelli 1		247
210		UBS SA		Tl		Mendrisio		Via Lavizzari 15		236
211		UBS SA		Tl		Ponte Tresa		Via Lugano 27		247
212		UBS SA		Tl		Savosa		Via S. Gottardo 154		247
213		UBS SA		Tl		Serfontana		Viale Serfontana 20		236
214		UBS SA		Tl		Stabio		Via Giulia 25		236
215		UBS AG		UR		Altdorf UR		Rathausplatz 5		273
216		UBS SA		VD		Aigle		Rue de la Gare 4		243
217		UBS SA		VD		Cossonay-Ville		Rue des Laurelles 1		243
218		UBS SA		VD		Echallens		Place de l’Hôtel de Ville		243
219		UBS SA		VD		Gland		Rue du Borgeaud 2		228
220		UBS SA		VD		Lausanne		Centre Universitaire		243
221		UBS SA		VD		Lausanne		Place St-François 16		243
222		UBS SA		VD		Lausanne 12		Avenue de Chailly 1		243
223		UBS SA		VD		Lausanne 6		Avenue d’Ouchy 61		243
224		UBS SA		VD		Montreux 1		Avenue du Casino 41		249
225		UBS SA		VD		Morges 1		Grand-Rue 102		243
226		UBS SA		VD		Nyon 1		Centre La Combe/R. de la Môrache 6		228
227		UBS SA		VD		Payerne		Rue de Lausanne 13		260
228		UBS SA		VD		Prilly		Route de Cossonay 23		243
229		UBS SA		VD		Pully		Place Neuve 2		243
230		UBS SA		VD		Renens VD 1		Avenue du 14 Avril 5		243

 

7

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

231		UBS SA		VD		Rolle		Grand-Rue 47		243
232		UBS SA		VD		Vevey 1		Rue de Lausanne 6		255
233		UBS SA		VD		Villars-sur-Ollon		Avenue Centrale		249
234		UBS SA		VD		Yverdon-les-Bains		Rue de Neuchâtel 1		297
235		UBS AG		VS		Bettmeralp		Haus Alpenheim		263
236		UBS AG		VS		Brig/Brigue		Sebastiansplatz 4		263
237		UBS SA		VS		Crans		Rue du Pas de l’Ours 4		268
238		UBS AG		VS		Fiesch		Furkastrasse		263
239		UBS SA		VS		Fully		Rue de la Poste		264
240		UBS AG		VS		Grächen		Dorfplatz		294
241		UBS SA		VS		Haute-Nendaz		Centre Commercial		265
242		UBS AG		VS		Leukerbad		Dorfstrasse 3		294
243		UBS SA		VS		Martigny 1		Avenue de la Gare 2		264
244		UBS SA		VS		Montana		Rue Théodore Stéphani 2		268
245		UBS SA		VS		Monthey 2		Rue du Coppet 14		277
246		UBS AG		VS		Naters		Furkastrasse 21		263
247		UBS SA		VS		Riddes		Rue du Faubourg		265
248		UBS AG		VS		Saas Fee		Marienhof		263
249		UBS SA		VS		Savièse		Saint Germain		265
250		UBS SA		VS		Saxon		Rue de Gottefrey 14		264
251		UBS SA		VS		Sierre/Siders		Avenue Général-Guisan 1		268
252		UBS SA		VS		Sion/Sitten		Avenue de la Gare 36		265
253		UBS AG		VS		Steg VS		Haus Metropol / Bahnhofstrasse 21		294
254		UBS AG		VS		Susten		Sustenstrasse 21		294
255		UBS SA		VS		Verbier 1		Immeuble Eden / Place Centrale		264
256		UBS AG		VS		Visp/Viège		Bahnhofplatz 14		294
257		UBS SA		VS		Vouvry		Place Panaït-Istrati		277
258		UBS AG		VS		Zermatt		Bahnhofstrasse		263
259		UBS AG		ZG		Baar		Rathausstrasse 7		273
260		UBS AG		ZG		Cham		Dorfplatz 2		273
261		UBS AG		ZG		Zug		Baarerstrasse 14a		273
262		UBS AG		ZH		Adliswil 1		Albisstrasse 6		293
263		UBS AG		ZH		Affoltern am Albis		Bahnhofplatz 10		276
264		UBS AG		ZH		Birmensdorf ZH		Zürcherstrasse 17		276
265		UBS AG		ZH		Bülach		Bahnhofstrasse 39		207
266		UBS AG		ZH		Dietikon 1		Bahnhofplatz 13		223
267		UBS AG		ZH		Dübendorf 1		Bahnhofstrasse 1		202
268		UBS AG		ZH		Effretikon		Rikonerstrasse 16		257
269		UBS AG		ZH		Glattbrugg		Schaffhauserstrasse 59		283
270		UBS AG		ZH		Horgen 1		Zugerstrasse 22		214
271		UBS AG		ZH		Kloten		Schaffhauserstrasse 128		278

 

8

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

272		UBS AG		ZH		Küsnacht ZH		Zürichstrasse 141		259
273		UBS AG		ZH		Meilen		Dorfstrasse 94		238
274		UBS AG		ZH		Pfäffikon ZH		Seestrasse 27		296
275		UBS AG		ZH		Regensdorf 1		Zentrum		291
276		UBS AG		ZH		Rüschlikon		Bahnhofstrasse 47		293
277		UBS AG		ZH		Rüti ZH		Bahnhofstrasse 5		253
278		UBS AG		ZH		Schlieren		Zürcherstrasse 18		223
279		UBS AG		ZH		Stäfa		Seestrasse 49		238
280		UBS AG		ZH		Thalwil		Gotthardstrasse 40		214
281		UBS AG		ZH		Uster 1		Poststrasse 10		202
282		UBS AG		ZH		Wädenswil		Zugerstrasse 11		214
283		UBS AG		ZH		Wallisellen		Bahnhofstrasse 25		222
284		UBS AG		ZH		Wetzikon ZH 2		Bahnhofstrasse 156		296
285		UBS AG		ZH		Winterthur		Guggenbühlstrasse 2		257
286		UBS AG		ZH		Winterthur		Stadthausstrasse 18		257
287		UBS AG		ZH		Zollikerberg		Forchstrasse 191		259
288		UBS AG		ZH		Zollikon		Bergstrasse 17		259
289		UBS AG		ZH		Zürich		Albisrieden/Albisriederstrasse 361		267
290		UBS AG		ZH		Zürich		Albisriederplatz 8		267
291		UBS AG		ZH		Zürich		Altstetten / Badenerstrasse 678		285
292		UBS AG		ZH		Zürich		Bahnhofstrasse 45		230
293		UBS AG		ZH		Zürich		Bahnhofstrasse 45		298
294		UBS AG		ZH		Zürich		Bahnhofstrasse 72		206
295		UBS AG		ZH		Zürich		Bellevue / Theaterstrasse 20		225
296		UBS AG		ZH		Zürich		Bleicherweg 30		274
297		UBS AG		ZH		Zürich		Höngg / Limmattalstrasse 180		275
298		UBS AG		ZH		Zürich		Löwenplatz / Seidengasse 17		206
300		UBS AG		ZH		Zürich		Oerlikon / Schaffhauserstrasse 339		269
301		UBS AG		ZH		Zürich		Paradeplatz 6		206
302		UBS AG		ZH		Zürich		Römerhofplatz 5		251
303		UBS AG		ZH		Zürich		UBS GCU Zürich AG		286
304		UBS AG		ZH		Zürich		Wiedikon / Birmensdorferstrasse 123		270
305		UBS AG		ZH		Zürich		Witikon / Witikonerstrasse 285		251
306		UBS AG		ZH		Zürich				271
307		UBS AG		ZH		Zürich Flughafen		Flughafen, Terminal 1		278

 

9

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG/

Vermögensübertragungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 2c

List of products and services/

Anhang 2c

Liste von Produkten und Dienstleistungen

 

Notariat Hottingen-Zürich

Roman Sandmayr, Notar

 

1

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

In particular, the following products, subject-matters or services offered by the Business meet the criterion of lit. (a)(ii) of Annex 2a for purposes of identifying Transferred Contracts:

Insbesondere die folgenden Produkte, Angelegenheiten oder Dienstleistungen, welche vom G ESCHÄFT angeboten werden, erfüllen das Kriterium nach lit. (a)(ii) von Anhang 2a zur Bestimmung der Ü BERTRAGENEN V ERTRÄGE :

Products and services offered by Retail & Corporate and Wealth Management to booking center Switzerland clients including but not limited to:

Produkte und Dienstleistungen, die in der Schweiz gebuchten Kunden von Retail & Corporate und Wealth Management angeboten werden, einschliesslich, nicht abschliessend:

 

(a)	Cash accounts such as savings accounts, current accounts (CHF and foreign currencies) and personal accounts;

Bargeldkonti, wie etwa Sparkonti, Kontokorrentkonti (CHF und ausländische Währungen) und Privatkonti;

 

(b)	Payment services such as cheques/bills of exchange, incoming payments, outgoing electronic payments orders, outgoing written payment orders, third party Continuous Linked Settlement (CLS) services;

Zahlungsverkehrsdienstleistungen, wie etwa Cheques/Wechsel, Zahlungseingänge, ausgehende elektronische Zahlungsaufträge, ausgehende schriftliche Zahlungsaufträge, third party Continuous Linked Settlement (CLS) Services;

 

(c)	Debit cards (maestro);

Debitkarten (maestro);

 

(d)	Credit cards;

Kreditkarten;

 

(e)	Cash solutions such as fiduciary deposits and short term deposits;

Cash Solutions, wie etwa Treuhandanlagen und kurzfristige Einlagen;

 

(f)	Client cash management services such as cash pooling, UBS EUR Gateway Account and UBS GBP Gateway Account;

Cash Management-Dienstleistungen für Kunden, wie etwa Cash Pooling, UBS EUR Gateway-Konten und UBS GBP Gateway-Konten;

 

(g)	Cash clearing services for banks and regulated brokers;

Cash Clearing-Dienstleistungen für Banken und regulierte Broker;

 

(h)	Banking product bundles for adults, small and medium entities, young people and young professionals;

Bankpakete für Erwachsene, Kleine und Mittlere Unternehmen (KMU), Jugendliche und Berufseinsteiger;

 

(i)	Custody accounts (including but not limited to custody administration services such as collecting any interest or dividends);

Wertschriftendepots (einschliesslich, nicht abschliessend, Verwaltungsdienstleistungen, wie etwa der Einzug von Zinsen oder Dividenden);

 

(j)	Precious metal account;

Edelmetallkonto;

 

(k)	Safe deposit box;

Bankschliessfach;

 

(l)	Special accounts such as capital deposits, pension fund investment accounts and collateral margin accounts (excluding ETD/GMI offering);

Besondere Konti, wie etwa Kapitaleinzahlungskonti, Anlagekonti für Personalvorsorgeeinrichtungen und Sicher-heitenmargenkonti (ausschliesslich ETD/GMI Angebot);

 

2

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

(m)	Pension services;

Vorsorgedienstleistungen;

 

(n)	General lending and financing, lombard lending and mortgage lending (for the avoidance of doubt, the transfer of contracts relating to such products includes the transfer of any loans and accessory security interests thereunder)

Allgemeines Kredit - und Finanzierungsgeschäft, Lombardkredite und Hypothekarkredite (zur Klarstellung sei festgehalten, dass die Übertragung von Verträgen, die sich auf solche Produkte beziehen, die Übertragung von all-fälligen Krediten und akzessorischen Sicherheiten darunter einschliesst);

 

(o)	Trade and export finance services;

Handels- und Exportfinanzierungsdienstleistungen;

 

(p)	Trade finance and transaction collateral management, margin and derivatives financing limited to enabling ETD products;

Handelsfinanzierung und Transaktionssicherheitenmanagement, Margen und Derivatfinanzierungen, begrenzt auf die Ermöglichung des Handels in ETD Produkten;

 

(q)	Leasing and factoring services;

Leasing- und Factoring-Dienstleistungen;

 

(r)	Corporate services such as structured & syndicated finance and escrow and family office services;

Unternehmensdienstleistungen, wie etwa strukturierte- und syndizierte Finanzierungen, Escrow-Dienstleistungen und Family-Office-Dienstleistungen;

 

(s)	Corporate advisory such as capital placement, capital raising, private financing, match-making, block trades, mid-market advisory, structures, structured solutions, derivative solutions, other corporate finance solutions;

Corporate Advisory, wie etwa Platzierung von Kapital, Kapitalaufnahme, Privatfinanzierung, Vermittlung, Block- handel, Beratung mittelständischer Unternehmen, Strukturen, strukturierte Lösungen, Derivatlösungen, andere Unternehmensfinanzierungslösungen;

 

(t)	UBS acting as escrow agent;

UBS als Escrow Agent;

 

(u)	Investment advisory mandates;

Anlageberatungsmandate;

 

(v)	Discretionary investment management mandates;

Diskretionäre Vermögensverwaltungsmandate;

 

(w)	Wealth planning advisory;

Vermögensplanungsberatung;

 

(x)	Wealth planning structures such as life insurance, third party structures, foundations, managed companies and trusts;

Vermögensplanungsstrukturen, wie etwa Lebensversicherungen, Drittparteistrukturen, Stiftungen, Managed Companies und Trusts;

 

(y)	Real estate advisory services;

lmmobilienberatungsdienstleistungen;

 

3

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

(z)	Global Family Office Group Services including but not limited to integrated custody and reporting and Wealth Services (wealth planning and family advisory, philanthropy, art advisory and education);

Global Family Office Group Dienstleistungen wie unter anderem, aber nicht abschliessend, integriertes Custody und Reporting sowie Wealth Services (Vermögensplanung, Familienvermögensberatung, Philanthropie und Beratung und Schulung in Bezug auf Kunst);

 

(aa)	Direct investments such as bonds, equities, money market instruments, standard derivatives (ETD futures, ETD options, warrants, other derivatives);

Direktinvestitionen, wie etwa Obligationen, Aktien, Geldmarktinstrumente, Standard-Derivate (ETD Futures, ETD Optionen, Warrants, andere Derivate);

 

(bb)	Investment fund shares (UBS own and third party funds), hedge funds shares (UBS own and third party), private equity shares;

Anteile an lnvestmentfonds (UBS Fonds und Fonds von Drittparteien), Anteile an Hedge Fonds (UBS Hedge Fonds und Drittparteien Hedge Fonds), Private Equity Anteile;

 

(cc)	Structured products;

Strukturierte Produkte;

 

(dd)	Forex (FX) trading such as Spot, Forward, Swap, Option, NDF and NDS;

Devisenhandel (FX Handel), wie etwa Spot, Forward, Swap, Optionen, NDF und NDS;

 

(ee)	Precious metals (PM) trading such as Spot, Forward, Swap and Option;

Edelmetallhandel (PM Handel), wie etwa Spot, Forward, Swap und Option;

 

(ff)	Other derivative products such as FX Money Market, short term interest rate swap, forward rate agreement;

Andere Derivate, wie etwa Devisen-Geldmarkt, kurzfristige Zins-Swaps, Forward Rate Vereinbarungen;

 

(gg)	Other trading products such as banknotes and physical precious metals (bars and coins);

Andere Handelsprodukte, wie etwa Banknoten oder physische Edelmetalle (Barren und Münzen);

 

(hh)	Securities lending & borrowing;

Wertpapierleihgeschäft;

 

(ii)	Securities added value products such as global custody, investment accounting and investment reporting;

Mehrwertprodukte im Bereich Wertschriftenverwahrung, wie etwa Global Custody, Wertschriftenbuchhaltung und Investment Reporting;

 

(jj)	Paying agency mandates for funds, equities and structured products;

Zahlstellenmandate für Fonds, Aktien und strukturierte Produkte;

 

(kk)	Custodian bank agreements entered into as custodian bank under the CISA;

Depotbankvereinbarungen, die als Depotbank gemäss KAG abgeschlossen werden;

 

(ll)	General meetings proxy voting services;

Stimmrechtsvertretungsdienstleistungen betreffend Abstimmungen in Generalversammlungen;

 

(mm)	Tax reporting services;

Dienstleistungen im Zusammenhang mit Steuererreportings;

 

(nn)	EMIR Delegated Reporting;

EMIR Delegated Reporting;

 

4

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

(oo)	Online services such as UBS e-banking, UBS AssetLink, UBS KeyLink, UBS PortfolioLink, UBS PortfolioLink Web.

Online Dienstleistungen, wie etwa UBS e-banking, UBS AssetLink, UBS KeyLink, UBS PortfolioLink, UBS PortfolioLink Web.

 

5

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG /

Vermögensübertragungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 2d

Excluded Contracts /

Anhang 2d

A USGENOMMENE V ERTRÄGE

 

Notariat Hottingen-Zürich

Roman Sandmayr, Notar

 

1

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

I.	General / Allgemein

For the avoidance of doubt, the Parent does not transfer any of the following contracts (meaning the entire contractual position, including all right, title, interest and burden therein, and any and all rights and claims, obligations and liabilities, formation rights ( Gestaltungsrechte ), base rights ( Stammrechte ) and other rights or legal positions thereunder) (irrespective of whether they relate to the Business or not), except for the exceptions stated in section III at the end of this Annex 2d :

Zur Klarstellung sei festgehalten, dass die M UTTERGESELLSCHAFT keine der folgenden Verträge überträgt (das heisst die ganze Vertragsstellung, einschliesslich aller Rechte, Titel, Nutzen und Lasten darin, und sämtliche Rechte und Forderungen, Verpflichtungen und Verbindlichkeiten, Gestaltungsrechte, Stammrechte und anderer Rechte oder Rechtspositionen darunter) (unabhängig davon, ob diese einen Bezug zum G ESCHÄFT haben oder nicht), ausgenommen die in Z IFF . Ill am Ende dieses Anhangs 2d erwähnten Ausnahmen:

 

(a)	Agreements related to the Global Asset Management Business /

Verträge im Zusammenhang mit dem Global Asset Management Geschäft

All investment related agreements entered into with the UBS Global Asset Management division including, but not limited to, investment management agreements, Fund Order Desk agreements and advisory agreements are Excluded Contracts.

Alle anlagebezogenen Verträge, die mit dem UBS Global Asset Management Unternehmensbereich abgeschlossen wurden, einschliesslich, jedoch nicht beschränkt auf Vermögensverwaltungsverträge, Fund Order Desk Verträge und Beratungsverträge, sind A USGENOMMENE V ERTRÄGE .

 

(b)	Multi-branch trading agreements / Multi-Branch Trading Verträge

International multi-branch trading agreements that are entered into with at least one UBS AG branch outside of Switzerland, regardless of whether UBS AG (Zurich) or a Swiss branch thereof is also a contractual party (such as multi-branch Swiss Master Agreements, ISDA Agreements, Global Master Securities Lending Agreements, Global Master Repurchase Agreements) as well as any transactions thereunder are Excluded Contracts.

Internationale Multi-Branch Trading Verträge, die mit mindestens einer Zweigniederlassung von UBS AG ausserhalb der Schweiz abgeschlossen wurden, unabhängig davon, ob die UBS AG (Zürich) oder eine ihrer Schweizer Zweigniederlassungen ebenfalls Vertragspartei ist (wie beispielsweise Multi-Branch Schweizer Rahmenverträge, ISDA Verträge, Global Master Securities Lending Verträge, Global Master Repurchase Verträge) sowie alle darunter ausgeführten Transaktionen, sind A USGENOMMENE V ERTRÄGE .

 

(c)	Agreements related to FX Prime Brokerage and Bullion Prime Brokerage /

Verträge im Zusammenhang mit FX Prime Brokerage und Bullion Prime Brokerage

Any agreements related to FX Prime Brokerage and Bullion Prime Brokerage (such as FX and Bullion Prime Brokerage Agreement, Master FX and Bullion Give-up Agreement) and their underlying ISDA agreements are Excluded Contracts.

Alle Verträge im Zusammenhang mit FX Prime Brokerage und Bullion Prime Brokerage (wie etwa FX und Bullion Prime Brokerage Vertrag, Master FX und Bullion Give-up Vertrag) und die zugrunde liegenden ISDA Verträge sind A USGENOMMENE V ERTRÄGE .

 

(d)	Agreements related to Precious Metals /

Verträge im Zusammenhang mit Edelmetallen

All precious metal consignment agreements, precious metal loan agreements with banks, regulated brokers and clients on-boarded with investment bank only as well as agreements related to precious metal clearing services and/or precious metal custody accounts served by investment bank with its respective fee schedules are Excluded Contracts.

Alle Edelmetall-Kommissionsverträge, Edelmetall-Darlehensverträge mit Banken, regulierten Brokern und einzig durch die Investmentbank aufgenommenen Kunden und Verträge im Zusammenhang mit Edelmetall-Clearing-Dienstleistungen und/oder Edelmetalldepots, welche von der Investmentbank geführt werden, einschliesslich deren entsprechenden Gebührenanhänge, sind A USGENOMMENE V ERTRÄGE .

 

2

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

(e)	Trading agreements related to OTC derivatives transactions with banks and regulated brokers / Handelsverträge im Zusammenhang mit OTC-Derivattransaktionen mit Banken und regulierten Brokern

All trading agreements related to OTC derivatives transactions (including single- and multi-branch agreements) with banks and regulated brokers are Excluded Contracts.

Alle Handelsverträge im Zusammenhang mit OTC-Derivattransaktionen (einschliesslich single- und Multi-Branchverträge) mit Banken und regulierten Brokern sind A USGENOMMENE V ERTRÄGE .

 

(f)	Trading agreements related to outstanding European Swaption transactions with a face value over CHF 500,000,000 / Handelsverträge im Zusammenhang mit Europäischen Swaption-Transaktionen mit einem Nennwert von mehr als CHF 500,000,000

Trading agreements related to outstanding European Swaption transactions with a face value over CHF 500,000,000 (such as Swiss Master Agreements and ISDA agreements) as well as all transactions thereunder are Excluded Contracts.

Handelsverträge im Zusammenhang mit Europäischen Swaption-Transaktionen mit einem Nennwert von mehr als CHF 500,000,000 (wie die Schweizei Rahmenverträge und ISDA-Verträge) sowie alle darunter ausgeführten Transaktionen sind A USGENOMMENE V ERTRÄGE .

 

(g)	Exchange Traded Derivatives (Futures and Options) on dedicated ETD account (“GMI Account”) / Börsengehandelte Derivate (Futures und Optionen) auf einem dezidierten ETD-Sonderkonto (“GMI Konto”)

All contracts related to the ETD business with the Investment Bank division (“ETD/GMI business”) are Excluded Contracts.

Alle Verträge im Zusammenhang mit dem ETD-Geschäft des Investment Bank-Unternehmensbereichs (“ETD/GMI Geschäft”) sind A USGENOMMENE V ERTRÄGE .

 

(h)	Agreements related to Equity Capital Markets Switzerland, Debt Capital Markets Switzerland and M&A with the Investment Bank division / Verträge im Zusammenhang mit Equity Capital Markets Schweiz, Debt Capital Markets Schweiz und M&A mit dem Investment Bank-Unternehmensbereich

All agreements related to Equity Capital Markets Switzerland, Debt Capital Markets Switzerland and M&A with the Investment Bank division are Excluded Contracts.

Alle Verträge im Zusammenhang mit dem Equity Capital Markets Schweiz, Debt Capital Markets Schweiz und M&A des Investment Bank-Unternehmensbereichs sind A USGENOMMENE V ERTRÄGE .

 

(i)	Trading agreements related to Swaps with US Persons and certain non-US Persons / Handelsverträge im Zusammenhang mit Swaps mit US Personen und bestimmten Nicht-US Personen

Trading agreements related to Swaps, in accordance with the CFTC definition, (such as Swiss Master Agreements and ISDA agreements) as well as all transactions thereunder are Excluded Contracts if the client qualifies as a US Person, Affiliate Conduit and/or Guaranteed Affiliate as defined by the CFTC, and trading agreements related to Securities-Based Swaps in accordance with the SEC definition as well as all transactions thereunder are also Excluded Contracts.

Handelsverträge im Zusammenhang mit Swaps, gemäss CFTC Definition, (wie die Schweizer Rahmenverträge und ISDA-Verträge) sowie alle Transaktionen darunter sind A USGENOMMENE V ERTRÄGE , wenn der Kunde gemäss der Definition der CFTC als US Person, Affiliate Conduit und/oder Guaranteed Affiliate gilt und Handelsverträge im Zusammenhang mit Securities-Based Swaps, gemäss der Definition der SEC, sowie alle Transaktionen darunter sind auch A USGENOMMENE V ERTRÄGE .

 

3

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

(j)	Trading agreements related to derivatives transactions with Canadian local counterparties / Handelsverträge im Zusammenhang mit Derivattransaktionen mit kanadischen lokalen Gegenparteien

Trading agreements related to derivatives transactions (such as Swiss Master Agreements and ISDA agreements) as well as all transactions thereunder are Excluded Contracts if the client qualifies as a “local counterparty” as defined by the Ontario Securities Commission, the Manitoba Securities Commission, or the Autorité des marchés financiers of Quebec or if the client were to qualify as a “local counterparty” under any of these definitions if it or its relevant affiliate were incorporated and/or had its principal place of business in one of the three provinces.

Handelsverträge im Zusammenhang mit Derivattransaktionen (wie die Schweizer Rahmenverträge und ISDA-Verträge) sowie alle Transaktionen darunter sind A USGENOMMENE V ERTRÄGE , wenn der Kunde als “lokale Gegenpartei” gemäss der Definition der Ontario Securities Commission, der Manitoba Securities Commission oder der Autorité des marchés financiers in Québec, gilt, oder wenn der Kunde gemäss einer dieser Definitionen als “lokale Gegenpartei” angesehen werden sollte, falls der Kunde oder eine relevante verbundene Gesellschaft den Sitz und/oder den Hauptsitz der Verwaltung in einer dieser drei Provinzen hat.

 

(k)	Market making agreements / Market Making Verträge

The market making agreements related to Exchange Traded Funds (ETFs) including amendments and annexes, entered into between the Parent and SIX Swiss Exchange are Excluded Contracts.

Die Market Making Verträge betreffend börsengehandelter Fonds (ETFs) einschliesslich deren Vertragsänderungen, Zusätze und Anhänge zwischen der M UTTERGESELLSCHAFT und SIX Swiss Exchange sind A USGENOMMENE V ERTRÄGE .

 

(l)	Structured notes arranger agreements / Arrangerverträge für strukturierte Produkte

Arranger agreements related to securities, deposits or other similar instruments linked to, inter alia, debt or equity instruments (including, inter alia, hedge funds or mutual funds), foreign exchange, interest rates, indices, commodities or credit performance whether issued by the Parent or a third party are Excluded Contracts.

Arrangerverträge im Zusammenhang mit von der M UTTERGESELLSCHAFT oder einer D RITTPARTEI ausgegebenen Wertschriften, Einlagen oder anderen ähnlichen Instrumenten bezogen auf, unter anderem, Schuld- oder Aktieninstrumente (einschliesslich, aber nicht abschliessend, Hedgefonds oder Anlagefonds), Devisen, Zinsen, Indizes, Rohstoffe oder Kreditperformance sind A USGENOMMENE V ERTRÄGE .

 

(m)	Agreements related to client facing e-channels exclusively offered in UBS AG / Verträge im Zusammenhang mit e-Channels für Kunden, die ausschliesslich von UBS AG angeboten werden

The following contracts related to dient facing e-channels exclusively offered by the Parent are Excluded Contracts while certain e-channels will be dually offered by both Parties:

Die folgenden Verträge im Zusammenhang mit e-Channels für Kunden, die ausschliesslich von der M UTTERGESELLSCHAFT angeboten werden, sind A USGENOMMENE V ERTRÄGE . Bestimmte e-Channels werden hingegen von beiden P ARTEIEN angeboten:

 

•

Professional client facing e-channels, internal and external Multi Trader Platforms and Direct Application Program Interfaces (“API”) related to Investment Banking business; and

e-Channels für professionelle Kunden, interne und externe Multi Trader Plattformen und Direct Application Program Interfaces (“API”) bezüglich das Investment-Banking-Geschäft; und

 

•

Professional client facing e-channels related to Global Asset Management business.

e-Channels für professionelle Kunden für das Global Asset-Management-Geschäft.

 

4

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

(n)	Certain large single equity margin loans /

Bestimmte Kredite mit grossen Einzelaktienpositionen

The following three large single equity margin loans with clients are Excluded Contracts:

Die folgenden drei grossen Single-Equity Lombardkredite mit Kunden sind A USGENOMMENE V ERTRÄGE :

 

•

facility agreement dated 23 March 2015 for USD 250’000’000 credit facility and the Security Documents as defined in the facility agreement;

Kreditvertrag vom 23. März 2015 für USD 250’000’000 Kreditfazilität und die Sicherheitendokumente (Security Documents) wie im Kreditvertrag definiert;

 

•

facility agreement dated 19 February 2013 for EUR 500’000’000 credit facility and the Finance Documents as defined in the facility agreement;

Kreditvertrag vom 19. Februar 2013 für EUR 500’000’000 Kreditfazilität und die Finanzierungsdokumente (Finance Documents) wie im Kreditvertrag definiert;

 

•

facility agreement dated 19 April 2013 for USD 395’436’512 credit facility and the Finance Documents as defined in the facility agreement (such facility agreement and Finance Documents as amended on 17 April 2015).”

Kreditvertrag vom 19. April 2013 für USD 395’436’512 Kreditfazilität und die Finanzierungsdokumente (Finance Documents) wie im Kreditvertrag definiert (wobei dieser Kreditvertrag und die Finanzierungsdokumente am 17. April 2015 geändert wurden).”

 

(o)	Traded Option Plans / Mitarbeiterbeteiligungspläne

Master agreements for traded option plans and all related agreements (e.g. pledge agreements) with five multinational clients are Excluded Contracts.

Rahmenverträge für Mitarbeiterbeteiligungspläne und alle damit zusammenhängende Verträge (z.B. Pfandverträge) mit fünf Multinational-Kunden sind A USGENOMMENE V ERTRÄGE .

 

(p)	Agreements related to paying agency mandates for bonds /

Verträge im Zusammenhang mit Zahlstellenmandaten für Anleihen

All agreements related to paying agency mandates for bonds are Excluded Contracts.

Alle Verträge im Zusammenhang mit Zahlstellenmandaten für Anleihen sind A USGENOMMENE V ERTRÄGE .

 

(q)	Certain agreements related to financial market infrastructure providers / Bestimmte Verträge im Zusammenhang mit Anbietern von Finanzmarktinfrastrukturen

CLS settlement membership and certain EUR clearing memberships (EBA-Euro1, EBA-Step1) are Excluded Contracts.

CLS Settlement Mitgliedschaft und bestimmte EUR-Clearing Mitgliedschaften (EBA Euro1, EBA Step1) sind A USGENOMENE V ERTRÄGE .

 

(r)	External service provider agreements / Verträge mit externen Dienstleistern

External service provider agreements are Excluded Contracts, unless stated otherwise in this Agreement (in particular Annex 2a (l) or expressly notified to the counterparty).

Verträge mit externen Dienstleistern sind A USGENOMMENE V ERTRÄGE , ausser dieser V ERTRAG würde eine abweichende Bestimmung enthalten (insbesondere Anhang 2a (l) oder falls dies der Gegenpartei ausdrücklich mitgeteilt wird).

 

(s)	Agreements related to real estate / Verträge im Zusammenhang mit Grundstücken

The Parent remains contracting party regarding all agreements related to real estates (Parent as lessee and lessor as well as any other related contract including Contracts with third parties). Therefore agreements related to real estate are Excluded Contracts unless stated otherwise in this Agreement ( Annex 2a section (l) (i) and section (o)) or expressly notified to the counterparty.

Die M UTTERGESELLSCHAFT bleibt Vertragspartei hinsichtlich aller Verträge im Zusammenhang mit Grundstücken (mit der M UTTERGESELLSCHAFT als Mieterin und Vermieterin sowie hinsichtlich aller anderen diesbezüglichen Verträge, einschliesslich Verträge mit Drittparteien). Folglich sind Verträge im Zusammenhang mit Grundstücken A USGENOMMENE V ERTRÄGE , es sei denn, diese Vereinbarung würde eine abweichende Bestimmung ( Anhang 2a Z IFF . (l) (i) und Z IFF . (o)) enthalten oder dies würde der Gegenpartei ausdrücklich mitgeteilt.

 

5

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

(t)	Agreements related to mortgage loan agreements in relation to real estates in the border region France / Verträge im Zusammenhang mit Hypothekarkreditverträgen im Grenzrayon Frankreich

Mortgage loan agreements and further agreements as well as any and all related accessories, guarantees, security interests, privileges and documents in relation to such loan agreements (including but not limited to mortgages, mortgage guarantees ( cautionnements hypothécaires ), personal guarantees, pledge agreements and other collateral agreements as well as agreements with Third Parties related to the financed real estates such as agreements with insurance companies) related to real estates located in France are Excluded Contracts.

Hypothekarkreditverträge und alle weiteren damit zusammenhängenden Verträge sowie alle damit zusammenhängenden akzessorischen Rechte, Garantien, Sicherungsrechte, Privilegien und Dokumente (einschliesslich, aber nicht abschliessend, Hypotheken, hypothekarische Bürgschaft (cautionnements hypothécaires), Personalgarantien, Pfandverträge und andere Sicherheitsverträge wie auch Verträge mit D RITTPARTEIEN bezüglich der finanzierten Immobilien wie beispielsweise Verträge mit Versicherungsgesellschaften) bezüglich in Frankreich belegenen Immobilien sind A USGENOMMENE V ERTRÄGE .

 

(u)	Agreements related to the corporate aircraft finance business /

Verträge im Zusammenhang mit dem Corporate Aircraft Finance-Geschäft

Corporate aircraft finance agreements (such as loan agreements and lease agreements) as well as all further agreements and documents in relation to such financing (such as aircraft purchase agreements, escrow agreements, management agreements, mortgage, share charge, assignment agreements, multiparty agreements, guarantees, warranty agreements, notices and acknowledgements, certificates, surety, powers of attorney, insurance documents, title documents, aircraft documents, and other documents and evidences) are Excluded Contracts.

Verträge im Zusammenhang mit dem Corporate Aircraft Finance-Geschäft über die Finanzierung von Geschäftsflugzeugen (wie Kreditverträge und Leasing-Verträge) sowie alle weiteren Verträge und Dokumente im Zusammenhang mit diesen Finanzierungen (wie Flugzeugkaufverträge, Escrow-Verträge, Verwaltungsverträge, Hypotheken, Aktienverpfändungen, Abtretungsverträge, Mehrparteienverträge, Garantien, Gewährleistungsverträge, Mitteilungen und Bestätigungen, Bescheinigungen, Bürgschaften, Vollmachten, Versicherungsdokumente, rechtsbegründende Dokumente, Flugzeugdokumente und sonstige Dokumente und Belege) sind A USGENOMMENE V ERTRÄGE .

 

(v)	Agreements with the Swiss Bankers Association and the Verein Vorauszahlung UK concerning prepayment under 2011 UK Tax Treaty / Verträge mit der Schweizerischen Bankiervereinigung und dem Verein Vorauszahlung UK betreffend Vorauszahlung unter dem 2011-S TEUERABKOMMEN -GB

The master agreement between the Swiss Bankers Association, the Verein Vorauszahlung UK and certain banks (including the Parent) concerning prepayment under article 17 of the 2011 UK Tax Treaty and the corresponding loan agreement between the Parent and the Verein Vorauszahlung UK are Excluded Contracts.

Der Rahmenvertrag mit der Schweizerischen Bankiervereinigung, dem Verein Vorauszahlung UK und gewissen Banken (einschliesslich der M UTTERGESELLSCHAFT ) betreffend Vorauszahlung unter Artikel 17 des 2011-S TEUERABKOMMENS -GB und der entsprechende Darlehensvertrag zwischen der M UTTERGESELLSCHAFT und dem Verein Vorauszahlung UK sind A USGENOMMENE V ERTRÄGE .

 

II.	Other Excluded Contracts due to special reasons /

Andere aus speziellen Gründen AUSGENOMMENE V ERTRÄGE

For the avoidance of doubt, the Parent does not transfer any of the following contracts (irrespective of whether they relate to the Business or not):

Zur Klarstellung sei festgehalten, dass die M UTTERGESELLSCHAFT keine der folgenden Verträge überträgt (unabhängig davon, ob diese einen Bezug zum G ESCHÄFT haben oder nicht):

 

•

As a result of a counterparty’s prior objection or a counterparty’s refusal to consent to a novation of a foreign law governed agreement and/or a down-sizing from a multi-branch to a single-branch trading agreement required for the transfer to the Subsidiary and where there is a valid Data Sharing Notification on file, such contracts are not transferred. In such case the client has been notified prior to Closing that the contract remains with the Parent.

Als Folge eines vorgängigen Einwandes einer Gegenpartei oder einer verweigerten Zustimmung zu einer Novation eines Vertrages, welcher ausländischem Recht unterstellt ist, und/oder einer Beschränkung von einem Multi-Branch zu einem Single-Branch-Trading-Vertrag, werden die entsprechenden Verträge nicht auf die T OCHTERGESELLSCHAFT übertragen, sofern eine gültige Data Sharing Notification im Dossier vorliegt. In diesem Fall wurde der Kunde vor dem V OLLZUG notifiziert, dass der Vertrag bei der M UTTERGESELLSCHAFT verbleibt.

 

6

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

•

Syndicated credit agreements where the Parent only holds a participation: As a result of the missing consent of the agent or borrower to transfer the Parent’s commitment under a credit agreement with an agreed transfer mechanism (e.g. transfer certificate) or a foreign law governed credit agreement where a consent is a requirement for the transfer to the Subsidiary, the commitment will remain with the Parent.

Syndizierte Kreditverträge, an denen die M UTTERGESELLSCHAFT nur beteiligt ist: Als Folge einer fehlenden Zustimmung des Agenten oder Kreditnehmers, die Verpflichtung der M UTTERGESELLSCHAFT unter einem Kreditvertrag mit einem vereinbarten Übertragungsprozess (z.B. Transfer Certificate) oder unter einem Kreditvertrag, der ausländischem Recht untersteht, nach welchem eine Zustimmung für die Übertragung auf die T OCHTERGESELLSCHAFT Voraussetzung ist, bleibt die Kreditzusage bei der M UTTERGESELLSCHAFT .

 

III.	Exception from Annex 2d: Excluded contracts transferring to the Subsidiary (as expressly notified) / Ausnahme zu Anhang 2d: Ausgenommene Verträge, die an die T OCHTERGESELLSCHAFT übergehen (wie ausdrücklich angezeigt)

Notwithstanding their qualification as Excluded Contracts under any other provision of above section I of this Annex 2d , the Parent transfers and the Subsidiary assumes the contracts in the following cases:

Trotz deren Qualifikation als A USGENOMMENE V ERTRÄGE unter einer anderen Bestimmung der obstehenden Z IFF . I dieses Anhangs 2d überträgt die M UTTERGESELLSCHAFT und übernimmt die T OCHTERGESELLSCHAFT die Verträge in den folgenden Fällen:

 

•

The client has not signed the “basic document for dual relationship clients governing their investment banking relationship with UBS AG” or the “basic document for single relationship clients governing their investment banking relationship with UBS AG” (both individually or together referred as “ IB Basic Agreement ”) submitted to him or her and there is no valid Data Sharing Notification in the client’s file.

Der Kunde hat das “Basisdokument für Kunden mit einer dualen Geschäftsbeziehung für ihre Investment Banking-Beziehung mit der UBS AG” oder das “Basisdokument für Kunden mit einer dualen Geschäftsbeziehung für ihre Investment-Banking-Beziehung mit UBS AG” (beide einzeln oder zusammen nachfolgend “ IB Basisdokument ”), das ihm oder ihr zugestellt wurde, nicht unterzeichnet und es liegt keine gültige Data Sharing Notification im Kundendossier vor.

 

•

The client has not consented to the downsizing of multi-branch trading agreement to a single-branch trading agreement as requested from him or her and there is no valid Data Sharing Notification in the client’s file.

Der Kunde hat einer Beschränkung von einem Multi-Branch zu einem Single-Branch Trading Vertrag, wie von ihm oder ihr verlangt, nicht zugestimmt, und es liegt keine gültige Data Sharing Notification im Kundendossier vor.

 

•

The client has not consented to the novation of foreign law governed trading agreement as requested from him or her and/or has not signed the IB Basic Agreement submitted to him or her and there is no valid Data Sharing Notification in the client’s file.

Der Kunde hat einer Novation eines Vertrages, welcher ausländischem Recht unterstellt ist, nicht wie von ihm verlangt zugestimmt, und/oder hat das ihm oder ihr zugestellte IB Basisdokument nicht unterzeichnet und es liegt keine gültige Data Sharing Notification im Kundendossier vor.

 

7

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

•

The client has not signed the IB Basic Agreement and there is no valid Data Sharing Notification in the client’s file and a foreign law governed trading agreement has been terminated but the termination only becomes effective after the Closing.

Der Kunde hat das IB Basisdokument nicht unterzeichnet und es liegt keine gültige Data Sharing Notification im Kundendossier vor und der Trading Vertrag, welcher ausländischem Recht unterstellt ist, wurde gekündigt, wobei jedoch die Kündigung erst nach dem V OLLZUG rechtskräftig wird.

The transfer of such contracts has been notified to the relevant client prior to Closing.

Die Übertragung solcher Verträge wurde dem betreffenden Kunden vor dem V OLLZUG angezeigt.

 

8

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG /

Vermögensübertragungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 3

Transferred Employees /

Anhang 3

Ü BERTRAGENE A RBEITNEHMER

 

Notariat Hottingen-Zürich

Roman Sandmayr, Notar

 

1

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015.

List produced as of 10 June 2015 reflecting the expected status as of June 15, 2015.

Die Liste ist am 10. Juni 2015 erstellt und zeigt den erwarteten Stand per 15. Juni 2015.

 

Group Wide Personal Number		Group Wide Personal Number		Group Wide Personal Number		Group Wide Personal Number
43385227		43282313		43304742		43179205
00435074		00433470		43278042		00282023
00415154		00398217		00253626		43376989
00128785		00343496		00230612		00347477
00025479		00334479		43391250		00126103
00024946		00297262		43378625		43409893
00023881		00294145		43356795		43272020
00009180		00289318		00340413		00113545
00005178		00169374		00259025		43169657
00256782		00168874		00140905		00211969
00337205		00109495		00059154		43415080
00264298		00019425		43295630		00017456
00023405		43422217		00685534		00168184
43426527		43344533		00502472		00033239
43407415		00566322		00294675		00056124
43339746		00357608		00168440		43424177
43286537		00347851		43422139		00318775
00022247		00276866		43341766		00100106
00025073		00199354		43297456		00024527
43422842		00131814		43280886		00014378
00116059		00126179		00352807		43357762
00042321		00121731		00140528		00504572
00131995		00109959		00139810		00120329
43378770		00100266		00005995		00024124
00314622		00084261		43298205		00325712
43360879		00019379		43298089		00230280
43316205		43348580		43276937		00195984
00231174		00873993		00300981		00124911
00137355		00520136		00272080		43405525
00127968		00477095		00224428		43400843
00075299		00328480		00013631		43400805
00052654		00328316		00007094		00340147
00036226		00324183		43394690		00044657
00020051		00199151		43288270		43292939
00479721		00188344		00333407		00022795
00346683		00169234		00295632		43422990
00346551		43299444		00285872		43421245
00314479		00841749		00259419		00122155

 

2

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00295176		00732443		00250354		43332252
00199852		00523399		00111961		43301300
00138916		00513547		00101428		43416672
43332058		00306796		00079902		00359870
00648876		00134900		00007575		00134495
00526983		00134073		00007433		00113053
00351410		00123881		00528978		00103982
00342249		00113931		00418250		00112263
00323859		00109730		00348007		00105459
00319684		00054235		00130350		43402259
00228638		00024998		00057710		43402257
00141839		43409597		00016998		00721387
00134279		43364082		00014134		00289734
00025174		43230160		43330214		00139793
00023029		43188135		00871745		00113052
00014109		00852023		43388037		00042737
43415130		00413321		43330852		43354095
00228494		00346556		00304917		43335693
43414074		00257631		00269905		43293738
43379450		00224427		00260164		43275699
43300529		00188611		00141387		00030978
00641405		00182036		00028857		43327059
00533114		00119504		00023310		43326420
00438596		00112588		43385729		00889873
00437107		00509361		00326417		00349797
00141467		00342628		00259756		00126260
00122724		00194034		00108421		00100828
00112691		00046951		00031214		00123054
00058157		43413074		00028778		43422212
00057821		00674893		00028252		00818992
00031234		00557668		00028066		00733091
00028065		00435252		00299784		00292263
00018422		00328286		00294905		00198025
00004628		00313839		00217313		22000086
43387339		00307990		43305692		00053462
00840777		00282681		43281537		43318510
00276872		00240176		00101052		43297692
00252326		00204446		00076849		00078549
00132695		00141122		00057668		43416966
00052836		00125165		00024878		43297457
00006249		00113679		00024633		00330892
00006222		00056774		43374743		00024944
43365122		00019429		43372855		00023647
43327918		79000192		43310736		00804037
00727911		43299445		43277831		00114618

 

3

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00328466		43241278		00357612		00101977
00303244		00607924		00287370		43375746
00029780		00579076		00209375		00114411
00014651		00405477		00134864		00076357
00004119		00158143		00343905		00018404
43412606		00115467		00305090		00016586
43232941		00107106		00215533		00013688
00723495		43391590		00014965		43412981
00296803		43165471		00337641		43411026
00258163		43108218		00328855		43382607
00227303		00434019		00328588		00302363
00073171		00401900		00030174		00228774
00058198		00354227		43381355		00076450
00024844		00125158		00344072		00044221
43402533		00111509		00252905		43385142
43379607		43409515		00108596		43320915
43280025		43352701		00024198		43270565
00280155		00648523		00006464		00579785
00230370		00267146		43418538		00501441
00191191		00255043		43346648		00287943
00128831		00252924		43284205		00011409
00115833		43424303		00508756		43280707
00028234		00174602		00346306		00015505
00025005		00047601		00336661		00269717
00023409		00325921		00023513		43423656
43428756		00261017		00646156		43392717
43393864		00123936		00358031		43367553
43286687		43390955		00201930		43278452
00880809		43378217		43276185		00337898
00808784		00214655		00678333		00229156
00720941		00105421		00567019		00132563
00305423		00105089		00324277		00128580
00270985		43351678		00209260		00116063
00253584		43270911		00040269		00025083
00137176		00202318		43357562		43298092
00127868		43373542		43277057		00120632
43426143		43335957		00816728		00317721
43402908		43311807		00816590		00522198
43363346		43292131		00354220		00228133
43298897		00850926		00026623		00107985
43161431		00648736		43337690		00488569
00349623		00337622		00344397		00128441
00314956		00302364		00343277		43397143
00305263		00262609		00269883		43281342
00132760		00115839		43290741		00826871

 

4

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43343462		00028110		00258340		00627089
00499846		00025910		43270741		00349827
00419303		43417234		00128207		00332830
00102674		43398483		00114259		00128798
00038417		43379527		00056619		00047507
43282117		43335135		43331843		43225123
00344436		43309166		00297917		00128588
00533491		43101102		00251790		00116840
00115676		00731595		00073039		43386082
00431842		00422460		00023194		43341080
43325238		00312518		00269712		43237158
00018351		00232027		00141713		00558761
00312236		00117597		00119886		00347657
00105074		00025911		43291976		00284219
00342408		00005508		00323050		00124265
00112399		43400905		00318129		00016528
00031238		43400550		00314463		00298815
00886734		43333468		00299376		43422416
00264911		43310674		00046299		00804339
00079107		43290729		43366403		00347058
43426862		00310416		43331574		00207285
43403042		00078732		43318536		00139503
43374930		00015451		43374892		43411995
00145424		43160108		43354361		43396216
00140613		43397223		43270694		43385082
00114101		00182222		00337053		43308766
43412980		00102542		00052825		00230087
43374874		43390793		43397375		00206055
00536946		00134274		43396596		00171417
00353622		00293987		00108693		00017746
00278874		00213048		00053809		81032331
43292519		00170753		00717657		00309867
00499595		00295162		00295760		00222089
00439940		00836990		00256672		00113776
00437468		00302209		43308164		00045553
00886114		00268188		00356096		43426457
00292741		00130336		00339174		43407598
00199095		00126703		43336543		43401926
00160318		00106862		00464317		43401212
00141304		00142380		00108877		43383064
00130243		43326852		00018393		43335813
00103149		43287436		43315922		43326901
43400040		00307993		00541648		43326374
43396156		00130467		00291388		43109171
43395268		43427043		00213482		00242913

 

5

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43391364		43426254		00206701		00104495
43346957		43359036		00023948		43424365
43329912		00316571		43393744		43412243
43282201		43415712		43325415		43396894
43196092		43404950		00466301		43378557
00552178		43395432		00283138		43374418
43367647		43365240		00136344		43363386
43269281		43365104		00051231		43324834
00331428		43356212		00016841		43422855
00263929		00356586		00007619		43413203
00213931		00338560		00873764		43390138
00895121		00249797		00392995		43379449
00404268		00128628		00368970		43364102
00001379		00018035		00285072		43334658
00120186		43428182		00116242		43319556
00715220		43428087		00115092		43282108
43334661		43421709		00073323		00256424
00335890		43414764		00073278		00123667
43341745		43413972		00073220		00285878
00221658		43413267		00025992		43378979
43340431		43413183		43388182		00517623
00114076		43402782		43331767		43395787
43316041		43402539		43278991		43314726
00320112		43362319		43275466		00841293
00197718		43344301		43274004		00306633
00128387		43344294		00825786		43429732
43343491		00547115		00298210		00102658
00033694		00419834		00033995		00321132
43403237		00128656		43411396		43200427
43287764		43420274		00217046		00827665
00395021		43418341		00107337		00101672
00264222		43414766		43272116		00134489
00253154		43411661		00340176		00728721
00136343		43396056		00306798		00169053
00252101		43355207		00359060		00127958
00059317		43344532		00340178		43364772
43282135		43325152		00322928		00731420
43400707		43287707		00045319		43392587
00486965		00335882		00016776		43385120
00446378		00023190		43308270		43374147
00405337		43431144		00357199		43339673
00334847		43421957		00344249		43339348
00266876		43419051		00231819		43329644
00165875		43365022		00574694		43305578
00109023		43346490		00340443		43275982

 

6

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00076560		43343380		00274018		43275630
00045284		00273531		00111627		00114180
00012858		00264313		00103330		00019374
00011513		00122603		43302069		00122171
00002999		00108383		00720968		43418131
00306762		43425085		00346438		43396816
43420677		43419521		00288391		00355799
43382851		43400147		00195464		00326670
43287968		43366396		00195426		00124881
00516732		43366058		43320350		00114498
00489603		43344524		43270532		00079256
00341156		43277205		00543225		00031572
43415138		43277019		00217308		43342501
43406522		00610313		00195932		43286092
43272036		00270231		00131512		00734136
00170725		00102225		00109263		00357705
00141685		43377005		00896539		00139654
43330101		00520187		00327247		43415760
00297882		00355056		00122772		43395653
43413402		00347832		00354882		43378193
43279606		00347831		00124025		43329895
00864315		00274997		00016711		43290274
00236411		00116032		43331968		43272877
00203449		00527823		43330203		00434027
00836435		00307140		43303229		00306634
00340695		00116877		00289711		00254348
00106273		00021879		00286083		00317469
43316536		43409007		00111077		00027499
00350783		00129894		00107298		43279807
00056835		43420297		00040034		00332425
43384436		43359162		00303273		00017693
43376988		43348854		00230421		43304682
43347726		43276875		00052868		00716723
00342661		00352824		43293387		00132643
00137219		00352522		00341304		79000160
00128018		00284390		00331058		00205655
43411317		00113603		00128711		00025436
43390529		00109455		43405284		43332154
43343465		00050921		00356919		43376124
00326997		00032222		00305111		00222047
00131580		43297282		43413157		00102224
00117978		00438030		43398286		43383413
00025806		00339038		43381461		00326081
43379944		00282135		43348385		43419522
43271265		00203513		00141615		43413861

 

7

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43270336		00129070		00107923		43413792
43346337		00118959		00027804		43412505
43335619		00052128		00017408		43383623
00313854		00016682		43311311		43380046
43339876		43433809		00357606		43377724
43299742		43433796		00312258		43314064
00272375		43418528		00301687		43266891
00100699		43418510		00115508		00356270
00029207		43413523		00104112		43357324
43388353		43413514		00051853		43330171
43298343		43413408		00161705		43305794
00537071		43411754		00130454		00332214
00318137		43411203		00122407		00816280
00079567		43411195		00115062		00328822
00003014		43411192		43298244		00314640
43272134		00112345		43330004		00305234
00142320		00031055		43303291		00200905
43256593		43430191		00878022		00045561
00295861		43426828		00294584		43372852
00198691		43421619		00131953		00295945
00125422		43413722		00349448		00252348
43276561		43413466		00332848		43385547
43275409		43411466		00283975		43384309
00892300		43410965		00257281		43326370
00873160		43410813		00100313		43319067
00720305		43281518		00058168		43292457
00328898		00311520		43378963		43414936
00295574		00017480		00347957		43337527
00202733		43410985		00314959		43319786
00149837		43410955		00269427		43294759
00873020		43410650		00029726		00106675
00334645		43410643		43300526		43327357
00329347		43410144		00706450		43104944
00275981		00017342		00648221		00295396
43333455		43377748		00332409		43371664
43318924		00269837		00329678		43348382
43316023		00268977		00279396		00276886
00832847		00265962		00219052		43346412
00217910		00051724		00126113		43326273
00182869		00021183		00118296		43243661
00122944		43336746		00101540		43105777
43398908		43274453		00021831		43390798
43380622		00391794		43398385		00251646
43329633		00351849		43343830		00340719
43277003		00139709		43311509		43421925

 

8

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00832804		00034177		00529362		43417022
00287543		00018070		00334473		00317748
00232955		43354359		00120228		00312043
00011067		43277539		43420110		00272814
00646555		43276849		43366973		43325416
00197296		43276725		43278161		00833126
00101908		00541745		00329684		00351669
43406244		00517135		00299588		00120854
43166094		00343647		00299138		00110623
00804002		00193953		00230600		00024353
00124947		00113869		00108749		43354726
00107930		00008857		00025411		43331398
00106486		43414757		00015039		00126324
43367911		00879541		43327900		43321611
43289927		00726346		00352965		43293385
00206514		00412813		00350408		00139207
00131821		00310577		00340677		00129263
00121613		00297740		00287550		00126664
00001791		00270735		00125855		00077632
43424315		00259152		43372195		00287124
43395003		00036015		00357390		00129349
43359047		00004077		00221422		00126125
00337306		43423748		00339323		00023521
00139723		43411802		00201785		43370308
00134874		43326168		00134647		43360469
43412309		43275452		43379531		43360375
43327857		00321465		43333246		43360271
00344762		00303419		00259977		43425895
00117760		00245488		00080345		43421851
00031558		00057896		00024615		43404491
00008798		43427662		43299442		43338809
43396062		43410617		43283835		43321896
43384451		00357074		00277354		00335888
43350469		00323862		00217587		00125054
00346754		00235334		00079054		00710199
00115063		00141062		00055995		00331754
43399908		00129402		00124158		00314963
43390055		00031344		00442658		00229874
43382664		00023296		00300896		43318831
43330484		00484431		00134003		43304942
43307944		00170658		00353108		43288195
43333657		00276905		00347787		43419461
43308471		00007283		00325708		43364068
43276453		43308753		00226661		43348600
00341033		00526975		00129076		00228652

 

9

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00306112		00253855		00467502		43415209
00125261		00030275		00105203		00261966
00105571		43398080		00101930		00126495
43378427		43333576		00045507		43407553
43196353		43293833		00033719		00305297
00351377		00834157		43409538		00150327
43392697		00359862		43400846		00141158
43380919		00341932		43398473		43373029
43326560		00117757		43393209		43361285
00325839		43347725		43368797		00017477
43319703		43275165		43368740		00007995
43311501		00493074		43327559		00350831
00285500		00142089		00123182		00005080
00123086		00018842		43375769		00005985
00077927		00596159		43365519		00020830
00001616		00266409		43317370		00129181
43388426		00014212		00326978		00136727
43317654		43309356		43420271		00140684
00229962		00814245		43272712		00286285
00157007		00335462		00441724		00318772
00015267		00319835		00112809		00392340
00393347		00118402		43275646		00532002
00317683		00008775		43275462		00577979
00216064		00008750		00529702		43359129
00139009		43370704		00009670		43351733
00131963		43328165		00643386		00112330
43403215		00625418		43365103		00170399
43183080		00607606		00357611		00177644
00325912		00555304		00271756		00228272
00125856		00375322		43362962		00299561
43333690		00346044		43348853		00884995
43316754		00327932		00565520		43305750
00874590		00284696		00335666		00420786
00110150		00230626		00138922		00284795
43346949		00148431		00131567		00295283
00195694		43369623		00100787		00121282
00076170		43353604		00084098		00023680
00051049		43341250		00010114		43422328
00328927		00717851		00010110		00357190
00116004		00326179		00839426		00213927
00074928		00227304		00648825		00136294
00058660		00131491		00317327		00279365
43318827		00044083		00306077		43379601
43298446		00043704		00122535		00323673
15000698		00040742		00073213		00289179

 

10

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00330078		43399753		00028041		00125143
00075895		43412117		00322480		43413062
00075164		43412108		00275891		00305627
00590177		43406221		00114899		00131971
00054458		43404178		00073052		00113558
00033076		43393882		00048519		00030305
00010821		00276895		00023169		43339681
00289123		43367966		00007329		43178582
43274819		00111595		43399609		00124124
43185814		00017679		00513296		00021220
00342852		00016756		00300532		43336017
00328599		43332513		00274839		43427149
00120323		00133303		00202205		43411118
43332086		00125184		00124712		00876925
43309766		00111858		00040739		00279373
00343480		00053642		77600148		00108228
00299633		00284498		43422881		00045875
00034830		00243243		43414159		00121509
00030821		43399165		43411043		00285063
43323403		00262502		43409846		00276492
43283605		43379478		43382495		43385257
00332206		43367250		00358025		00137383
00289704		43365716		43428618		00078255
00133880		43343625		43421783		00004135
00133672		00364991		43333305		43415622
43384084		00350165		43304144		43407775
00216152		00002813		43290321		43358188
00117596		43339274		43182226		00355220
00005055		43314940		43428228		00434809
00002265		43294727		43425661		00318930
77500138		00841129		43409814		00306271
43389751		00347838		43276465		00861049
43324382		00272221		00119977		43384072
00711012		00261882		43292303		00733083
00217671		00119173		00293816		00111382
00100014		00076140		00279699		43343704
00108827		00055190		00127453		43287844
00033885		00040749		00073032		43281311
00033741		00010318		00025176		00278208
00031458		43315344		00818100		00273767
00023117		00815713		00674834		00016529
43429943		00519995		00347264		43409692
43423434		00339148		00291178		43308921
43419601		00338065		00263281		00576352
00557846		00274895		43394770		00026734

 

11

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00497940		00123089		43286610		00026616
00173223		00083313		00334996		43312291
00054722		00040647		00318125		00342625
43376351		00019559		00130227		00309713
00033474		00010860		00112559		00304756
43329727		00010682		00003482		43371847
00034028		43332276		43317575		43180690
00033158		00349442		00353338		43403867
43343582		00119507		00111472		43342481
00137447		00276879		00263927		43292871
00031338		00105461		00477087		00134426
00196685		00101117		00139727		43394268
00328528		00079561		00011579		43326380
00289429		43322117		00295944		00836605
43269438		43299515		43420183		00348773
43348896		00432482		43341396		00251091
43365733		00364401		43331932		00136135
43377010		00312266		00352958		00130274
00217336		00141851		00345712		00104440
00311511		00115495		00314957		43418531
00702013		00107222		00311505		00487929
00721824		43392685		00274994		00317002
43368211		43370424		43396354		00215781
43366716		43303215		43363682		00028917
43276174		43288616		43326750		00028202
43103965		00307731		00347871		00008120
00689130		00275816		00299068		43376985
00389226		43409386		00252916		00896605
00345479		00842583		00108753		00723975
00304417		00142143		00033762		00289486
00299070		43357787		00018597		00131638
00236845		00343909		00137107		00016194
00122344		00337055		43174979		00049029
00115997		00142434		00335879		00054631
00036342		00114423		00280910		00056520
00008796		00113637		43419527		00079370
43288750		00620491		43270824		00109585
00310761		00272386		43270765		00115775
00140752		43320554		00350816		43322734
00123953		00126319		00340450		00034743
00053466		00103148		00572683		00039361
00051808		43346749		43400859		00053230
00034314		00822965		00709107		00075445
43397418		43334781		00075500		00262784
43286253		00221657		00732680		00308382

 

12

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00328136		00132139		00349822		00688002
43226965		00007580		00283170		00721948
00192836		43307065		00136220		00812471
00359864		00716332		00119904		00837482
00348596		00500909		00007653		43359516
00110842		00198340		43388720		43359436
43292554		00079080		43375770		43348595
00179124		00033496		43340252		43291132
00151785		00017153		43321006		00054428
00145416		43399786		00500143		00104524
00127988		43394620		00459461		00108531
43321262		43391618		00303074		00132530
00499471		43374261		00218715		00290971
00231198		43368213		00208164		00380601
00198109		43368204		00208159		00381926
00052255		43336737		00131928		00387770
00033438		43331847		00116243		00488747
00340312		43292137		00078436		00566403
00623253		00358022		43408302		00734268
00125699		00326431		43389273		00875651
00033352		00206652		43388446		43314866
43281920		00120013		43387810		00014568
00132194		00058783		43342956		00018762
43274226		00025645		43339786		00025038
00320342		00022264		43289438		00058416
43325451		43279943		00217727		00078689
43221666		00861634		00200696		00116556
00246816		00462896		00058800		00133006
00215536		00253094		00026903		00311161
00717797		00242852		00015792		00343247
00310258		00059551		00122099		00388483
00046044		00058166		00118014		00876852
00729485		00048512		43428811		43363416
00132125		00034702		43428763		43321665
00046019		00025045		43365521		43279979
00126443		88000029		43287967		43328270
00113280		43375734		43276638		43289947
00053005		43343602		00484482		43280030
00034794		43340210		00442836		43269258
00030705		00649074		00340452		00310256
00462705		00648337		00324679		00119489
00139895		00275971		00272637		00022160
00127619		00253545		00170811		00022504
00032579		00194000		00103984		00026707
00345896		00141797		43414281		00129486

 

13

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00344771		00100676		43315032		00266551
00317984		00075443		00318289		00318809
84000172		00047590		00119355		00343251
43154623		00028077		00110768		43371185
00468096		00025081		43336431		43338488
00269566		00018579		00353337		00056887
00159891		43276538		00292462		00077991
00118761		00825700		00196055		00114471
43409568		00337607		00036329		00125640
00686476		00102009		43316203		00130287
00337621		00004778		43307571		00196181
00279797		43398116		00274315		00258564
00160059		00318043		00206303		00611905
43270993		00302960		00141980		00816906
00132501		00276442		00121495		43314048
00011454		00035493		00341974		00254770
00011313		00033793		00083155		00287658
00807141		00006631		00052387		00137242
00011236		43374506		00348965		00350568
43279233		00358622		00200161		43433667
00288676		00353621		43373842		00292745
00204703		00278368		43279986		00126751
00009589		00217414		00720437		00357088
00329828		00002765		00422843		00295296
00227549		43332505		00358514		00279693
00132865		00896455		00100040		00146692
00128772		00139185		00052710		00011060
43325636		00124876		00031417		43339038
00880833		43378829		00025055		43194072
00359877		43346333		00022200		00715204
00306399		43335416		43387845		00227328
00028344		43332611		00008619		00128982
00319115		00875244		43289318		00108345
00305649		00728764		00328144		00008963
00211887		00285323		00273283		43425337
00130105		00073066		00350792		43409395
00056957		00059568		00278425		43386797
00031505		00028570		00131891		43337088
43426963		00024327		00198602		43335153
00132250		00022178		00124804		43326279
00102060		00455512		00050922		00351839
00030750		00141860		00032347		00281066
00030369		43375650		00343854		00100827
43288055		00716618		43397271		00050569
00458503		00477672		43362666		00325706

 

14

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00287944		00303252		43323589		00459151
00007137		00257176		43316150		43337861
00393401		00126574		00341171		00688622
00356273		43376525		00102056		00563013
00126783		00541044		00880353		43402784
00045402		00263559		00342742		43347136
00348588		00193383		00213479		43309880
00331605		43394193		00167185		43277963
00314454		43344546		00154555		00818119
00213713		00306449		43366968		00302959
00014791		00265216		43338387		00257327
00329337		00193348		43287259		00199595
00054790		00110722		43408603		00179841
00301105		00034320		43338485		43412902
00122234		43330804		43324807		43273898
00102460		43315136		43299242		00329179
00876186		43277905		43276888		00328920
00272390		00124482		00313524		00305436
00103634		43397114		00308541		00298111
43378976		00250350		43374778		00278239
43324370		43339008		43373732		43412518
00881759		43337439		00350413		43363427
00681997		43277151		00306791		43321503
00516309		00301803		00103433		00720852
00193311		43375515		00058428		00641375
00051880		43298836		43272597		00533289
00007352		43381623		00114211		00359405
00338214		43315923		00123149		00332556
00331601		43425262		43341197		00314374
00026559		43397037		00344744		00176958
43398919		43377337		43324383		00873780
43384948		43325607		00896427		00359369
43314296		43300139		00325273		00012687
00346385		00357825		00002975		00449849
00346210		00003977		43421645		00341797
84000876		43423048		00004881		00073123
43417190		43374615		43352313		00029418
43283963		00304554		43292067		00013690
00294887		00285521		00618780		00011608
43345767		00123858		00354215		43289751
43277086		43349501		00346766		43275037
00413070		00404934		00269698		00126587
00351366		43342953		00025534		00023351
00141666		43279944		00024659		00523690
43346090		00469777		00013153		00004297

 

15

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43345903		43420390		00011168		43406433
00272503		43381845		00120969		00307134
43348893		43340332		00043567		00301684
00270721		43315349		00033198		43429740
00022122		43314841		00015654		00208640
43275314		43299246		00006945		00202770
00208687		43297392		00004932		00462101
00018754		00358797		00250427		00256552
43348764		00339036		43388706		00026162
43348638		00312152		43362768		43402640
43348463		00272082		43350527		43387912
00479438		00016635		00707457		43328001
00251876		00001946		00429279		00354045
00218962		43332072		00426792		00171123
43385099		43306906		00418838		00126316
43374880		00339545		00006247		43388039
43367995		00202622		00150533		43361084
32000452		43340479		43430135		43321693
00331301		00819964		43406435		43317818
00307789		00357607		43403315		43283873
00300980		00107421		43395353		00717711
00269402		00102821		43370771		00543667
00118203		00023992		43369537		00338063
00031429		00023977		43365644		00296716
43277214		43395842		43365643		00253219
00869708		43299307		00336277		00169227
00234710		00140529		43388244		43428306
43344555		00074902		43307211		00134254
00258685		00033912		00135053		00102498
43341179		43325864		00114964		43425362
00732605		43275641		43375301		43423598
00351382		00494879		43372780		43412290
00345216		00108938		00122177		00866946
00272954		43377774		00110602		00124414
00450472		43339874		43377068		00083307
00236004		43338913		00132493		43383776
43344422		00431761		00024305		00338075
00137414		00272841		43189775		00313807
43320093		00268992		00220535		00301800
00228908		00033895		43406751		00014238
00322476		00020013		43412246		00844713
00129882		00333328		00557366		00648841
00014809		43339389		43423908		00456640
43371744		00112073		43423579		00422967
43323800		00026405		43386650		00415936

 

16

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43296888		00023966		43386637		00335764
00133689		00306417		43423603		00307992
00017236		00111646		43423210		00244015
00258377		43412507		43421426		00209368
00876100		43372785		43386651		00190837
00552860		00521272		43386647		00058859
00011359		00310081		43417252		00004179
81028472		43420503		43298447		00114225
43364572		43406451		00351843		00102713
43334779		43355107		00265850		00014866
43327455		00343315		00197895		43343481
43323998		00331216		00721328		00847801
00234311		00208853		00680427		00428019
00054665		43383233		00341223		00338274
00042970		00435406		00106497		00337595
43398738		43382938		43426658		00228636
43340155		43300248		43425486		00080764
00354035		43283902		43425078		00044126
00058569		00103334		00896616		00016667
00340707		00102859		00229470		00009210
00108200		00021030		00132667		00806269
00059400		00328294		43343885		00293977
00047510		43326080		43307586		00276904
00024838		43277710		43296106		00194496
00075645		00356108		43287127		00146145
00055024		00303069		00133287		00129687
43404188		00030879		00119405		00075038
43355491		00007690		00011988		00029388
43206700		00529583		43425669		00526401
00635847		00029790		43420301		00294691
00331604		43338261		00317328		00271535
00205983		00712094		00269014		00075651
00045470		00105075		00228131		43388100
00015373		00101386		00121622		00832286
00821861		00053250		00100693		00806218
00347519		43315354		00007517		00213993
00164518		00686077		43341613		00153613
00129683		00345480		00352677		00104427
00056941		00312146		00349783		00255831
00042661		00303708		00318606		00208027
00021971		00154547		00284701		00017263
00010550		00122499		00250287		43388332
00059066		43325559		00118970		43336999
00034270		43311882		00019190		43277088
43363227		43295571		00002167		00269008

 

17

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43361684		43413254		00805394		00128550
00211923		43408315		00521531		00103207
43370709		00614297		00178497		00053960
00492639		00331961		00109762		00030688
00340853		00292686		00001997		00030600
00227545		00276911		43406518		00027522
00118963		00129427		00462675		43301079
43382917		43373023		00376086		00623431
43368850		00543683		00116720		00271876
00334235		00108847		00033445		00217416
00327253		00562564		00028575		00043562
00113836		00280635		00025042		43426541
43418587		00031426		00025028		43286833
00872601		43424305		00015354		43284664
00356824		43339676		43404110		00487163
00325002		00288026		00418196		00335398
00287745		00224898		00118060		00142390
00217411		00106713		00042432		00133978
43396356		00039120		00008584		00014512
43364694		00028283		00341908		43380184
00347458		00017097		00323680		00483672
00292748		43411188		00115630		00339792
00227322		00469130		00058688		00119846
00205362		00225835		00006248		00052984
00112108		00140634		00680397		43372178
00355887		00133003		43382277		43297291
00287123		00104646		43168555		43286249
00218816		00030332		43105426		00859494
00117683		00494941		43331684		00327108
00031430		00255086		43323461		43374949
43316557		00161225		00176753		00896515
43293972		00157406		00141296		00276944
00324027		43287771		00139036		00213768
00301111		00359602		00111610		00117577
00146617		00129622		00083072		00043053
00115795		00123466		00038750		00015457
00102124		00114887		00018845		00336662
00023141		00007269		00014390		00332845
00310091		43364291		00008788		00306803
00229021		00860182		43276768		00257753
00228631		00250937		00826251		00131489
00139524		00023929		00208211		00013706
00311014		00358049		00116564		43373433
00296913		00355064		00051622		00072145
43361671		00262173		00031375		00054221

 

18

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43231572		00503916		00030631		43201010
00201436		00329829		43283038		00202126
43424187		00245399		00649376		00007474
43405537		00131514		00649228		43179142
43313456		00876488		00350963		00523259
00330613		00803936		00347462		00313841
00255865		00125168		00278394		43320989
00137539		00333336		00134237		00565636
43423461		00258446		00024472		00452114
43417762		00109848		43316673		00307947
43377361		00053208		00134520		00259403
43370234		00052762		00079246		00117408
00188816		00008049		00205482		00116822
00132905		43301919		43387819		00079310
43406045		43335711		00124423		00019346
43401397		00257082		00083211		00119967
43357540		00810347		00008930		43317829
00120315		00108359		43368783		43400371
43406862		00308137		43359169		43359515
43400286		00307351		43276964		43339557
00359594		00258215		00354062		43320843
00109484		00256419		00229031		00882372
43314142		00054255		43344553		00808725
00708623		00051646		43317232		00358409
00119893		00009489		43268823		00128748
00017264		00491659		43202230		00122805
43422290		00265730		00334952		00110946
43402159		00100931		00113006		43428236
43381983		43273153		43345520		43390623
43280163		00231587		43243281		43368897
00100938		43394250		00219136		43325149
43387753		00893463		00023605		00112444
00118091		00887587		00297621		00106786
43321560		00321656		00564028		00116892
43280706		00023944		00350149		43311982
00206878		00534463		00210595		00706388
00132178		00526266		00434345		00100949
00105137		00416126		00342461		99060198
00138823		00292678		00125764		99060197
00134725		00141843		00001790		43418087
43393137		00045824		00013965		43342377
43377521		00390437		00046833		00851426
00301922		00365467		00078660		43360783
00132402		00306092		00078681		43331854
00018970		00138787		00117601		43360792

 

19

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00344765		00009578		00183385		43278092
00322190		43418486		00234362		43270909
43387742		00523275		00327131		00875783
00283020		00477591		00676713		00646504
00252783		00338974		43429281		00595535
00108452		00137308		43364794		00349785
43419440		00031242		00286435		00119668
43382240		00028606		00317150		00119625
43271058		00028589		00345180		00109803
00415367		43387752		00406872		00105264
00296211		43348402		00468665		00017383
00119424		00839051		00478954		00128409
00112578		00363235		43376257		00124116
43411557		00312734		43370827		00301799
43383697		00131568		00107231		00320021
43357537		00050510		43375122		43358434
43308884		00018446		43269566		43308277
00334488		00010197		00032062		00331753
00329660		00010123		43383777		00217430
00126282		00008928		43367361		43102219
00051993		43350695		00194191		00230451
43406208		00028330		43425584		00078072
43331464		00028080		43415304		00877603
00729450		43406057		43409545		00733555
00346040		00334653		43383264		00140679
00343893		00137070		43346588		00004352
00311017		43324992		43339769		43384133
00202805		00383465		43416681		43271075
00133635		00343868		43414447		00294578
00132891		00323148		43406517		00214020
00127422		00117096		43376356		00124785
00123131		00026812		43372237		00050195
00121114		00026251		43368184		43419445
00102679		43407530		43352966		00274535
00728292		00282883		43345735		43415685
00513229		00026161		00027214		00323283
00393533		00025087		43424537		00310236
00223022		00011983		43424054		00286029
43336825		00008274		43386701		00244368
00573000		00319682		43360417		00218006
00357595		00032541		00884529		00214280
00281245		00486086		00335460		00141813
00256441		00209287		00720135		00124305
00141372		00046606		43367575		00047641
00114139		00167584		00106772		00038407

 

20

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00054453		00123989		00119122		00016138
00413992		00123138		43335256		00320503
00110795		00111365		00492175		00141808
00110191		43389013		00292732		00016534
00103591		00491357		00217304		43370927
00059044		00190217		00127417		43314031
00006454		00462055		43328336		43308446
00475092		00356099		00030969		00436615
00262854		00001445		43425903		00205654
00239186		00562491		00111823		00058786
00184977		00391077		00287247		43386654
00123254		00027455		00356094		00717568
00114724		00015595		00205973		00227313
00016815		00337773		00077261		00134393
43411563		00191744		43403845		80702927
43344565		00141976		43385077		43426248
00722529		00038487		43374525		43377762
00359871		00462349		00307744		43375747
00202561		00307866		00192201		43374871
00111208		00100137		00054995		43372963
43351987		00084216		43412286		43356785
43333194		00003427		43398655		43346600
43306437		43332053		43360969		00352608
43271872		43276745		00589373		00343897
00077013		00715689		00317611		00340502
00019015		00642630		00170672		00313671
43392710		00462195		00139647		00312375
43371682		00405809		00352243		00302120
00732303		00364118		00133620		00228644
00310254		00314293		00116924		00136884
00308888		00198115		00075055		00117406
00059510		00132513		00018370		00079530
00007272		00122463		43357891		00002266
00330953		00017527		43371136		43413479
00139141		43412598		43311182		43391948
00117359		43327062		00884243		00358056
43398659		00347902		00326671		43166216
43339982		00271245		00134453		00222640
43326898		00130580		00105412		43375024
00260754		43323220		00033836		43307323
00168106		00307971		00017580		00133519
43385087		00109470		00881562		00034176
43346936		00076724		00717452		43323663
43332241		00495360		00249723		00405485
43404172		00350560		00107805		00347004

 

21

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43348875		00343615		00542369		00117528
00332210		00262634		00392294		43351887
00117350		00028854		00318429		43200268
00282766		00028802		00301019		43283598
00281057		00028241		00114355		00358843
00260428		00019273		00106239		00298106
00055013		00194979		00079523		43338129
43412523		00137301		43374335		43332001
43321180		00017313		00294580		00278230
00195811		00007794		00260353		00101381
00105144		00298899		00130163		43380194
00006232		00102546		00323427		43331967
43327567		00824771		00126770		00132440
43320837		00681601		00113562		00130323
43392709		00676853		43272594		43416118
43334963		43377073		00848050		43288400
43289756		43281837		00677698		00449881
43214955		00291745		00563285		00445681
00213531		00124457		00523151		00302988
43352973		43343363		00131508		00131859
43392084		43319788		00109124		00120227
43326985		00349632		00031701		00018768
00023764		00031224		43372521		43341762
00001704		00005370		00269438		00274876
43340712		43392604		43405442		00133513
00319834		43269315		43396228		00107746
00228917		43215812		00013442		43386506
43285046		00291174		00733024		00107832
00394343		00275211		00123243		43320699
00073007		43340212		43342255		00884235
00428248		00542946		43275130		00199094
00888311		00342246		00483494		00182230
00276897		00121373		00349820		00131589
00115852		00311492		00324898		00122961
00328821		00142402		00265841		00120887
00197136		00125559		00181633		00114386
00142343		00122494		00142149		00108946
00141348		00017520		00077674		00078877
00129323		43413489		00032391		00701386
00105445		43378311		00017773		00503835
00121846		43308841		00012896		00440361
43280187		00137413		00886556		00294889
00332411		43417475		00711063		00045757
00131753		43351446		00324279		00018572
00030321		43341335		00129214		00204773

 

22

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43312572		43298200		00110405		00170003
00275999		00124707		00112820		43332243
00273888		00122597		00002107		43331917
43336855		43287183		00447838		00352815
43328796		43276478		00269576		00043178
00177520		00337307		00256677		00005894
00137087		00007540		00122755		43367538
00058043		43364921		43381194		43399146
43355545		00327243		00288491		43184035
00805033		00276475		00491691		00274295
00132555		00120197		00016977		00259018
00123856		00029074		43410595		00349446
43315389		43411706		00122688		43421936
00333742		43409794		00030963		43398544
00320587		43403858		00566535		43382505
43381379		43375848		00274407		43380608
43347267		00311143		00132593		43393741
43296706		00203452		00035399		43317613
00122998		00197076		43181895		43312115
43340187		43413257		43412745		00141485
43275648		43393080		43322123		00050369
00310575		43389401		43396222		43409711
00227632		43374067		00841404		43378209
43110484		43367136		00702234		43376995
00227439		43362596		00357154		43375941
43376132		00350806		00273293		43375115
00341018		00346028		00128447		43349939
00303553		00133505		00102610		00138843
00126231		43340862		00286751		00075256
43286534		43315908		00126837		43425173
00220818		43306181		43381852		43421853
43413201		43275022		43354160		43392533
27001004		43403411		43330848		43384343
00870595		43388902		00133605		00574732
00311503		00355052		00109295		00123100
00142044		00341176		00025758		43420120
00128058		00272473		43411364		43403876
00338675		00142362		43385868		43402837
00102351		43285795		43359330		43402811
43342934		43205882		43210462		43382827
00358794		43378023		00009876		43370833
00263160		43375229		43281656		43337205
00817856		43345411		00343898		43330157
00123087		43335843		00332842		00017089
43420208		43269970		00140942		43409400

 

23

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00716677		43409593		00128226		43385465
43409766		43327412		00110958		43373514
00716766		43269502		43422548		43370352
00357080		00201038		43417386		43323210
00337072		00303704		43380397		43317086
00213143		00288392		43378906		00016405
00197449		00024214		43356576		43423751
43400907		43414136		43257896		43415904
43390934		43302335		00850845		43395596
43378573		43287831		00288902		43395581
00633364		00888273		00147745		43387564
00449997		00723622		00435821		00305237
00298379		00305454		00434612		43280404
00196881		43341393		00252018		00427942
00125794		00462462		00227166		00354713
00079345		00314579		00131861		00291177
00322473		43297287		00019819		00240230
00109522		00046703		00569240		00233455
00101918		00109553		00504769		00156396
00400270		00102070		00230316		00112507
00294894		00004728		00158496		00107583
00210064		00896518		00133774		00104833
00830569		00259868		00022631		00083049
00322783		00108424		43381126		00058495
00265554		00017382		43380334		00025485
00142034		43416737		43340477		00024288
00829587		00334154		43315111		00021751
00339326		00313726		00880795		00021571
00293838		00306754		00837229		00014602
00010924		00269436		00706663		00004587
00003678		00243021		00703249		00433438
43281087		00145467		00703192		00171616
00490253		00136921		00645826		00540765
00406694		00123128		00517038		00477532
00220264		00122696		00363359		00127466
43378776		00112610		00303552		00014988
43367972		00040619		00274024		00001036
00555169		00004049		00238848		43378213
00356964		43299824		00127055		43375930
00223055		00306777		00125717		43371645
00101863		00134421		00122956		00890332
00100718		00115136		00103769		00705977
43410798		00058947		00040837		00566195
00483664		00809217		00017432		00017684
00326078		00557706		43425372		43377180

 

24

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00300728		00531081		43377745		00010401
00220809		00194735		00892947		00002594
43412972		00348934		00851701		00563552
00835714		00332192		00821543		43409673
00156892		00299377		00711896		43348938
00126239		00139069		00357079		00319512
00106505		00132140		00341152		00142411
00079096		43415363		00334897		00122571
00312134		43322279		00334651		00032525
43277001		00332542		00333631		43382064
00141873		00320781		00333431		43378192
00108732		00318142		00315621		00392383
43360804		00222944		00262636		43359344
43342991		00132184		00213655		43351992
00251769		00076122		00211841		00811866
00128672		00013325		00164550		00279826
43395082		00046495		00024047		00201844
43383840		00020892		43339128		00128673
43331461		43388365		43312082		43417265
43179420		43371112		43297288		00025440
43391709		00202799		43295160		00013398
43386063		00131583		43284782		00387126
43292561		43343906		00861545		81030857
43288333		43323285		00528056		43399900
43335789		43275706		00499269		43288483
43325468		00298603		00339173		00297985
00896662		00288667		00301531		00280358
00118083		00102369		00288660		00046673
00603678		43353075		00206653		43398802
00299978		43294219		00139842		43319364
00002288		00228910		00002100		00124986
43377763		43386030		43411945		43310765
00687448		43331027		43411881		00127676
00310336		43323209		43388026		43419363
00292351		43383745		43331376		00464023
00170961		00387053		00045743		00032291
00125636		00345345		00040222		00107725
00046850		00416592		00627925		00042151
00046555		43318825		43302972		43412517
00043928		00275840		00023077		43356171
43430228		00107013		43281114		43319700
00124977		00027738		43181286		00332038
00255483		00182311		00231018		00223040
43381022		00126195		00122588		00139889
43375457		00107165		43422901		00521116

 

25

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43341839		00074246		43412898		00421723
43341768		00049216		43327029		00357403
43328883		00019455		00326397		00290754
43314744		00019424		00221659		00022259
00268994		80700396		00169539		00021042
00120185		43420967		00136326		43358192
00078446		43359632		00125761		43291331
43327430		00269249		00027545		00348440
43398805		00024827		43333479		00290083
43341508		00329663		00055192		00250443
43338443		00074003		43425461		00141696
43315792		43411034		43334442		00108172
43418827		00284318		00711330		00104846
43338262		00254564		00335213		00010540
43276752		00124847		00334988		00358808
00881910		00729876		00300147		00303262
00303424		00032532		00134773		00240524
00129130		43302853		00026659		00022021
00102971		00157368		43420925		00010781
00080317		00132901		00311158		00104590
43356387		00122490		00030327		00009916
00683477		00352526		43419960		43323976
00465119		00109135		43349564		43426751
00050536		00123029		00415693		43426660
43340721		00121935		00109134		43426095
43323777		43293832		43310187		43426008
43321252		00394602		43301666		43424324
43298344		00219964		43390870		43424064
00825751		00115516		43388181		43423726
00256525		00359695		43332008		43422466
00264418		00040758		00220819		43422415
00203874		00019345		43418361		43422384
00042415		43417550		43378561		43399420
43276960		43374433		43425703		43386670
00125531		43280965		43425278		43386648
43377398		00295860		43412307		43365525
43339147		00106499		43384975		43365511
43339022		43388183		43293193		43345034
00132086		43205702		43285358		43345028
00007703		43167439		00106845		43344516
43394622		00839167		43412756		43318601
43315252		00349813		43330616		43280270
43300018		00299799		43309825		00283749
43296041		00156973		00074884		00196851
43275406		00120980		43406861		00134481

 

26

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43273573		43420662		43386081		00133637
00391662		43372656		43381758		00125185
00334654		00333382		43336797		00112641
00251178		00314481		00319830		43427901
00129673		00100556		43417278		43427895
00127217		00883425		43376196		43427378
00122913		43411328		43373310		43427064
00102933		43296026		43184775		43426941
00051366		00295936		43289932		43278806
00018069		00205309		43293232		00717762
00009323		00296566		00492000		00214161
43379469		00278734		00258326		00200242
43353439		00169102		00157376		00129656
43316187		43405897		00111425		00079218
43315254		43399827		43425889		43422317
00404640		43357327		43418600		43381075
00311024		00335766		43377251		43371758
00251151		00216135		43332531		43337074
00218341		43414231		43331456		00448044
00165409		43410581		43323889		00341162
00103714		43401244		43281405		00309541
43375237		43381992		00873888		00297132
43345455		43339151		00357728		00288273
43338241		43165998		00356264		43428094
43315781		00320113		00287559		43426973
00326812		00297989		00134062		43420073
00263759		00123649		43423201		43418826
43338460		00106382		43421439		00709514
43316165		00459003		43284025		00338437
43314479		00109705		00354722		00268216
43308656		43427687		00845566		00217409
00721867		00825867		00515825		00202626
00134360		43414278		00350137		00132099
43349282		43420550		00133417		00141351
43340093		43423685		00125558		00141192
00863696		43403751		00113290		00017381
00687707		43367637		43400356		43377339
00459798		43282263		43330779		00324310
00307327		00264102		00292625		00311294
00305291		00108735		00211208		00230450
00223921		43353910		00124715		00204213
00130453		43312943		00103296		43396912
00078505		00119699		00100897		00707902
43338695		00115048		43397700		00231414
43298256		43421549		00343128		00010294

 

27

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43375573		43356074		00124869		00113936
43293814		43305574		43426340		43250552
00614394		00221062		43426338		00728926
43416611		00121245		43392538		00194569
43379472		00108014		43307823		00126251
43377771		00296848		43432296		00111479
00559776		43313446		00349260		00280511
00344524		43418259		00298699		43401235
00275551		43400447		00040790		43383456
00107848		43373390		00031625		43339369
43339626		43412681		43421715		43156885
43314207		43378175		43405424		00122042
00333438		43356079		43362938		43286872
00892548		43309811		00843962		43321281
00334894		00347469		00310985		43288838
00334644		00129459		00295857		00262757
00075794		43343393		00286916		00255661
00023637		00139753		00136216		00115051
00007869		81030925		00124422		00106997
43377402		43383694		00123274		00869929
43343377		00343138		00112008		00300553
43336399		43425230		00107361		00123082
00304915		43385974		43355488		00017584
43412087		43289178		00161454		00271752
00687413		00700657		00130605		00004999
00340694		00344983		00129590		43260764
00020230		00335461		00052085		00026849
00020215		00323365		00008844		43348042
43386630		00289817		43409427		00724912
43316096		00250485		43376998		00352805
00590355		00216065		00647683		00195872
00863467		00135088		00478032		00142279
00292605		00118130		00344451		00256870
00197970		00113955		00587494		00059017
00028522		00035895		00350973		00017397
43377734		43270564		00335685		00375276
43295154		00607274		00144126		00079991
43275637		00335220		00109895		43416468
00678104		00292627		00054930		43392779
00114939		00278717		00006294		43383400
00104198		00260205		00006335		43302660
00022577		43424769		00013954		43297461
43275416		00024661		00078692		43297395
00204842		00813990		00285882		43297297
43339126		00077677		00326543		00340303

 

28

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43415769		00891207		00387177		00332025
43286109		00817090		43419973		00302943
43387737		00544361		43401581		00231818
00193526		00357729		43369000		00202634
43395895		00330412		00317148		00122756
43375725		00321729		00309712		00027172
00193465		00271470		00251631		43385545
00118027		00142003		00115543		43334069
00017488		00134060		43428773		43299818
43418757		00132468		00338440		43298888
43414946		00105845		00276459		00340444
43278809		00103959		00245100		00279110
00299782		00055740		43423725		00141737
00119479		00052104		43392696		00141674
00111970		00030375		43364763		00023622
00009800		00848581		43353077		43413695
43340546		00730033		43327427		43405372
43314576		00710857		00196866		43403206
00105243		00475254		43423660		43393342
00016772		00323287		43300706		43392579
43315263		00196916		43293644		43379587
43387733		00153907		00317321		43365905
43377249		00139613		00312539		43311080
43364216		00121673		00120447		43298283
43344198		00114499		00155810		43282563
43318600		00102896		00139117		00217595
43317567		00079156		00018089		00198424
43317280		00024857		43332381		00015014
43295660		43379622		00809233		82000561
43279947		43373359		00341966		00133664
00141061		43329903		00116044		00112806
43339124		43327908		43358125		00003409
00106888		00810746		00273617		00407151
43420061		00122191		00132438		00396001
43386663		00101290		43386714		00127539
43340701		43357687		00101800		00080932
43339630		00559148		43301169		00029527
43276480		00117828		00328149		00011808
43373211		00442321		00309692		43279595
43367730		00253793		00021025		00324680
43342459		00121559		00334685		00268693
43327160		00119597		00002928		00195737
00345476		00006329		00004878		43392536
00296694		00470643		00026122		00117008
43398380		00212032		00030266		00879568

 

29

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43338089		00130710		00053246		00205729
43310024		00045968		00084204		00029567
43295137		43276871		00100177		43432852
00004800		00828181		00119586		43428225
43364689		00338117		00218782		43426783
43363778		00213771		00348740		43420187
00839531		00134424		43318502		00120240
00345204		00084023		00043950		43345273
00101494		00003469		00056649		00397555
00024537		43414142		00103400		00111283
43394538		00497274		00106767		00055055
43420125		43306386		00114658		00151327
43326035		00168186		00125382		43417384
43314489		43384850		00136300		43411290
00896582		00214080		00166197		43376647
00124075		43397746		00320285		00303070
43407471		00274780		43388665		00274973
43301500		00119060		00010192		00129499
00688614		00118316		00046107		43421812
00341959		43388838		00237558		43421757
00029582		43323287		00119295		43421740
43268827		43322239		00131483		43417108
00014335		00427225		00258164		43403186
00302214		00351219		00475866		43390883
00120909		43384453		00005048		43390796
00010474		43291072		00119420		43357890
43422205		43272500		00278983		43343708
43340268		00850888		00349682		43311070
43338604		00566748		00702579		00293993
43285311		00422053		00016548		00259583
00680273		00123454		00023788		00230929
00362980		43420750		00025454		43297542
00349449		43393920		00105759		00514411
00334890		43393880		00134348		00329809
00297875		43370613		00170313		43406354
00195257		43320363		00256676		00216791
00113139		00340849		00299499		00010254
43396697		00114562		00342831		00140787
43379474		00034273		00447668		00350157
43375107		43423387		00449717		00171286
43352423		43415520		00479365		00468088
43331205		43405906		00596191		43392253
00343256		43404294		00827029		43384644
00299332		43348377		00864811		43372232
43347258		43319038		43416970		43367877

 

30

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43343856		43305797		43382485		43396801
00319384		43289242		00733598		00120134
00132550		43289083		00343994		00002293
43326372		00309520		00297973		00292649
43415026		00231182		00017916		00890464
00502898		00112502		43342938		00121174
00359371		43425458		43341413		43340623
00110227		43344687		43292075		43331615
00009257		43338173		00876135		43326261
43298238		43202280		00216544		00351361
00835781		00708208		00142129		00207380
00729086		00323187		00130465		43383838
00126047		00032912		43421719		43367998
43394404		43409699		43421347		43315771
00829552		43406150		43419373		00142373
00055041		00277600		43419289		00142235
43428403		43392132		43417157		00035757
43392598		43384231		43413993		00358219
43296963		43377190		43413896		00724157
00170804		43360717		43411762		00134630
43311196		43355264		43399483		43382982
00881287		43335802		43398843		43246635
43388360		43330778		43392602		00815810
00337632		00854735		43392453		00206121
00274017		00280934		43388716		00125834
00114617		00004843		43388088		00108811
00004922		43412994		43383300		00025399
43328487		43399160		43375994		00343456
43300010		43354473		43375017		00227320
00349830		00704261		43374652		00577812
00341846		00502146		43374377		00314340
00182354		00379050		43366889		00279410
00110720		00313844		43355430		00103630
00127734		00284704		43353909		43370720
00343135		00129870		43347280		43275027
00132105		00126737		43345439		00727989
00109871		00054775		43334022		00363662
43397099		00050453		43327175		00139101
43332005		00050354		43297753		43336991
43277319		00030716		43284949		00015877
00685909		00022678		00337056		43418921
00346667		00011801		00131573		43350300
00285064		43371665		43414099		43341249
00276928		43419605		43412699		43281751
00427284		43412113		43386682		43327184

 

31

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00076277		43363974		43377651		43309099
00028263		00303049		43345054		00260282
00021018		00292586		43344522		00251427
43401304		00269825		43316017		00216144
43270989		00129902		43282387		00461997
00891940		43404128		43280267		00204981
00438081		00125094		00841358		00132110
00339523		00114965		00343890		00492957
00333619		43334564		00267090		00130125
00128050		43325156		43370045		43386716
00100505		43323221		43316036		43323002
00006166		00120951		00342620		00874337
00005954		43406345		43399600		00851760
43406254		43363968		43395438		00720208
43271002		43331675		43392883		00134043
00529478		00124347		43377451		00043995
00193117		43412292		43355492		00136281
00129680		43405240		43309098		00226645
00030623		00305282		43308148		00391530
43274953		00154431		00892416		43432158
00018064		43424433		00130264		43392217
00003958		43410452		00058272		43384127
43380165		43326084		00008887		43388328
43375986		43325535		43383147		43325358
00721158		00277602		43373577		43286616
00716421		00035206		43298269		00311529
00413631		43315339		43297475		00272500
00331147		43313928		43276184		00254594
00205989		00329614		00325829		00229976
00115415		00052975		00289595		00204762
00007733		00027648		00131532		00132683
43399084		43306221		00107220		00131842
43395322		00137426		43424874		00122806
00205656		43398721		43421830		43412880
43427554		43422809		43420256		43320979
43409775		43399906		43416128		43205628
43373600		43343493		43413813		00830704
43343963		00359590		43413403		00714674
43277095		00311149		43316044		00322934
43271015		43379477		43315138		43421652
00399493		43376348		00285853		43403230
00349252		43312200		00128581		43334738
00139156		00265314		43421531		00349633
00024116		00457396		43420447		00008095
43287777		00055332		43420361		43397744

 

32

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00499161		43324524		43415372		43392223
00299960		00344467		43401004		43374704
00174750		00109926		43383692		00458805
00141701		43327042		43383052		00285439
00025303		43315001		43367267		00267287
00848379		43312396		43339398		00265055
00440639		43413737		43298117		00263661
00335221		43382850		00352688		00115954
00010544		43358512		00349402		00073231
43382631		43422834		00122933		00029705
43339057		43416948		00111926		00029609
43330772		43409832		43426520		00026618
00343253		43377197		43420514		00024614
00331637		43372422		43420394		00015680
00230601		43320100		43420359		00011950
00074500		43411695		43416617		43282518
00012868		43392408		43411394		00865273
00420735		43384341		43409817		00830097
43419677		43381139		43409762		00565628
43353907		43371208		43398935		00452750
00312853		43353139		43341332		00269492
00263665		43352049		43332064		00264208
00079896		43412506		43327358		00217674
43414765		00264195		43321655		00206054
43375220		43409807		00019058		00030962
43294726		43359348		00004084		00010512
00334785		00721743		43428217		00008497
43381365		00138700		43420194		00343643
00004707		00128574		43409225		00129924
00262886		00118412		43405962		00007632
00206520		82001185		43401110		43358456
00075788		43379375		43397766		00357585
00026492		43335700		43388564		00358957
00023922		43326932		43383180		43406340
00007891		43356163		43377753		00251411
00442135		43351494		43376255		00211443
00341843		43312378		43338727		43429506
00202335		00358515		43324362		00312045
43276542		43331357		43316164		00298353
00101352		43330666		00332291		00286291
00021207		00329929		00293982		00231727
00020358		00136861		00077800		00213438
00030921		00129399		43336147		00208380
00710741		00109480		43281857		00171980
00403377		00015798		00684295		00307505

 

33

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00298930		00283351		00077863		43379943
43327040		00028895		43419516		43346466
43322415		43326460		43417267		43345515
00441732		00375543		43413270		43325347
00340182		00123237		43406866		43318806
00298349		43281338		43380920		43426449
00007284		43271001		43377963		43206786
00039430		43388438		43340460		00429600
00039394		43368206		43317208		00329819
00896666		43329812		43315928		00259866
00712108		43305716		43314227		00127017
00134201		00104314		43277093		43407597
00129280		00076908		43275464		43380329
43292556		00685135		00213483		43306365
00313331		00391700		43414957		00120378
00279976		00249722		43395818		00013584
00054082		00221412		43382400		00896615
00331208		00134419		43315675		00824364
00021200		00128473		00291925		00268215
00020706		00118833		00290284		00126439
00007774		43333703		00136794		00111364
43288904		00380032		00113707		00109883
00614076		00128627		00110591		00026693
00129589		00124485		00104627		00507490
00129112		43406367		00076414		43370511
00110667		43398915		43390923		00237590
00079920		43391975		43367999		00124028
00160911		43384225		43404842		00649678
00039129		43363731		43390886		00193729
43314180		43327013		43371059		00043338
00339804		43313861		43316051		43193002
00302554		43275715		43304180		00886955
00104248		00268845		00410047		00704792
43401317		00242676		00272264		00299481
43295763		00130026		00142646		00130050
00333426		00128551		00100544		43328495
00007247		00114215		00055111		00211206
43374876		43412339		43310369		00544566
43359050		00318430		00854344		43421837
43313915		00310567		00124929		43380745
00332557		00178756		00002509		43272119
00313203		00026760		43359099		00011963
00164380		00022189		43355203		43399227
00079914		00011420		43320274		43329144
00021191		43395983		43313127		43324431

 

34

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00021164		43276633		00718416		43425331
00296503		00356932		00117698		43405288
00161268		00170344		00114949		00136150
43308341		43355758		00105439		43377332
00297623		00407496		00043186		43324926
00273624		00388262		00016638		43193573
00185833		00344648		43401597		43391152
00119412		00342861		43164518		43281387
00109750		00342270		00137094		00321473
43287641		00121290		00134863		00319519
43379736		00101979		00271589		43345024
43337225		43388896		43395699		00303700
43331852		43343907		43380124		00202623
00606839		43286836		43326741		43422900
00437980		43270904		43290276		00463795
00339674		43225427		00135518		43375742
00262907		00678945		00056692		00322337
00208335		00573027		43397732		00318611
00138853		00500550		43335792		00357835
00121041		00351664		00301106		43341851
00115367		00202571		00553808		00336882
43379466		00124293		00331275		43431597
00868108		00109308		00124982		43374098
00257085		43353088		00044211		43342401
00353035		43339771		43348680		43411871
00219991		43280399		00305269		43409285
00156582		43277154		00222146		00282034
00331449		00822698		00108180		00119494
00254096		00555819		43307153		00053571
00109788		00356089		00303248		43415374
43402912		00262031		00120631		43346561
00493635		00208684		43331918		43325849
00329086		00009322		00230202		43250608
00259107		43409531		00044519		43358187
00232068		43384629		00318779		43329636
00320362		00873446		00114643		43295322
00306753		00854107		00045085		00317599
43390882		00326546		43342744		00229551
43377182		00180327		00100741		43383695
43329545		00122421		43361439		43269212
43319790		00020977		43402812		43413968
00318292		00020170		43382434		43401595
00201737		00007355		43324283		43391003
43373773		43345946		43321813		00376221
00028888		43345928		00302222		00341533

 

35

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43274431		00231186		00300977		00312408
00348430		00078230		00265992		00188034
43420401		00006370		00142400		00117332
43380043		43272616		00107089		00104670
00338888		00494585		43317090		00018937
00048528		00343889		00817597		43370559
00021537		00334498		00132463		43333514
43389008		00166227		43401334		43277915
00028203		00052136		43381064		43180386
00292252		43368205		43371607		00871419
43279529		43348668		00583553		00263546
00306456		00075888		00121540		43425566
00138685		43411231		00120945		43409810
00114206		43375905		43427371		43409025
43277792		43278611		43202680		43406756
00575771		00733539		00131748		43398724
00123034		00719692		00123432		43395949
00301795		00312392		00016976		43394197
00147486		43327614		43298449		43388330
00125913		43275448		43298223		43330483
00842338		00331425		00320343		43324746
00721476		00036188		00200509		00170307
00054241		43379814		00133949		43429855
00269577		43285866		00124848		43412227
00411272		00896491		43417463		43411521
00133650		00407275		43348780		43404975
00105608		00314143		43316073		43380617
00053263		00204688		43241605		43379609
43280263		43334569		00113912		00231501
00114745		43272966		00843806		00424811
43299620		00813982		00509558		43420293
00078009		00009762		00345708		43340775
43325239		00007341		00317995		43324426
43299631		00138274		00263923		43318701
43379942		43424223		00256474		00684325
43377228		00463469		00121923		00207098
43341246		00300844		00121886		00127695
00274827		00295937		00076492		00119468
43311525		00292052		00274291		00025302
00125819		00282041		43360505		00017156
43340225		00192830		43303115		43304987
00328224		00134601		43429036		00276451
00200585		43273051		00333138		43414508
00008455		00336284		00262169		43389231
43376533		00835234		00121375		43378411

 

36

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00139482		00347443		00023234		43375065
00125469		00215554		00894044		43374709
00080241		00120488		00122353		00205147
00034603		00117826		00107390		43402253
00028309		00045737		00079891		00242851
00005208		43351991		00039065		43351324
43381241		00142415		00024012		43339180
00264593		00111935		00009948		43428080
43349994		00074174		43352352		43293885
43344324		00011203		00574600		43270208
00129498		00318766		00359163		00869635
00123691		00265961		00351226		00712159
00034685		43393723		00347508		00345632
00015094		43318636		00347452		43387486
00011998		43270984		00207489		43366812
43354475		00489379		00132152		43311119
43317276		00391719		00129387		00408549
43290027		00137161		00109033		00294681
00145639		00100579		00076131		00141086
00051024		43349509		00325843		00285159
00017294		43342541		00304824		00294457
00006349		00894079		43424565		43392699
43297374		00333421		43369572		43314040
00341649		00317006		43295627		00117594
00274867		00312552		43273816		00807443
00198134		00298903		00328142		43358439
00171397		00122434		00028517		43299826
00034397		00026407		43363482		00281195
00033053		43346238		43313343		43392097
00031883		43270899		43395449		43366076
00030930		00407593		43430176		43362078
43386065		00333757		43335350		43339031
00050792		00333753		00083432		43335442
00035824		00327244		00025132		43313053
00034456		00018267		00015571		00891517
00033313		00009488		00014871		00275535
00030719		00709352		00717169		43383299
00026487		43364800		43361501		43371648
43403511		00580775		00429767		43347665
00133551		00531022		43410994		43320150
43321795		00005321		43383243		00132886
43267850		00015640		43375091		43297364
00288274		43407393		43312589		43297279
00030799		43376397		00137508		00147834
00008703		43325626		43424474		43375488

 

37

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43401318		43295044		43412691		43344300
43375448		43279224		43316934		43285097
43356699		43100692		00843490		00489247
43356071		00259243		00729256		00443808
00109814		00141448		00130405		43380328
43366650		43365663		00014937		43309767
00513393		00124042		43400849		43289581
00338282		43378570		43338172		43398883
00338067		43376214		00539767		43408187
00139831		43335211		00439290		43371740
43377526		43275805		00427098		00135028
43361061		00677949		00351403		43423739
00295629		00450340		00349423		43412294
43375454		00193462		00043057		43324697
43336848		43373775		00106212		00128818
00472433		43346074		00076759		43295411
00119189		43228342		00010400		00131702
00856274		43269497		00135216		43323562
00331024		00124242		00135039		43308746
00325714		00313511		00125383		43279952
00265828		00207980		00709174		43275289
00142179		00140746		00027506		00391484
00110078		43423117		43427090		00078251
00509280		43421528		43315888		00059492
00237000		00131960		43281020		00048521
00200130		00078337		00354032		43415349
00163430		43403681		00004981		43411907
00114881		43388718		00022168		43392693
00019394		00877395		00051079		43382106
00017228		00340181		00114501		43334663
00002551		00213774		00127922		43303289
43376139		43330662		00217255		43287985
43278613		00305635		00459135		43277237
00324291		00344985		00563749		00408441
00028839		43362312		00581429		00312862
00004172		43348945		00701076		00283738
00306783		00234230		43374403		00273535
00156795		43400714		43370069		00123456
00130143		43339775		43342099		43367171
00125139		43311491		00646237		43365100
00046437		00809683		00441236		00350979
43324803		00312520		00337626		00262176
00124153		00272663		00313984		00139731
00100196		00145233		00120292		00135046
00076150		00139567		00112689		00134859

 

38

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00012104		00132179		00040534		00132000
43394204		00100026		00025118		00127120
43296147		43425444		00059026		00123134
43275457		43416840		00075075		00121825
43272039		43379383		00343218		00112567
00343921		43318597		00814644		43399379
00252756		00278404		43218771		43370527
00114026		00211884		00264829		00351362
43411805		00139798		00120347		00194186
43305054		00122877		43355886		00140513
43411012		00033794		43351444		43341860
43398541		43338907		43392460		43341669
43328503		00349433		00320347		43313641
43317373		00281214		00113272		43304660
43272737		00200074		43422228		00289982
00111434		00138713		43351463		00134518
00101498		00124330		00566497		00222230
43388174		00102584		00398012		43420028
00894532		00078065		00356103		43368096
00352684		00004468		00310410		43360989
00300531		43413384		00113410		43333362
00122557		43384991		00218964		00141072
00120587		43311961		00170432		00103528
00102219		00496286		00141994		00825778
43356070		00386960		00130118		00394882
00844632		00343264		00107775		00136948
00344028		00304956		00052250		00055187
00292715		00272846		00114484		43420984
00126536		00122105		00412554		43320991
43395127		00109434		00318396		00826227
43374527		00076693		43404739		00212946
43326294		00034595		43396977		00203960
00223052		43334306		43372840		00267130
00134732		43320576		00267009		43375015
00046181		00314927		00141276		00503819
43348975		00296953		43311904		00192672
00280139		00055788		00295301		00190284
00340157		00054744		00129199		00178446
00231103		00039098		43424668		43341781
00109519		00011645		00313974		00275513
00011093		43322859		43392618		00116719
00342793		43284485		43382837		00285708
00059080		43281318		43327839		43345936
00026229		00231172		43414654		43323603
43395680		00227159		43322380		43312345

 

39

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43275666		43289871		00300118		43404337
00114892		43276909		00295642		43273815
00058714		43189520		00295637		43420866
00023791		00354060		00205431		00346583
43414892		00198107		00102657		00044488
43397537		43396387		43349003		00023349
00449547		43306928		00301804		43396073
00329371		00468894		00104551		00627747
00247782		00168041		43409922		00198603
00216058		00032999		00887110		00100700
00198854		43412744		00121546		00027844
00136067		43173807		00010928		43318703
00117587		00127132		43304233		43288269
00025859		00028350		00008757		00193997
00347006		43420841		43313543		00024619
00345334		43420757		00510424		00625647
00028954		43416734		43337771		00276572
00028847		43415388		43237946		00278995
00028242		43388368		00306087		00727482
00009254		43341282		00221419		43271173
00116960		00329354		00135091		00429457
00028129		00265556		00125105		43420771
00441937		00115073		00106136		00411043
00345606		00077900		00714984		00351401
43400353		43276541		43343714		00342000
43378194		00291498		43287978		00106728
43348977		00197286		43276049		00292172
43340825		00117519		43112265		00126497
43416194		00282760		00524980		43427988
43410141		43279718		00503673		43427775
43342313		43271444		00341538		43413008
00844624		00891746		00336009		00075079
00608181		00207306		00262268		43412416
00355222		00154032		00132091		43407069
00310260		00115145		43418741		43321386
00212762		00033139		43402786		43309108
00028999		00031343		43377248		00828122
43404509		43339391		43377213		00381810
43402805		43287849		43326534		00357731
43401651		43272017		43314002		00141456
00251973		00133308		43299823		00526290
00141764		00045489		43281543		43330057
43408737		00021964		43271267		00003775
00141814		43426770		00252244		43342252
00123096		00518174		00201429		00053332

 

40

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00077555		00110342		00128411		43328799
43304898		43362759		00126554		00276334
43293831		43276479		00123101		00129714
00357578		00341179		00106153		00425427
00001372		43289319		00057841		00375527
43298834		00129020		43367262		00284772
43274554		00117508		43272391		00230086
43378985		00464678		00340711		00122532
00345002		00034565		00340688		00107382
00313670		00031080		00139498		00106860
00280264		00004082		00117768		00105896
00252086		43357765		00001782		00104841
00112420		00310070		43346121		00025731
00073099		00341987		43318206		00019972
00021842		43380804		43301175		00019024
43388558		00010842		43287970		00001769
43380274		00122779		00734764		43367121
43337180		43344528		00354508		43291322
43314219		43316012		00350294		43271165
00219344		43299513		00340151		00886645
43351891		00357429		00338295		00513970
43330195		00277023		00311006		00307735
43327913		00260592		00293849		00263796
00319228		00019828		00269125		00140762
00115179		43415140		00229968		00046806
43409899		43365524		00135058		00019319
43376555		43282375		00127712		00297263
00343612		00461954		00036149		43371197
43399728		00306409		00014414		00820679
43395150		00289965		00330059		00347441
43367162		00277188		00202555		00137475
00042160		00227307		00126138		43338482
43360333		00107050		43421843		00848999
00190659		00078990		43348601		00341148
43386684		00019359		43333800		00332799
43318603		00140252		43314441		00051393
00718696		00129106		00717843		00003015
00125810		00128151		00354736		43338433
43280484		00040252		00303694		00328612
00809969		43372677		00197182		00730165
00732435		43315362		00118582		00319123
00126839		43276962		00084193		00280800
00123003		00318256		43409982		43306073
43421937		00102192		43377768		00111156
43409445		43354724		43339399		00109036

 

41

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00217431		43348949		43338934		00022170
00107264		43300125		43318794		00485365
00015305		00540692		43295764		00227436
43282516		00384356		00359690		00009659
00836184		00335207		00356583		00317467
00197180		00046695		00261645		00044521
00018711		00046337		00141392		00017238
43368990		43399477		00008556		43348086
43328492		43357745		43311064		00264549
43311060		43341883		00311155		00023181
43289091		43332408		00841366		84000308
00231323		00849022		00351213		43420786
00186546		00011489		00347844		00014360
00133212		43387809		00346545		00298901
00079789		43357035		00342462		00588075
43387757		43339975		00316199		00042638
43383977		43339036		00293799		00319379
00293826		43338269		00291110		00104437
00119165		43297046		00268225		00121610
00113117		00690333		00264857		00045966
43376514		00338311		00145432		00850462
00295177		00303416		00140753		00128572
43315334		00273058		00043388		00038590
00309532		00056425		00019798		43400544
00117003		00054636		43299512		43316400
00009262		00007526		43293020		43289077
43425328		43320985		00842370		43221903
43339904		43301910		00607916		43198765
00283312		43299517		00506885		00721859
43418501		00306438		00334889		00328238
43315293		00306435		00329339		43412751
43289931		00306406		00328634		43398926
00347048		00185469		00189138		43344684
00329688		00131647		00128465		00730432
00036139		43368786		00125448		00312039
43397904		43340816		00116166		43419459
43386079		43340591		00112571		43307873
43357559		00102476		00019248		43288773
00058436		43340818		43354362		00832243
43378577		00875635		00333085		00302946
43327158		00338284		00330065		00205080
43283373		00109520		00264069		00141087
43241324		43312397		00199281		43401137
00194711		00817880		00124693		43209314
81037062		00332100		00114323		00626112

 

42

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43326995		00118345		00107038		00251654
00278387		00078142		00103237		00217295
00123905		00053247		00079250		00207453
43325890		43276613		43367050		00123889
43219547		00011416		43364675		00025100
00017039		43422863		43320665		43425348
43207776		43404230		43316094		43420957
00352260		00344141		43315816		43417708
00255649		00101931		43286855		43409675
00221311		00306110		00847976		43308536
00218123		00281602		00354732		00344760
00122255		00075361		00318191		00314343
00273740		00075108		00192835		00127087
00024574		00022516		00131563		00123504
00117004		00019823		00122558		00103475
00079929		43318593		00100275		43371454
00015238		43282739		00013949		43403001
43414432		00841730		43380553		00101101
43413465		00808768		43309168		00015281
43412777		00717681		43275442		43423736
43299825		00342624		00896622		43397083
43292144		00330396		00885444		43363891
43281539		00286109		00446157		00323851
00079560		00261505		00344745		00872571
00216452		00174971		00319872		43347786
43356145		00145522		00301791		43324449
43325642		00141868		00197564		00350986
00195462		00128605		00133343		00263671
00078281		00124055		00127991		00119255
43345165		00108324		00123180		00108713
43337456		00049217		00462535		43417020
43278747		43365513		00674761		00121701
43190463		43357328		00350990		43412775
00844284		43341403		00124150		43273156
00019822		43340693		00084257		43270077
43291370		43331463		00019863		00442550
43276620		43330002		43316940		00220825
43401735		43316529		00433292		00130201
43344569		00804967		00357725		00726524
43343448		00101194		00216146		43390932
43276456		00055294		00214158		43331915
00347858		43427094		00195429		00132274
00023551		43339416		00134435		00104100
43276614		43338143		00029611		00217271
00295388		43315681		43343362		00875945

 

43

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00230094		43277077		00314964		00133526
00141353		43269273		43400026		43332049
43287992		00316847		43339248		43322240
00331612		00307587		00335364		00267447
00132984		43338442		00201595		43331666
00255203		43316024		00038735		00709581
00113530		43314857		00010104		00134415
00328233		00050974		43398818		43330407
43368925		00022567		43372851		81034955
43365654		43399290		00270014		43349922
43323815		43392695		00016423		43236241
00516627		43390016		43420625		00334375
00343859		43325641		43418825		43343577
00314653		00280275		43393734		00350832
00252910		00278229		43312894		00292250
00122765		00130030		00133979		00288134
00016229		00024937		00111229		43367706
00866822		00023524		43426113		00204672
00291503		43424108		43366060		00201381
00222383		43315785		00569887		00137111
00036345		43380860		00496227		00028774
43374429		43344517		00308708		43415352
43354840		43284836		43282399		43323587
43340404		00341173		00273587		43309117
43271016		00011197		00256485		43277360
00879924		00026416		00134678		00595977
00331424		00010520		00125155		00292350
43109592		43423509		00054296		00283731
43301064		43347457		43339168		00129587
00272068		43339911		43318970		00625035
00115472		00356309		00377937		00287482
00112381		00223054		00253200		00035153
00041004		00134047		00131538		43425871
00317459		00028837		43361157		43370515
00274413		43402343		43297530		43287648
00205195		43398914		00633771		00313204
00105724		43391506		00525928		00111025
00100187		43342448		00348979		43312037
43409668		43340329		00289816		00132533
43355204		43340211		00166189		00022437
43321679		43322421		00014708		43379010
43281340		43299814		00392448		43362521
43269416		00333416		43399778		43329913
00501956		00282138		43395761		43275162
00274308		00120883		00115308		00291926

 

44

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00101378		00020927		00032743		00253578
43351331		00020902		00030681		00136346
43327340		00020748		00004941		00134227
00308710		00008905		00004709		00050382
00272502		00007730		43297463		00045370
00141905		00007423		00731269		00006111
00102683		00002590		00724173		43425488
00043793		43378695		00337759		43419444
00021653		43327001		00331886		43418384
43374970		43372231		00305266		43415463
00308887		43287982		00301532		43406158
00282502		00345625		00295182		43396476
00129619		00281587		00117431		43344972
00017742		00076275		00024330		43343343
00015454		43309176		43387920		43332672
43422814		43298219		43341337		43331990
43344424		00712949		00728381		43306379
00728659		00642606		00030297		43298441
00141178		43309482		00027300		43296851
43281919		00688029		00016466		43282384
00114244		00298565		00125009		43272142
00125066		00120282		00120713		00341027
00115098		00023549		00038521		00341024
43409605		43314603		00017267		00340686
43398651		43314223		00008639		00213929
43387487		00020319		00008629		00141308
00340729		43402275		00330411		00102453
43280798		43320688		00306420		43338351
00272506		43298340		00305449		00337762
00168197		00408042		00221855		00132539
43318073		00322415		00195985		00121117
00886289		00304933		00054954		43325335
00804266		00251402		43380798		00711861
00272084		43416123		43327434		00412252
00308701		43412584		00269414		00353336
00133059		43403289		00197499		00298345
00126914		43288419		00108020		00258081
00197980		00059276		00052826		00217502
00129363		00029672		00004905		00180580
00046106		43430122		43342455		00142272
00004137		43397623		43304909		00141774
00027869		43395759		43277307		00141290
43422995		43370358		00217403		00129873
43390140		43367720		00131790		00117469
43327309		43358742		00005358		00116667

 

45

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00015288		43299633		43386502		00116634
80010023		43289856		43341854		00114058
00125603		43289085		43314333		00104986
00100453		43284037		00312377		43288996
00033791		43272912		00208638		00059157
43105923		00457744		00021249		00040880
00107834		00340057		43400973		00024868
00101846		00288528		43400023		00022213
00032902		00236365		43341500		00883301
00717037		00123471		43276981		00816426
00292650		00115835		00150169		00539600
00166626		00024811		00128098		00445193
00104987		43397898		00076786		00251283
00007648		43362286		00023634		00133241
00002469		43328061		00010818		00078101
43395498		43290156		00356297		00076861
43398075		00058988		00343892		00043091
43330944		43377319		00304085		00008565
00119441		00115023		00276852		43407416
43431858		00057963		00128908		43318308
00119080		43398066		43411796		00339020
00002759		43390708		43381431		00306769
43417164		43376213		43337298		00123310
43401832		43298825		43317378		43428115
43360618		00347496		00434922		43414574
43276467		00336558		00398209		43402637
00298232		00256330		00208957		00120207
00110607		00193267		00200125		00113953
00103536		00139012		00073036		00603473
00054601		00123046		00025497		00351393
43320451		00110021		43384398		00342657
00251786		00058336		43330205		00107263
00141058		00047592		00522457		00030406
00104779		00015627		43382564		00024404
00010447		43388334		43272312		00022523
43345417		43316063		00256803		00251585
43335915		43282222		00155055		43396069
00335684		00439894		00102576		43385458
00323852		00352055		00028209		00493597
00195422		00200162		00027471		00156264
00047110		43330061		43397288		00132585
00116996		00492272		43316356		43427656
00133282		00468185		00018967		43423512
00207002		00253223		00438200		43399164
00296801		00136328		00319723		43384236

 

46

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00296804		00074057		00216132		43312842
00310797		00045638		00015170		00352259
00357386		00014692		00398365		00504114
43427786		43407549		43380652		00079804
43406144		43399612		00450057		00181552
43391265		43397427		00329356		00119623
43381922		43370049		00022654		00868337
43380606		43342793		00230092		00186600
43332431		43338474		00170965		00642649
43328506		00333141		00028574		00291455
43327374		00122083		43427520		00428426
43313868		00111417		43317279		00116442
00827967		00058496		00299794		00056429
00128241		43340695		00262420		43276861
00028359		43340566		00193830		00298387
43418720		43339423		00191736		00356584
43413472		00335661		00045879		00294755
43356440		00076477		43398929		00882542
43326295		00008714		43270996		00812242
43296575		43428520		00284769		43364759
00860476		43418841		00028009		43334465
00824984		43360242		00005246		43326397
00118912		43342910		00718289		43300650
43407086		43296569		00305784		43281664
43331324		43270402		00304935		43396606
00320127		00305094		43399413		43387141
00123459		00276474		43306907		43386331
00055076		00142719		00141510		00306404
43417346		00117342		00122711		00141030
43412610		00025920		00008229		00133117
43285694		43350532		00005256		00116524
00349807		43273261		43275285		43420048
00348973		00080575		00333758		43392889
00139475		00008125		43380816		43379445
00013332		00875872		43374705		43303089
43335443		00046201		00107097		00276896
00526002		00045007		43400441		00858218
00135531		43315258		43388014		00022616
00100636		00039130		43333102		00021522
00015348		43416972		43288422		00118525
43398797		43400209		00410144		00267464
43362869		43295773		43279615		00121185
00058225		00325643		43270979		43272601
43380925		00106225		00332305		00023137
43375492		00838179		00281964		43322893

 

47

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43416538		00493244		00263158		00078764
00725420		00347470		00104868		00010535
00707678		00217581		00051860		43429032
00541915		43298264		00885649		43382629
00353523		00896500		00354996		43284848
00295274		00835935		00058338		00126488
00133740		00252784		43341642		00113986
00117068		43343505		00347896		00107975
00010442		43340583		00124826		00054500
00320935		00357186		00114565		00807664
00111489		00355200		00075950		00562947
43410513		00142271		43316011		00331554
43367552		00132484		43271158		00298468
43358463		00078140		00243418		00290939
43329226		00056863		00201979		00119852
00356823		00031111		00103631		00018704
43343467		00017515		43388787		00125405
43298887		00007916		43354209		00725021
43422811		00005188		43337072		00309222
43420371		43425341		43298886		00837725
43415329		43393106		00253403		00258466
43415049		43377217		00119463		00051142
43384674		43327437		00102504		00034256
43340585		00200083		00058200		43297353
43298276		00118885		00057510		00302672
43277015		43376136		00024816		00136106
43275635		43375932		43301947		43410438
00723525		43344299		00433659		00358824
00282768		00137536		00115349		00296319
00115144		43399782		00105466		00111290
00103626		43358098		43298412		43352556
00043299		43425820		43298409		00128194
00292450		43367642		00029767		43320155
00205806		43329970		00022134		00018944
00024170		00291528		43315121		00641391
43343352		00249815		43315106		43317045
43299589		00004857		00886793		00328914
00349796		43362660		00878278		00115104
00022532		00333636		00132266		00024664
43369978		00005924		43377364		00201316
43340251		43420424		43272133		00073356
43276978		43366191		00830526		00140341
00709115		43325742		00814407		43409939
00500356		43321014		00038713		00570451
00312401		43309503		43421899		00154504

 

48

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00287111		00549789		43357321		00074691
00108876		00209990		43332075		43206887
00079184		00059173		00727547		43323219
00011414		00026338		00516406		00056737
00198676		43415987		00411515		00054717
43366977		43415302		00335667		00044295
43310412		43414345		43402644		00388300
00291601		43376419		43399903		00026325
00192670		43296043		43338135		43299441
00057947		00891754		43277090		00203416
00025706		00042395		00633828		00520209
43371149		00030188		00114740		00261122
43361354		00020351		43295150		00213709
43332608		43340430		00873187		00682004
43326742		43287974		00193399		00104123
43286442		00340167		43296039		43413697
43281990		00274302		43296038		00281352
00435627		43340318		00023980		00892254
00434418		43340249		00023978		00541249
00339552		00343460		00023959		00134624
00113155		00339027		00023943		00125555
00028558		00337210		00647446		00039370
00028452		00321131		43409674		00011653
00014619		00309059		43382478		00009376
43394597		00114460		43368911		00029712
43394592		43415380		43340186		00893242
00080996		43414880		43311808		00014580
43271337		43373385		00111416		43272605
00170649		43333348		43339402		00049117
00100863		43332084		43298254		43324494
00017357		43315779		00578118		43315120
00010511		43293379		00345475		00056931
43305374		00861375		00336003		00053559
00137022		00500844		00038736		00040570
00103534		00443255		00008628		00284099
00006048		00328669		43315772		00029592
00295282		00301924		00038406		43402634
00221481		00158151		00010125		00119940
00160741		00141102		00004560		00282699
00076078		00106491		43285631		43189589
43377823		00103166		00257907		43318533
43286093		00050217		43284477		43353244
00421227		43416958		43281532		43423369
00123934		43339867		00205967		43384090
00053461		43332371		00123103		43382622

 

49

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00026750		43292074		43342457		43339160
00008379		00442720		00359368		00470481
00003001		00442704		00077527		00275970
43355108		00336313		43387743		00271333
00257107		00020440		43306261		00202255
00015737		43425237		43299771		00134402
00003170		43379442		00074875		00016009
43364601		00824402		00023448		00055646
00392154		00356570		43324527		43322261
00282677		00141333		43277094		00341178
00157570		00073136		00446920		00865311
00134190		00014975		00395552		43420918
00043110		43422586		00303253		43328261
43284406		43298275		43317218		00896563
00344786		00105745		43276058		00885835
00303272		00046565		43271271		00010648
00303056		43412291		00334781		00006565
00139883		43301514		00300446		00129241
00138934		00348112		00298638		00108837
00051767		00102768		00675598		00108813
00050159		00073151		00122985		43374100
00024459		00016997		43405361		00345338
43383612		43417480		00301669		00029702
00288632		43344298		00274069		00029542
00077637		00141124		00272380		00446688
43276989		00031228		00008706		00105720
00146080		00028931		00575909		43246900
00186422		00028539		00475416		00282136
00333301		43414664		00341167		00227548
00208554		43331322		00329320		00204975
43276810		43279710		00227164		00139829
00560545		00688037		00207901		00104412
00313540		00009887		00130549		00051208
00115815		43338130		43312422		00026645
00100720		00053742		00281395		43338156
00734489		00021590		00028823		43311591
00704482		00011407		00005086		43227398
00045738		00329940		00438324		00115135
00018433		00139738		00267317		43421510
00008635		43382658		00123018		43375453
43309544		43340578		00114027		00286749
00460559		43314571		00003018		00275537
00359173		00596884		43354793		00112898
00301794		00411124		00432849		43385012
00287997		00287814		00295493		43366894

 

50

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00196744		00217913		00179418		00360724
00181412		00042719		00132295		00275778
00134658		00018991		00108197		00170647
00100628		00014048		00106960		00134905
43399491		43374078		00106875		43331577
43393045		43338740		00019396		00297984
00718033		43315261		43399013		43393884
00442380		43295171		43383539		00352803
00251429		00123596		43298411		00338280
00132341		00114911		00564680		00131797
00101905		00100783		00486701		00113302
00044337		00034615		00344772		43406868
00042690		43378964		00141120		43373220
00199078		43355609		00028708		43411002
43418815		43277098		00028448		43408301
43397545		00893218		00017936		43391794
43334998		00343262		43422397		43409663
00129851		00338898		43413342		43331374
00107753		00108632		43379704		43285382
00252065		43320673		00263199		43422329
00051204		43298087		00141995		43384216
00030267		43327364		00052779		43366943
43427708		00896462		00050262		43341689
43407106		43378775		00108848		00141959
43397903		43337869		43425184		43412111
43397377		00730297		43297280		43396985
43388724		00357586		00329821		43381765
43384226		00279560		00153028		43341026
43340459		00230615		00117913		43400439
43297406		00209953		00122055		43371225
00336418		00106978		00022163		43293868
00333626		00053637		43347271		00884200
00299486		43418914		43282393		00607142
00297974		43354963		43272685		00302966
00079872		43316365		00122451		00283345
00051178		43283876		00107288		00125077
43409016		00165212		43418848		00123539
43398931		43314385		43342958		00101914
43375644		00835757		00282383		00040040
43340729		00350981		00122552		00025364
43339286		00140864		00077940		43278697
43339270		00121968		00075470		00352537
43339035		43414933		00008243		00116021
43287789		00326420		43393937		00056695
00005800		43396493		43292130		00537659

 

51

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43407392		43357426		43417573		00413186
43398936		43338459		43397892		00357464
43384753		43312895		43374721		43411572
43340152		00267254		43369932		43391508
43338455		00164372		43339135		43352935
43317110		43417467		00023454		00336889
43276862		43314475		00841781		00112028
00029682		43308169		00567973		00106704
43339784		43418828		00298104		43341322
43323853		43340148		00017326		43338177
00108994		43276999		43409900		43314690
43377330		00460931		43396552		00283127
00347485		43401118		43286706		00016536
43368906		43316077		00344435		00011383
43360964		00464309		43284844		00001462
43327837		00211627		00337752		00865222
00124993		43409777		00302365		00228643
00046697		00359378		00264100		00141115
00032802		00289407		00019965		00362913
43421602		00208698		00001135		00252209
43395067		00141306		43292134		43372625
43395063		00122774		00328353		43319467
43390062		00111763		00201731		00025795
43388005		43314339		43279958		00302716
43376842		43314204		00244546		00114920
43360762		43300247		00112760		43341417
43356763		00816507		00107964		00129295
43335340		00020237		00059083		00110585
43335339		00014233		00076182		00077405
43302223		43427649		43382180		00034752
43292279		00410217		43276057		00034415
00307148		43420151		00523763		00031618
00284490		43372838		00359401		00017337
43424852		43397216		00305433		00264042
43422984		00869783		00302511		00129494
43422971		00605557		00256945		00104674
43422969		00337630		00253677		00101412
43422545		00261874		00230718		00054582
43422543		00014679		00112219		43344986
43416606		43417084		00109751		00853615
43402457		43315048		00058790		00119596
43401409		43279950		00023824		00076260
43401408		00346062		43377964		77500031
43401403		00252096		00817783		00602345
43401399		00242179		00563757		00306771

 

52

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43380731		00102380		00281610		00295430
43380263		00025037		00269564		00137450
43380262		00019295		00123328		00079895
43380259		43413869		00122631		43307453
43369836		43281829		00078443		00107960
43360993		00343616		00052379		43402926
43360877		00321464		00010191		43192365
43360876		00229147		43339977		00327925
43360874		00134203		43312893		00019281
43360870		00131626		43305954		43424904
43360867		00106503		43297351		43414942
43360814		43421268		43276890		43403226
43360813		43326477		00306604		43354835
43360812		00128939		00074849		43337063
00254559		00005216		43371195		43275656
00247785		43399284		43367881		43255875
00016623		43390935		00564117		00314453
43411885		43279976		00356106		00248053
43400282		43279391		00304647		00141840
00545589		00495395		00220170		00124274
00254733		00184276		43309177		00120904
00135038		00025834		00347054		43401730
43382001		43399675		00340302		00258580
43380867		43315890		00128801		43417644
43347764		00142262		00048548		00313536
43342256		00106631		43423361		00231419
43325013		43316057		00264318		00170963
00015216		00850187		00217748		00131696
43286194		00117564		43375794		00125622
00277913		43356087		43272146		00113328
00024837		43340552		00199844		43382804
43396924		00141266		00124256		15000925
00294964		43399367		00008950		00106265
00283125		43374712		43298408		00017601
00231479		43340469		00141322		43349103
00023176		43314579		43344531		00257444
00123255		43272974		43282383		00128497
43341056		43356210		00472719		00109621
00231906		43316526		00267945		00017647
00115708		43316369		00562912		81030399
00102408		43298096		00042162		43386677
00078545		43276187		00029783		43296103
00677361		00848425		43317117		00354073
00567205		00581933		00304407		43363062
00306829		00337161		00274656		43361664

 

53

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00110134		00331223		00133181		43317383
00056466		00217300		43300020		00101922
00033095		00141103		00208552		43426813
43314042		00108386		00115086		43401420
43279500		00104975		00447382		43400422
00331419		00016678		00447315		43400380
00312241		00012521		00330426		43397215
00033823		43377600		00278982		00596108
00449938		43356151		00131602		00522759
43328543		43339427		43339253		00458724
00275995		43271895		00896623		00023760
00250088		00075136		00885746		00014246
00113466		43339972		00830623		43272029
00106015		43338453		00439533		00336002
00104487		43423590		00349833		00332433
43360196		43375029		00336269		00265986
43306875		43300015		43415367		00105502
00543845		43275764		43349426		00023701
00205316		00171335		00311275		70012033
00885924		00030883		00309915		43276892
43295146		43426348		00274885		00271090
00394858		00861340		00038460		00124942
00130600		00847712		00008987		00122606
00101878		00831387		00865567		00121918
00334895		00705373		00837598		00079276
00332933		00677124		00353322		43401398
00320672		00677019		00223387		43399383
00208332		00632155		00101869		43362530
00139134		00632139		43331087		43335601
00102846		00632090		43274941		43279293
43329803		00578797		00304925		00874450
00884871		00512141		00119532		00444766
00304212		00355798		00015326		00354213
00280542		00331279		43343373		00352681
00141394		00218234		00682969		00345886
00029416		00211184		00486574		00252310
43398304		00134290		00115231		00197685
43384857		00129913		00053725		00134806
43334088		00126807		43369924		00131819
43327993		00125591		43333175		00128142
00120525		00120503		43271080		43321091
00042375		00118681		00294674		43301080
00014359		00117977		00121889		00711233
00251666		00102539		00029630		00034770
00111347		00100706		00002388		00013824

 

54

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00009748		00100235		43415131		43334636
00004959		00100180		43286538		00296330
43372774		00100160		00816892		00022377
00811629		00017254		00687960		00299405
00718009		00015261		00335509		00189561
00133305		43423047		00024228		43370027
00128800		43422337		00020134		43324624
00107909		43367233		00010407		00141035
00079255		43338462		43421545		00413283
00054997		43299834		43399468		00139184
00715336		43287847		43340266		00057772
00205430		43272031		43339142		00483826
00131875		43269363		00308885		00439460
00027335		00854999		00010342		00100259
43361964		00307167		43397290		00100766
00895016		00301542		00315236		43421007
00333007		00265632		00008648		81036553
00076657		00123470		00004558		43406823
43328575		00104307		00002769		00114956
00306412		00100251		00258757		43372575
00019862		43277533		43382328		00382256
00008816		43276801		43321520		00121046
43413142		00564370		43279609		00009715
43319120		00010360		43275438		43287599
00638315		43326920		00721093		00428868
00477877		00459860		00022115		00325716
00437611		00359055		00127135		00309478
00414808		00354721		43419436		00231589
00359403		00306756		00016640		00102109
00345709		00283539		00030711		00010852
00345488		00257694		00129409		43405901
00175307		00131950		00208787		43310949
00133138		43353440		00683868		43422918
00106721		43320289		43425682		43217164
00350975		00824704		00572438		00201431
00171212		00134063		00462489		00128176
43362960		00463515		00294583		00119562
43271332		00283447		00156604		43376205
00480541		00282185		00140699		43316131
00317007		00482021		00030897		00288032
00305960		00143529		00878014		00256889
00246557		00283427		00733423		00079278
00140104		00006560		00492191		00018751
43292158		00356272		00102274		43312411
00390968		00314620		00040675		00874477

 

55

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00333174		00282704		43282245		00407313
00073240		43325423		00354748		00885592
00013679		00634808		00346560		00852074
43427795		00010748		00131502		00317991
43371597		00295303		00114342		00246905
43363345		00103839		00108896		00053641
00826405		00044429		00042776		00132897
00464163		00451908		00017512		00142364
00436771		00362921		43406256		00120554
00314469		00349984		00353328		00313535
00262188		00339667		00268200		00102671
00104906		00306433		00262520		00018426
00102652		00185345		00261906		43257248
00076624		00114108		00259879		00434167
43354145		00107569		00251763		00353140
43299748		00842311		00132409		00251321
00682489		00354709		00052871		00203691
00462527		00277184		00051189		00079205
00270870		00140769		00026964		79000020
00262395		00837652		43423214		00278391
00208039		00289207		43412895		00313519
00113880		00198290		43274604		00220665
00079912		00123628		00877956		43426616
81032258		00102396		00309242		00688665
43418423		00023585		00078434		43375490
43411787		43401036		00078395		78500008
43385648		43395962		00034573		43412996
43336976		43341245		00031630		43412425
00355225		00446033		00027267		43385572
00347910		00335886		00139522		00281354
00136069		00193299		00122207		43368201
00122436		00881090		00051188		43320685
00423718		00880280		00004007		43350170
00346383		00681237		00327000		43382496
00023326		00129253		00259837		43342374
43385714		00111606		00193783		00355216
43333465		00111385		00115200		00137214
00159271		00101909		00079111		00120891
00123640		00055360		00013895		00027840
00105511		00040990		43359616		00023179
00028429		00011451		00358512		00481467
00465259		43400547		00133474		00814423
00306525		43276425		43361359		00716820
00127890		00304638		00841145		00272836
43430743		00040890		00302937		00217584

 

56

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43418431		43271014		00150193		00142198
43336966		00880477		00107719		00011964
00326806		00261769		00084027		00331203
00321277		00242685		00007296		43429239
00200890		00344073		00116632		43330028
00136468		00278237		00076988		00132590
00128820		00169536		00055826		00602140
43427393		00124846		00042896		00579696
43422699		00103816		00020810		00260541
43422670		00056975		00003900		00123261
43418887		00472425		43392399		00140546
43411764		00324297		43341837		43314322
43278386		00199148		00325703		00204315
43235646		00132674		00332046		00613940
00854697		00120211		43320825		00030757
00710881		00109754		00341770		43332248
00345205		00043307		00259006		00342859
00261977		00019761		00206709		00221201
00133082		43340852		00139713		00141702
43426399		00845701		00123817		00110308
43250978		00142118		00115962		00107319
00122748		00102656		00059305		43388723
43414002		00076732		43385986		43275044
43430393		43308680		00806455		00317994
43426962		00876429		00721182		43417185
43425226		00341015		00575127		43335271
43421919		00290516		00346552		43334294
00323042		00271738		00304757		00359867
43407572		00217434		00258955		00140862
00251276		00198130		00255047		00136304
00213715		43277806		00253124		43415325
43394759		00343244		00250523		43401663
43382802		00336893		00004149		00273634
43325242		00313342		43379931		00229026
00239474		00056659		43284662		00135520
43420622		00487104		00351413		43297342
43324913		00322198		00323674		00702420
43332761		00282891		00264563		43397848
00326408		00218244		00209988		43169079
00129164		00351364		00145912		43350308
00329352		00347457		00141384		43340346
00276869		00205974		00130056		00337900
00137489		00045338		00004154		00319532
81035743		00009678		43347730		00278876
43420455		43334674		43288414		00227334

 

57

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00283162		00017530		00351659		00132154
00104266		00016624		00346554		00077081
43330268		43306964		00332218		43426513
43306852		43306748		00323527		00193034
00319959		00287844		00280615		00107691
00259427		00267016		00125739		00015496
00335768		00134447		00083160		00110996
43372955		00116654		00083031		43431086
00481300		43335002		43342476		43324623
00132081		43285957		00522635		00042852
00078199		00220270		00304024		00433853
00025308		00130240		00283343		00134383
00878766		43399911		00276476		00078616
00507717		43341515		00124243		43391977
00284130		43331804		00123768		00410098
00131482		43270793		00117430		00284776
43414794		00864293		00058984		00721573
43403782		00802786		00024682		00331082
43399687		00541729		00022501		00132412
43395138		00341032		43378692		00056860
43388559		00299368		00844322		43397131
43381266		00198114		00328351		00295420
43368002		00193387		00288394		00335606
43338940		00179752		00288150		43295644
43338167		00115171		00266256		00017964
00349645		43401325		00265187		00003416
00292716		43328876		00250732		43422116
00287820		43311373		00208906		00623865
00170650		00456322		00125384		00343445
00006952		00357422		00306627		00010931
00009853		00356646		00173053		00377546
00073392		00342851		00158690		40012364
00461830		00331434		00344790		00606804
00488712		00312858		00561339		00294281
00019003		00296085		00284320		00124713
00031455		00233862		00274804		00074986
00484059		00141807		00137274		81027169
00735213		00103901		00079563		00017324
43393135		00675792		00730173		00331473
00105870		00454397		00122280		00134071
00116081		00343657		00056481		00024382
00329667		00323282		00016810		23000017
00805327		00269204		00364533		00354375
00868175		00051753		00828874		00024885
43331179		00008685		00374091		43425247

 

58

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43292882		43419694		00295304		43193916
00338900		00896636		00077695		43430230
43421101		00343124		00019921		43387124
43419831		00208336		00001953		43380042
43417557		00009861		43276985		43339300
43406525		00009245		00340700		00865117
43398561		43396558		00312558		43321145
43390929		43332089		00052987		43405913
43385825		43272118		43348794		43393331
43378562		00076692		43341841		00302366
43375033		00043620		00268404		43417413
43369603		00043558		00180939		43335703
43359449		43328349		00149306		43308664
43292161		43298094		43351110		00266305
00342862		43281323		00456179		00219442
00321122		00875880		00411175		00199949
43418692		00604917		00125012		00361443
43416974		00557331		43380317		00127948
43405367		00525022		43353215		00127234
43395764		00355227		43353090		00031364
43393818		00349249		43310480		43424990
43377778		00311010		43286081		43424887
43343356		00221651		43270997		43343293
43317609		00124995		00531820		00122477
43298892		43395363		00455385		00728535
00120498		43375996		00365025		00275571
00011805		43346339		00306094		00121368
43432886		43321244		00304911		00289988
43428193		43306546		00288382		00137493
43422119		43287419		00253122		00079863
43415583		43283313		00220275		00052960
43415570		43282184		00202257		00013173
43415215		00350146		00171341		43341763
43413725		00341852		00141845		43283546
43343466		00023765		00124761		43282909
00332423		43417714		00122641		00200279
00120590		43371738		00115823		00124287
00025757		43272518		00108744		00119421
00010484		00337050		00102645		00108886
43400470		00265984		00028214		00016697
43398660		00199738		00281545		00013285
43397439		00010548		00230725		43393885
43393930		43382439		00125491		43295157
43379809		43277084		00015989		43274501
43281526		00301923		00011604		00892815

 

59

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43269229		00288160		00011559		00337904
00396885		00205567		43352658		00333617
00170550		43360353		00309368		00329169
00141474		43352432		43278827		00289450
00122791		43319793		00885614		00252565
00121177		43287976		00262154		00220171
00117019		00888028		43393577		00208556
00035061		00823082		43349549		00208548
43335774		00499420		43325012		00207381
43317249		00345629		00872970		00173568
00500585		00343851		00264434		00122331
00347914		00336279		43380620		00009463
00321279		00304617		00577804		00007671
00309240		43404307		00274887		00808156
00306804		43348480		00075204		00234079
00286752		00331756		00023442		00212938
00264560		00299972		00005650		00114588
43416360		00115106		43390533		00123790
00176745		00022562		43361416		00107704
43368575		43399479		43325429		00054678
43362176		43273435		00207624		43363421
43330827		00844470		00075388		43340853
43311432		00338679		00040750		43337872
43267921		00269228		43373395		43317026
43256456		00252066		43368590		00896611
43375191		00132212		43361156		00560715
00876283		00058263		00392499		00537861
00344756		43298202		00328140		00459348
00301670		00133337		00282952		00256404
00287551		00842400		00079206		00192956
00272063		00810770		00875902		43310623
00116941		00588326		00717614		00227676
00108883		00340728		00289962		00127704
43394203		00237809		00207829		00826162
43314684		00026782		00122018		00355313
43314577		43338746		00114345		00208555
43314091		00357407		00113419		00119435
43308147		00314136		00040275		43327373
00230614		43274897		43422197		00201792
00134503		00117250		43393467		00119319
00132375		00027854		00875899		00014457
00129034		43419871		00338902		00008446
43338712		00053489		00287911		43346847
43298030		00104088		00138959		43320993
43272224		43336146		00115889		00271152

 

60

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

00896450		00358027		00075903		00256157
00841862		43334672		00024997		00079217
00562432		43329887		43345740		00054539
00514357		43276543		43327268		00455660
00314138		00500666		00840750		00124202
00286737		00464724		00251108		43432065
00132490		00055436		00198020		43432046
00105425		00467510		00183121		43428320
00329668		00265644		00167215		43428282
00101702		00128458		00134193		00137133
43390938		00079362		00015145		43333898
43368909		00354520		00010516		00132767
43340570		00319341		00056235		43414591
43339797		00273577		43421437		00358392
43298444		00165115		43350191		00472638
43269975		00100689		43340707		00035721
00356127		43326418		43334644		43358510
00217412		43269500		43330535		00125187
00024934		00205249		43330530		81028080
00128027		00333761		43298273		00304233
00022346		00333756		43293872		00128962
43312139		00079893		43276627		43418220
00814229		00039406		00876259		43360781
00351657		00009785		00713937		43320457
00128071		00002707		00340290		00169201
00606383		43279700		00271770		00014986
00515833		00079917		00262528		00535443
00298487		00030172		00011075		00112104
43413398		00021199		43359326		00028325
43380308		00020827		43354195		00230941
43340120		43417231		43329825		43427386
43270959		43414291		43282111		00121594
00356569		43395618		43276973		00028605
00328230		43299770		00896517		00336414
00131804		00446807		00634476		00274328
00114977		00195691		00445894		00035384
00079203		00141476		00353310		43425106
43430303		00017642		00272504		00142072
43402714		00512087		00179531		00450634
43394306		00434736		00126504		00387568
43377740		00344959		43331460		00217432
43374421		00141112		43194991		43371966
43299625		00127804		00425699		43306674
43282740		00106798		00123090		43105048
00172219		43383149		00078103		00131571

 

61

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43276847		00374792		00075782		00123994
00820547		00343773		43419801		00051172
00301529		00329770		43345075		00002732
00140525		00268069		00347497		00333395
00114652		00114216		00263191		00307424
00077274		43392440		00261440		43393410
00013712		00326409		00167096		43341401
00004102		00025839		00132180		43328320
43388407		00025476		00016636		43162884
43326301		43340847		43404355		00309519
43298443		00237272		43391586		43175486
00889911		00181579		00830771		00309226
00343495		00059035		00389803		00296212
43383779		43398742		00350790		43397121
43322174		00312733		00257057		43229339
00303712		00269726		00120617		00320808
00202627		43417382		00077440		00132852
00132115		43405945		00004275		00231452
43426253		43398815		00578509		00176915
00710709		43376987		00520853		43431154
00350974		00277312		43428312		43381964
00302050		00252205		43425472		43378981
00011346		00205975		43379098		43327347
43315147		00181781		43348956		43315693
00468452		00117117		43335266		43291838
00339182		00023123		43321649		00312037
00256283		00016476		43279490		00133321
00206819		00007508		00318886		00111616
00076922		43334390		43279503		43408386
43420431		43274085		00019135		00202815
43383987		00734675		00606375		00139034
43306924		00577561		00019285		43309133
43295652		00108275		43271766		00886815
43276494		00045327		00030345		43430484
00341029		43272980		43416963		43430332
00308617		00847658		43415572		43428555
00197894		00566284		43373387		43428535
43277209		00141270		00132875		43425010
00357414		00100005		43413249		43418201
00341979		43379901		43406197		43398933
00111362		43283315		43340183		43397829
00106217		00350494		43331809		43393873
00032544		00133996		00352802		43393859
00030331		00126592		00106181		43390950
43345749		43374266		43424022		43380624

 

62

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43334664		43347668		00345105		43377326
43298225		43287832		00207578		43374076
00885657		00339288		00123233		43370143
00016987		00222310		00525332		43368903
00012708		00122974		00206776		43361586
43373543		00038455		43331862		43351793
43325146		43332615		00124316		43273922
00328520		00844683		00056773		00242769
00104594		00326676		00019342		00230605
00358057		00232785		43277215		00223030
00123357		00022622		00213928		00137495
00013464		43417490		00104101		00046190
00126679		43392715		43418801		43301427
43342876		43380807		43416898		00159697
43324223		43370355		43341264		00028456
00024785		00484032		00304652		00687529
00280499		00356836		00269015		00341185
00134347		00215678		00156825		00523003
43396207		00128307		00124771		00335967
00274878		00122708		00106411		00132791
00259528		00025048		43272309		43398922
43299627		43301084		00533467		00502774
00575895		00353321		00330060		00052867
00558001		00134460		00320250		43355792
00513423		00002315		00169110		00349794
00432423		00350427		00859036		00329076
00310082		43413721		00350789		00310085
00274720		00359876		00131966		43368581
00223196		00329657		00077707		00044016
00124755		00310979		00051293		00847623
00110947		00309838		00035618		00132413
00106849		00076581		00016691		43383567
00103792		43355474		00818763		00035367
00049134		00446246		00308277		43333596
00842362		00108300		00101406		00729310
00435759		00841919		00079269		00033164
00309219		00647314		00078848		00009207
00223807		43388173		00078273		43344707
00125162		43314292		00023917		43334497
00107824		43298090		00007487		00043707
00107466		43292517		00277193		00315087
00107079		00317319		00219053		00259984
00019368		00201849		00178527		00025540
00004828		00139113		00049116		00102007
43386693		00134526		00572497		00004812

 

63

---

Table of Contents

Asset Transfer Agreement dated 12.June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

43320519		00084190		00519464		74001034
43299446		00011617		00301536		43429209
00523550		00011456		00116793		43414094
00508144		00845752		00008976		00194427
00470929		00507245		00328135		00270026
00363456		00475157		00040129		00201323
00306446		00159611		00844055		00142087
00306439		00124065		00479012		43424199
00199097		00112313		00268228		43329677
00149187		00019462		00214085		43309262
43332062		43298448		00181765		43273436
43173410		00306416		00122614		00896506
00729183		00198021		00105475		00719439
00433268		00217299		00083254		00256334
00425389		00172022		00058916		00130152
00328111		00076526		00506559		43348461
00295390		43282130		00419257		43422981
00286850		00286826		00327004		43346488
00277028		00081346		00322490		43343472
00263478		43393868		00318128		43327343
00178160		00523453		00270334		43325895
00169935		00426725		00110750		43311832
00109727		00350403		00028321		43311723
00103652		00347892		00026902		43337551
00054138		00255424		00023892		15000729
00019329		00026134		00014525		00132323
00019274		43416459		00275739		00728152
43371107		43371137		00195738		00122626
43349488		43347042		00073317		00050969
43288005		00347494		00013519		43424655
43280261		00198226		43384859		00890294
43168273		00058252		00203748		00404691
00278405		00031181		00340872		00250554
00228649		00027653		00272476		00151769
00119222		43420536		00140860
00026101		43396715		43370734
43316015		43338698		43284053

 

64

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG /

Vermögensübertragungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 4

New short-term intra-group loans /

Anhang 4

Neue kurzfristige konzerninterne Darlehen

 

Notariat Hottingen-Zürich

Roman Sandmayr, Notar

 

1

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 / Vermögensübertragungsvertrag vom 12. Juni 2015

 

Product Name

Currency

Nominal Value

Rate/Pips

Value Date

Maturity Date

Produktname

Währung

Nominalwert

Kurs/Pips

Valutadatum

Fälligkeitsdatum

FRMM

CHF

2’500’000’000

0.0000

01.04.2015

01.09.2015

FRMM

CHF

2’000’000’000

0.0000

01.04.2015

03.08.2015

FRMM

CHF

2’000’000’000

0.0000

01.04.2015

03.08.2015

As of the date of this Agreement.

Per Datum dieses V ERTRAGS .

 

2

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG /

Vermögensübertragungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 5a

Excerpt of the minutes of the board of directors meeting of the Parent /

Anhang 5a

Auszug des Protokolls der Verwaltungsratssitzung der M UTTERGESELLSCHAFT

See separate document / Vgl. separates Dokument

 

Notariat Hottingen-Zürich

Roman Sandmayr, Notar

 

1

---

Table of Contents

AUSZUG AUS DEM PROTOKOLL EINER SITZUNG DES VERWALTUNGSRATS

EXCERPT OF THE MINUTES OF A MEETING OF THE BOARD OF DIRECTORS

– Genehmigung des Vermögensübertragungsvertrags –

– Approval of the Asset Transfer Agreement –

der

of

UBS Group AG

mit Sitz in Zürich

with registered office in Zurich

und von

and of

UBS AG

mit Sitz in Basel und Zürich

with registered office in Basel and Zurich

 

 

 

I.	Einladung und Anwesenheit / Invitation and Attendance

Der Verwaltungsrat der UBS AG, Basel und Zürich, (“ UBS ”) und der Verwaltungsrat der UBS Group AG, Zürich (“ UBS Group ”) stellen fest, dass diese Sitzung am 12. Juni 2015 an der Bahnhofstrasse 45, 8001 Zürich, gültig einberufen worden ist und dass die Verwaltungsräte in Übereinstimmung mit Art. 713 des schweizerischen Obligationenrechts sowie Art. 21 ff. der Statuten der UBS AG und UBS Group AG (die “ Statuten ”) gültig Beschlüsse fassen können.

The Board of Directors of UBS AG, Basel and Zurich, (“ UBS ”) and the Board of Directors of UBS Group AG, and Zurich (“ UBS Group ”) acknowledges that this meeting held on 12 June 2015 at Bahnhofstrasse 45, 8001 Zurich, has been validly convened and that the Boards of Directors may validly adopt resolutions in accordance with Art. 713 of the Swiss Code of Obligation and Art. 21 et seq. of the articles of association of UBS and UBS Group (“ Articles of Association ”).

---

Table of Contents

Von den Verwaltungsräten sind folgende Mitglieder persönlich anwesend:

The following members of the Boards of Directors are present by person:

 

•

Michel Demaré

 

•

Isabelle Romy

Von den Verwaltungsräten sind folgende Mitglieder telefonisch anwesend:

The following members of the Boards of Directors are present by phone:

 

•

Axel A. Weber

 

•

Reto Francioni

 

•

Ann F. Godbehere

 

•

Axel P. Lehmann

 

•

William G. Parrett

 

•

David Sidwell

 

•

Jes Staley

 

•

Beatrice Weder di Mauro.

Von den Verwaltungsräten sind folgende Mitglieder entschuldigt:

The following members of the Boards of Directors are duly excused:

 

•

Joseph Yam.

Weiter sind folgende Gäste persönlich anwesend:

Furthermore, the following guests are present by person:

 

•

Sergio Ermotti

 

•

Lukas Gähwiler

 

•

Markus Ronner

 

II.	Beschlüsse / Resolutions

Die Verwaltungsräte fassen einstimmig die folgenden Beschlüsse:

The Boards of Directors unanimously passes the following resolutions:

 

•

Die Verwaltungsräte genehmigen den Abschluss des Vermögensübertragungsvertrags gemäss Anhang zu diesem Beschluss und bevollmächtigt Michel Demaré, und Isabelle Romy, den Vermögensübertragungsvertrag sowie sämtliche anderen daran angehängten oder darin referenzierten Verträge oder Dokumente zu unterzeichnen.

The Boards of Directors approve the execution of the Final ATA as attached to this resolution and authorizes Michel Demaré, and Isabelle Romy to sign the Final ATA and all other agreements or documents attached thereto or referred therein.

 

2

---

Table of Contents

•

Die Verwaltungsräte bevollmächtigen Michel Demaré und Isabelle Romy, die Vermögensübertragung bei den Handelsregistern Basel-Stadt und Zürich anzumelden.

The Boards of Directors mandate Michel Demaré and Isabelle Romy to file the application for the entry of the Final ATA in the commercial registers of Basel-City and Zurich.

 

•

Die Verwaltungsräte beauftragen die Geschäftsleitung und die weiteren gemäss Organisationsreglement der UBS Group und UBS zuständigen Personen, die Transaktion vollständig zu implementieren und sämtliche erforderlichen oder zweckdienlichen Verträge und Dokumente abzuschliessen bzw. zu unterzeichnen und alle weiteren erforderlichen oder zweckdienlichen Handlungen vorzunehmen.

The Boards of Directors mandate the group executive board and further responsible individuals pursuant to the Organization Regulations of UBS Group and UBS to fully implement the Transaction and to execute respectively sign all necessary and appropriate agreements and documents and to undertake all necessary and appropriate actions.

 

•

Die Verwaltungsräte genehmigen den Abschluss der Separate Instruments Agreements und der Revised Programme Agreements und bevollmächtigen die im Handelsregister eingetragenen Zeichnungsberechtigten der UBS, diese zu finalisieren und kollektiv zu zweien zu unterzeichnen und sämtliche Verträge und Dokumente abzuschliessen bzw. zu unterzeichnen, und alle weiteren erforderlichen oder zweckdienlichen Handlungen vorzunehmen, um die Separate Instrument Agreements und die Revised Programme Agreements vollständig zu implementieren.

The Boards of Directors approve the execution of the Separate Instruments Agreements and the Revised Programme Agreements and authorize any two authorized signatories of UBS inscribed in the commercial register to finalize and to sign collectively by two the Separate Instruments Agreements and the Revised Programme Agreements and to sign and execute all other agreements or documents, and to take all actions required to fully implement the Covered Bond Agreements.

 

3

---

Table of Contents

Zürich, 12. Juni 2015 / Zurich, 12 June 2015

 

Michel Demaré				Luzius Cameron
(Vizepräsident der Verwaltungsräte)				(Generalsekretär)
(Vice-Chairman of the Boards of Directors)				(Company Secretary)

 

4

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG / Vermögensübertragungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 5b

Excerpt of the minutes of the board of directors meeting of the Subsidiary /

Anhang 5b

Auszug des Protokolls der Verwaltungsratssitzung der T OCHTERGESELLSCHAFT

See separate document / Vgl. separates Dokument

 

 

1

---

Table of Contents

AUSZUG AUS DEM PROTOKOLL EINER SITZUNG DES VER-WALTUNGSRATS

EXCERPT OF THE MINUTES OF A MEETING OF THE BOARD OF

DIRECTORS

- Genehmigung des Vermögensübertragungsvertrags -

- Approval of the Asset Transfer Agreement -

der

of

UBS Switzerland AG

mit Sitz In Zürich

with registered office in Zurich

 

 

I. Einladung und Anwesenheit / Invitation and Attendance

Der Verwaltungsrat der UBS Switzerland AG, Zürich, (die “Gesellschaft”) stellt fest, dass diese Sitzung am 12. Juni 2015 an der Bahnhofstrasse 45, 8001 Zürich, gültig einberufen worden ist und dass der Verwaltungsrat in Übereinstimmung mit Art. 713 des schweizerischen Obligationenrechts sowie Art. 21 ff. der Statuten der Gesellschaft (die “Statuten”) gültig Beschlüsse fassen kann.

The Board of Directors of UBS Switzerland AG, Zurich, (the “Company” ) acknowledges that this meeting held on 12 June 2015 at Bahnhofstrasse 45, 8001 Zurich, has been validly convened and that the Board of Directors may validly adopt resolutions in accordance with Art. 713 of the Swiss Code of Obligation and Art. 21 et seq. of the articles of association of the Company (“Articles of Association”)

Vom Verwaltungsrat sind folgende Mitglieder persönlich anwesend:

The following members of the Board of Directors are present by person:

 

•

Sergio Ermotti

Vom Verwaltungsrat sind folgende Mitglieder telefonisch anwesend:

The following members of the Board of Directors are present by phone:

 

•

Thomas Naratil

 

•

Philipp Lofts

---

Table of Contents

Welter sind folgende Gäste persönlich anwesend:

Furthermore, the following guests are present by person:

 

•

Lukas Gähwiler

 

•

Markus Ronner

II. Beschlüsse / Resolutions

Der Verwaltungsrat fasst einstimmig die folgenden Beschlüsse:

The Board of Directors unanimously passes the following resolutions:

 

•

Der Verwaltungsrat genehmigt den Abschluss des Vermögensübertragungsvertrags gemäss Anhang zu dlesem Beschluss und bevollmächtigt Sergio Ermotti, und Luzius Cameron, den Vermögensübertragungsvertrag sowie sämtliche anderen daran angehängten oder darin referenzierten Verträge oder Dokumente zu unterzeichnen.

The Board of Directors approves the execution of the Final ATA as attached to this resolution and authorizes Sergio Ermotti, and Luzius Cameron to sign the Final ATA and all other agreements or documents attached thereto or referred therein.

 

•

Der Verwaltungsrat bevollmächtigt die UBS, die Vermögensübertragung bei den Handelsregistern Basel-Stadt und Zürich anzumelden.

The Board of Directors mandates UBS to file the application for the entry of the Final ATA in the commercial registers of Basel-City and Zurich.

 

•

Der Verwaltungsrat beauftragt die Geschäftsleitung und die weiteren gemäss Organisationsreglement der. Gesellschaft zuständigen Personen, die Transaktion vollständig zu implementieren und sämtliche erforderlichen oder zweckdienlichen Verträge und Dokumente abzuschliessen bzw. zu unterzeichnen und alle weiteren erforderlichen oder zweckdienlichen Handlungen vorzunehmen.

The Board of Directors mandates the executive board and further responsible individuals pursuant to the Organization Regulations of the Company to fully implement the Transaction and to execute respectively sign all necessary and appropriate agreements and documents and to undertake all necessary and appropriate actions.

 

•

Der Verwaltungsrat genchmigt den Abschluss der Seperate Instruments Agreements und der Revised Programme Agreements und bevollmächtigt

 

2

---

Table of Contents

die im Handelsregister eingetragenen Zeichnungsberechtigten der Gesellschaft, diese zu finalisieren und kollektiv zu zwelen zu unterzeichnen und sämtliche Verträge und Dokumente abzuschliessen bzw. zu unterzeichnen, und alle weiteren erforderlichen oder zweckdienlichen Handlungen vorzunehmen, um die Separate Instruments Agreements und die Revised Programme Agreements vollständig zu implementleren.

The Board of Directors approves the execution of the Separate Instruments Agreements and the Revised Programme Agreements and authorizes any two authorized signatories of the Company inscribed in the commercial register to finalize and to sign collectively by two the Separate Instruments Agreements and the Revised Programme Agreements and to sign and execute all other agreements or documents, and to take all actions required to fully implement the Covered Bond Agreements.

Unterschriften auf separater Seite. / Signatures on separate page.

 

3

---

Table of Contents

Zürich, 12. Juni 2015 / Zurich, 12 June 2015

 

Serglo Ermotti		Luzius Cameron
(Präsident des Verwaltungsrates) (Chairman of the Boards of Directors)		(Generalsekretär) (Company Secretary)

 

4

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG / Vermögensübetrangungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 6a

Covered Bond Supplemented Agreement (without exhibits) /

Anhang 6a

C OVERED -B OND -Z USATZVEREINBARUNG (ohne Anhänge)

 

 

---

Table of Contents

Execution Version

Confidential

Covered Bond Supplemental Agreement

dated 12 June 2015

by and between

 

UBS AG		(hereinafter the Parent )
Bahnhofstrasse 45, CH-8001 Zurich, Switzerland, and Aeschenvorstadt 1, CH-4051 Basel, Switzerland
and
UBS Switzerland AG		(hereinafter the Subsidiary )
Bahnhofstrasse 45, CH-8001 Zurich, Switzerland
and
BNY Mellon Corporate Trustee Services Limited		(hereinafter the Trustee )
One Canada Square, London E14 5AL, United Kingdom
and
UBS Hypotheken AG		(hereinafter the Guarantor )
c/o UBS AG, Bahnhofstrasse 45, CH -8001 Zurich, Switzerland
regarding the UBS Covered Bond Programme

---

Table of Contents

Covered Bond Supplemental Agreement between UBS AG, UBS Switzerland AG, BNY Mellon Corporate Trustee Services Limited and UBS Hypotheken AG								2 | 15

 

This Covered Bond Supplemental Agreement is made between UBS AG, UBS Switzerland AG _, BNY Mellon Corporate Trustee Services Limited and UBS Hypotheken AG on 12 June 2015.

Whereas

 

A.

The Parent is a bank whose business activities include granting, managing and administering mortgage loans financing Swiss residential property secured by mortgage certificates on the relevant properties.

 

B.

The Parent, acting through its London branch at 1 Finsbury Avenue, London EC2M 2PP, United Kingdom, has issued several series of covered bonds pursuant to a covered bond programme established on 24 September 2009 (the Covered Bond Programme ). No further covered bonds will be issued under the Covered Bond Programme after the date of this Agreement. Currently, the covered bonds listed in Schedule 1 are outstanding (the “Covered Bonds” ).

 

C.

As of the Swiss Transaction Closing Date, the Parent will transfer its Swiss business, including its Swiss Mortgage Business, to the Subsidiary (the Transaction ) in accordance with the terms of an Asset Transfer Agreement between the Parent and the Subsidiary dated as of the date hereof (the Asset Transfer Agreement ). The transfer will generally be effected by way of a transfer of assets and liabilities according to art. 69 et seq. Swiss Merger Act except that mortgage certificates will be transferred by singular succession.

 

D.

As a result of the transfer of the Swiss business, the Subsidiary will assume the roles of Assignor, Originator, Principal Originator, Account Bank, Cash Manager and shareholder of the Guarantor under the Covered Bond Programme. Such changes will accordingly necessitate the amendment of several Programme Agreements which will require the consent of the Trustee.

 

E.

In accordance with article 75 of the Swiss Merger Act and pursuant to the Asset Transfer Agreement, the Parent assumes joint and several liability for all obligations transferred to the Subsidiary in connection with the Transaction and, pursuant to the Asset Transfer Agreement, the Subsidiary assumes a corresponding joint and several liability for all existing obligations remaining with the Parent in connection with the Transaction (those joint and several liabilities collectively the ATA Joint and Several Liability ).

 

F.

To ensure that the ATA Joint and Several Liability of the Parent and the Subsidiary is given its full effect under the Covered Bond Programme and that, accordingly, the Relevant Creditors and the Covered Bondholders will, after the Swiss Transaction Closing Date, continue to have recourse to all of the Parent’s current assets, each of the Parent and the Subsidiary will assume joint and several liability for each other’s obligations in respect of the Covered Bond Programme, pursuant to the terms of this Agreement which will supersede the ATA Joint and Several Liability.

 

G.

For the avoidance of doubt, the Subsidiary enters into the Transaction (including this Agreement) and assumes the aforementioned contractual positions and assumes joint and several liability for the obligations of the Parent in connection with the Covered Bond Programme, in consideration of the aggregate benefits it will receive as a result of the Transaction, including, without limitation, in relation to the Covered Bond Programme, the ownership of (or beneficial interest in) the transferred Swiss Mortgage Claims and Mortgage

---

Table of Contents

Covered Bond Supplemental Agreement between UBS AG, UBS Switzerland AG, BNY Mellon Corporate Trustee Services Limited and UBS Hypotheken AG								3 | 15

 

Certificates, the beneficial interest in the Cover Pool Assets, the shareholding in the Guarantor, the Collateral Differential and other related benefits, as well as to solicit consent by the Trustee to the amendments of the Programme Agreements.

 

1.	Definitions

Account Bank has the meaning ascribed to it in the Master Definitions Schedule.

Agreement means this Covered Bond Supplemental Agreement to the Asset Transfer Agreement, as it may be amended from time to time.

Asset Transfer Agreement has the meaning ascribed to it in recital C.

Assignor has the meaning ascribed to it in the Master Definitions Schedule.

ATA Joint and Several Liability has the meaning ascribed to it in recital E.

Cash Manager has the meaning ascribed to it in the Master Definitions Schedule.

CO means the Swiss Code of Obligations.

Collateral Differential has the meaning ascribed to it in the Master Definitions Schedule.

Cover Pool Assets has the meaning ascribed to it in the Master Definitions Schedule.

Covered Bond Joint and Several Liability means in relation to the Parent the joint and several liability assumed pursuant to Section 5 of this Agreement and in relation to the Subsidiary the joint and several liability assumed pursuant to Section 4 of this Agreement, respectively, and Covered Bond Joint and Several Liabilities means both of them.

Covered Bond Programme has the meaning ascribed to it in recital B.

Covered Bonds has the meaning ascribed to it in recital B.

Due Date means, (i) in relation to a payment obligation, the date on which payment must be made (and payment may be demanded to be made by the relevant creditor) and (ii) in relation to any other obligation, the date on which the relevant obligation must be otherwise performed (and such other performance may be demanded to be made by the relevant creditor), in each case in accordance with the terms of the relevant agreement.

Existing Programme Agreements means the agreements relating to the Covered Bond Programme listed in Schedule 2.

Guarantor has the meaning ascribed to it on the first page of this Agreement.

Issuer Event of Default has the meaning ascribed to it in the Master Definitions Schedule.

Master Definitions Schedule means the Master Definitions Schedule dated the Programme Closing Date, as amended and restated on 2 November 2010, 28 October 2011, 8 January 2014 and 12 June 2015 and as the same may be amended, restated, varied, supplemented, novated and/or replaced from time to time in accordance with its provisions.

---

Table of Contents

Covered Bond Supplemental Agreement between UBS AG, UBS Switzerland AG, BNY Mellon Corporate Trustee Services Limited and UBS Hypotheken AG								4 | 15

 

Mortgage Certificates has the meaning ascribed to it in the Master Definitions Schedule.

Mortgage Claims has the meaning ascribed to it in the Master Definitions Schedule.

Originator has the meaning ascribed to it in the Master Definitions Schedule.

Parent has the meaning ascribed to it on the first page of this Agreement.

Parties means the parties to this Agreement, and Party means any of them.

Parent Pre-Funding, Recourse and Indemnity Obligations means the Guarantee Pre-Funding Obligation, the Swap Termination Payment Pre-Funding Obligation, the General Recourse and Indemnity Pre-Funding Obligation, the Guarantee Recourse and Indemnity Obligation, the Swap Termination Payment Recourse and Indemnity Obligation and the General Recourse and Indemnity Obligation, each as defined in the Master Definitions Schedule.

Principal Originator has the meaning ascribed to it in the Master Definitions Schedule.

Programme Agreement means each Existing Programme Agreement or, where an agreement has been amended and restated as of the Swiss Transaction Closing Date, the Relevant Restated Programme Agreement.

Programme Closing Date means September 24, 2009.

Relevant Creditors has the meaning ascribed to it in the Master Definitions Schedule.

Relevant Restated Programme Agreements means the amended and restated agreements relating to the Covered Bond Programme listed in Schedule 3 and attached as Exhibits 3A to 3L and as the same may be amended, restated, varied, supplemented, novated and/or replaced from time to time in accordance with its provisions.

Remaining Covered Bond Existing Liabilities means those Remaining Covered Bond Liabilities which arise from obligations set out in the Programme Agreements (including, for the avoidance of doubt, under the Covered Bonds) on or before the Swiss Transaction Closing Date, with any such liability being a Remaining Covered Bond Existing Liability.

Remaining Covered Bond Liabilities means any and all existing and future liabilities of the Parent under the Programme Agreements that are not Transferred Covered Bond Liabilities, with any such liability being a Remaining Covered Bond Liability.

Section or Clause means the respective section or clause of this Agreement or any other designated agreement.

SHAB means the Swiss Official Gazette of Commerce ( Schweizerisches Handelsamtsblatt ) .

Shareholder has the meaning ascribed to it in the Master Definitions Schedule.

---

Table of Contents

Covered Bond Supplemental Agreement between UBS AG, UBS Switzerland AG, BNY Mellon Corporate Trustee Services Limited and UBS Hypotheken AG								5 | 15

 

Subsidiary has the meaning ascribed to it on the first page of this Agreement)

Subsidiary Pre-Funding, Recourse and Indemnity Obligations means the Increased Services Provider Expenses Pre-Funding Obligation and the Increased Services Provider Expenses Recourse and Indemnity Obligation, each as defined in the Master Definitions Schedule and transferred to the Subsidiary pursuant to the Amended and Restated Security Assignment and Transfer Agreement dated 12 June 2015.

Swiss Mortgage Business means the contractual relationships between the Parent and its customers under which the Swiss-booked Mortgage Claims and related Mortgage Certificates are originated.

Swiss Transaction Closing means the entry of the transfer of assets and liabilities pursuant to the Asset Transfer Agreement in the commercial registers of Zurich and Basel.

Swiss Transaction Closing Date means the date of the Swiss Transaction Closing, which is expected to take place on 14 June 2015.

Transferred Covered Bond Existing Liabilities has the meaning ascribed to it in Section 3 of this Agreement, with any such liability being a Transferred Covered Bond Existing Liability.

Transferred Covered Bond Benefits has the meaning ascribed to it in Section 3 of this Agreement.

Transferred Covered Bond Liabilities has the meaning ascribed to it in Section 3 of this Agreement, with any such liability being a Transferred Covered Bond Liability.

Transferred Role has the meaning ascribed to it in Section 3 of this Agreement.

Trustee has the meaning ascribed to it on the first page of this Agreement.

 

2.	Construction

For purposes of this Agreement, an ‘‘obligation” of a debtor towards a creditor includes the corresponding “claim” of such creditor against such debtor, and vice versa.

 

3.	Transfer of Contractual Position from Parent to the Subsidiary

As of the Swiss Transaction Closing Date.

 

(a)

the Parent transfers to the Subsidiary the contractual position of the Parent in its capacities as Assignor, Originator, Principal Originator, Account Bank, Cash Manager and Shareholder (including its rights and obligations under the Shareholders Agreement) in relation to each of the Existing Programme Agreements (each a Transferred Role and collectively the Transferred Roles );

 

(b)

the Parent transfers its shareholding in the Guarantor to the Subsidiary;

 

(c)

the Subsidiary agrees to the transfer referred to in paragraph (a) above; and

---

Table of Contents

Covered Bond Supplemental Agreement between UBS AG, UBS Switzerland AG, BNY Mellon Corporate Trustee Services Limited and UBS Hypotheken AG								6 | 15

 

(d)

the Parent and the Subsidiary undertake to enter into the Relevant Restated Programme Agreements in order to reflect such transfer.

As a result of such transfer, as of the Swiss Transaction Closing Date,

 

(e)

the Subsidiary will be entitled to all existing and future rights and benefits of the Parent arising under the Programme Agreements in relation to the Transferred Roles including a right to receive released Cover Pool Assets (the Transferred Covered Bond Benefits ); and

 

(f)

the Subsidiary will assume any and all existing and future liabilities of the Parent arising under the Programme Agreements in relation to the Transferred Roles (the Transferred Covered Bond Liabilities ).

Those Transferred Covered Bond Liabilities which arise from obligations set out in the Programme Agreements on or before the Swiss Transaction Closing Date are hereinafter referred to as the Transferred Covered Bond Existing Liabilities.

For the avoidance of doubt, the contractual position of the Parent in its capacity as Issuer in relation to the Covered Bond Programme (including each of the Existing Programme Agreements) remains with the Parent and is not transferred to the Subsidiary.

 

4.	Covered Bond Joint and Several Liability of the Subsidiary

 

4.1

General

The Subsidiary is jointly and severally liable to perform or procure the performance of any and all obligations of the Parent in respect of any and all Remaining Covered Bond Existing Liabilities in accordance with, and subject to, Sections 4.2 and 4.3 below.

 

4.2	Covered Bond Joint and Several Liability of the Subsidiary for claims under the Parent Pre-Funding, Recourse and Indemnity Obligations

 

(a)

With effect from (and including) the Swiss Transaction Closing Date, the Subsidiary is jointly and severally liable to perform or procure the performance of any obligations of the Parent arising from a Parent Pre-Funding, Recourse and Indemnity Obligation. Such liability continues for a prescription period ( Verjährungsfrist ) of three years counted from the date of publication of the Swiss Transaction Closing in the SHAB or, if an obligation is due only after such date, counted from the Due Date of such obligation irrespective of whether the creditor had the right to accelerate the Due Date of the relevant obligation.

 

(b)

The Subsidiary’s joint and several liability assumed pursuant to this Section 4.2 is agreed for the benefit of the Guarantor and the Trustee (acting in its own name but for the account of the Covered Bondholders).

 

(c)

The Subsidiary’s joint and several liability to perform or procure the performance of the relevant Parent Pre-Funding, Recourse and Indemnity Obligation shall become due (and thus its Due Date shall occur) one (1) day after the Due Date of the relevant Parent Pre-Funding, Recourse and Indemnity Obligation, if and only to the extent the Parent has not satisfied the relevant claim on or prior to such date.

---

Table of Contents

Covered Bond Supplemental Agreement between UBS AG, UBS Switzerland AG, BNY Mellon Corporate Trustee Services Limited and UBS Hypotheken AG								7 | 15

 

(d)

For the avoidance of doubt, the Subsidiary’s assumption of joint and several liability pursuant to this Section 4.2 shall not be deemed an acknowledgement or acceptance of any claim under the Parent Pre-Funding, Recourse and Indemnity Obligations by the Subsidiary or the Parent or be construed to cause the Subsidiary ’s liability to perform, or procure the performance of, such obligations to exceed the Parent’s liability in respect of any such claim under the Parent Pre-Funding, Recourse and Indemnity Obligations; therefore, the assumption by the Subsidiary of joint and several liability pursuant to this Agreement shall not defeat, impair or limit in any way any right or remedy of the Parent or the Subsidiary to contest or dispute the validity or amount of any claim under the Parent Pre-Funding, Recourse and Indemnity Obligations or to assert any other defense to, or bring any claim arising from or related to any claim under the Parent Pre-Funding, Recourse and Indemnity Obligations that the Parent or the Subsidiary might have. In particular, if any claim under the Parent Pre-Funding, Recourse and Indemnity Obligations is satisfied (in full or part) through payment, realization of collateral, set-off (where such set-off is permitted by the Programme Agreements) or otherwise by the Parent or a third party, then the Subsidiary’s joint and several liability in respect of such claim under the Parent Pre-Funding, Recourse and Indemnity Obligations shall extinguish correspondingly, and in no case shall a creditor of a claim under a Parent Pre-Funding , Recourse and Indemnity Obligation be entitled to be satisfied in an aggregate amount exceeding the relevant obligation under a Parent Pre-Funding, Recourse and Indemnity Obligation.

 

4.3	Covered Bond Joint and Several Liability of the Subsidiary for Remaining Covered Bond Existing Liabilities

 

(a)

With effect from (and including) the Swiss Transaction Closing Date, the Subsidiary is jointly and severally liable to perform or procure performance of all obligations (including any payment obligation) of the Parent in respect of a Remaining Covered Bond Existing Liability (other than any Parent Pre-Funding , Recourse and Indemnity Obligation). Such liability continues for a prescription period ( Verjährungsfrist ) of three years counted from the date of publication of the Swiss Transaction Closing in the SHAB or, if an obligation becomes due only after such date, counted from the Due Date of such obligation irrespective of whether the creditor had the right to accelerate the Due Date of the relevant obligation.

 

(b)

The Subsidiary’s joint and several liability pursuant to this Section 4.3 is agreed for the benefit of the Trustee and any and all other Relevant Creditors (including their successors and assigns) of the Remaining Covered Bond Existing Liabilities who each may, in respect to their claims under this Section 4.3, seek performance by the Subsidiary in its own right (art. 112 para. 2 CO).

 

(c)

Except as set out in the Programme Agreements, the Subsidiary’s joint and several liability to perform or procure the performance of a Remaining Covered Bond Existing Liability shall become due (and thus its Due Date shall occur) one (1) day after the Due Date of the relevant Remaining Covered Bond Existing Liability, if and only to the extent the Parent has not satisfied the relevant claim on or prior to such date.

 

(d)

For the avoidance of doubt, the assumption of the Subsidiary’s joint and several liability pursuant to this Section 4.3 shall not be deemed an acknowledgement or acceptance of any claim under the Remaining Covered Bond Existing Liability by the Subsidiary or the Parent or be construed to cause the Subsidiary’s liability to perform, or procure the performance of, such obligations to exceed the Parent’s liability in respect of any such claim under the Remaining

---

Table of Contents

Covered Bond Supplemental Agreement between UBS AG, UBS Switzerland AG, BNY Mellon Corporate Trustee Services Limited and UBS Hypotheken AG								8 | 15

 

Covered Bond Existing Liability; therefore, the assumption by the Subsidiary of its joint and several liability shall not defeat, impair or limit in any way any right or remedy of the Subsidiary or the Parent to contest or dispute the validity or amount of any claim under the Remaining Covered Bond Existing Liability or to assert any other defense to, or bring any claim arising from or related to any claim under the Remaining Covered Bond Existing Liability that the Parent might have. In particular, if any claim under the Remaining Covered Bond Existing Liability is satisfied (in full or part) through payment, realization of collateral, set-off (where such set-off is permitted by the Programme Agreements) or otherwise by the Parent or a third party, then the Subsidiary’s joint and several liability in respect of such claim under the Remaining Covered Bond Existing Liability shall extinguish, and in no case shall a creditor of a claim under a Remaining Covered Bond Existing Liability be entitled to be satisfied in an aggregate amount exceeding the relevant obligation under a Remaining Covered Bond Existing Liability.

 

5.	Covered Bond Joint and Several Liability of the Parent

 

5.1

General

The Parent is jointly and severally liable to perform or procure the performance of any and all obligations of the Subsidiary in respect of any and all Transferred Covered Bond Existing Liabilities in accordance with, and subject to, Sections 5.2 and 5.3 below.

 

5.2	Covered Bond Joint and Several Liability of the Parent for claims under the Subsidiary Pre-Funding, Recourse and Indemnity Obligations

 

(a)

Notwithstanding the transfer effected pursuant to this Agreement and the Asset Transfer Agreement and with effect from (and including) the Swiss Transaction Closing Date, the Parent is jointly and severally liable to perform or procure the performance of any obligations of the Subsidiary arising from a Subsidiary Pre-Funding, Recourse and Indemnity Obligation. Such liability continues for a prescription period ( Verjährungsfrist ) of three years counted from the date of publication of the Swiss Transaction Closing in the SHAB or, if an obligation is due only after such date, counted from the Due Date of such obligation irrespective of whether the creditor had the right to accelerate the Due Date of the relevant obligation.

 

(b)

The Parent’s joint and several liability assumed pursuant to this Section 5.2 is agreed for the benefit of the Guarantor and the Trustee (acting in its own name but for the account of the Covered Bondholders).

 

(c)

The Parent’s joint and several liability to perform or procure performance of the relevant Subsidiary Pre-Funding. Recourse and Indemnity Obligation shall become due (and thus its Due Date shall occur) one (1) day after the Due Date for performance of the relevant Subsidiary Pre-Funding, Recourse and Indemnity Obligation, if and only to the extent the Subsidiary has not satisfied the relevant claim on or prior to such date.

 

(d)

For the avoidance of doubt, the assumption of the Parent’s joint and several liability pursuant to this Section 5.2 shall not be deemed an acknowledgement or acceptance of any claim under the Subsidiary Pre-Funding. Recourse and Indemnity Obligations by the Parent or the Subsidiary or be construed to cause the Parent’s liability to perform, or procure the performance of, such obligations to exceed the Subsidiary’s liability in respect of any such claim under the Subsidiary Pre-Funding, Recourse and Indemnity Obligations; therefore, the assumption by the Parent of its joint and several liability shall not defeat, impair or limit in any

---

Table of Contents

Covered Bond Supplemental Agreement between UBS AG, UBS Switzerland AG, BNY Mellon Corporate Trustee Services Limited and UBS Hypotheken AG								9 | 15

 

way any right or remedy of the Parent or the Subsidiary to contest or dispute the validity or amount of any claim under the Subsidiary Pre-Funding , Recourse and Indemnity Obligations or to assert any other defense to , or bring any claim arising from or related to, any claim under the Subsidiary Pre-Funding, Recourse and Indemnity Obligations that the Subsidiary might have. In particular, if any claim under the Subsidiary Pre-Funding, Recourse and Indemnity Obligations is satisfied (in full or part) through payment, realization of collateral, set-off (where such set-off is permitted by the Programme Agreements) or otherwise by the Subsidiary or a third party, then the Parent’s joint and several liability in respect of such claim under the Subsidiary Pre-Funding, Recourse and Indemnity Obligations shall extinguish correspondingly , and in no case shall a creditor of a Subsidiary Pre-Funding, Recourse and Indemnity Obligation be entitled to be satisfied in an aggregate amount exceeding the relevant obligation or claim under a Subsidiary Pre-Funding, Recourse and Indemnity Obligations.

 

(e)

For the avoidance of doubt, a failure by the Parent to perform or procure performance of the obligations of the Subsidiary under the Programme Agreements pursuant to this Section 5.2 shall not constitute an Issuer Event of Default (unless such Issuer Event of Default would have occurred irrespective of the joint and several liability assumed pursuant to this Section 5.2).

 

5.3	Covered Bond Joint and Several Liability of the Parent for Transferred Covered Bond Existing Liabilities

 

(a)

Notwithstanding the transfer effected pursuant to this Agreement and the Asset Transfer Agreement and with effect from (and including) the Swiss Transaction Closing Date, the Parent is jointly and severally liable to perform or procure performance of all obligations (including payment obligations) of the Subsidiary in respect of a Transferred Covered Bond Existing Liability (other than a Subsidiary Pre-Funding, Recourse and Indemnity Obligation). Such liability continues for a prescription period ( Verjährungsfrist ) of three years counted from the date of publication of the Swiss Transaction Closing in the SHAB or, if an obligation becomes due only after such date, counted from the Due Date of such obligation irrespective of whether the creditor had the right to accelerate the Due Date of the relevant obligation.

 

(b)

The Parent’s joint and several liability pursuant to this Section 5.3 is agreed for the benefit of the Trustee any and all other Relevant Creditors (including their successors and assigns) of the Transferred Covered Bond Existing Liabilities who each may, in respect to their claims under this Section 5.3, seek performance by the Parent in its own right (art. 112 para. 2 CO).

 

(c)

Except as set out in the Programme Agreements, the Parent’s joint and several liability to perform or procure the performance of a Transferred Covered Bond Existing Liability shall become due (and thus its Due Date shall occur) one (1) day after the Due Date of the relevant Remaining Covered Bond Existing Liability, if and only to the extent the Subsidiary has not satisfied the relevant claim on or prior to such date.

 

(d)

For the avoidance of doubt, the assumption of the Parent’s joint and several liability pursuant to this Section 5.3 shall not be deemed an acknowledgement or acceptance of any Transferred Covered Bond Existing Liability by the Parent or the Subsidiary or be construed to cause the Parent’s liability to perform, or procure the performance of , such obligations to exceed the Subsidiary’s liability in respect of any such claim under the Transferred Covered Bond Existing Liability; therefore, the assumption by the Parent of its joint and several liability shall not defeat, impair or limit in any way any right or remedy of the Parent or the Subsidiary to contest or

---

Table of Contents

Covered Bond Supplemental Agreement between UBS AG, UBS Switzerland AG, BNY Mellon Corporate Trustee Services Limited and UBS Hypotheken AG								10 | 15

 

dispute the validity or amount of any claim under the Transferred Covered Bond Existing Liability or to assert any other defense to, or bring any claim arising from or related to, any claim under the Transferred Covered Bond Existing Liability the Subsidiary might have. In particular, if any claim under the Transferred Covered Bond Existing Liability is satisfied (in full or part) through payment, realization of collateral, set-off (where such set-off is permitted by the Programme Agreements) or otherwise by the Subsidiary or a third party, then the Parent’s joint and several liability in respect of such claim under the Transferred Covered Bond Existing Liability shall extinguish correspondingly, and in no case shall a creditor of a Transferred Covered Bond Existing Liability be entitled to be satisfied in an aggregate amount exceeding the relevant obligation under a Transferred Covered Bond Existing Liability.

 

(e)

For the avoidance of doubt, a failure by the Parent to perform or procure performance of the obligations of the Subsidiary under the Programme Agreements pursuant to this Section 5.3 shall not constitute an Issuer Event of Default (unless such Issuer Event of Default would have occurred irrespective of the joint and several liability assumed pursuant to this Section 5.3).

 

6.	Guarantor Tax Indemnity

The Parent and the Subsidiary jointly and severally undertake to promptly pay, and if applicable to promptly indemnify and hold harmless the Guarantor for any and all payments made and all liabilities incurred, in relation to any stamp duty, withholding tax or other taxes or charges which may result from the transfer of the Swiss Mortgage Business from UBS AG to UBS Switzerland AG.

 

7.	Right of Recourse

 

(a)

The Parent has a right of recourse against the Subsidiary, and the Subsidiary shall indemnify the Parent, for all expenses and damages arising in connection with claims brought against, or payments made by, the Parent as a result of the Covered Bond Joint and Several Liability of the Parent (for the avoidance of doubt, subject to any set-off by the Subsidiary of any indemnification claims arising under Section 7(b) and 7(c) below), provided that in case of damages arising in connection with claims brought, or payments made, pursuant to section 5.2 , such right of recourse shall be limited to additional expenses incurred by the Parent due to such claims being brought against it, or payments being made by it, (but, for the avoidance of doubt, does not extend to the reimbursement of the nominal value of the relevant Subsidiary Pre-Funding, Recourse and Indemnity Obligation for which the Parent is jointly and severally liable).

 

(b)

The Subsidiary shall have a right of recourse against the Parent, and the Parent shall indemnify the Subsidiary for any and all expenses and damages arising in connection with claims brought against, or payments made by, the Subsidiary as a result of the Covered Bond Joint and Several Liability of the Subsidiary.

 

(c)

In addition, the Parent shall indemnify the Subsidiary for any and all expenses and damages incurred by the Subsidiary as a result of any non-performance or late performance of any other obligation of the Parent in connection with the Covered Bond Programme, including any and all losses incurred in connection with a realisation of Cover Pool Assets as a result of an Issuer Event of Default under the Covered Bonds.

---

Table of Contents

Covered Bond Supplemental Agreement between UBS AG, UBS Switzerland AG, BNY Mellon Corporate Trustee Services Limited and UBS Hypotheken AG								11 | 15

 

8.	General Provisions

 

8.1

Set-Off

The right of the Parties to set-off claims arising under the obligations set out in the Programme Agreements or under this Agreement is governed solely by the provisions set out in the relevant Programme Agreements.

 

8.2

Notices

Unless otherwise specifically provided for herein, any notice required or permitted to be given under this Agreement shall be in writing and shall be personally delivered, or transmitted by registered mail (airmail, if international) or by internationally recognized courier service, or transmitted by telefax (always to be followed by registered mail) to the parties as follows (as elected by the party giving such notice):

 

if to the Parent:		UBS AG Bahnhofstrasse 45 8001 Zurich Switzerland Fax number: +41 (0)44 237 41 00
		Attn: Group Treasury
if to the Subsidiary:		UBS Switzerland AG Bahnhofstrasse 45 8001 Zurich Switzerland Fax number: +41 (0)44 237 41 00
		Attn: Group Treasury
if to the Trustee:		BNY Mellon Corporate Trustee Services Limited One Canada Square London E14 5AL United Kingdom Fax number: +44 207 964 25 09
		Attn: Trustee Administration Manager – UBS AG Covered Bond Programme
if to the Guarantor:		UBS Hypotheken AG c/o UBS AG Bahnhofstrasse 45 8001 Zurich Switzerland Fax number: +41 (0)44 237 41 00
		Attn: Kundenberater UBS Hypotheken AG

---

Table of Contents

Covered Bond Supplemental Agreement between UBS AG, UBS Switzerland AG, BNY Mellon Corporate Trustee Services Limited and UBS Hypotheken AG								12 | 15

 

or any substitute address or fax number a Party notify to the others in accordance with the above by not less than five business days’ notice.

Except as otherwise specified herein, all notices and other communications shall be deemed to have been duly given on (i) the date of receipt if delivered personally or by courier or transmitted by mail, or (ii) the date of transmission with confirmed answerback if transmitted by telex or telefax, whichever shall occur first.

 

8.3	No Third Party Rights

No person other than (i) a Party hereto or (ii) a creditor benefitting from a joint and several liability pursuant to sections 4.3 or 5.3 shall have any rights against any Party hereto pursuant to this Agreement, and none of the Parties shall have any liability to such third parties in relation to the exercise of their rights and obligations hereunder.

 

8.4	Trustee Rights

 

(a)

The Trustee has agreed to become a party of this Agreement solely to ensure the preservation and enforcement of its rights, and those of the Covered Bondholders, hereunder and shall not assume any responsibility, liabilities or obligations in connection with this Agreement and|or the transactions contemplated hereby.

 

(b)

The rights of the Trustee pursuant to this Agreement are in addition to, and not in lieu of, the rights the Trustee has under the Programme Agreements.

 

8.5	Entire Agreement

This Agreement, including the annexes and any other documents referred to herein, constitutes the entire agreement and understanding among the Parties with respect to the subject matter hereof, and shall supersede all prior oral and written agreements or understandings of the Parties relating hereto. All references to this Agreement shall be deemed to include the Schedules and Exhibits hereto.

In particular, (i) the terms of this Agreement shall supersede those of the Asset Transfer Agreement and (ii) the Covered Bond Joint and Several Liability (and any joint and several obligations assumed pursuant to any other Programme Agreement) shall supersede the ATA Joint and Several Liability. The Covered Bond Joint and Several Liability shall in the context of this Agreement be entirely governed by the terms hereunder in relation to the rights and obligations of the Parties and (to the extent permissible) any third party beneficiaries hereunder.

 

8.6	Amendments and Waivers

This Agreement may only be modified or amended by a document signed by all Parties. Any provision contained in this Agreement may only be waived by a document signed by the Party waiving such provision.

---

Table of Contents

Covered Bond Supplemental Agreement between UBS AG, UBS Switzerland AG, BNY Mellon Corporate Trustee Services Limited and UBS Hypotheken AG								13 | 15

 

8.7	Severability

If any one or more of the provisions contained in this Agreement shall be invalid, illegal or unenforceable in any respect under any applicable law, the validity, legality and enforceability in any respect under any applicable law and the remaining provisions contained herein shall not in any way be affected or impaired and the Parties shall agree to such amendment, even with retro-active effect, that reflects the spirit of the relevant agreement and which the Parties would presumably have agreed upon had they been aware of the invalidity, illegality or unenforceability of the provision in question at the time of execution of the relevant agreement.

 

8.8	No Transfer

Neither Party may transfer or assign any of its rights and obligations under this Agreement in whole or in part to any third party without the prior written consent of the other Parties.

 

8.9	Counterparts

This Agreement may be executed in any number of counterparts (manually or by facsimile) each of which, when executed and delivered, shall constitute an original, but all the counterparts shall together constitute but one and the same instrument.

 

9.	Conditions precedent

 

9.1	Trustee Consent

The effectiveness of this Agreement is subject to the Trustee consenting to the amendments to the Programme Agreements.

 

9.2	Entry into the Commercial Register

The effectiveness of this Agreement is subject to the occurrence of the Swiss Transaction Closing.

 

10.	Governing Law and Dispute Resolution

 

10.1	Governing Law

 

(a)

This Agreement shall be governed by and construed by the substantive laws of Switzerland (to the exclusion of Swiss Private International Law and of international treaties, in particular the Vienna Convention on the International Sale of Goods dated 11 April 1980).

 

(b)

The aforementioned choice of law is without prejudice to the choice of English law as the contractual and non-contractual governing law of the Programme Agreements, expressed to be governed by English law. For the avoidance of doubt, English law shall govern all claims arising out of such agreements, including any non-contractual claims arising out of them irrespective of whether the relevant claim is brought by or against the Parent or the Subsidiary (or both).

---

Table of Contents

Covered Bond Supplemental Agreement between UBS AG, UBS Switzerland AG, BNY Mellon Corporate Trustee Services Limited and UBS Hypotheken AG								14 | 15

 

10.2	Dispute Resolution

 

(a)

All disputes arising out of or in connection with this Agreement, including disputes on its conclusion, binding effect, amendment and termination and any non-contractual obligations arising out of or in connection with it, shall be subject to the exclusive jurisdiction of the competent courts for the City of Zurich (Zurich 1), Switzerland.

 

(b)

This jurisdiction clause is without prejudice to the jurisdiction clauses in the Programme Agreements which provide for the courts of England and Wales to have jurisdiction. Accordingly, the courts of England and Wales shall be competent to decide any disputes arising out of such Agreements, irrespective of whether the relevant action is brought by or against the Parent or the Subsidiary (or both).

(signatures next page)

---

Table of Contents

Covered Bond Supplemental Agreement between UBS AG, UBS Switzerland AG, BNY Mellon Corporate Trustee Services Limited and UBS Hypotheken AG								15 | 15

 

UBS AG

 

By:
		Name: Stefan Uebelhart Function:						Name: Samuel Gamper Function:

UBS Switzerland AG

 

By:
		Name: Oliver Diener Function:						Name: Gabriel Lehner Function:

 

BNY Mellon Corporate Trustee Services Limited   SIGNED for and on behalf of BNY MELLON CORPORATE TRUSTEE SERVICES LIMITED

By:
Name:

UBS Hypotheken AG

 

By:
		Name: Christoph Pestalozzi Function:						Name: Marco Menotti Function:

---

Table of Contents

Schedule 1 to Covered Bond Supplemental Agreement between UBS AG, UBS Switzerland AG, BNY  Mellon Corporate Trustee Services Limited and UBS Hypotheken AG								1 | 1

 

Schedule 1

Outstanding Covered Bonds

 

Series

Currency

Notional Outstanding*

FX Rate

CH Equivalent*

Maturity

Coupon Rate

ISIN CODE

Series 2 - 2009 - 02.12.19

Euro

1’000’000

1.51

1’510’000

02.12.2019

3.875

XS0470204172

Series 4 - 2010 - 08.04.22

Euro

1’250’000

1.430

1’787’500

08.04.2022

4.000

XS0500331557

Series 5 - 2011 - 06.06.16

Euro

1’000’000

1.221 0.1331

1’221’000

06.06.2016

3.000

XS0632934583

Series 7 - 2011 - 15.03.19

NOK

300’000

2 0.1331

39’936

15.03.2019

2.200

*

Private Plcmt

Series 8 - 2011 - 15.09.23

NOK

700’000

2

93’184

15.09.2023

2.450

*

Private Plcmt

Series 9 - 2012 - 10.01.17

Euro

1’500’000

1.2167

1’825’050

10.01.2017

2.250

XS0728789578

Series 11 - 2012 - 30.03.17

USD

2’000’000

0.9038

1’807’600

30.03.2017

2.250

XS0765656276

Series 12 - 2013 - 24.03.16

USD

1’250’000

0.9475

1’184’375

24.03.2016

0.750

XS0908533929 US90349CAC8

Series 13 - 2013 - 08.04.16

USD

150’000

0.9398

140’970

08.04.2016

0.551

2

Series 14 - 2014 - 16.04.21

Euro

1’000’000

1.218

1’218’000

16.04.2021

1.375

XS1057841980

Total / Average

10’827’615

Numbers multiplied with 1000

---

Table of Contents

Schedule 2 to Covered Bond Supplemental Agreement between UBS AG, UBS Switzerland AG, BNY  Mellon Corporate Trustee Services Limited and UBS Hypotheken AG								1 | 1

 

Schedule 2

Existing Programme Agreements

 

•

Guarantee Deed between, inter alios, the Guarantor and BNY Mellon Corporate Trustee Services Limited (formerly known as BNY Corporate Trustee Services Limited) as Trustee, dated as of September 24 , 2009

 

•

Second Supplemental Agency Agreement (modifying and restating the Amended and Restated Agency Agreement dated as of October 28, 2011) between, inter alios, the Issuer, the Guarantor and The Bank of New York Mellon as the Principal Paying Agent, dated as of January 8, 2014

 

•

Fifth Supplemental Trust Deed (modifying and restating the Trust Deed dated September 24 , 2009, as supplemented by the First Supplemental Trust Deed dated November 2, 2010, the Second Supplemental Trust Deed dated October 27, 2011, the Third Supplemental Trust Deed dated October 28, 2011 and the Fourth Supplemental Trust Deed dated June 28, 2012) between, inter alios, the Issuer, the Guarantor and BNY Mellon Corporate Trustee Services Limited (formerly known as BNY Corporate Trustee Services Limited) as Trustee, dated as of January 8, 2014

 

•

Cash Management Agreement between UBS AG as Cash Manager, BNY Mellon Corporate Trustee Services Limited (formerly known as BNY Corporate Trustee Services Limited) as Trustee and the Guarantor, dated as of September 24, 2009

 

•

Asset Monitor Agreement between, inter alios, the Guarantor and KMPG LLP as Asset Monitor, dated as of September 24, 2009

 

•

Amended and Restated Master Definitions Schedule between, inter alios, the Issuer, the Guarantor and BNY Mellon Corporate Trustee Services Limited (formerly known as BNY Corporate Trustee Services Limited) as Trustee, dated as of January 8, 2014

 

•

Intercreditor Deed between, inter alios , the Guarantor, the Issuer and BNY Mellon Corporate Trustee Services Limited (formerly known as BNY Corporate Trustee Services Limited) as Trustee, dated as of September 24, 2009

 

•

1992 ISDA Master Agreement between the Guarantor and UBS AG as Initial Swap Provider, dated October 1, 2009, including electronic copies of the related Schedule dated October 1, 2009 and the related “Credit Support Annex” (English law) and its Paragraph 11 dated October 1, 2009

 

•

Amended and Restated Security Assignment and Transfer Agreement between UBS AG as Assignor and the Guarantor, dated as of January 8, 2014

 

•

Amended and Restated Administration Services Agreement between UBS Hypotheken AG and Treureva AG as Administration Services Provider, dated as of January 8, 2014

 

•

Amended and Restated Collateral Holding Agreement between the Guarantor, SIX SIS AG as Collateral Holding Agent and UBS AG as Originator and Assignor, dated as of January 8, 2014

 

•

Amended and Restated Master Bank Account Agreement between UBS AG as Account Bank and the Guarantor, dated as of January 8, 2014

 

•

Amended and Restated Corporate Services Agreement between the Guarantor and UBS AG as Corporate Services Provider, dated as of January 8, 2014

 

•

Amended and Restated Guarantee Mandate Agreement between the Issuer and the Guarantor, dated as of January 8, 2014

---

Table of Contents

Schedule 3 to Covered Bond Supplemental Agreement between UBS AG, UBS Switzerland AG, BNY  Mellon Corporate Trustee Services Limited and UBS Hypotheken AG								1 | 1

 

Schedule 3

Relevant Restated Programme Agreements

 

•

First Supplemental Guarantee Deed (modifying and restating the Guarantee Deed dated September 24, 2009) between, inter alios, the Guarantor and BNY Mellon Corporate Trustee Services Limited (formerly known as BNY Corporate Trustee Services Limited) as Trustee, dated as of 12   June 2015 ( Exhibit 3A )

 

•

Sixth Supplemental Trust Deed (modifying and restating the Trust Deed dated September 24, 2009, as supplemented by the First Supplemental Trust Deed dated November  2 , 2010, the Second Supplemental Trust Deed dated October 27, 2011, the Third Supplemental Trust Deed dated October 28 , 2011, the Fourth Supplemental Trust Deed dated June 28, 2012 and the Fifth Supplemental Trust Deed dated January 3, 2014) between, inter alios, the Issuer, the Guarantor and BNY Mellon Corporate Trustee Services Limited as Trustee, dated as of 12 June 2015 (Exhibit 3B)

 

•

Amended and Restated Cash Management Agreement (modifying and restating the Cash Management Agreement dated September 24, 2009) between, inter alios, UBS Switzerland AG, BNY Mellon Corporate Trustee Services Limited as Trustee and the Guarantor, dated as of 12 June 2015 ( Exhibit 3C )

 

•

Asset Monitor Agreement between, inter alios, the Guarantor and KMPG LLP as Asset Monitor, dated as of 12 June 2015 ( Exhibit 3D )

 

•

Amended and Restated Master Definitions Schedule between, inter alios, the Issuer, the Guarantor and BNY Mellon Corporate Trustee Services Limited as Trustee, dated as of 12 June 2015 (Exhibit 3E)

 

•

First Supplemental Intercreditor Deed between, inter alios, the Guarantor, the Issuer, UBS Switzerland AG and BNY Mellon Corporate Trustee Services Limited as Trustee, dated as of 12 June 2015 (Exhibit 3F)

 

•

Amended and Restated Security Assignment and Transfer Agreement between, inter alios, UBS Switzerland AG and the Guarantor, dated as of 12 June 2015 (Exhibit 3G)

 

•

Amended and Restated Administration Services Agreement between UBS Hypotheken AG and Treureva AG as Administration Services Provider, dated as of 12 June 2015 (Exhibit 3H)

 

•

Amended and Restated Collateral Holding Agreement between, inter alios, the Guarantor, SIX SIS AG as Collateral Holding Agent and UBS Switzerland AG, dated as of 12 June 2015 (Exhibit 3I)

 

•

Amended and Restated Master Bank Account Agreement between, inter alios, UBS Switzerland AG and the Guarantor, dated as of 12 June 2015 (Exhibit 3J)

 

•

Amended and Restated Corporate Services Agreement between the Guarantor and UBS AG as Corporate Services Provider, dated as of 12 June 2015 (Exhibit 3K)

 

•

Amended and Restated Guarantee Mandate Agreement between, inter alios, the Issuer and the Guarantor, dated as of 12 June 2015 (Exhibit 3L)

---

Table of Contents

JOINT AND SEVERAL LIABILITY PROVISIONS IN ENGLISH LAW GOVERNED RELEVANT

RESTATED PROGRAMME AGREEMENTS

Definitions:

In this each of the relevant amended and restated English law governed programme agreements set out below

SHAB means the Swiss Official Gazette of Commerce ( Schweizerisches Handelsamtsblatt ) ; and

Closing means the entry of the transfer of assets and liabilities pursuant to the Asset Transfer Agreement in the commercial register of Zurich and Basel.

Subject as hereinafter provided and unless there is something in the subject matter or context inconsistent therewith, all words and expressions defined in the relevant amended and restated English law programme agreements referred to below shall have the meanings given to them in those agreements.

EXCERPT OF LANGUAGE FROM SIXTH SUPPLEMENTAL TRUST DEED

 

“3.	Joint and several liability of UBS Switzerland AG

 

3.1

Subject to Clause 3.5 below, notwithstanding the transfer and novation effected pursuant to [Clause 2 of the Sixth Supplemental Sixth Supplemental Trust Deed] and the Covered Bond Supplemental Agreement, UBS Switzerland is jointly and severally liable to perform or procure the performance of the obligations of the Issuer under the Amended and Restated Principal Trust Deed and the Covered Bonds for a period of three years counted from the publication of the Closing in the SHAB or, if an obligation is due for performance only after such date, counted from the due date of such obligation irrespective of whether the relevant creditor had the right to accelerate the due date of the relevant obligation.

 

3.2

UBS Switzerland’s joint and several liability pursuant to the [Sixth Supplemental Trust Deed] is agreed for the benefit of the Trustee and (without prejudice to Clause 9 of the Amended and Restated Principal Trust Deed ( Proceedings, Action and Indemnification )) the Covered Bondholders. The Trustee may seek performance from UBS Switzerland independently of seeking performance from the Issuer, subject to the provisions of Clauses 3.3 to 3.7 below.

 

3.3

Subject to the provisions of Clauses 3.4 to 3.7 below, UBS Switzerland’s joint and several liability to perform or procure performance pursuant to this Clause 3 shall arise one (1) day after the due date for performance by the Issuer of its obligations under the Amended and Restated Principal Trust Deed or, as applicable, the relevant Series of Covered Bonds, if and only to the extent that the Issuer has not performed such obligations on or prior to such date.

 

3.4

For the avoidance of doubt, the assumption by UBS Switzerland of joint and several liability under this Clause 3 shall not be deemed to be an acknowledgement or acceptance of any claim in respect of any existing or future liability of the Issuer or UBS Switzerland under the Amended and Restated Principal Trust Deed or in respect of the Covered Bonds of any Series; therefore the assumption by UBS Switzerland of its joint and several liability to perform or procure performance of such obligations shall not defeat, impair or limit in any way any right or remedy of the Issuer or UBS Switzerland to contest or dispute the validity or amount of any claim under the Amended and Restated Principal Trust Deed or the Covered Bonds of any Series, or to assert any other defence to, or bring any claim arising from or related to the Amended and Restated Principal Trust Deed or the Covered Bonds of any Series that the Issuer or UBS Switzerland might have. In particular, if any claim under the Amended and Restated Principal Trust Deed or in respect of any Series of Covered Bonds is satisfied (in full or in part) through payment or realisation of collateral or set-off (where

---

Table of Contents

such set-off is permitted pursuant to the terms of the Transaction Documents) or otherwise by the Issuer, the Guarantor or a third party, then UBS Switzerland’s joint and several liability in respect of such claim shall extinguish correspondingly, and in no case shall the Trustee or any Covered Bondholder be entitled to be satisfied in an aggregate amount exceeding the relevant obligation under the Amended and Restated Principal Trust Deed or in respect of the Covered Bonds of any Series.

 

3.5

If:

 

(a)

an Issuer Event of Default has occurred under Conditions 1l(a)(ii), 11(a)(iv) or 11(a)(v);

 

(b)

an Issuer Default Notice has been given to the Issuer that the relevant Series of Covered Bonds is, as regards the Issuer only, thereupon immediately due and repayable at its Early Redemption Amount together with accrued interest as provided in the Trust Deed;

 

(c)

none of the events specified in Conditions 1l(a)(iv) or 11(a)(v) has occurred with respect to UBS Switzerland (as if references to the ’’Issuer” in those Conditions were to UBS Switzerland); and

 

(d)

no Guarantor Acceleration Notice has been served on the Guarantor in accordance with Condition 11,

then UBS Switzerland will not be jointly and severally liable pay the Early Redemption Amount together with the accrued interest on the relevant Series of Covered Bonds but it will be liable (i) to pay scheduled interest and scheduled principal on each relevant Series of Covered Bonds as and when originally due for payment by the Issuer and (ii) (without double counting and taking into account the amount payable under paragraph (i) above) to pay any other liability, damages, cost, loss or expense (including, without limitation, legal fees, costs and expenses) suffered or incurred by the Trustee or the Covered Bondholders as a result of such events.

 

3.6	Notwithstanding the provisions of Clause 3.5 above, the Trustee shall, following the occurrence of an Issuer Event of Default and the giving of an Issuer Default Notice to the Issuer, serve a Guarantee Activation Notice on the Guarantor in accordance with Condition II.

 

3.7

Without prejudice to any other rights or obligations of the Guarantor following the service of a Guarantee Activation Notice on the Guarantor, the Guarantor shall serve Guarantee Pre-Funding Notices on UBS Switzerland in accordance with the terms of the Guarantee Deed and the Guarantee Mandate Agreement and UBS Switzerland shall be jointly and severally liable to perform or procure performance of the Issuer’s obligations under the terms of the Transaction Documents applicable to the Issuer in such circumstances (excluding the obligation to pay the Early Redemption Amount together with accrued interest on the relevant Series of Covered Bonds).

 

4.	Joint and several liability of the Original Assignor

 

4.1

Notwithstanding the transfer and novation effected pursuant to [Clause 2 of the Sixth Supplemental Sixth Supplemental Trust Deed] and the Covered Bond Supplemental Agreement, the Original Assignor is jointly and severally liable to perform or procure performance of the obligations of the Acquiring Assignor under the Amended and Restated Principal Trust Deed for a period of three years counted from the publication of the Closing in the SHAB or, if an obligation becomes due only after such date, counted from the due date of such obligation irrespective of whether the relevant creditor had the right to accelerate the due date of the relevant obligation.

 

4.2

The Original Assignor’s joint and several liability pursuant to this Clause 4 is agreed for the benefit of the Trustee and (without prejudice to Clause 9 of the Amended and Restated Principal Trust Deed ( Proceedings, Action and Indemnification )) the Covered Bondholders. The Trustee may seek performance from the Original Assignor, independently of seeking performance from the Acquiring Assignor, subject to the provisions of Clauses 4.3 and 4.4 below.

---

Table of Contents

4.3

Subject to the provisions of Clause 4.4, the Original Assignor’s joint and several liability to perform or procure performance pursuant to this Clause 4 shall arise one (1) day after the due date for performance by the Acquiring Assignor of its obligations under the Amended and Restated Principal Trust Deed or, as applicable, the relevant Series of Covered Bonds, if and only to the extent that the Acquiring Assignor has not performed such obligations on or prior to such date.

 

4.4

For the avoidance of doubt, the assumption by the Original Assignor of joint and several liability under this Clause 4 shall not be deemed to be an acknowledgement or acceptance of any claim in respect of any existing or future liability of the Original Assignor or the Acquiring Assignor under the Amended and Restated Principal Trust Deed; therefore the assumption by the Original Assignor of its joint and several liability to perform or procure performance of such obligations shall not defeat, impair or limit in any way any right or remedy of the Original Assignor or the Acquiring Assignor to contest or dispute the validity or amount of any claim under the Amended and Restated Principal Trust Deed, or to assert any other defence to, or bring any claim arising from or related the Amended and Restated Principal Trust Deed that the Acquiring Assignor or the Original Assignor might have. In particular, if any claim under the Amended and Restated Principal Trust Deed is satisfied (in full or in part) through payment or realisation of collateral or set-off (where such set-off is permitted pursuant to the terms of the Transaction Documents) or otherwise by UBS Switzerland, the Guarantor or a third party, then the Original Assignor’s joint and several liability in respect of such claim shall extinguish correspondingly, and in no case shall the Trustee or any Covered Bondholder be entitled to be satisfied in an aggregate amount exceeding the relevant obligation under the Amended and Restated Principal Trust Deed.

 

4.5

For the avoidance of doubt, a failure by the Original Assignor to perform or procure performance of the obligations of the Acquiring Assignor under the Amended and Restated Principal Trust Deed pursuant to this Clause 4 shall not constitute an Issuer Event of Default unless such failure would have constituted or given rise to an Issuer Event of Default irrespective of the joint and several liability assumed pursuant to this Clause 4.”

---

Table of Contents

EXCERPT OF LANGUAGE FROM FIRST SUPPLEMENTAL DEED TO THE GUARANTEE DEED

 

“3.	Joint and several liability of UBS Switzerland

 

3.1

Subject to Clause 3.5 below, notwithstanding the transfer and novation effected pursuant to Clause 2 [of the First Supplemental Deed to the Guarantee Deed] and the Covered Bond Supplemental Agreement, UBS Switzerland, is jointly and severally liable to perform or procure the performance of the obligations of UBS, in its capacity as the Issuer, under the Amended and Restated Guarantee Deed for a period of three years counted from the publication of the Closing in the SHAB or, if an obligation is due for performance only after such date, counted from the due date of such obligation irrespective of whether the relevant creditor had the right to accelerate the due date of the relevant obligation.

 

3.2

UBS Switzerland’s joint and several liability pursuant to this Clause 3 is agreed for the benefit of the parties to this [First Supplemental Deed to the Guarantee Deed]. Subject to the other provisions of the Transaction Documents and to the provisions of Clauses 3.3 to 3.5 below, a party may seek performance from UBS Switzerland independently of seeking performance against UBS.

 

3.3

Subject to Clauses 3.4 and 3.5 below, UBS Switzerland’s joint and several liability to perform or procure performance pursuant to this Clause 3 shall arise one (1) day after the due date for performance by UBS, in its capacity as the Issuer, of its obligations under the Amended and Restated Guarantee Deed, if and only to the extent that UBS has not performed such obligations on or prior to such date.

 

3.4

For the avoidance of doubt, the assumption by UBS Switzerland of joint and several liability under this Clause 3 shall not be deemed to be an acknowledgement or acceptance of any claim in respect of any existing or future liability of UBS or UBS Switzerland, under the Amended and Restated Guarantee Deed; therefore the assumption by UBS Switzerland of its joint and several liability to perform or procure performance of such obligations shall not defeat, impair or limit in any way any right or remedy of UBS or UBS Switzerland to contest or dispute the validity or amount of any claim under the Amended and Restated Guarantee Deed, or to assert any other defence to, or bring any claim arising from or related to the Amended and Restated Guarantee Deed that UBS or UBS Switzerland might have. In particular, if any claim under the Amended and Restated Guarantee Deed is satisfied (in full or in part) through payment or realisation of collateral or set-off (where such set-off is permitted pursuant to the terms of the Transaction Documents) or otherwise by UBS, the Guarantor or a third party, then UBS Switzerland’s joint and several liability in respect of such claim shall extinguish correspondingly, and in no case shall any party to this Supplemental Deed be entitled to be satisfied in an aggregate amount exceeding the relevant obligation under the Amended and Restated Guarantee Deed.

 

3.5	The joint and several liability of UBS Switzerland is subject to the limitation set out in Clause 3.5 of the Sixth Supplemental Trust Deed dated on or about the date of this [First Supplemental Deed to the Guarantee Deed].”

---

Table of Contents

EXCERPT OF LANGUAGE FROM FIRST SUPPLEMENTAL DEED TO THE INTERCREDITOR DEED

 

“3.	Joint and several liability of UBS Switzerland

 

3.1

Subject to Clause 3.5 below, notwithstanding the transfer and novation effected pursuant to Clause 2 [of the First Supplemental Deed to the Intercreditor Deed] and the Covered Bond Supplemental Agreement, UBS Switzerland is jointly and severally liable to perform or procure the performance of the obligations of UBS in its capacities as Issuer, Initial Swap Provider, Initial Corporate Services Provider and Swiss Principal Paying Agent (each a Relevant UBS Capacity) under the Amended and Restated Intercreditor Deed for a period of three years counted from the publication of the Closing in the SHAB or, if an obligation is due for performance only after such date, counted from the due date of such obligation irrespective of whether the relevant creditor had the right to accelerate the due date of the relevant obligation.

 

3.2

UBS Switzerland’s joint and several liability pursuant to this Clause 3 is agreed for the benefit of the parties to this [First Supplemental Deed to the Intercreditor Deed]. Subject to the other provisions of the Transaction Documents and to the provisions of Clauses 3.3 to 3.5 below, a party may seek performance from UBS Switzerland independently of seeking performance from UBS.

 

3.3

Subject to Clause 3.4 and 3.5 below, UBS Switzerland’s joint and several liability to perform or procure performance pursuant to this Clause 3 shall arise one (1) day after the due date for performance by UBS (in a Relevant UBS Capacity) of its obligations under the Amended and Restated Intercreditor Deed, if and only to the extent that UBS (in a Relevant UBS Capacity) has not performed such obligations on or prior to such date.

 

3.4

For the avoidance of doubt, the assumption by UBS Switzerland of joint and several liability under this Clause 3 shall not be deemed to be an acknowledgement or acceptance of any claim in respect of any existing or future liability of UBS or UBS Switzerland under the Amended and Restated Intercreditor Deed; therefore the assumption by UBS Switzerland of its joint and several liability to perform or procure performance of such obligations shall not defeat, impair or limit in any way any right or remedy of UBS or UBS Switzerland to contest or dispute the validity or amount of any claim under the Amended and Restated Intercreditor Deed or to assert any other defence to, or bring any claim arising from or related to the Amended and Restated Intercreditor Deed that UBS or UBS Switzerland might have. In particular, if any claim under the Amended and Restated Intercreditor Deed is satisfied (in full or in part) through payment or realisation of collateral or set-off (where such set-off is permitted pursuant to the terms of the Transaction Documents) or otherwise by UBS, the Guarantor or a third party, then UBS Switzerland’s joint and several liability in respect of such claim shall extinguish correspondingly, and in no ease shall any party to this Supplemental Deed be entitled to be satisfied in an aggregate amount exceeding the relevant obligation under the Amended and Restated Intercreditor Deed.

 

3.5	The joint and several liability of UBS Switzerland is subject to the limitation set out in Clause 3.5 of the Sixth Supplemental Trust Deed dated on or about the date of this Supplemental Deed.

 

4.	Joint and several liability of UBS

 

4.1

Notwithstanding the transfer and novation effected pursuant to Clause 2 [of this First Supplemental Deed to the Intercreditor Deed] and the Covered Bond Supplemental Agreement, UBS is jointly and severally liable to perform or procure performance of the obligations of UBS Switzerland in its capacities as Assignor, Cash Manager, Account Bank and Shareholder of the Guarantor (each a Relevant UBS Switzerland Capacity) under the Amended and Restated Intercreditor Deed for a period of three years counted from the publication of the Closing in the SHAB or, if an obligation becomes due only after such date, counted from the due date of such obligation irrespective of whether the relevant creditor had the right to accelerate the due date of the relevant obligation.

---

Table of Contents

4.2

UBS’s joint and several liability pursuant to this Clause 4 is agreed for the benefit of the parties to this [First Supplemental Deed to the Intercreditor Deed]. Subject to the other provisions of the Transaction Documents and to the provisions of Clauses 4.3 and 4.4 below, a party may seek performance from UBS independently of seeking performance from UBS Switzerland.

 

4.3

Subject to Clause 4.4 below, UBS’s joint and several liability to perform or procure performance pursuant to this Clause 4 shall arise one (1) day after the due date for performance by UBS Switzerland (in a Relevant UBS Switzerland Capacity) of its obligations under the Amended and Restated Intercreditor Deed, if and only to the extent that UBS Switzerland (in a Relevant UBS Switzerland Capacity) has not performed such obligations on or prior to such date.

 

4.4

For the avoidance of doubt, the assumption by UBS of joint and several liability under this Clause 4 shall not be deemed to be an acknowledgement or acceptance of any claim in respect of any existing or future liability of UBS or UBS Switzerland under the Amended and Restated Intercreditor Deed; therefore the assumption by UBS of its joint and several liability to perform or procure performance of such obligations shall not defeat, impair or limit in any way any right or remedy of UBS or UBS Switzerland to contest or dispute the validity or amount of any claim under the Amended and Restated Intercreditor Deed, or to assert any other defence to, or bring any claim arising from or related the Amended and Restated intercreditor Deed that UBS or UBS Switzerland might have. In particular, if any claim under the Amended and Restated Intercreditor Deed is satisfied (in full or in part) through payment or realisation of collateral or set-off (where such set-off is permitted pursuant to the terms of the Transaction Documents) or otherwise by UBS Switzerland, the Guarantor or a third party, then UBS’s joint and several liability in respect of such claim shall extinguish correspondingly, and in no case shall any party to this [First Supplemental Deed to the Intercreditor Deed] be entitled to be satisfied in an aggregate amount exceeding the relevant obligation under the Amended and Restated Intercreditor Deed.

 

4.5

For the avoidance of doubt, a failure by UBS to perform or procure performance of the obligations of UBS Switzerland under the Amended and Restated Intercreditor Deed pursuant to this Clause 4 shall not constitute an Issuer Event of Default unless such failure would have constituted or given rise to an Issuer Event of Default irrespective of the joint and several liability assumed pursuant to this Clause 4.”

---

Table of Contents

EXCERPT OF LANGUAGE FROM FIRST SUPPLEMENTAL AGREEMENT TO THE CASH MANAGEMENT AGREEMENT

 

“3.	Joint and several liability of UBS Switzerland

 

3.1

Notwithstanding the transfer and novation effected pursuant to Clause 2 [of the First Supplemental Agreement to the Cash Management Agreement] and the Covered Bond Supplemental Agreement, UBS Switzerland is jointly and severally liable to perform or procure the performance of the obligations of UBS in its capacity as Initial Corporate Services Provider under the Amended and Restated Cash Management Agreement for a period of three years counted from (he publication of the Closing in the SHAB or, if an obligation is due for performance only after such date, counted from the due date of such obligation irrespective of whether the relevant creditor had the right to accelerate the due date of the relevant obligation.

 

3.2

UBS Switzerland’s joint and several liability pursuant to this Clause 3 is agreed for the benefit of the parties to this [First Supplemental Agreement to the Cash Management Agreement]. Subject to the other provisions of the Transaction Documents and to the provisions of Clauses 3.3 and 3.4 below, a party may seek performance from UBS Switzerland independently of seeking performance from UBS.

 

3.3

Subject to Clauses 3.4 and 3.5 below, UBS Switzerland’s joint and several liability to perform or procure performance pursuant to this Clause 3 shall arise one (1) day after the due date for performance by UBS (in its capacity as Initial Corporate Services Provider) of its obligations under the Amended and Restated Cash Management Agreement, if and only to the extent that UBS (in its capacity as Initial Corporate Services Provider) has not performed such obligations on or prior to such date.

 

3.4

For the avoidance of doubt, the assumption by UBS Switzerland of joint and several liability under this Clause 3 shall not be deemed to be an acknowledgement or acceptance of any claim in respect of any existing or future liability of UBS or UBS Switzerland under the Amended and Restated Cash Management Agreement; therefore the assumption by UBS Switzerland of its joint and several liability to perform or procure performance of such obligations shall not defeat, impair or limit in any way any right or remedy of UBS or UBS Switzerland to contest or dispute the validity or amount of any claim under the Amended and Restated Cash Management Agreement or to assert any other defence to, or bring any claim arising from or related to the Amended and Restated Cash Management Agreement that UBS or UBS Switzerland might have. In particular, if any claim under the Amended and Restated Cash Management Agreement is satisfied (in full or in part) through payment or realisation of collateral or set-off (where such set-off is permitted pursuant to the terms of the Transaction Documents) or otherwise by UBS, the Guarantor or a third party, then UBS Switzerland’s joint and several liability’ in respect of such claim shall extinguish correspondingly, and in no case shall any party to this [First Supplemental Agreement to the Cash Management Agreement] be entitled to be satisfied in an aggregate amount exceeding the relevant obligation under the Amended and Restated Cash Management Agreement.

 

3.5	The joint and several liability of UBS Switzerland is subject to the limitation set out in Clause 3.5 of the Sixth Supplemental Trust Deed dated on or about the date of this Supplemental Agreement.

 

4.	Joint and several liability of UBS

 

4.1

Notwithstanding the transfer and novation effected pursuant to Clause 2 [of the First Supplemental Agreement to the Cash Management Agreement] and the Covered Bond Supplemental Agreement, UBS is jointly and severally liable to perform or procure performance of the obligations of UBS Switzerland in its capacities as Assignor and Cash Manager (each a Relevant UBS Switzerland Capacity ) under the Amended and Restated Cash Management Agreement for a period of three

---

Table of Contents

years counted from the publication of the Closing in the SHAB or, if an obligation becomes due only after such date, counted from the due date of such obligation irrespective of whether the relevant creditor had the right to accelerate the due date of the relevant obligation.

 

4.2

UBS’s joint and several liability pursuant to this Clause 4 is agreed for the benefit of the parties to this [First Supplemental Agreement to the Cash Management Agreement]. Subject to the other provisions of the Transaction Documents and to the provisions of Clauses 4.3 and 4.4 below, a party may seek performance from UBS independently of seeking performance from UBS Switzerland.

 

4.3

Subject to Clause 4.4 below, UBS’s joint and several liability to perform or procure performance pursuant to this Clause 4 shall arise one (1) day after the due date for performance by UBS Switzerland (in a Relevant UBS Switzerland Capacity) of its obligations under the Amended and Restated Cash Management Agreement, if and only to the extent that UBS Switzerland (in a Relevant UBS Switzerland Capacity) has not performed such obligations on or prior to such date.

 

4.4

For the avoidance of doubt, the assumption by UBS of joint and several liability under this Clause 4 shall not be deemed to be an acknowledgement or acceptance of any claim in respect of any existing or future liability of UBS or UBS Switzerland under the Amended and Restated Cash Management Agreement; therefore the assumption by UBS of its joint and several liability to perform or procure performance of such obligations shall not defeat, impair or limit in any way any right or remedy of UBS or UBS Switzerland to contest or dispute the validity or amount of any claim under the Amended and Restated Cash Management Agreement, or to assert any other defence to, or bring any claim arising from or related the Amended and Restated Cash Management Agreement that UBS or UBS Switzerland might have. In particular, if any claim under the Amended and Restated Cash Management Agreement is satisfied (in full or in part) through payment or realisation of collateral or set-off (where such set-off is permitted pursuant to the terms of the Transaction Documents) or otherwise by UBS Switzerland, the Guarantor or a third party, then UBS’s joint and several liability in respect of such claim shall extinguish correspondingly, and in no case shall any party to this Supplemental Agreement be entitled to be satisfied in an aggregate amount exceeding the relevant obligation under the Amended and Restated Cash Management Agreement.

 

4.5

For the avoidance of doubt, a failure by UBS to perform or procure performance of the obligations of UBS Switzerland under the Amended and Restated Cash Management Agreement pursuant to this Clause 4 shall not constitute an Issuer Event of Default unless such failure would have constituted or given rise to an Issuer Event of Default irrespective of the joint and several liability assumed pursuant to this Clause 4.”

---

Table of Contents

EXCERPT OF LANGUAGE FROM THE FIRST SUPPLEMENTAL AGREEMENT TO THE ASSET MONITOR AGREEMENT

 

“3.	Joint and several liability of UBS Switzerland

 

3.1

Subject to Clause 3.5 below, notwithstanding the transfer and novation effected pursuant to Clause 2 [of the Amended and Restated Asset Monitor Agreement] and the Covered Bond Supplemental Agreement, UBS Switzerland is jointly and severally liable to perform or procure the performance of the obligations of UBS (in its capacity as Issuer) under the [Amended and Restated Asset Monitor Agreement] for a period of three years counted from the publication of the Closing in the SHAB or, if an obligation is due for performance only after such date, counted from the due date of such obligation irrespective of whether the relevant creditor had the right to accelerate the due date of the relevant obligation.

 

3.2

UBS Switzerland’s joint and several liability pursuant to this Clause 3 is agreed for the benefit of the parties to this [Amended and Restated Asset Monitor Agreement]. Subject to the other provisions of the Transaction Documents and to the provisions of Clauses 3.3 and 3.4 below, a party may seek performance from UBS Switzerland independently of seeking performance from UBS.

 

3.3

Subject to Clause 3.4 below, UBS Switzerland’s joint and several liability to perform or procure performance pursuant to this Clause 3 shall arise one (1) day after the due date for performance by the Issuer of its obligations under the [Amended and Restated Asset Monitor Agreement], if and only to the extent that the Issuer has not performed such obligations on or prior to such date.

 

3.4

For the avoidance of doubt, the assumption by UBS Switzerland of joint and several liability under this Clause 3 shall not be deemed to be an acknowledgement or acceptance of any claim in respect of any existing or future liability of UBS or UBS Switzerland under the [Amended and Restated Asset Monitor Agreement]; therefore the assumption by UBS Switzerland of its joint and several liability to perform or procure performance of such obligations shall not defeat, impair or limit in any way any right or remedy of UBS or UBS Switzerland to contest or dispute the validity or amount of any claim under the [Amended and Restated Asset Monitor Agreement] or to assert any other defence to, or bring any claim arising from or related to the [Amended and Restated Asset Monitor Agreement] that UBS or UBS Switzerland might have. In particular, if any claim under the [Amended and Restated Asset Monitor Agreement] is satisfied (in full or in part) through payment or realisation of collateral or set-off (where such set-off is permitted pursuant to the terms of the Transaction Documents) or otherwise by UBS, the Guarantor or a third party, then UBS Switzerland’s joint and several liability in respect of such claim shall extinguish correspondingly, and in no case shall any party to this Amended and Restated Agreement be entitled to be satisfied in an aggregate amount exceeding the relevant obligation under the [Amended and Restated Asset Monitor Agreement].

 

3.5	The joint and several liability of UBS Switzerland is subject to the limitation set out in Clause 3.5 of the Sixth Supplemental Trust Deed dated on or about the date of this Supplemental Agreement.

 

4.	Joint and several liability of UBS

 

4.1

Notwithstanding the transfer and novation effected pursuant to Clause 2 of [the Amended and Restated Asset Monitor Agreement] and the Covered Bond Supplemental Agreement, UBS is jointly and severally liable to perform or procure performance of the obligations of UBS Switzerland in its capacity as Assignor under the [Amended and Restated Asset Monitor Agreement] for a period of three years counted from the publication of the Closing in the SHAB or, if an obligation becomes due only after such date, counted from the due date of such obligation irrespective of whether the relevant creditor had the right to accelerate the due date of the relevant obligation.

---

Table of Contents

4.2

UBS’s joint and several liability pursuant to this Clause 3 is agreed for the benefit of the parties to this [Amended and Restated Asset Monitor Agreement]. A party may seek performance from UBS independently of seeking performance from UBS Switzerland, subject to the provisions of Clauses 3.3 and 3.4 below.

 

4.3

Subject to the provisions of Clause 4.4, UBS’s joint and several liability to perform or procure performance pursuant to this Clause 4 shall arise one (1) day after the due date for performance by UBS Switzerland (in its capacity as Assignor) of its obligations under the [Amended and Restated Asset Monitor Agreement], if and only to the extent that UBS Switzerland (in its capacity as Assignor) has not performed such obligations on or prior to such date.

 

4.4

For the avoidance of doubt, the assumption by UBS of joint and several liability under this Clause 4 shall not be deemed to be an acknowledgement or acceptance of any claim in respect of any existing or future liability of UBS or UBS Switzerland under the [Amended and Restated Asset Monitor Agreement]; therefore the assumption by UBS of its joint and several liability to perform or procure performance of such obligations shall not defeat, impair or limit in any way any right or remedy of UBS or UBS Switzerland to contest or dispute the validity or amount of any claim under the [Amended and Restated Asset Monitor Agreement], or to assert any other defence to, or bring any claim arising from or related to the [Amended and Restated Asset Monitor Agreement] that UBS Switzerland or UBS might have. In particular, if any claim under the [Amended and Restated Asset Monitor Agreement] is satisfied (in full or in part) through payment or realisation of collateral or set-off (where such set-off is permitted pursuant to the terms of the Transaction Documents) or otherwise by UBS Switzerland, the Guarantor or a third party, then UBS’s joint and several liability in respect of such claim shall extinguish correspondingly, and in no case shall the any party to this [Amended and Restated Asset Monitor Agreement] be entitled to be satisfied in an aggregate amount exceeding the relevant obligation under the [Amended and Restated Asset Monitor Agreement].

 

4.5

For the avoidance of doubt, a failure by UBS to perform or procure performance of the obligations of UBS Switzerland under the [Amended and Restated Asset Monitor Agreement] pursuant to the joint and several liability assumed pursuant to this Clause 4 shall not constitute an Issuer Event of Default (unless such Issuer Event of Default would have occurred irrespective of the joint and several liability assumed pursuant to this Clause 4.”

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG /

Vermögensübertragungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 6b

NY Assumption Agreement /

Anhang 6b

NY-Ü BERNAHMEVERTRAG

 

Notariat Hottingen-Zürich

Roman Sandmayr, Notar

---

Table of Contents

ASSUMPTION AGREEMENT

ASSUMPTION AGREEMENT, dated as of June 12, 2015 (this “ Agreement ”), between UBS AG, a Swiss stock corporation ( Aktiengesellschaft ) (“ UBS ”), and UBS Switzerland AG, a Swiss stock corporation ( Aktiengesellschaf t ) (“ UBS Switzerland ”).

RECITALS:

WHEREAS, UBS and UBS Switzerland are parties to the Asset Transfer Agreement, dated as of June 12, 2015 (the “ Asset Transfer Agreement ”), pursuant to which UBS will transfer to UBS Switzerland, by means of a partial universal succession governed by Swiss law, the assets, liabilities and obligations specified in the Asset Transfer Agreement, including certain swaps, forwards, security-based swaps, and other derivative instruments (collectively, “ derivatives ”) transactions with Swiss counterparties and certain derivatives transactions that are booked in Switzerland with non-Swiss clients other than U.S. persons at the Closing Time (as defined in the Asset Transfer Agreement); and

WHEREAS, UBS will retain all remaining assets, liabilities and obligations in existence at the Closing Time, including derivative transactions with U.S. persons that are outstanding at the Closing Time (the “ UBS Derivatives ”); and

WHEREAS, under applicable Swiss law governing the asset transfer and the Asset Transfer Agreement, UBS will remain jointly liable with UBS Switzerland under all the liabilities and obligations transferred by UBS to UBS Switzerland under the Asset Transfer Agreement; and

WHEREAS, pursuant to Section 12.2 of the Asset Transfer Agreement, UBS Switzerland will assume full and unconditional joint and several liability for, among other things, the UBS Derivatives in existence at the Closing Time, and pursuant to Section 12.7 of the Asset Transfer Agreement, the Parties undertake to enter into certain separate instruments in furtherance of the intention of the Parties to ensure that the joint and several liability is given full effect under the laws of certain jurisdictions that may be relevant, including into this Agreement; and

WHEREAS, UBS entered into the UBS Derivatives (the “ UBS New York Law Derivatives ”) under (i) master agreements, dated as of various dates, that are governed by New York law and documented under the 1992 or 2002 ISDA Master Agreement (Multicurrency— Cross Border) (collectively, the “ ISDA New York Law Agreements ”) and (ii) other agreements governed by New York law that by their terms incorporate the provisions of a standard ISDA Master Agreement (together with the ISDA New York Law Agreements, the “ New York Law Agreements ”), with U.S. counterparties (each, a “ Counterparty ”); and

WHEREAS, under applicable United States law, a co-obligor that assumes joint and several liability for the obligations of another party is entitled to all of the benefits available to a surety; and

WHEREAS, the parties to this Agreement wish to confirm UBS Switzerland’s joint and several liability under the UBS New York Law Derivatives, and to further assure that UBS’s Counterparties under the UBS New York Law Derivatives are able to enforce their claims against UBS Switzerland both in the State of New York and in Switzerland;

 

-1-

---

Table of Contents

NOW, THEREFORE, in consideration of the premises and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, UBS and UBS Switzerland hereby agree as follows:

Section 1. Definitions . All capitalized terms used in this Agreement that are defined in the Asset Transfer Agreement shall have the respective meanings assigned them in the Asset Transfer Agreement, except as otherwise provided in this Agreement or unless the context otherwise requires.

Section 2. Interpretation .

(a) In this Agreement, unless a clear contrary intention appears:

(i) the singular number includes the plural number and vice versa;

(ii) the words “ herein ”, “ hereof ” and “ hereunder ” and other words of similar import refer to this Agreement as a whole and not to any particular Section or other subdivision;

(iii) a reference to any person includes such person’s successors and assigns but, if applicable, only if such successors and assigns are permitted by this Agreement, the Asset Transfer Agreement or the New York Law Agreements, and reference to a person in a particular capacity excludes such person in any other capacity or individually, provided that nothing in this clause (iii) is intended to authorize any assignment not otherwise permitted by this Agreement or the Asset Transfer Agreement;

(iv) reference to any agreement, document or instrument means such agreement, document or instrument as amended, supplemented or modified and in effect from time to time in accordance with the terms thereof and, if applicable, the terms hereof, as well as any substitution or replacement therefor;

(v) reference to any Section means such Section of this Agreement; and

(vi) the words “ include ”, “ includes ” and “ including ” mean include, includes or including without limiting the generality of any description preceding such term.

(b) The section headings contained in this Agreement are for reference purposes only and shall not affect in any way the meaning or interpretation of this Agreement.

Section 3. Assumption of Liabilities .

(a) From and after the Closing Time, without relieving UBS in any way from its obligations under any UBS New York Law Derivatives and without prejudice to any other rights that UBS Switzerland may have due to its status as a surety, UBS Switzerland shall irrevocably assume full and unconditional liability, jointly and severally with UBS, for, and shall

 

-2-

---

Table of Contents

pay, perform and discharge, in a timely manner and in accordance with the terms thereof, all of the obligations of UBS under the UBS New York Law Derivatives and all of the obligations of UBS under each New York Law Agreement to the extent related to the UBS New York Law Derivatives (collectively, the “ Obligations ”). For the avoidance of doubt, UBS shall also retain full and unconditional liability for the Obligations. UBS Switzerland’s liabilities and obligations under this Section 3(a) shall not be subject to offset or reduction by reason of any actual or alleged breach of any representation, warranty or covenant contained in this Agreement, the Asset Transfer Agreement or any document delivered in connection herewith or therewith or any right or alleged right to indemnification hereunder or thereunder.

(b) Each Counterparty may, in its discretion, enforce the Obligations against UBS Switzerland or UBS, as if each were a direct party to the relevant New York Law Agreement, with no obligation to proceed against UBS prior to proceeding against UBS Switzerland; provided , however , that no third party shall be allowed to seek double payment or satisfaction under both this Agreement and the Asset Transfer Agreement and each third party shall have the right to invoke alternatively, but not cumulatively, UBS Switzerland’s liability under this Agreement or under the Asset Transfer Agreement, respectively, and any payment under one liability shall reduce the other liability accordingly.

(c) UBS Switzerland’s liabilities and obligations under this Agreement shall be co-extensive with, and shall not exceed, UBS’s liabilities and obligations under the UBS New York Law Derivatives and New York Law Agreements. All defenses available to UBS to the payment, performance or discharge of an Obligation shall apply and be available also to UBS Switzerland. In particular, UBS Switzerland shall not be obligated to make any payment, perform any obligation or discharge any liability that UBS would not be obligated to pay, perform or discharge if an action, suit or proceeding had been brought directly against UBS. In no event shall UBS Switzerland assert any defense available to UBS Switzerland solely due to its status as a surety. For the sake of clarity, it is intended that UBS Switzerland never be in a worse position than UBS if UBS had been directly sued or directly made the payment or discharged the Obligation.

Section 4. Excluded Liabilities .

(a) Notwithstanding anything to the contrary set forth in this Agreement, and without prejudice to the terms of the Asset Transfer Agreement, UBS Switzerland shall not, under this Agreement, assume any liability or obligation of UBS other than UBS’s liabilities and obligations under the UBS New York Law Derivatives and under each New York Law Agreement to the extent related to the UBS New York Law Derivatives, and only for those liabilities and obligations of UBS under such UBS New York Law Derivatives that were entered into prior to the Closing Time. For the avoidance of doubt, UBS Switzerland shall have no liability under this Agreement for any liability or obligation of UBS under or in connection with any transactions entered into by UBS at or after the Closing Time, whether such transactions are entered into with the same Counterparties, under the same New York Law Agreement, are entitled to the benefit of the same collateral or other credit support arrangements, or otherwise.

 

-3-

---

Table of Contents

(b) In furtherance of the foregoing and without prejudice to any other rights that UBS Switzerland may have due to its status as a surety, the following shall apply with respect to netting, set off or similar rules:

(i) To the extent that UBS Switzerland is able to net or otherwise set off any due and payable Transferred Liability (as defined in the Asset Transfer Agreement) (other than any Transferred Liability that UBS Switzerland reasonably and expressly disputes), UBS Switzerland agrees that it will use such ability to net or set off in order to limit, to the fullest extent possible, UBS’s joint and several liability for such Transferred Liabilities, and UBS Switzerland further authorizes UBS to exercise any such right to net or set off the Transferred Liabilities on UBS Switzerland’s behalf.

(ii) To the extent that UBS is able to net or otherwise set off any due and payable Remaining Liability (as defined in the Asset Transfer Agreement) (other than any Remaining Liability that UBS reasonably and expressly disputes), UBS agrees that it will use such ability to net or set off in order to limit, to the fullest extent possible, UBS Switzerland’s joint and several liability for such assets and liabilities, and UBS further authorizes UBS Switzerland to exercise any such right to net or set off the Remaining Liabilities on UBS’s behalf.

(c) To the extent not otherwise required under Section 4(b)(i) or 4(b)(ii), the parties further agree that:

(i) To the extent that UBS is party to any agreement or arrangement with a Counterparty, including any New York Law Agreement, master netting agreement, security arrangement or credit support document, pursuant to which UBS’s obligations towards the Counterparty are subject to mandatory or permitted offset against any other transaction or other obligation that the Counterparty or any other person may have to UBS, UBS Switzerland’s total liability to such Counterparty in respect of such UBS New York Law Derivatives in respect of this Agreement shall be limited to the lesser of (i) the net amount due to such Counterparty in respect of all transactions between UBS and such Counterparty, including the UBS New York Law Derivatives and any other transactions outstanding under the relevant New York Law Agreement, including both the UBS New York Law Derivatives and any other transactions or other obligations between UBS and such Counterparty, whether entered into or incurred before, at or after the Closing Time, that UBS is entitled to net, set off or otherwise apply against its obligations to such Counterparty either under the UBS New York Law Derivatives or generally, whether under the terms of a master agreement, the rules of a clearing or other relevant organization, under common law, by statute or otherwise, and (ii) the net amount that would be due to such Counterparty in respect of the UBS New York Law Derivatives outstanding at the Closing Time if such UBS New York Law Derivatives were the only transactions or obligations outstanding between UBS and such Counterparty under the New York Law Agreement. To the extent that UBS Switzerland is a party to any agreement or arrangement with a Counterparty under which UBS Switzerland’s obligations towards the Counterparty are subject to mandatory or permitted netting or set off against any other transactions or other obligation that the Counterparty or any other person may have to UBS Switzerland, UBS Switzerland may net or set off any such

 

-4-

---

Table of Contents

obligations to the extent UBS Switzerland is able, in order to limit, to the extent possible, its joint and several liability for the Remaining Liabilities. The parties acknowledge that UBS Switzerland’s status as a co-obligor under the joint and several liability is as a principal, and is therefore mutual to obligations incurred by a counterparty as a principal vis a vis UBS Switzerland.

(d) UBS Switzerland shall assume only the Obligations, and shall not assume any liabilities or obligations that do not arise under the UBS New York Law Derivatives or under the New York Law Agreements to the extent related to the UBS New York Law Derivatives. Accordingly, the liability of UBS Switzerland under this Agreement shall not extend to any other liability or obligation of UBS, including any criminal liability (including for fines, disgorgement of profits or any similar sanctions), liability in tort, or other non-contractual liability of a punitive character to which UBS may have been or become subject, and any regulatory liability which results from, or is connected to, the licenses or similar regulatory authorizations that have been granted, or other regulatory requirements that apply, to UBS.

Section 5. Collateral .

(a) To the extent that Obligations for which UBS Switzerland is jointly and severally liable under the terms of this Agreement is secured in full or in part by any security or collateral of whatever nature provided by UBS at the time the relevant creditor seeks satisfaction of such Obligation from UBS Switzerland, UBS Switzerland shall have the right to require, as a condition precedent to satisfying its obligation under the joint and several liability and in such form as UBS Switzerland may reasonably require, such creditor

(i) to assign the claim corresponding to such Obligation against UBS to UBS Switzerland; and

(ii) to transfer the security or collateral securing such Obligation (including, if reasonably required by UBS Switzerland, consenting to the release and transfer of the respective collateral) to the Subsidiary,

with each of (i) and (ii) being required to take effect upon satisfaction of such Obligation by UBS Switzerland; in the event that such creditor only asks for partial satisfaction of an Obligation, then such assignment and transfer shall be pro rated accordingly. For the avoidance of doubt, UBS Switzerland shall have the right to refuse satisfaction of its liability in respect of such Obligation for so long as the creditor of such Obligation refuses to consent to such assignment or transfer or intentionally frustrates such transfer (including through an undue early release or waiver of its security); provided , however , that such creditor shall not be required to do anything that is not under its control in order to effect such assignment or transfer.

(b) UBS hereby consents, for the benefit of UBS Switzerland and any relevant third party, to any such assignment and transfer, and to any subrogation occurring by operation of law in connection with UBS Switzerland’s satisfaction of its obligations under this Agreement, and hereby waives, to the fullest extent possible, any legal or contractual rights it may have against such assignment and transfer, or such subrogation, and agrees to promptly repeat its consent to such assignment and transfer, or subrogation, in such other form as UBS Switzerland may reasonably require.

(c) Subject to Section 3(b) of this Agreement, to the extent that a creditor whose interest with respect to UBS is subject to security or collateral realizes its claim to such security or collateral, UBS Switzerland’s joint and several liability under the obligation will be correspondingly decreased by the amount of collateral applied in favor of such creditor.

 

-5-

---

Table of Contents

Section 6. Counterparties are Intended Third-Party Beneficiaries . THE PARTIES HERETO ACKNOWLEDGE AND AGREE THAT THEY INTEND EACH COUNTERPARTY TO A UBS NEW YORK LAW DERIVATIVE TO BE A THIRD-PARTY BENEFICIARY OF THIS AGREEMENT, AND EACH SUCH COUNTERPARTY SHALL BE ENTITLED TO ENFORCE THE PROVISIONS OF THIS AGREEMENT TO THE SAME EXTENT AS IF IT WERE A PARTY HERETO.

Section 7. Conditions of Effectiveness . This Agreement shall become effective upon the later of (i) the occurrence of the Closing (as defined in the Asset Transfer Agreement), and (ii) the authorization, execution and delivery of this Agreement by both UBS and UBS Switzerland.

Section 8. Separate Instrument .

(a) This Agreement constitutes a “Separate Instrument”, under the Asset Transfer Agreement. Notwithstanding any provision in the Asset Transfer Agreement to the contrary, in the event of any inconsistency between the provisions of the Asset Transfer Agreement and the provisions of this Agreement, this Agreement will prevail with respect to the matters addressed by this Agreement.

(b) Subject to the foregoing paragraph, this Agreement is intended to supplement the Asset Transfer Agreement and is not intended to replace or supersede the respective rights and obligations under the Asset Transfer Agreement, which may be invoked alternatively (but not cumulatively) in accordance with Section 12.7 of the Asset Transfer Agreement.

Section 9. Reference to the ISDA Agreements .

(a) Upon the effectiveness of this Agreement, each reference in each New York Law Agreement to “ this Agreement ”, “ hereunder ”, “ herein ” or words of like import shall mean and be a reference to such New York Law Agreement, as affected, amended and supplemented hereby.

(b) Each New York Law Agreement, as amended and supplemented hereby, shall remain in full force and effect and are hereby ratified and confirmed.

Section 10. Execution in Counterparts . This Agreement may be executed in any number of counterparts and by different parties hereto in separate counterparts, each of which when so executed and delivered shall be deemed to be an original and all of which when taken together shall constitute but one and the same instrument.

 

-6-

---

Table of Contents

Section 11. Amendments .

(a) This Agreement may be amended or terminated, as to one Counterparty, all Counterparties or a group of specified Counterparties and as to one UBS New York Law Derivative or New York Law Agreement, all UBS New York Law Derivatives or New York Law Agreements, or specified UBS New York Law Derivatives or New York Law Agreements, at any time by written notice signed by UBS Switzerland and UBS, with such amendment or termination effective with respect to any Counterparty on the opening of business on the fifth (5 ^th ) New York business day after the giving of such written notice; provided , however , that no such amendment or termination may adversely affect the rights of any Counterparty relating to any UBS New York Law Derivative or New York Law Agreement existing on or prior to the close of business on such fifth (5 ^th ) New York business day; and provided further , however , that any such amendment or termination may become effective as to one Counterparty whether or not it becomes effective with respect to another Counterparty. Any such amendment or termination shall become effective and be valid and binding against UBS, UBS Switzerland and one or more counterparties as of the close of business on such fifth (5 ^th ) New York business day.

(b) In addition, this Agreement may be amended or terminated in any manner as to any Counterparty by the written agreement of UBS Switzerland, UBS and such Counterparty.

Section 12. Enforcement of Rights . No failure or delay by any party in exercising any right, power or privilege hereunder shall operate as a waiver thereof nor shall any single or partial exercise thereof preclude any other or further exercise thereof or the exercise of any other right, power or privilege. The rights and remedies herein provided shall be cumulative and not exclusive of any rights or remedies provided by law.

Section 13. Assignment; Binding Effect . UBS Switzerland may not assign its rights or delegate its obligations under this Agreement with respect to a Counterparty, in whole or in part, without prior written consent of such Counterparty, and any purported assignment or delegation without such consent shall be void, except for an assignment and delegation of all of UBS Switzerland’s rights and obligations hereunder in whatever form UBS Switzerland determines may be appropriate to a partnership, corporation, trust or other organization in whatever form that succeeds to all or substantially all of UBS Switzerland’s assets and business and that assumes such obligations by contract, operation of law or otherwise. Upon any such delegation and assumption of obligations, UBS Switzerland shall be relieved of and fully discharged from all obligations hereunder, whether such obligations arose before or after such delegation and assumption.

Section 14. Indemnification . The parties agree to indemnify each other to the same extent as provided in Section 12.9 in the Asset Transfer Agreement, and agree to follow the procedures for third party claims as provided in Section 12.11, which provisions shall apply mutatis mutandis .

 

-7-

---

Table of Contents

Section 15. Governing Law; Jurisdiction .

(a) This Agreement shall be governed by and construed in accordance with the laws of the State of New York and shall be binding upon the parties hereto and their respective permitted successors and assigns.

(b) With respect to any suit, action or proceedings brought by any Counterparty to enforce the obligations of UBS Switzerland under this Agreement or under any New York Law Agreement in respect of which UBS Switzerland has assumed liability under this Agreement (“ Proceedings ”), each of UBS and UBS Switzerland irrevocably submits to the non-exclusive jurisdiction of the courts of the State of New York and the United States District Court located in the Borough of Manhattan in New York City, but only to the extent that UBS has submitted to such jurisdiction in the relevant ISDA Agreement or other agreement governing the terms of the relevant UBS New York Law Derivative or that UBS is otherwise subject to the jurisdiction of such courts in relation to such Agreement, and waives any objection which it may have at any time to the laying of venue of any proceedings brought in any such court, waives any claim that such Proceedings have been brought in an inconvenient forum and further waives the right to object, with respect to such Proceedings, that such court does not have any jurisdiction over such party.

(c) Nothing in this Agreement precludes either party from bringing Proceedings in any other jurisdiction, nor will the bringing of Proceedings in any one or more jurisdictions preclude the bringing of Proceedings in any other jurisdiction.

(d) UBS Switzerland irrevocably appoints UBS, at its branch located at 1285 Avenue of the Americas, New York, NY 10019, to receive, for it and on its behalf, service of process in any Proceedings. If for any reason UBS is unable to act as process agent for UBS Switzerland, such party will promptly notify the other party and within 30 days appoint a substitute process agent located in New York State upon whom Counterparties may serve process in any Proceedings. UBS Switzerland irrevocably consents to service of process given in the manner provided for notices in Section 12 of the standard form 1992 ISDA Master Agreement. Nothing in this Agreement will affect the right of any Counterparty to serve process in any other manner permitted by law.

Section 16. Swiss Resolution Power . UBS and UBS Switzerland acknowledge, and any third party asserting either party’s joint and several liability is hereby cautioned, that the liability and indemnification arrangements under this Agreement (including a party’s joint and several liability) are subject to the powers of the Swiss Financial Market Supervisory Authority (or any other Swiss authority that is competent under Swiss law) in case of financial distress, resolution or similar circumstances and in accordance with applicable Swiss law (including protective measures pursuant to article 26 Banking Act and any measures that result in the partial or complete write-down of claims or conversion of claims into equity pursuant to article 31 paragraph 3 Banking Act and article 47 ff. Banking Insolvency Ordinance (section 3 ‘Corporate Actions’) at the relevant time). The rights and obligations under this Agreement (including UBS Switzerland’s joint and several liability) shall be construed in accordance with, and are subject to, any such powers.

[Signatures on following page]

 

-8-

---

Table of Contents

IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be duly executed as of the day and year first written above.

 

UBS AG
By
		Name:		Michel Demaré
		Title:		Vice Chairman of the Board of Directors
By
		Name:		Isabelle Romy
		Title:		Member of the Board of Directors
UBS Switzerland AG
By
		Name:		Sergio Ermotti
		Title:		Chairman of the Board of Directors
By
		Name:		Luzius Cameron
		Title:		Company Secretary

 

[ Signature page to Assumption Agreement ]

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG /

Vermögensübertragungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 6c

UK Assumption Agreement /

Anhang 6c

UK-Ü BERNAHMEVERTRAG

 

Notariat Hottingen-Zürich

Roman Sandmayr, Notar

---

Table of Contents

		CLIFFORD CHANCE LLP

EXECUTION VERSION

UBS AG

AND

UBS SWITZERLAND AG

 

 

DEED SUPPLEMENTAL TO ASSET TRANSFER

AGREEMENT IN RESPECT OF CERTAIN ENGLISH

LAW GOVERNED AGREEMENTS

 

 

 

-1-

---

Table of Contents

CONTENTS

 

Clause				Page
1.		Interpretation			2
2.		Joint and Several Liability			3
3.		Treatment of Positions Subject to netting, Set Off or Similar Rules			4
4.		Treatment of Secured Obligations			5
5.		Indemnity			5
6.		Interaction with Asset Transfer Agreement			6
7.		Acknowledgement of FINMA resolution powers			6
8.		Costs			6
9.		Amendments and Modifications			6
10.		Assignment			6
11.		Rights of Third Parties			6
12.		Notices			7
13.		Governing Law and Jurisdiction			7
14.		Counterparts			7
15.		Delivery			8

 

-1-

---

Table of Contents

THIS DEED is made on 12 June 2015

BETWEEN :

 

(1)	UBS AG , of Aeschenvorstadt 1, 4051 Basel and Bahnhofstrasse 45, 8001 Zurich (the “ Parent ”); and

 

(2)	UBS SWITZERLAND AG , of Bahnofstrasse 45, 8001 Zurich (the “ Subsidiary ”),

each a “ Party ” and collectively the “ Parties ”.

INTRODUCTION :

 

(A)

The Parties entered into an Asset Transfer Agreement dated as of 12 June 2015 (the “ Asset Transfer Agreement ”) pursuant to which the Parent will transfer to the Subsidiary, by means of a partial universal succession governed by Swiss law, the assets, liabilities and obligations specified in the Asset Transfer Agreement.

 

(B)	The Parent will retain all remaining assets, liabilities and obligations in existence at the Closing Time (as defined below) which are not specified in the Asset Transfer Agreement, including certain transactions governed by English law that are outstanding at the Closing Time.

 

(C)	Under applicable Swiss law governing the asset transfer and the Asset Transfer Agreement, the Parent will remain jointly liable with the Subsidiary in respect of all the liabilities and obligations transferred by the Parent to the Subsidiary under the Asset Transfer Agreement.

 

(D)	Pursuant to Section 12 of the Asset Transfer Agreement, the Subsidiary will assume full joint and several liability for the Remaining Liabilities (as defined below) as set out in the terms of the Asset Transfer Agreement.

 

(E)

The Asset Transfer Agreement specifically envisages a number of Separate Instruments (as defined therein) supplemental to the Asset Transfer Agreement in respect of certain Remaining Liabilities in furtherance of the intention of the Parties to ensure that the joint and several liability of each Party is given full effect under the laws of certain relevant jurisdictions.

 

(F)

Pursuant to the Asset Transfer Agreement, the Parties wish to enter into this Deed to ensure that joint and several liability of the Parties is created and given full effect under English law in respect of the Relevant Remaining Liabilities (as defined below) so as to supplement the Asset Transfer Agreement as contemplated in Section 12.7 thereof.

 

-1-

---

Table of Contents

The Parties agree as follows:

 

1.	INTERPRETATION

 

1.1	In this Deed:

“ Asset Transfer Agreement ” has the meaning given to it in the Introduction to this Deed;

“ Banking Act ” means the Swiss Federal Act on Banks and Savings Banks ( Bundesgesetz über die Banken und Sparkassen ) dated 8 November 1934 (SR 952.0), as amended;

“ Banking Insolvency Ordinance ” means the Ordinance of the Swiss Financial Market Supervisory Authority on the Insolvency of Banks and Securities Dealers ( Verordnung der Eidgenössischen Finanzmarktaufsicht über die Insolvenz von Banken und Effektenhändlern ) dated 30 August 2012 (SR 952.05), as amended;

“ Business Day ” means a day (other than a Saturday or Sunday) on which banks are open for general business in Zurich;

“ Closing ” means the entry of the transfer of assets and liabilities pursuant to the Asset Transfer Agreement in the commercial register of Zurich and Basel, which is expected to take place on 14 June 2015;

“ Closing Time ” means the time when the Closing is entered into the journal ( Tagesregister ) of the commercial register of Zurich and Basel, as evidenced by a confirmation of such commercial register;

“ FINMA ” means the Swiss Financial Market Supervisory Authority;

“ Joint and Several Liability ” has the meaning given to it in the Asset Transfer Agreement and includes, for the avoidance of doubt, the Subsidiary’s Relevant Joint and Several Liability;

“ Relevant Remaining Liability ” means a Remaining Liability which is governed by English law, where such Remaining Liability relates to obligations or liabilities (or any single obligation or liability) based on, or based substantially on, an international multi- branch master agreement published by the International Swaps and Derivatives Association, Inc. entered into with at least one UBS AG branch outside of Switzerland regardless of whether UBS AG (Zurich) or a Swiss branch thereof is also a contractual party;

“ Remaining Liability ” has the meaning given to it in the Asset Transfer Agreement;

“ Subsidiary’s Relevant Joint and Several Liability ” has the meaning given to it in Clause 2.1 of this Deed;

“ Third Party ” means any person other than a Party; and

“ Transferred Liability ” has the meaning given to it in the Asset Transfer Agreement.

 

1.2	The headings in this Deed do not affect its interpretation.

 

-2-

---

Table of Contents

2.	JOINT AND SEVERAL LIABILITY

 

2.1

The Parties agree that, subject to, and with effect from, the Closing but without relieving the Parent in any way from its liabilities and obligations under any Relevant Remaining Liability, and without prejudice to any other rights that the Subsidiary may have, the Subsidiary shall, together with the Parent, be jointly and severally liable for the Relevant Remaining Liabilities (“ Subsidiary’s Relevant Joint and Several Liability ”).

 

2.2

Subsidiary’s Relevant Joint and Several Liability is agreed for the benefit of any and all creditors (including their successors and assigns) of the Relevant Remaining Liabilities who each may, in respect of their Relevant Remaining Liabilities, seek recourse by the Subsidiary without first seeking performance by the Parent. The Parties agree that the rights of the creditors of the Relevant Remaining Liabilities hereunder shall be irrevocable, and not subject to amendment or waiver solely among the Parties, as from the Closing Time, provided, however, that the Subsidiary may agree with any creditor of a Relevant Remaining Liability at any time to amend or waive the Subsidiary’s Relevant Joint and Several Liability in respect of such Relevant Remaining Liability.

 

2.3

The Subsidiary’s Relevant Joint and Several Liability shall not extend to (i) any criminal liability (including for fines, disgorgement of profits or any similar sanctions) or similar non-contractual liability of a punitive character to which Parent may have been, or become, subject, (ii) any regulatory liability which results from, or is connected to, the licences or similar regulatory authorisations that have been granted, or other regulatory requirements that apply, to Parent, (iii) any liability which arises from loss-absorbing capital instruments that, at the time when the relevant liability relating to the Subsidiary’s Relevant Joint and Several Liability is asserted or enforced, have been subject to a write down in accordance with their terms upon the occurrence of certain events, or (iv) any liability which results from pension or other post-employment benefit plans.

 

2.4

No Third Party shall be permitted to seek double payment or satisfaction under both this Deed and the Asset Transfer Agreement or any other agreement made in connection with the Asset Transfer Agreement. To the extent that any performance or satisfaction of an obligation arising under a Relevant Remaining Liability is made to a Third Party pursuant to any of this Deed, the Asset Transfer Agreement or such other agreement, any further requirement to perform or satisfy such obligation shall be reduced or extinguished accordingly.

 

2.5

The Subsidiary’s liabilities and obligations under this Deed shall be co-extensive with, and shall not exceed, the Parent’s liabilities and obligations under the Relevant Remaining Liabilities. All defences available to the Parent relating to the payment, performance or discharge of an obligation arising under a Relevant Remaining Liability shall apply and shall also be available to the Subsidiary. In particular, the Subsidiary shall not be obliged to make any payment or perform any obligation or discharge any liability that the Parent would not be obliged to pay, perform or discharge if an action, suit or proceeding had been brought directly against the Parent.

 

2.6	Notwithstanding anything to the contrary in this Deed, and without prejudice to the terms of the Asset Transfer Agreement, the Subsidiary shall not, under this Deed, assume any liability or obligation of the Parent other than the Parent’s liabilities or

 

-3-

---

Table of Contents

obligations under the Relevant Remaining Liabilities. For the avoidance of doubt, the Subsidiary shall have no liability under this Deed for any liability or obligation of the Parent under or in connection with any transactions entered into by the Parent after the Closing Time, whether such transactions are entered into with the same counterparties, under the same master agreement, or which are entitled to the benefit of the same collateral or other credit support arrangements or otherwise.

 

3.	TREATMENT OF POSITIONS SUBJECT TO NETTING, SET OFF OR SIMILAR RULES

 

3.1

In case at any time the Parent is able to net any Remaining Liability (other than any Remaining Liability that the Parent reasonably and expressly disputes), the Parent undertakes to immediately make use of such ability in order to limit Subsidiary’s exposure under the Subsidiary’s Joint and Several Liability to the fullest extent possible, and it hereby authorises the Subsidiary to exercise any such right to net the Remaining Liabilities on its behalf.

 

3.2	The above authorisations are granted for an indefinite period of time and shall remain in effect also in case of the principal’s dissolution, bankruptcy, or other insolvency or regulatory proceedings.

 

3.3

To the extent that the Parent is party to any master agreement (such as derivatives or swap master agreement, master repurchase agreement or master securities loan agreement) or other agreement or arrangement with a counterparty under which the Parent’s obligations towards such counterparty are subject to mandatory or permitted netting against any other transaction or other obligation that the counterparty or any other person may have to the Parent (a “ Nettable Parent Arrangement ”), for the purposes of this Deed the Subsidiary’s Relevant Joint and Several Liability to such counterparty under such Nettable Parent Arrangement shall be limited to the least of:

 

3.3.1

the outstanding amount of all Relevant Remaining Liabilities due to such counterparty calculated as if such Relevant Remaining Liabilities were the only transactions or obligations outstanding between the Parent and such counterparty under the Nettable Parent Arrangement;

 

3.3.2

the amount that the counterparty is able to receive after the Parent has netted any Remaining Liability in accordance with clause 3.1 above; and

 

3.3.3

the net amount due to such counterparty in respect of all transactions between the Parent and such counterparty under such Nettable Parent Arrangement, including all transactions or other obligations between the Parent and such counterparty, whether entered into or incurred before, on or after the Closing Time, that the Parent is entitled to net.

 

3.4

For purposes of this Clause, to “net” a liability or obligation means to net, set off, apply anything against, exercise a right of recoupment against or otherwise reduce such liability or obligation, either under an agreement (including under a single transaction, under the terms of a master agreement or any other arrangement) or generally, whether under the rules of a clearing or other relevant organisation, pursuant to applicable rules of law or otherwise; and “netting” shall be construed accordingly.

 

-4-

---

Table of Contents

4.	TREATMENT OF SECURED OBLIGATIONS

 

4.1

In case any Relevant Remaining Liability is secured in full or part by any security of whatever nature at the time a creditor of such Relevant Remaining Liability seeks satisfaction from the Subsidiary, the Subsidiary shall have the right to require such creditor, as a condition precedent to satisfying the Subsidiary’s Relevant Joint and Several Liability for such Relevant Remaining Liability and in such form as the Subsidiary may reasonably require:

 

(i)

to assign the claim corresponding to such Relevant Remaining Liability against the Parent to the Subsidiary; and

 

(ii)

to consent to the transfer of the security securing such Relevant Remaining Liability (including, if reasonably required by the Subsidiary, the release and transfer of the respective collateral to the Subsidiary),

whereby each of (i) and (ii) is required to take effect upon satisfaction of such Relevant Remaining Liability by the Subsidiary; in case such creditor only asks for partial satisfaction of a Relevant Remaining Liability, then such assignment and transfer shall be accordingly partial. For the avoidance of doubt, the Subsidiary shall have the right to refuse satisfaction of the Subsidiary’s Relevant Joint and Several Liability for such Relevant Remaining Liability as long as the creditor of such Relevant Remaining Liability refuses such assignment and such consent to transfer, respectively, or otherwise frustrates mala fide the transfer of the security to the Subsidiary (including through an undue early release or waiver of its security); however, such creditor shall not be required to do anything which is not under its control in order to effect such assignment or transfer.

 

4.2

The Parent hereby consents, with benefit for the Subsidiary and any relevant Third Party, to any such assignment and transfer, and to any subrogation occurring by operation of law in connection with Subsidiary’s satisfaction of the Subsidiary’s Relevant Joint and Several Liability, and hereby waives, to the fullest extent possible, any legal or contractual rights it may have against such assignment and transfer, or such subrogation, and agrees to promptly repeat its consent to such assignment and transfer, or subrogation, in such other form as the Subsidiary may reasonably require.

 

5.

INDEMNITY

 

5.1

The Subsidiary shall have a right of full recourse against the Parent, and the Parent shall indemnify and hold harmless the Subsidiary to the fullest extent permitted by law from and against any and all claims, actions, proceedings, demands, liabilities, damages, costs, expenses and losses, including judgments, fines, penalties, amounts paid in settlement and any legal fees, costs or expenses arising out of or created by or in connection with claims of Third Parties against the Subsidiary as a result of Subsidiary’s Relevant Joint and Several Liability.

 

5.2

In case of any claim brought or threatened by a Third Party, including claims brought by any public authority, against the Subsidiary which is subject to an obligation of indemnification by the Parent under this Deed, the Subsidiary shall give the Parent a notice of such Third Party claim or proceeding within reasonable time. Failure to give such notice shall not, however, affect the Subsidiary’s right to indemnification except

 

-5-

---

Table of Contents

to the extent that the Parent is prejudiced by such failure. The Parent shall then have 20 Business Days after receipt of such notice to notify the Subsidiary that it elects to conduct and control the defence of such Third Party claims (“ Notice of Defence ”). If the Parent does not give a Notice of Defence, the Subsidiary shall have the right to defend or settle such claim or proceeding in its exclusive discretion and the Parent shall, upon request from the Subsidiary, promptly indemnify the Subsidiary.

 

6.	INTERACTION WITH ASSET TRANSFER AGREEMENT

 

6.1	Notwithstanding any provision in the Asset Transfer Agreement to the contrary, in the event of any inconsistency between the provisions of the Asset Transfer Agreement and this Deed, this Deed shall prevail for the purposes of interpreting this Deed.

 

6.2	Subject to Clause 6.1, this Deed is intended to supplement the Asset Transfer Agreement and is not intended to replace or supersede the respective rights and obligations under the Asset Transfer Agreement which may invoked alternatively (but not cumulatively).

 

7.	ACKNOWLEDGEMENT OF FINMA RESOLUTION POWERS

The Parties acknowledge, and any Third Party asserting a Party’s Joint and Several Liability is hereby cautioned, that the liability and indemnification arrangements under this Deed (including a Party’s Joint and Several Liability) are subject to the powers of FINMA (or any other Swiss authority that is competent under Swiss law) in case of financial distress, resolution or similar circumstances and in accordance with applicable Swiss law (including protective measures pursuant to art. 26 Banking Act and any measures that result in the partial or complete write-down of claims or conversion of claims into equity pursuant to art. 31 para. 3 Banking Act and art. 47 ff. Banking Insolvency Ordinance (section 3 “Corporate Actions”) at the relevant time). The rights and obligations under this Deed (including the Subsidiary’s Relevant Joint and Several Liability) shall be construed in accordance with, and are subject to, any such powers.

 

8.

COSTS

Each Party shall bear its own costs incurred in relation to this Deed.

 

9.	AMENDMENTS AND MODIFICATIONS

Subject to Clause 2.2, this Deed may be amended or modified by an agreement in writing duly executed by the Parties.

 

10.	ASSIGNMENT

Neither Party may transfer or assign, in whole or in part, this Deed or any of its rights or obligations under this Deed to any person without the prior written consent of the other Party, which consent shall not be unreasonably withheld. Any transfer or assignment made without such approval shall be null and void.

 

11.	RIGHTS OF THIRD PARTIES

 

11.1	The Parties agree that this Deed is intended to grant rights in respect of the Relevant Remaining Liabilities to third parties which are counterparties to the Relevant Remaining Liabilities and which are not Parties to this Deed in accordance with the Contracts (Rights of Third Parties) Act 1999.

 

-6-

---

Table of Contents

11.2	Except as set out in Clause 11.1 above, a person who is not a Party to this Deed has no right under the Contracts (Rights of Third Parties) Act 1999 to enforce any term of this Deed but this does not affect any right or remedy of a third party which exists or is available apart from that Act.

 

11.3	The Parties acknowledge that the provisions of this Clause 11 may be limited by powers of FINMA as described in Clause 7 above.

 

12.

NOTICES

All notices in connection with this Deed shall be given to the following addresses:

If to the Parent:

UBS AG

Corporate Legal

P.O. Box

8098 Zurich

Switzerland

If to the Subsidiary:

UBS Switzerland AG

Legal Department

P.O. Box

8098 Zurich

Switzerland

 

13.	GOVERNING LAW AND JURISDICTION

 

13.1	This Deed and all non-contractual or other obligations arising out of or in connection with it are governed by English law.

 

13.2	The courts of England have non-exclusive jurisdiction to settle any dispute arising from or connected with this Deed (a “ Dispute ”), including a dispute regarding the existence, validity or termination of this Deed or the consequences of its nullity.

 

13.3	The parties agree that the courts of England are the most appropriate and convenient courts to settle any Dispute and, accordingly, that they will not argue to the contrary.

 

14.	COUNTERPARTS

This Deed may be executed in any number of counterparts, each of which is an original and all of which together evidence the same agreement.

 

-7-

---

Table of Contents

15.

DELIVERY

This Deed is delivered as a deed on the date written at the start of this Deed.

 

-8-

---

Table of Contents

EXECUTED by the parties as a deed

 

UBS AG
Name:		Michel Demare				Name:		Isabelle Romy
Title:		Vice-Chairman of the Board of Directors				Title:		Member of the Board of Directors
UBS Switzerland AG
Name:		Sergio Ermotti				Name:		Luzius Cameron
Title:		Chairman of the Board of Directors				Title:		Company Secretary

 

-9-

---

Table of Contents

Asset Transfer Agreement dated 12 June 2015 between UBS AG and UBS Switzerland AG /

Vermögensübertragungsvertrag vom 12. Juni 2015 zwischen der UBS AG und der UBS Switzerland AG

Annex 6d

Supplemental US Indentures /

Anhang 6d

Z USATZ -US-A NLEIHEVERTRÄGE

 

Notariat Hottingen-Zürich

Roman Sandmayr, Notar

---

Table of Contents

 

UBS AG

and

UBS SWITZERLAND AG

to

U.S. BANK TRUST NATIONAL ASSOCIATION

Trustee

 

 

Fifth Supplemental Indenture

Dated as of June 12, 201 5

Supplement to Indenture Dated

as of November 21, 2000

 

 

 

 

---

Table of Contents

FIFTH SUPPLEMENTAL INDENTURE, dated as of June 12, 2015 (the “Fifth Supplemental Indenture’’) to the Indenture, dated as of November 21, 2000, as supplemented by the First Supplemental Indenture thereto, dated as of February 28, 2006, the Second Supplemental Indenture thereto, dated as of December 13, 2010, the Third Supplemental Indenture thereto, dated as of November 19, 2012 and the Fourth Supplemental Indenture thereto, dated as of August 5, 2013 (as supplemented, the “Indenture”) between UBS AG, a corporation duly organized and existing under the laws of Switzerland (herein called the “Company”), having its principal offices at Bahnhofstrasse 45, Zurich, Switzerland, and Aeschenvorstadt 1, Basel, Switzerland, UBS Switzerland AG, a corporation duly organized and existing under the laws of Switzerland (herein called “UBS Switzerland”), having its principal office at Bahnhofstrasse 45, Zurich, Switzerland, and U.S. Bank Trust National Association, a national banking association duly organized and existing under the laws of the United States, as Trustee (herein called the “Trustee ”).

R ECITALS OF THE C OMPANY :

WHEREAS, the Company has heretofore made, executed and delivered to the Trustee the Indenture, providing for the issuance from time to time of the Company’s unsecured debentures, notes or odier evidences of indebtedness (herein called the “Securities”) to be issued in one or more series;

WHEREAS, the Company and UBS Switzerland have entered into the Asset Transfer Agreement, dated June 12, 2015 (the “Asset Transfer Agreement”), pursuant to which the Company will transfer to UBS Switzerland the Company’s Retail & Corporate business and its Wealth Management business booked in the Company’s booking center in Switzerland (the “Transferred Business”);

WHEREAS, Section 801 of the Indenture permits the conveyance, transfer or lease of the properties and assets of the Company substantially as an entirety if the entity which acquires such properties and assets of the Company expressly assumes the due and punctual payment of the principal of and any premium and interest on all the Securities and the performance or observance of every covenant of the Indenture on the part of the Company to be performed or observed;

WHEREAS, the Company does not believe that the transfer of the Transferred Business to UBS Switzerland would constitute the conveyance, transfer or lease of the property or assets of the Company substantially as an entirety, but nonetheless wishes to provide for the security of the holders of the Outstanding Securities by entering into this Fifth Supplemental Indenture, and to forgo and surrender any rights that might arise pursuant to Section 802 of the Indenture as a consequence thereof;

WHEREAS, the Indenture provides, in Sections 901(2) and 901(10), respectively, that, without the consent of any Holders, the Company, when authorized by a Board Resolution, and the Trustee, at any time and from time to time, may enter into one or more indentures supplemental thereto (i) to surrender any right or power in the Indenture conferred upon the Company; and (ii) to make any other provisions with respect to matters or questions arising under the Indenture; provided that such action pursuant to Section 901(10) shall not adversely affect the interests of the Holders of Securities of any series in any material respect;

WHEREAS, the addition of UBS Switzerland as a co-obligor pursuant to this Fifth Supplemental Indenture is being effected pursuant to Sections 901(2) and 901(10) of the Indenture, and to satisfy the requirements of Section 801 of the Indenture if and to the extent the transfer of the Transferred Business might constitute a conveyance, transfer or lease of the Company’s properties and assets substantially as an entirety;

 

1

---

Table of Contents

WHEREAS, the Company has determined that the execution and delivery of this Fifth Supplemental Indenture by the Company, UBS Switzerland and the Trustee complies with said Section 901 and does not require the consent of any Holder of the Outstanding Securities;

WHEREAS, all acts and things necessary to amend the Indenture and to make this Fifth Supplemental Indenture a valid and legally binding agreement of the Company, UBS Switzerland and the Trustee, in accordance with its terms, have been done.

N OW , T HEREFORE , T HIS F IFTH S UPPLEMENTAL I NDENTURE W ITNESSETH :

For and in consideration of the premises contained herein and in the Indenture, and for other good and valuable consideration (including, in the case of UBS Switzerland, the Transferred Business), the receipt and sufficiency of which are hereby acknowledged, the Company, UBS Switzerland and the Trustee hereby agree as follows:

ARTICLE I

SECTION l.0l Definitions. For all purposes of this Fifth Supplemental Indenture, except as otherwise stated herein, capitalized terms used but not otherwise defined in this Fifth Supplemental Indenture shall have the respective meanings assigned to them in the Indenture. Each reference to “herein ”, “hereof” and “hereunder” and other words of similar import contained in the Indenture shall, after this Fifth Supplemental Indenture becomes effective, refer to the Indenture as supplemented thereby.

ARTICLE II

Amendment

The Indenture shall be amended as follows, with respect to all Securities Outstanding under the Indenture up to and including the Closing Time under (and as defined in) the Asset Transfer Agreement:

SECTION 2.01 Amendment of Introductory Paragraph. The first paragraph of the Indenture immediately preceding the First recital is hereby deleted and replaced in its entirety by the following:

INDENTURE, dated us of November 21, 2000 between UBS AG, a corporation duly organized and existing under the laws of Switzerland (herein called the “Company”), having its principal offices at Bahnhofstrasse 45, Zurich, Switzerland, and Aeschenvorstadt 1, Basel, Switzerland, UBS Switzerland AG, a corporation duly organized and existing under the laws of Switzerland (herein called the “Co-Obligor”), having its principal office at Bahnhofstrasse 45, Zurich, Switzerland, and U.S. Bank Trust National Association, a national banking association duly organized and existing under the laws of the United States, as Trustee (herein called the “Trustee ”).

SECTION 2.02 Addition of Certain Definitions. Section 101 (Definitions) of the Indenture is hereby amended by inserting the following new definitions in appropriate alphabetical order:

“Asset Transfer” means the transfer by the Company of its Retail & Corporate business and its Wealth Management business each booked in the Company’s booking center in Switzerland to the Co-Obligor on the Closing Date under (and as defined in) the Asset Transfer Agreement.

 

 

2

---

Table of Contents

“Asset Transfer Agreement” means (the Asset Transfer Agreement, dated June 12, June 2015, between the Company and the Co-Obligor.

“Authorized Representative” means, with respect to the Co-Obligor, a director or an officer of the Co-Obligor, or any other Person duly authorized by a resolution of the Co-Obligor’s board of directors or any duly authorized committee thereof (either directly or by authorized delegation).

“ Co-Obligor ” means the Person named as the “Co-Obligor” in the first paragraph of this instrument, or such Person, if any, that shall have become the successor to such Person pursuant to the applicable provisions of this Indenture, whereupon “ Co-Obligor ” shall mean such successor Person.

“Co-Obligation ” means the obligations of the Co-Obligor pursuant to Section 312(a) hereof.

SECTION 2.03 Addition of Section 3 12 to the Indenture. The following new Section 312 is added to Article Three of the Indenture:

Section 312. Co-Obligation.

(a) The Co-Obligor hereby fully, unconditionally and irrevocably assumes and agrees to pay, perform and discharge, jointly and severally with the Company, the due and punctual payment of the principal of and any premium, interest and other amounts (including additional amounts, if any) payable on, under or in respect of all of the Securities on the dates and in the manner provided in this Indenture and the due performance and observance of every covenant of this Indenture to be performed or observed by the Company with respect to the Securities.

(b) The obligations of the Co-Obligor as a co-obligor hereunder are primary and not merely those of a surety, and shall be absolute and unconditional , irrespective of, and shall be unaffected by, any failure to enforce the provisions of any Security or this Indenture, or any waiver, modification or indulgence granted to the Company with respect thereto, by the Holder of any Security or the Trustee, or any other circumstance which may otherwise constitute a legal or equitable discharge of a co-obligor, surety or guarantor; provided, however, that, notwithstanding the foregoing, no such waiver, modification or indulgence shall, without the consent of the Co-Obligor, increase the principal amount of any Security or the interest rate thereon or impose or increase any premium payable upon redemption thereof. The Co-Obligor hereby waives diligence, presentment, demand of payment, any right to require a proceeding first against the Company, protest or notice and all demands whatsoever with respect to the Securities or the indebtedness evidenced thereby, and covenants that the Co-Obligation hereunder will not be discharged as to this Indenture or the Securities except in accordance with Article Four of this Indenture. The Co-Obligor shall be subrogated to all rights of the Holder of a Security of a series against the Company in respect of any amounts paid to such Holder by the Co-Obligor pursuant to the provisions of this Indenture; provided, however, that the Co-Obligor shall not be entitled to enforce, or to receive any payments arising oirt of or based upon, such right of subrogation or any right of contribution until the principal of and any premium, interest and other amounts (including Additional Amounts, if any) payable on, under

 

3

---

Table of Contents

or in respect of all of the Securities of the same series issued under this Indenture shall have been paid in full. The Co-Obligor hereby agrees that any notice given to the Company pursuant to the terms of this Indenture shall be deemed given to the Co-Obligor.

(c) The Co-Obligation shall be valid and obligatory with respect to any Security that has been or will be duly authenticated by the Trustee or any predecessor trustee hereunder.

(d) The Co-Obligor hereby agrees, if the Company shall so request, to execute the Co-Obligation substantially to the effect above recited, to be endorsed on the Securities of any series hereafter authenticated and delivered hereunder. The Company and the Co-Obligor agree that, if requested by the Trustee, it will execute and deliver to the Trustee for authentication new Securities of any series of Outstanding Securities with the Co-Obligation endorsed thereon (and otherwise identical to the old Securities of such series) and the Trustee hereby agrees that, if requested by the Company, it will authenticate and deliver such new Securities of such series in exchange for Outstanding Securities of such series. The Co-Obligation endorsed on any Securities shall be executed on behalf of the Co-Obligor by an Authorized Representative. The signature of any such Authorized Representative on the Co-Obligation may be manual or facsimile and may be imprinted or otherwise reproduced on the Co-Obligation. The Co-Obligation endorsed on any Securities bearing the manual or facsimile signatures of individuals who were at any time Authorized Representatives shall bind the Co-Obligor notwithstanding that such individuals or any of them have ceased to be Authorized Representatives prior to the authentication and delivery of the Securities on which such Co-Obligation is endorsed or were not Authorized Representatives at the date of such Securities. The failure to endorse a Co-Obligation on any Security shall not impair the validity of the Co-Obligation with respect to that Security.

SECTION 2.04 Amendment to Section 802. Section 802 of the Indenture is hereby amended by inserting the following immediately at the end of such Section after the phrase “under this Indenture and the Securities”:

; provided, however, that, in the case of the Asset Transfer to the Co-Obligor, the Company shall remain an obligor hereunder and under all of the Securities, jointly and severally with the Co-Obligor as provided in Section 312 of this Indenture, and shall not be relieved of any of its obligations and covenants hereunder or under the Securities.

ARTICLE III

Miscellaneous Provisions

SECTION 3.01 Effect of Supplemental Indenture. Upon the execution and delivery of this Fifth Supplemental Indenture by the Company, UBS Switzerland and the Trustee, the Indenture shall be supplemented in accordance herewith, and this Fifth Supplemental Indenture shall form a part of the Indenture for all purposes. Every Holder of Securities heretofore or hereafter authenticated and delivered under the Indenture shall be bound thereby.

SECTION 3.02 Other Terms of Indenture. Except insofar as herein otherwise expressly provided, all provisions, terms and conditions of the Indenture are in all respects ratified and confirmed and shall remain in full force and effect.

SECTION 3.03 Separate Instrument. This Fifth Supplemental Indenture constitutes a “Separate Instrument” under the Asset Transfer Agreement. Notwithstanding any provision in the

 

4

---

Table of Contents

Asset Transfer Agreement to the contrary, in the event of any inconsistency between the provisions of the Asset Transfer Agreement and the provisions of this Fifth Supplemental Indenture, this Fifth Supplemental Indenture will prevail with respect to the matters addressed by this agreement. To the fullest extent permitted under the Asset Transfer Agreement, the Indenture as supplemented by this Fifth Supplemental Indenture shall replace the Joint and Several Liability arising under (and as defined in) the Asset Transfer Agreement in respect of the Securities.

SECTION 3.04 Effectiveness. The effectiveness of this Fifth Supplemental Indenture shall be conditional upon the entry of the transfer of assets and liabilities pursuant to the Asset Transfer Agreement in the commercial registers of Zurich and Basel-Stadt. The Company agrees to provide evidence to the Trustee of the successful completion of such transfer in the form of an Officer’s Certificate.

SECTION 3.05 Separability Clause. If any provision in this Fifth Supplemental Indenture shall be invalid, illegal or unenforceable, the validity, legality and enforceability of the remaining provisions shall not in any way be affected or impaired thereby.

SECTION 3.06 Governing Law. This Fifth Supplemental Indenture shall be governed by, and construed in accordance with, the laws of the State of New York.

SECTION 3.07 Further Instruments. The parties hereto will execute and deliver such further instruments and do such further acts and things as may reasonably be required to carry out the intent and purpose of this Fifth Supplemental Indenture.

SECTION 3.08 Trust Indenture Act. If any provision of this Fifth Supplemental Indenture limits, qualifies or conflicts with another provision that is required to be included in this Fifth Supplemental Indenture by the Trust Indenture Act of 1939, as amended, the required provision shall control.

SECTION 3.09 Counterparts. This Fifth Supplemental Indenture may be executed in any number of counterparts, each of which shall be an original, but such counterparts shall together constitute but one and the same instrument.

SECTION 3.10 Trustee’s Disclaimer. The Trustee accepts the amendments of the Indenture effective by this Fifth Supplemental Indenture, but on the terms and conditions set forth in the Indenture, including the terms and provisions defining and limiting the liabilities and responsibilities of the Trustee. Without limiting the generality of the foregoing, the Trustee shall not be responsible in any manner whatsoever for or with respect to any of the recitals or statements contained herein, all of which recitals or statements are made solely by the Company or UBS Switzerland, or for or with respect to (i) the validity or sufficiency of this Fifth Supplemental Indenture or any of the terms or provisions hereof, (ii) the proper authorization hereof by the Company or UBS Switzerland by action or otherwise, (iii) the due execution hereof by the Company or UBS Switzerland, or (iv) the consequences of any amendment herein provided for, and the Trustee makes no representation with respect to any such matters.

SECTION 3.11 No New Securities. Notwithstanding any other provision in the Indenture, the Company hereby undertakes that no new Securities will be issued under the Indenture after the effectiveness of this Fifth Supplemental Indenture.

[ signature page follows ]

 

5

---

Table of Contents

IN WITNESS WHEREOF, the parties hereto have caused this Fifth Supplemental Indenture to be duly executed, as of the day and year first above written.

 

UBS AG
By
		Name: Michel Demaré
		Title: Vice Chairman of the Board of Directors
By
		Name: Isabelle Romy
		Title: Member of the Board of Directors
UBS Switzerland AG
By
		Name: Sergio Ermotti
		Title: Chairman of the Board of Directors
By
		Name: Luzius Cameron
		Title: Company Secretary

[ Signature page to Fifth Supplemental Indenture to UBS Debt Indenture ]

---

Table of Contents

U.S. BANK TRUST NATIONAL ASSOCIATION
as Trustee
By
		Name:
		Title:

[ Signature page to Fifth Supplemental Indenture to UBS Debt Indenture ]

---

Table of Contents

 

 

UBS AG

and

UBS SWITZERLAND AG

to

U.S. BANK TRUST NATIONAL ASSOCIATION

Trustee

 

 

First Supplemental Indenture

Dated as of June 12, 2015

Supplement to Warrant Indenture Dated

as of July 22, 2004

 

 

 

 

 

---

Table of Contents

FIRST SUPPLEMENTAL INDENTURE, dated as of June 12, 2015 (the “First Supplemental Indenture”) to the Indenture, dated as of July 22, 2004 (the “Indenture”) between UBS AG, a corporation duly organized and existing under the laws of Switzerland (herein called the “Company”), having its principal offices at Bahnhofstrasse 45, Zurich, Switzerland, and Aeschenvorstadt 1, Basel Switzerland, UBS Switzerland AG, a corporation duly organized and existing under the laws of Switzerland (herein called “UBS Switzerland”), having its principal office at Bahnhofstrasse 45, Zurich, Switzerland, and U.S. Bank Trust National Association, a national banking association duly organized and existing under the laws of the United States, as Trustee (herein called the “Trustee”).

R ECITALS OF THE C OMPANY :

WHEREAS, the Company has heretofore made, executed and delivered to the Trustee the Indenture, providing for the issuance from time to time of the Company’s Universal Warrants (herein called the “Securities”) to be issued in one or more series;

WHEREAS, the Company and UBS Switzerland have entered into the Asset Transfer Agreement, dated June 12, 2015 (the “Asset Transfer Agreement”), pursuant to which the Company will transfer to UBS Switzerland the Company’s Retail & Corporate business and its Wealth Management business booked in the Company’s booking center in Switzerland (the “Transferred Business ”);

WHEREAS, Section 801 of the Indenture permits the conveyance, transfer or lease of the properties and assets of the Company substantially as an entirety if the entity which acquires such properties and assets of the Company expressly assumes the due and punctual payment or delivery of the money or Warrant Property payable or deliverable by the Company with respect to all the Securities in accordance with their terms, and the performance or observance of every covenant of the Indenture on the part of the Company to be performed or observed;

WHEREAS, the Company does not believe that the transfer of the Transferred Business to UBS Switzerland would constitute the conveyance, transfer or lease of the property or assets of the Company substantially as an entirety, but nonetheless wishes to provide for the security of the holders of the Outstanding Securities by entering into this First Supplemental Indenture, and to forgo and surrender any rights that might arise pursuant to Section 802 of the Indenture as a consequence thereof;

WHEREAS, the Indenture provides, in Sections 901(2) and 901(10), respectively, that, without the consent of any Holders, the Company, when authorized by a Board Resolution, and the Trustee, at any time and from time to time, may enter into one or more indentures supplemental thereto (i) to surrender any right or power in the Indenture conferred upon the Company; and (ii) to make any other provisions with respect to matters or questions arising under the Indenture; provided that such action pursuant to Section 901(10) shall not adversely affect the interests of the Holders of Securities of any series in any material respect;

WHEREAS, the addition of UBS Switzerland as a co-obligor pursuant to this First Supplemental Indenture is being effected pursuant to Sections 901(2) and 901(10) of the Indenture, and to satisfy the requirements of Section 801 of the Indenture if and to the extent the transfer of the Transferred Business might constitute a conveyance, transfer or lease of the Company’s properties and assets substantially as an entirety;

WHEREAS, the Company has determined that the execution and delivery of this First Supplemental Indenture by the Company, UBS Switzerland and the Trustee complies with said Section 901 and does not require the consent of any Holder of the Outstanding Securities;

 

1

---

Table of Contents

WHEREAS, all acts and things necessary to amend the Indenture and to make this First Supplemental Indenture a valid and legally binding agreement of the Company, UBS Switzerland and the Trustee, in accordance with its terms, have been done.

N OW , T HEREFORE , T HIS F IRST S UPPLEMENTAL I NDENTURE W ITNESSETH :

For and in consideration of the premises contained herein and in the Indenture, and for other good and valuable consideration (including, in the case of UBS Switzerland, the Transferred Business), the receipt and sufficiency of which are hereby acknowledged, the Company, UBS Switzerland and the Trustee hereby agree as follows:

ARTICLE I

SECTION 1.01 Definitions. For all purposes of this First Supplemental Indenture, except as otherwise stated herein, capitalized terms used but not otherwise defined in this First Supplemental Indenture shall have the respective meanings assigned to them in the Indenture. Each reference to “herein”, “hereof” and “hereunder” and other words of similar import contained in the Indenture shall, after this First Supplemental Indenture becomes effective, refer to the Indenture as supplemented thereby.

ARTICLE II

Amendment

The Indenture shall be amended as follows, with respect to all Securities Outstanding under the Indenture up to and including the Closing Time under (and as defined in) the Asset Transfer Agreement:

SECTION 2.01 Amendment of Introductory Paragraph. The first paragraph of the Indenture immediately preceding the first recital is hereby deleted and replaced in its entirety by the following:

WARRANT INDENTURE, dated as of July 22, 2004 between UBS AG, a corporation duly organized and existing under the laws of Switzerland (herein called the “Company”), having its principal offices at Bahnhofstrasse 45, Zurich, Switzerland, and Aeschenvorstadt 1, Basel, Switzerland, UBS Switzerland AG, a corporation duly organized and existing under the laws of Switzerland (herein called the “Co-Obligor”), having its principal office at Bahnhofstrasse 45, Zurich, Switzerland, and U.S. Bank Trust National Association, a national banking association duly organized and existing under the laws of the United States, as Trustee (herein called the “Trustee”).

SECTION 2.02 Addition of Certain Definitions. Section 101 (Definitions) of the Indenture is hereby amended by inserting the following new definitions in appropriate alphabetical order:

“Asset Transfer ” means the transfer by the Company of its Retail  & Corporate business and its Wealth Management business each booked in the Company’s booking center in Switzerland to the Co-Obligor on the Closing Date under (and as defined in) the Asset Transfer Agreement.

“Asset Transfer Agreement” means the Asset Transfer Agreement, dated June 12, 2015, between the Company and the Co-Obligor.

 

2

---

Table of Contents

“Authorized Representative” means, with respect to the Co-Obligor, a director or an officer of the Co-Obligor, or any other Person duly authorized by a resolution of the Co-Obligor’s board of directors or any duly authorized committee thereof (either directly or by authorized delegation).

“Co-Obligor” means the Person named as the “Co-Obligor” in the first paragraph of this instrument, or such Person, if any, that shall have become the successor to such Person pursuant to the applicable provisions of this Indenture, whereupon “Co-Obligor ” shall mean such successor Person.

“ Co-Obligation ” means the obligations of the Co-Obligor pursuant to Section 311(a) hereof.

SECTION 2.03 Addition of Section 311 to the Indenture. The following new Section 311 is added to Article Three of the Indenture:

Section 311. Co-Obligation.

(a) The Co-Obligor hereby fully, unconditionally and irrevocably assumes and agrees to pay, perform and discharge, jointly and severally with the Company, the due and punctual payment or delivery of the money or Warrant Property payable or deliverable by the Company with respect to, and any other amounts (including additional amounts, if any) payable on, under or in respect of, all of the Securities on the dates and in the manner provided in this Indenture and the due performance and observance of every covenant of this Indenture to be performed or observed by the Company with respect to the Securities.

(b) The obligations of the Co-Obligor as a co-obligor hereunder are primary and not merely those of a surety, and shall be absolute and unconditional, irrespective of, and shall be unaffected by, any failure to enforce the provisions of any Security or this Indenture, or any waiver, modification or indulgence granted to the Company with respect thereto, by the Holder of any Security or the Trustee, or any other circumstance which may otherwise constitute a legal or equitable discharge of a co-obligor, surety or guarantor; provided, however, that, notwithstanding the foregoing, no such waiver, modification or indulgence shall, without the consent of the Co-Obligor, increase the amount of money or Warrant Property with respect to any Security payable or deliverable upon redemption thereof. The Co-Obligor hereby waives diligence, presentment, demand of payment, any right to require a proceeding first against the Company, protest or notice and all demands whatsoever with respect to the Securities or the indebtedness evidenced thereby, and covenants that the Co-Obligation hereunder will not be discharged as to this Indenture or the Securities except in accordance with Article Four of this Indenture. The Co-Obligor shall be subrogated to all rights of the Holder of a Security of a series against the Company in respect of any amounts of money or Warrant Property paid or delivered to such Holder by the Co-Obligor pursuant to the provisions of this Indenture; provided, however, that the Co-Obligor shall not be entitled to enforce, or to receive any payments or delivery of property arising out of or based upon, such right of subrogation or any right of contribution until the money or Warrant Property due and other amounts (including Additional Amounts, if any) payable on, under or in respect of all of the Securities of the same series issued under this Indenture shall have been paid or delivered in full. The Co-Obligor hereby agrees that any notice given to the Company pursuant to the terms of this Indenture shall be deemed given to the Co-Obligor.

 

3

---

Table of Contents

(c) The Co-Obligation shall be valid and obligatory with respect to any Security that has been or will be duly authenticated by the Trustee or any predecessor trustee hereunder.

(d) The Co-Obligor hereby agrees, if the Company shall so request, to execute the Co-Obligation substantially to the effect above recited, to be endorsed on the Securities of any series hereafter authenticated and delivered hereunder. The Company and the Co-Obligor agree that, if requested by the Trustee, it will execute and deliver to the Trustee for authentication new Securities of any series of Outstanding Securities with the Co-Obligation endorsed thereon (and otherwise identical to the old Securities of such series) and the Trustee hereby agrees that, if requested by the Company, it will authenticate and deliver such new Securities of such series in exchange for Outstanding Securities of such series. The Co-Obligation endorsed on any Securities shall be executed on behalf of the Co-Obligor by an Authorized Representative. The signature of any such Authorized Representative on the Co-Obligation may be manual or facsimile and may be imprinted or otherwise reproduced on the Co-Obligation. The Co- Obligation endorsed on any Securities bearing the manual or facsimile signatures of individuals who were at any time Authorized Representatives shall bind the Co-Obligor notwithstanding that such individuals or any of them have ceased to be Authorized Representatives prior to the authentication and delivery of the Securities on which such Co-Obligation is endorsed or were not Authorized Representatives at the date of such Securities. The failure to endorse a Co-Obligation on any Security shall not impair the validity of the Co-Obligation with respect to that Security.

SECTION 2.04 Amendment to Section 802 . Section 802 of the Indenture is hereby amended by inserting the following immediately at the end of such Section after the phrase “under this Indenture and the Securities”:

; provided, however, that, in the case of the Asset Transfer to the Co-Obligor, the Company shall remain an obligor hereunder and under all of the Securities, jointly and severally with the Co-Obligor as provided in Section 311 of this Indenture, and shall not be relieved of any of its obligations and covenants hereunder or under the Securities.

ARTICLE III

Miscellaneous Provisions

SECTION 3.01 Effect of Supplemental Indenture. Upon the execution and delivery of this First Supplemental Indenture by the Company, UBS Switzerland and the Trustee, the Indenture shall be supplemented in accordance herewith, and this First Supplemental Indenture shall form a part of the Indenture for all purposes. Every Holder of Securities heretofore or hereafter authenticated and delivered under the Indenture shall be bound thereby.

SECTION 3.02 Other Terms of Indenture. Except insofar as herein otherwise expressly provided, all provisions, terms and conditions of the Indenture are in all respects ratified and confirmed and shall remain in full force and effect.

SECTION 3.03 Separate Instrument. This First Supplemental Indenture constitutes a “Separate Instrument” under the Asset Transfer Agreement. Notwithstanding any provision in the Asset Transfer Agreement to the contrary, in the event of any inconsistency between the provisions of the Asset Transfer Agreement and the provisions of this First Supplemental Indenture, this First Supplemental Indenture will prevail with respect to the matters addressed by this agreement. To the fullest extent permitted under the Asset Transfer Agreement, the Indenture as supplemented by this First Supplemental Indenture shall replace the Joint and Several Liability arising under (and as defined in) the Asset Transfer Agreement in respect of the Securities.

 

4

---

Table of Contents

SECTION 3.04 Effectiveness. The effectiveness of this First Supplemental Indenture shall be conditional upon the entry of the transfer of assets and liabilities pursuant to the Asset Transfer Agreement in the commercial registers of Zurich and Basel-Stadt. The Company agrees to provide evidence to the Trustee of the successful completion of such transfer in the form of an Officer’s Certificate.

SECTION 3.05 Separability Clause. If any provision in this First Supplemental Indenture shall be invalid, illegal or unenforceable, the validity, legality and enforceability of the remaining provisions shall not in any way be affected or impaired thereby.

SECTION 3.06 Governing Law. This First Supplemental Indenture shall be governed by, and construed in accordance with, the laws of the State of New York.

SECTION 3.07 Further Instruments. The parties hereto will execute and deliver such further instruments and do such further acts and things as may reasonably be required to carry out the intent and purpose of this First Supplemental Indenture.

SECTION 3.08 Trust Indenture Act. If any provision of this First Supplemental Indenture limits, qualifies or conflicts with another provision that is required to be included in this First Supplemental Indenture by the Trust Indenture Act of 1939, as amended, the required provision shall control.

SECTION 3.09 Counterparts. This First Supplemental Indenture may be executed in any number of counterparts, each of which shall be an original, but such counterparts shall together constitute but one and the same instrument.

SECTION 3.10 Trustee ’ s Disclaimer. The Trustee accepts the amendments of the Indenture effective by this First Supplemental Indenture, but on the terms and conditions set forth in the Indenture, including the terms and provisions defining and limiting the liabilities and responsibilities of the Trustee. Without limiting the generality of the foregoing, the Trustee shall not be responsible in any manner whatsoever for or with respect to any of the recitals or statements contained herein, all of which recitals or statements are made solely by the Company or UBS Switzerland, or for or with respect to (i) the validity or sufficiency of this First Supplemental Indenture or any of the terms or provisions hereof, (ii) the proper authorization hereof by the Company or UBS Switzerland by action or otherwise, (iii) the due execution hereof by the Company or UBS Switzerland, or (iv) the consequences of any amendment herein provided for, and the Trustee makes no representation with respect to any such matters.

SECTION 3.11 No New Securities. Notwithstanding any other provision in the Indenture, the Company hereby undertakes that no new Securities will be issued under the Indenture after the effectiveness of this First Supplemental Indenture.

[ signature page follows ]

 

5

---

Table of Contents

IN WITNESS WHEREOF, the parties hereto have caused this First Supplemental Indenture to be duly executed, as of the day and year first above written.

 

UBS AG
By
		Name:		Michel Demaré
		Title:		Vice Chairman of the Board of Directors
By
		Name:		Isabelle Romy
		Title:		Member of the Board of Directors
UBS Switzerland AG
By
		Name:		Sergio Ermotti
		Title:		Chairman of the Board of Directors
By
		Name:		Luzius Cameron
		Title:		Company Secretary

[ Signature page to First Supplemental Indenture to UBS Warrant Indenture ]

---

Table of Contents

U.S. BANK TRUST NATIONAL ASSOCIATION
as Trustee
By
		Name:
		Title:

[ Signature page to First Supplemental Indenture to UBS Warrant Indenture ]

---

Table of Contents

 

 

UBS AMERICAS INC.

(as successor by merger to Paine Webber Group Inc.)

UBS AG

Guarantor

and

UBS SWITZERLAND AG

to

THE BANK OF NEW YORK MELLON

Trustee

 

 

Fifth Supplemental Indenture

Dated as of June 12, 2015

Supplement to Indenture Dated

as of March 15, 1988

 

 

 

 

 

---

Table of Contents

FIFTH SUPPLEMENTAL INDENTURE, dated as of June 12, 2015 (the ‘‘Fifth Supplemental Indenture”) to the Indenture, dated as of March 15, 1988, as supplemented by the First Supplemental Indenture thereto, dated as of September 22, 1989, the Second Supplemental Indenture thereto, dated as of March 22, 1991, the Third Supplemental Indenture thereto, dated as of November 3, 2000 and the Fourth Supplemental Indenture thereto, dated as of December 22, 2000 (as supplemented, the “Indenture”), between UBS Americas Inc. (as successor by merger to Paine Webber Group Inc.), a corporation duly organized and existing under the laws of the State of Delaware (herein called the “Company”), having its principal office at 677 Washington Boulevard, Stamford, Connecticut, UBS AG, a corporation duly organized and existing under the laws of Switzerland (herein called the “Guarantor”), having its principal offices at Bahnhofstrasse 45, Zurich, Switzerland, and Aeschenvorstadt 1, Basel, Switzerland, LBS Switzerland AG, a corporation duly organized and existing under the laws of Switzerland (herein called “UBS Switzerland”), having its principal office at Bahnhofstrasse 45, Zurich, Switzerland, and The Bank of New York Mellon (as successor to The Chase Manhattan Bank), a New York banking corporation, as Trustee (herein called the “Trustee”).

R ECITALS OF THE C OMPANY :

WHEREAS, the Company is a wholly owned subsidiary of the Guarantor and the Company has heretofore made, executed and delivered to the Trustee the Indenture, providing for the issuance from time to time of the Company’s unsecured debentures, notes or other evidences of indebtedness (herein called the “Securities”) to be issued in one or more series, and which are guaranteed by the Guarantor;

WHEREAS, the Guarantor and UBS Switzerland have entered into the Asset Transfer Agreement, dated June 12, 2015 (the “Asset Transfer Agreement”), pursuant to which the Guarantor will transfer to UBS Switzerland the Guarantor’s Retail & Corporate business and its Wealth Management business booked in the Guarantor’s booking center in Switzerland (the “Transferred Business”);

WHEREAS, Section 803 of the Indenture permits the conveyance, transfer or lease of the properties and assets of the Guarantor substantially as an entirety if the entity which acquires such properties and assets of the Guarantor expressly assumes the performance of the Guarantee and the performance of every covenant of the Indenture on the part of the Guarantor to be performed or observed;

WHEREAS, the Guarantor does not believe that the transfer of the Transferred Business to UBS Switzerland would constitute the conveyance, transfer or lease of the property or assets of the Guarantor substantially as an entirety, but nonetheless wishes to provide for the security of the holders of the Outstanding Securities by entering into this Fifth Supplemental Indenture, and to forgo and surrender any rights that might arise pursuant to Section 804 of the Indenture as a consequence thereof;

WHEREAS, the Indenture provides, in Sections 901(2) and 901(10), respectively, that, without the consent of any Holders, the Company, when authorized by a Board Resolution, and the Trustee, at any time and from time to time, may enter into one or more indentures supplemental thereto (i) to surrender any right or power in the Indenture conferred upon the Company; and (ii) to make any other provisions with respect to matters or questions arising under the Indenture; provided that such action pursuant to Section 901(10) shall not adversely affect the interests of the Holders of Securities of any series in any material respect;

WHEREAS, the addition of UBS Switzerland as a co-obligor pursuant to this Fifth Supplemental Indenture is being effected pursuant to Sections 901(2) and 901(10) of the Indenture, and

 

1

---

Table of Contents

to satisfy the requirements of Section 803 of the Indenture if and to the extent the transfer of the Transferred Business might constitute a conveyance, transfer or lease of the Guarantor’s properties and assets substantially as an entirety;

WHEREAS, the Company and Guarantor have determined that the execution and delivery of this Fifth Supplemental Indenture by the Company, the Guarantor, UBS Switzerland and the Trustee complies with said Section 901 and does not require the consent of any Holder of the Outstanding Securities; and

WHEREAS, all acts and things necessary to amend the Indenture and to make this Fifth Supplemental Indenture a valid and legally binding agreement of the Company, the Guarantor, UBS Switzerland and the Trustee, in accordance with its terms, have been done.

N OW , T HEREFORE , T HIS F IFTH S UPPLEMENTAL I NDENTURE W ITNESSETH ;

For and in consideration of the premises contained herein and in the Indenture, and for other good and valuable consideration (including, in the case of UBS Switzerland, the Transferred Business), the receipt and sufficiency of which are hereby acknowledged, the Company, the Guarantor, UBS Switzerland and the Trustee hereby agree as follows:

ARTICLE I

SECTION 1.01 Definitions. For all purposes of this Fifth Supplemental Indenture, except as otherwise stated herein, capitalized terms used but not otherwise defined in this Fifth Supplemental Indenture shall have the respective meanings assigned to them in the Indenture. Each reference to “herein ”, “hereof’ and “hereunder” and other words of similar import contained in the Indenture shall, after this Fifth Supplemental Indenture becomes effective, refer to the Indenture, as supplemented thereby.

ARTICLE II

Amendment

The Indenture shall be amended as follows, with respect to all Securities Outstanding under the Indenture at the time of effectiveness of this Fifth Supplemental Indenture, as specified in Section 3.04 hereof.

SECTION 2.01 Amendment of Introductory Paragraph. The first paragraph of the Indenture immediately preceding the first recital is hereby deleted and replaced in its entirety by the following;

INDENTURE, dated as of March 15 1988 between UBS Americas Inc., a corporation duly organized and existing under the laws of the State of Delaware (herein called the “Company”), (as successor to Paine Webber Group Inc.), having its principal office at 677 Washington Boulevard, Stamford, Connecticut, UBS AG, a corporation duly organized and existing under the laws of Switzerland (herein called the “Guarantor”), having its principal offices at Bahnhofstrasse 45, Zurich. Switzerland, and Aeschenvorstadt 1, Basel, Switzerland, UBS Switzerland AG, a corporation duly organized and existing under the laws of Switzerland (herein called the “Co-Obligor”), having its principal office at Bahnhofstrasse 45, Zurich, Switzerland, and The Bank of New York Mellon (as successor to The Chase Manhattan Bank), a New York banking corporation, as Trustee (herein called the “Trustee”).

 

2

---

Table of Contents

SECTION 2.02 Addition of Certain Definitions. Section 101 (Definitions) of the Indenture is hereby amended by inserting the following new definitions in appropriate alphabetical order:

“Asset Transfer” means the transfer by the Guarantor of its Retail  & Corporate business and its Wealth Management business each booked in the Guarantor’s booking center in Switzerland to the Co-Obligor pursuant to the Asset Transfer Agreement.

^“ Asset Transfer Agreement ” means the Asset Transfer Agreement, dated June 12, 2015, between the Guarantor and the Co-Obligor.

“ Co-Obligor” means the Person named as the “Co-Obligor” in the first paragraph of this instrument, or such Person, if any, that shall have become the successor to such Person pursuant to the applicable provisions of this Indenture, whereupon “Co-Obligor” shall mean such successor Person.

“Co-Obligation ” means the obligations of the Co-Obligor pursuant to Section 301-B(a) hereof.

SECTION 2.03 Addition of Section 301-B to the Indenture. The following Article Three-B is added to Article Three of the Indenture after the existing Article Three-A:

Section 301-B. Co-Obligation

(a) The Co-Obligor hereby fully, unconditionally and irrevocably assumes and agrees to pay, perform and discharge, jointly and severally with the Guarantor, the Guarantee, and the due performance and observance of every covenant of this Indenture to be performed or observed by the Guarantor.

(b) The obligations of the Co-Obligor as a co-obligor hereunder are primary and not merely those of a surety, and shall be absolute and unconditional, irrespective of, and shall be unaffected by, any failure to enforce the provisions of any Security or this Indenture, or any waiver, modification or indulgence granted to the Guarantor with respect thereto, by the Holder of any Security or the Trustee, or any other circumstance which may otherwise constitute a legal or equitable discharge of a co-obligor, surety or guarantor; provided, however , that, notwithstanding the foregoing, no such waiver, modification or indulgence shall, without the consent of the Co-Obligor, increase the principal amount of any Security or the interest rate thereon or impose or increase any premium payable upon redemption thereof. The Co-Obligor hereby waives diligence, presentment, demand of payment, any right to require a proceeding first against the Guarantor, protest or notice and all demands whatsoever with respect to the Securities or the indebtedness evidenced thereby, and covenants that the Co-Obligation hereunder will not be discharged as to this Indenture or the Securities except in accordance with Article Four of this Indenture. The Co-Obligor shall be subrogated to all rights of the Holder of a Security of a series against the Guarantor in respect of any amounts paid to such Holder by the Co-Obligor pursuant to the provisions of this Indenture; provided, however , that the Co-Obligor shall not be entitled to enforce, or to receive any payments arising out of or based upon, such right of subrogation or any right of contribution until the principal of and any premium, interest and other amounts (including Additional Amounts, if any) payable on, under or in respect of all of the Securities of the same series issued under this Indenture shall have been paid in full. The Co-Obligor hereby agrees that any notice given to the Guarantor pursuant to the terms of this Indenture shall be deemed given to the Co-Obligor.

(c) The Co-Obligation shall be valid and obligatory with respect to any Security that has been or will be duly authenticated by the Trustee or any predecessor trustee hereunder.

 

3

---

Table of Contents

SECTION 2.04 Amendment to Section 804. Section 804 of the Indenture is hereby amended by inserting the following immediately at the end of such Section after the phrase “under this Indenture and the Guarantee’’:

; provided, however, that, in the case of the Asset Transfer to the Co-Obligor, the Guarantor shall remain a guarantor hereunder and under all of the Securities, jointly and severally with the Co-Obligor as provided in Section 301-B of this Indenture, and shall not be relieved of any of its obligations and covenants hereunder or under the Securities.

ARTICLE III

Miscellaneous Provisions

SECTION 3.01 Effect of Supplemental Indenture. Upon the execution and delivery of this Fifth Supplemental Indenture by the Company, the Guarantor, UBS Switzerland and the Trustee (the ‘‘Effective Date”), the Indenture shall be supplemented in accordance herewith, and this Fifth Supplemental Indenture shall form a part of the Indenture for all purposes. Every Holder of Securities heretofore or hereafter authenticated and delivered under the Indenture shall be bound thereby.

SECTION 3.02 Other Terms of Indenture. Except insofar as herein otherwise expressly provided, all provisions, terms and conditions of the Indenture are in all respects ratified and confirmed and shall remain in full force and effect.

SECTION 3.03 Separate Instrument. This Fifth Supplemental Indenture constitutes a “Separate Instrument’’ under the Asset Transfer Agreement. Notwithstanding any provision in the Asset Transfer Agreement to the contrary, in the event of any inconsistency between the provisions of the Asset Transfer Agreement and the provisions of this Fifth Supplemental Indenture, this Fifth Supplemental Indenture will prevail with respect to the matters addressed by this agreement. Upon the occurrence of the Effective Date, and to the fullest extent permitted under the Asset Transfer Agreement, the Indenture as supplemented by this Fifth Supplemental Indenture shall replace the joint and several liability of the Guarantor in relation to UBS Switzerland and of UBS Switzerland in relation to the Guarantor arising under the Asset Transfer Agreement in respect of the Securities. For the avoidance of doubt, the provisions of the Asset Transfer Agreement referenced in this Section 3.03 do not in any way impair or limit the rights of Holders provided in the newly added Section 301-B of the Indenture, or in any way diminish the obligations being assumed by UBS Switzerland pursuant to the newly added Section 301-B of the Indenture.

SECTION 3.04 Effectiveness. The effectiveness of this Fifth Supplemental Indenture shall be conditional upon the entry of the transfer of assets and liabilities pursuant to the Asset Transfer Agreement in the commercial registers of Zurich and Basel-Stadt. The Guarantor agrees to provide evidence to the Trustee of the successful completion of such transfer in the form of an Officer’s Certificate.

SECTION 3.05 Separability Clause. If any provision in this Fifth Supplemental Indenture shall be invalid, illegal or unenforceable, the validity, legality and enforceability of the remaining provisions shall not in any way be affected or impaired thereby.

 

4

---

Table of Contents

SECTION 3.06 Governing Law. This Fifth Supplemental Indenture shall be governed by, and construed in accordance with, the laws of the State of New York.

SECTION 3.07 Further Instruments. The parties hereto will execute and deliver such further instruments (in a form reasonably satisfactory to the Trustee) and do such further acts and things as may reasonably be required to carry out the intent and purpose of this Fifth Supplemental Indenture.

SECTION 3.08 Trust Indenture Act. If any provision of this Fifth Supplemental Indenture limits, qualifies or conflicts with another provision that is required to be included in this Fifth Supplemental Indenture by the Trust Indenture Act of 1939, as amended, the required provision shall control.

SECTION 3.09 Counterparts. This Fifth Supplemental Indenture may be executed in any number of counterparts, each of which shall be an original, but such counterparts shall together constitute but one and the same instrument.

SECTION 3.10 Trustee’s Disclaimer. The Trustee accepts the amendments of the Indenture effective by this Fifth Supplemental Indenture, but on the terms and conditions set forth in the Indenture, including the terms and provisions defining and limiting the liabilities and responsibilities of the Trustee. Without limiting the generality of the foregoing, the Trustee shall not be responsible in any manner whatsoever for or with respect to any of the recitals or statements contained herein, all of which recitals or statements are made solely by the Company, the Guarantor or UBS Switzerland, or for or with respect to (i) the validity or sufficiency of this Fifth Supplemental Indenture or any of the terms or provisions hereof, (ii) the proper authorization hereof by the Company, the Guarantor or UBS Switzerland, by action or otherwise, (iii) the due execution hereof by the Company, the Guarantor or UBS Switzerland, or (iv) the consequences of any amendment herein provided for, and the Trustee makes no representation with respect to any such matters.

SECTION 3.01 No New Securities. Notwithstanding any other provision in the Indenture, the Company hereby undertakes that no new Securities will be issued under the Indenture after the effectiveness of this Fifth Supplemental Indenture.

[ signature page follows ]

 

5

---

Table of Contents

IN WITNESS WHEREOF, the parties hereto have caused this Fifth Supplemental Indenture to be duly executed, as of the day and year first above written.

 

UBS AMERICAS INC.
By
		Name:
		Title:
By
		Name:
		Title:
UBS AG
By
		Name:		Michel Demaré
		Title:		Vice Chairman of the Board of Directors
By
		Name:		Isabelle Romy
		Title:		Member of the Board of Directors
UBS Switzerland AG
By
		Name:		Sergio Ermotti
		Title:		Chairman of the Board of Directors
By
		Name:		Luzius Cameron
		Title:		Company Secretary

 

[ Signature page to Fifth Supplemental Indenture to UBS Americas Indenture ]

---

Table of Contents

THE BANK OF NEW YORK MELLON
as Trustee
By
		Name: Title:

 

[ Signature page to Fifth Supplemental Indenture to UBS Americas Indenture ]

---

Table of Contents

This Form 6-K is hereby incorporated by reference into (1) each of the registration statements of UBS AG on Form F-3 (Registration Number 333-204908) and of UBS Group AG on Form S-8 (Registration Numbers 333-200634; 333-200635; 333-200641; and 333-200665) and into each prospectus outstanding under any of the foregoing registration statements, (2) any outstanding offering circular or similar document issued or authorized by UBS AG that incorporates by reference any Form 6-K’s of UBS AG that are incorporated into its registration statements filed with the SEC, and (3) the base prospectus of Corporate Asset Backed Corporation (“CABCO”) dated June 23, 2004 (Registration Number 333-111572), the Form 8-K of CABCO filed and dated June 23, 2004 (SEC File Number 001-13444), and the Prospectus Supplements relating to the CABCO Series 2004-101 Trust dated May 10, 2004 and May 17, 2004 (Registration Number 033-91744 and 033-91744-05).

---

Table of Contents

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

UBS Group AG
By:		/s/ David Kelly
		Name:		David Kelly
		Title:		Managing Director
By:		/s/ Sarah Starkweather
		Name:		Sarah M. Starkweather
		Title:		Executive Director
UBS AG
By:		/s/ David Kelly
		Name:		David Kelly
		Title:		Managing Director
By:		/s/ Sarah Starkweather
		Name:		Sarah M. Starkweather
		Title:		Executive Director

Date: June 17, 2015