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10-04285-brl Doc 127 Filed 08/17/12 Entered 08/17/12 14:29:55 Main Document
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a single Group Executive Board, whose members are approved by UBS AG’s Board of
Directors. (Pergament Decl. Exs. 62; 56 at 204.) Both the Group Executive Board and UBS
AG’s Board of Directors exercise supervisory responsibility for UBS Group, which includes
both UBS AG and its subsidiaries. (Pergament Decl. Ex. 63 at R. 15.2, 5.3.) UBS AG executive
Douglas Lindgren testified that the Group Executive Board “governs the whole company,”
including “UBS AG and the subs.” (Pergament Decl. Ex. 64 at 85:14–22.) “In some fashion,”
Lindgren testified, the Group Executive Board is “responsible for everything that happens[.]”
(Id. at 86:23–87:7.) UBS’ marketing materials also present UBS’s global operations as one,
unified whole. 21 The following chart demonstrates the corporate interconnections between UBS
AG and the Moving UBS Defendants:
21 See, e.g., About Us, UBS AG, http://www.ubs.com/1/e/about.html (last visited August 14, 2012) (“UBS is a
global firm providing financial services to private, corporate and institutional clients.”);
2006/2007 Print Ads, UBS AG, http://www.ubs.com/1/e/about/brand/ads/print_ads.html (last visited August 14,
2012) (noting that in its print ads “UBS branding elements such as logo and tagline were enlarged, while the
integrated UBS business descriptor was made more prominent.”); Pergament Decl. Ex. 61 at 12 (describing its
business as “a client-focused financial services firm that offers a strong combination of wealth management, asset
management and investment banking services on a global and regional basis”).
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