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10-04285-brl Doc 127 Filed 08/17/12 Entered 08/17/12 14:29:55 Main Document Pg 62 of 133 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”). 42
10-04285-brl Doc 127 Filed 08/17/12 Entered 08/17/12 14:29:55 Main Document Pg 63 of 133 UBS AG and the Moving UBS Defendants: Ownership Structure Global Wealth Management and Swiss Bank Business Division UBS SA UBS AG Group Executive Board 43 Global Asset Management Business Division UBSFSL UBS Fund Holding (Luxembourg) S.A. UBSTPM Numerous UBS AG officers have served as directors or officers of UBS SA, UBSFSL, and UBSTPM, further underscoring the fact that these subsidiaries are mere departments at the control of their corporate parent. Since 2002, at least twenty UBS SA directors or officers have also served as corporate employees of UBS AG at some time. UBSFSL has had five directors with ties to UBS AG, and UBSTPM has had four such directors in this period. The following chart depicts these directors and officers of the Moving UBS Defendants and their employment relationship to UBS AG:
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