Ubs Asset Management Funds LTD

Form ADV Item 11 disclosures

The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.

• felony conviction (firm or advisory affiliate) (Item 11A(1), 3 reported)
• felony charge pending (Item 11A(2), 2 reported)
• SEC or CFTC finding of a false statement or omission (Item 11C(1), 2 reported)
• SEC or CFTC finding of a violation of regulations or statutes (Item 11C(2), 13 reported)
• SEC or CFTC order against the firm or an affiliate (Item 11C(4), 11 reported)
• SEC or CFTC civil money penalty or cease-and-desist (Item 11C(5), 9 reported)
• other regulator finding of a false statement or omission (Item 11D(1), 3 reported)
• other regulator finding of a violation (Item 11D(2), 32 reported)
• other regulator order, denial, suspension or revocation (Item 11D(4), 13 reported)
• other regulator restriction on activities (Item 11D(5), 2 reported)
• self-regulatory organization finding of a violation (Item 11E(2), 3 reported)
• civil court injunction (Item 11H(1)(a))
• civil court dismissal of a case with a settlement (Item 11H(1)(c))
• civil proceeding pending (Item 11H(2))