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Maxwell's mysterious death comes as the S2 billion (U.S.) global publishing empire he personally ran, which includes the
struggling New York News, is burdened with debt. Maxwell had been selling assets to raise money to meet a $750 million
payment due in October 1992.
In addition Maxwell had political troubles. He was suing U.S. journalist Seymour Hersh for alleging in a new book that lie had
ties to Israel's Mossad spy agency.
In London, Charles Wilson, director of the Mirror Group. said there had been no suggestion of foul play in the death: "We can
only asswne that Mr. Maxwell slipped and fell overboard."
Wilson also ruled out suicide, saying: "He had too much of the arrogance of his own ability to conceive of such a thing."
Maxwell was a big man with a powerful basso voice who browbeat his editors, fought a titanic running battle with rival
publisher Rupert Murdoch, and jetted about the world visiting presidents and prime ministers.
"My primary duty is to hire and fire editors," he said recently.
Born Labji Hoch to Jewish peasants in Czechoslovakia Maxwell lost his parents in the Nazi Holocaust and escaped to Britain
in 1940. He was a highly decorated Second World War veteran.
"He was larger than life," British Conservative party legislator Anthony Beaumont-Dark said of Maxwell. "He was the Citizen
Kane ofhis time."
His death raised questions about the future of his holdings.
In addition to the New York News, which he rescued from the brink of collapse in March Maxwell owns several British
tabloids and the European, an English-language weekly he founded in May 1990.
This year, Maxwell sold 49 per cent of the Mirror Group ofnewspapers in a public offering and his Pergamon Press publishing
house to a Dutch company. He also sold part of his U.S. publishing house, Macmillan, to a British publisher.
Maxwell's oldest son, Phillip. flew to the Canary Islands with Maxwell's widow, Elizabeth. to identify the body.
The yacht's captain, Gus Rankin, said Maxwell wanted "to cruise all night out at sea" so they decided to head in the direction of
Grand Canary island.
Maxwell was reported last seen by a member of the crew at 4:25 a.m. Tuesday, walking the deck of the Lady Ghislaine. His
last message was a call to the bridge 20 minutes later, asking that the air-conditioning be turned down.
The yacht turned back to Tenerife, anchoring eight kilometres off its southern coast at 9:30 a.m. Ninety minutes
later, a phone call to Maxwell's state room was not answered, prompting a search.
Three Spanish helicopters, a plane and three ships searched for six hours and found the body floating in the Atlantic between
Grand Canary and Tenerife, said Fernando Cano, spokesman at the Spanish rescue center in Madrid.
Elizabeth Maxwell. wearing black, looked sombre but calm. Vice-Consul Livingstone said he heard her say "something to the
effect that her husband was a colossus in life and a colossus in death."
Maxwell was to have addressed the Anglo-Israel Association at a London hotel Monday night, but organizers were told about
30 minutes before the event began that he was ill.
Maxwell is to be buried in Jerusalem, most likely on Sunday, but the timing depends on when the body is released by Spanish
authorities, said Dov Judkowski, editor of the Israeli daily Maariv. Maxwell's empire has a major share in the paper.
I PAGE 1
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MAXWELL-HY ACCT.
For the Period 7/1/1210 7/31/12
Adjusted Tax Cost Unrealized Est. Annual Income
Pike Quin* Value (Dural Cost Gain/Loss Accrued Interest Yield
US Fixed Income
CSC HOLDINGS LLC 117.00 10,030.00 11,700.00 11,425.00 275.00 862.50 5.49%
858% FEB 15 2019 397.70
DID 02/12/2009
126307-AC-I BB /EIA3
RCA INC 112.94 20,000.00 22,587.40 22,250.00 337.40 1,700.00 6.12%
81/2% APR 15 2019 500.54
DID 04/15/2010
404119-BF-5 BB /BA3
FELCOR LODGING LP 103.00 5,000.00 5,150.00 5,057.50 92.50 337.50 6.20%
6 3/4% JUN 01 2019 56.25
DTD 05/10/2011
314300-BB-2 B- /B2
CINEMARK USA INC 112.00 10,000.00 11,200.00 11,205.00 (5.00) 862.50 6.43%
858% JUN 152019 110.20
DTD 12/15/2009
172441-AS-6 B+ /82
FOREST OIL CORPORATION 96.75 10,000.00 9,675.00 10,200.00 (525.00) 725.00 7.87%
7 1/4% JUN 152019 92.63
DTD 12/15/2007
346091-AZ-4 B- FBI
LIMITED BRANDS INC 118.75 20,000.00 23,750.00 23,000.00 750.00 1,700.00 5.22%
8112% JUN 15 2019 217.22
DTD 12/15/2009
532716-AR-8 BB+ /BA1
REGAL CINEMAS CORP 112.38 3,000.00 3,371.25 3,375.00 (3.75) 258.75 8.39%
85/8% JUL 15 2019 11.49
DTD 07/15/2009
758753-AD-9 B- /B2
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CONFIDENTIAL SDNY_GM_00319636
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MAXWELL-HY ACCT.
For the Period 8/1/12 to 8/31/12
Adjusted Tax Cost Unrealized Est. Annual Income
Price Quantity Value Original Cost Gain/Loss Accrued Interest Yield
US Fixed Income
CONSOL ENERGY INC 108.00 15,000.00 16,200.00 16,556.25 (356.25) 1,237.50 6.88%
8 1/4% APR 01 2020 515.62
DTD 10A/1/2010
20854P-AF-6 BB /81
US STEEL CORP 99.62 10,000.00 9,961.90 10,437.50 (475.60) 737.50 7.44%
SR NOTES 7 343% APR 01 2020 307.29
DID 03/19/2010
912909-AF-5 BB MI
AIRCASTLE LTD 110.69 2,000.00 2,213.76 2,185.00 28.76 152.50 5.86%
7.625% APR 15 2020 36.00
DID 06/06/2012
00928O-AG-6 BB+ /BA3
CF INDUSTRIES INC 124.00 10,000.00 12,400.00 11,675.00 725.00 71250 3.52%
71/8% MAY 01 2020 237.50
DTD 04123/2010
12527G-AB-9 NR /BAA
OMNICARE INC 110.25 15,000.00 16,537.50 16,320.00 217.50 1,162.50 6.07%
73/4% JUN 01 2020 290.62
DID 05/18/2010
681904-AM-0 BB /BA3
RANGE RESOURCES CORP 109.75 9,000.00 9,877.50 9.720.00 157.50 807.50 5.23%
6 3/4% AUG 01 2020 50.62
DTD 08/12/2010
75281A-AL-3 BB /BA3
WYNN LAS VEGAS LLC CORP 112.41 10,000.00 11,240.50 10,950.00 290.50 775.00 5.78%
7 3/4% AUG 15 2020 34.44
DTD 08/04/2010
983130-AR-6 BBB /BA2
J.P Morgan Page 13 of 23
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CONFIDENTIAL SDNY_GM_00319668
EFTA01522882
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MAXWELL-HY ACCT.
For the Period 7/1/11 to 7/31/11
Trade Date Per Unit
Settle Date Type DeeCaption Quantity Amount Market Cost
Settled Securities Purchased
7/7 Purchase AMERICAS PART FIN CORP SR NOTES 61/2% MAY 20 15,000.000 102.30 (15,337.50)
7112 2021 DTD 01/2012011 0102.25 RBC CAPITAL
MARKETS CORPORATION FACE VALUE 15,000.00
(ID. 030981-AF-1)
7/7 Purchase FOREST OIL CORPORATION 71/4% JUN 15 2019 DTD 20,000.000 102.00 (20,400.00)
7/12 12/15/2007 0 102.00 CREDIT SUISSE FIRST BOSTON
LLC FACE VALUE 20,000.00 (ID: 346091-AZ-4)
7/7 Purchase ARCH COAL INC 7 1/4% OCT 01 2020 DTD 08/09/2010 15.000.000 103.00 (15,450.00)
7/12 (0 103.00 BONY/GRIFFIN,KUBIKSTEVENS & THOMS
FACE VALUE non® (ID: 039380-AC-4)
7/7 Purchase PIONEER NATURAL RESOURCE 71/2% JAN 15 2020 DTD 20,000.000 114.00 (22,800.00)
7/12 11/30/2009 0114.00 CSI US INSTITUTIONAL DESK
FACE VALUE 20,000.00 (ID: 723787-AM)
7/7 Purchase ALLBRITTON COMMUNICATION 8% MAY 15 2018 DTD 10,000.000 103.00 (10,300.00)
7112 04/30/2010 0103.00 CREDIT SUISSE FIRST BOSTON
LLC FACE VALUE 10,000.00 (ID: 016745-AL-5)
7/7 Purchase US STEEL CORP SR NOTES 73/8% APR 01 2020 DID 15,000.000 104.40 (15,656.25)
7/13 03/19/2010 0104.375 BANC OF AMERICA SEC LLC
FACE VALUE 15,000.00 (ID: 912909-AF-5)
7/8 Purchase PINNACLE ENTERTAINMENT 85/8% AUG 01 2017 DTD 10.000.000 108.50 (10,850.00)
7/13 0201/2010 0 108.50 BANC OF AMERICA SEC LLC
FACE VALUE 10,000.00 (ID: 723456-AK-5)
7/8 Purchase CLEAR CHANNEL WORLDWIDE 91/4% DEC 15 2017 DTD 10,000.000 110.00 (11,000.00)
7/13 06/15/2010 0110.00 DEUTSCHE BANK ALEX BROWN
FACE VALUE 10,000.00 (ID: 18451Q-AD-0)
718 Purchase DISH DBS CORP 7 7/8% SEP 01 2019 DTD 08/17/2009 15,000.000 109.80 (16,462.50)
7/13 O 109.75 FIRST UNION CAP MKTS/WHEAT FIRST FACE
VALUE 15,000.00 (ID: 25470X-AB-1)
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MAXWELL-HY ACCT.
For the Period 7/1/11 to 7/31/11
Trade Date Per Unit
Settle Date Type DeeCaption Quantity Amount Market Cost
Settled Securities Purchased
7/11 Purchase CONSTELLATION BRANDS INC 71/4% MAY 15 2017 OTD 15,000 000 110.00 (16,500.00)
7/14 11/15/2007 0 110.00 MORGAN STANLEY & CO.
INCORPORATED FACE VALUE 15,000.00
(ID: 21036P-AF-5)
7/11 Purchase STEEL DYNAMICS INC 7.75% APR 15 2016 DTD 15.000.000 105.80 (15,862.50)
7/14 0403/2008 O 105.75 FIRST UNION CAP MKTSIWHEAT
FIRST FACE VALUE 15,000.00 (ID: 858119-AN-0)
7/11 Purchase LENNAR CORPORATION 5.6% MAY 31 2015 DTD 3,000.000 96.00 (2.940.00)
7/14 4/28/2035 @ 98.00 BANC OF AMERICA SEC LLC FACE
VALUE 3,000.00 (ID: 526057-AS-3)
7/11 Purchase DR HORTON INC 81/2% APR 15 2016 DTD 1,000.000 104.50 (1,045.00)
7/14 04/17/2006 0 104.50 FIRST UNION CAP MKTSNVHEAT
FIRST FACE VALUE 1,000.00 (ID: 23331A-AZ-2)
7/11 Purchase RRI ENERGY INC 7 7/8% JUN 15 2017 DTD 25,000.000 100.80 (25,187.50)
7/14 06/13/2007 0 100.75 DEUTSCHE BANK ALEX BROWN
FACE VALUE 25,000.00 (ID: 74971X-AC-1)
7/11 Purchase OMNICARE INC 7 3/4% JUN 01 2020 DTD 05/18/2010 2,000.000 107.50 (2,150.00)
7/14 0 107.50 BARCLAYS CAPITAL INC FIXED INCOME FACE
VALUE 2,000.00 (ID: 881904-AM-0)
7/12 Purchase NRG ENERGY INC 8 1/4% SEP 01 2020 DTD 15.000.000 104.30 (15,637.50)
7/15 03/01/2011 0 104.25 BARCLAYS CAPITAL INC FIXED
INCOME FACE VALUE 15,000.00 (ID: 629377-BJ-0)
7/12 Purchase SERVICE CORP INTL 7% JUN 15 2017 010 06/15/2006 20,000.000 108.50 (21,700.00)
7/15 MULTI CPN 0 108.50 BANC OF AMERICA SEC LLC FACE
VALUE 20,000.00 (ID: 81756543F-0)
7/12 Purchase D R HORTON INC 81/2% APR 15 2016 DTD 9,000.000 105.00 (9,450.00)
7/15 04/17/2006 0 105.00 CANTOR FITZGERALD I
MORTGAGE BACKE FACE VALUE 9,000.00
(ID: 23331A-AZ-2)
J.P Morgan Page 34 of 35
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MAXWELL-HY ACCT
For the Period 1/1/12 to 1/31/12
Adjusted Tax Cost Unrealized Est. Annual Income
Price Quantity Value Original Cost Gain/Loss Accrued Interest Yield
US Fixed Income
OMNICARE INC 110.75 15,000.00 16,612.50 16,320.00 292.50 1,182.50 6.08%
7 3/4% JUN 01 2020 193.74
DTD 05/182010
681904-AM-0 BB /BA3
WYNN LAS VEGAS LLC CORP 113.00 10,000.00 11,300.00 10,950.00 350.00 775.00 5.80%
7 3/4% AUG 15 2020 357.38
DID 08/04/2010
963130-AR-6 BBB /BA2
NRG ENERGY INC 98.50 15,000.00 14,775.00 15,637.50 (862.50) 1,237.50 8.50%
81/4% SEP 01 2020 515.62
DTD 03/01/2011
829377-8J-0 BB- /B1
BALL CORP 110.50 15,000.00 16,575.00 18,050.00 525.00 1,012.50 5.22%
SR NOTES 6 3/4% SEP 15 2020 382.50
DTD 03/22/2010
058498-API BB. /BM
ARCH COAL INC 100.50 15,000.00 15,075.00 15,450.00 (375.00) 1,067.50 7.17%
71/4% OCT 01 2020 362.49
DID 08/09/2010
039380-AC-4 Be /81
BE AEROSPACE INC 109.75 15,000.00 16,462.50 16,012.50 450.00 1,031.25 5.45%
SR NOTES 6 7/8% OCT 01 2020 343.74
DTD 09/16/2010
055381-AR-8 BB /BA2
ENERGY TRANSFER EQUITY 110.50 20,000.00 22100.00 21,450.00 650.00 1,500.00 5.94%
7 1/2% OCT 15 2020 441.66
DTD 09/20/2010
29273V-AC-4 BB- IBA2
J.P Morgan Page 13 of 18
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CONFIDENTIAL SDNY_GM_00319476
EFTA01522706
DataSet-10
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MAXWELL-HY ACCT.
For the Period 7/I/Il to 7/31/11
Adjusted Tax Cost Unrealized Est. Annual Income
Price Quantity Value Original Cost Gain/Loss Accrued Interest Yield
US Fixed Income
RRI ENERGY INC 100.50 26030.00 25,125.00 25,187.50 (62.50) 1968.75 7.76%
77/8% JUN 15 2017 251.55
DTD 06/132007
74971X-AC-1 B /83
SERVICE CORP INTL 108.50 20,000.00 21700.00 21700.00 1,400.00 5.30%
7% JUN 15 2017 178.88
DTD 06/15/2006
MULTI CPN
817565-BFA BB- /BA3
SMITHFIELD FOODS INC 105.75 10,000.00 10,575.00 10,475.00 100.00 775.00 6.56%
SR NOTES 73/4% JUL 1 2017 64.58
DID 8/22/2007
832248-A0-1 El+ 1B3
PINNACLE ENTERTAINMENT 108.75 10,000.00 10,875.00 10,850.00 25.00 862.50 6.82%
8 5/8% AUG 01 2017 433.64
DTD 02/01/2010
723456-AK-5 BB /B1
CHESAPEAKE ENERGY CORP 108.75 15,000.00 16,312.50 15,975.00 337.50 975.00 4.81%
6 1/2% AUG 15 2017 44958
DTD 8/162005
1651037-BS-5 BB« /BA3
CCO HUMS LLC CAP CORP 105.50 15,000.00 15,825.00 15,825.00 1,087.50 8.17%
7 1/4% OCT 30 2017 274.89
DID 09/272010
1248EP-A0-8 BB- /B1
WINDSTREAM CORP 108.88 20,000.00 21,375.00 21,450.00 (75.00) 1,57600 8.52%
7 7/8% NOV 01 2017 393.74
DID 10/08/2009
97381WAJ-3 /BA3
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MAXWELL-HY ACCT.
For the Period 6/1/12 to 6/30112
Adjusted Tax Cost Unrealized Est. Annual Income
Price Quantity Value Original Cost Gain/Loss Accrued Interest Yield
US Fixed Income
SEAGATE TECHNOLOGY HDD H 111.13 10,030.00 11,112.50 10,600.00 512.50 680.00 3.93%
SR NOTES 6.80% OCT 1 2016 170.00
DTD 9/20/2006
81180R-AE-2 BB+ /BA1
SPRINT NEX7EL CORP 95.75 20,000.00 19,150.00 17,385.00 1,765.00 1,200.00 7.14%
6% DEC 1 2016 100.00
DTD 11/20/2006
852061-AD-2 B+ /B3
NANESBRANDS INC 110.13 10,000.00 11,012.50 10,825.00 187.50 800.00 5.41%
8% DEC 15 2016 35.55
DTD 12/10/2009
410345-AF-9 88-181
RITE AID CORP 102.00 20,000.00 20,400.00 20,150.00 250.00 1,500.00 6.99%
71/2% MAR 01 2017 500.00
DID 02/21/2007
767754-BL-7 B. /CAA
JARDEN CORP 112.00 15,000.00 16,800.00 16,052.50 747.50 1,125.00 4.69%
SR SUB NOTES 71/2% MAY I 2017 187.50
DTD 2/13/2007
471109-AB-4 B /B2
CONSTELLATION BRANDS INC 114.38 15,000.00 17,156.25 16,500.00 656.25 1,087.50 3.97%
71/4% MAY 15 2017 138.94
DTD 11/15/2007
21036P-AF-5 BB. /BA1
INGLES MARKETS INC 108.88 10,000.00 10,887.50 10,775.0D 112.50 887.50 6.71%
8 7/8% MAY 15 2017 113.40
DTD 05/12/2009
457030-AG-9 BB- n31
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Maxwell died on Nov. 5 off the Canary Islands in the Atlantic. His
nude body was found in the water hours after he disappeared from his
yacht.
An autopsy report said he probably died of a heart attack. It did
not reach a fmal determination, however, and some insurance
investigators reportedly think the mogul committed suicide.
The Serious Fraud Office has been investigating missing pension
funds of Maxwell's Mirror Group Newspapers PLC, as well as missing funds
from the Mirror Group.
The agency is also looking into a complaint from Swiss Bank Corp.,
which says it did not receive collateral for a $100 million loan to a
small private Maxwell company.
Asked why he didn't report this earlier, Jackson replied: "It didn't
really come to mind until reports came over the weekend that faxes had
gone missing?
WAD-DATE: September 21, 1995
I i,AGE :
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MAXWELL CREDIT CARD STATEMENTS
FINANCIAL BEGINNING ENDING/LAST
ACCOUNT NAME INSTUTITION ACCOUNT NUMBER STATEMENT STATEMENT COMMENT
GHISLAINE MAXWELL UBS BANK xxxM APR 2014 MAR 2019
GHISLAINE MAXWELL UBS BANK MAR 2014 JUNE 2019
GHISLAINE MAXWELL JPMC FEB 2013 FEB 2015
The March 2014 statement had an
ending balance therefore the
production did not include the last
statement. Given all that productions
reviewed, I have seen no
documentation to indicate that this
GHISLAINE MAXWELL JPMC MAY 2013 MAR 2014 account is still open.
The closing date of the last statement
was 12/18/19. The account number
stated is from Maxwell's Experian
report. Note that the last AMEX
statement stated "Account Ending 2-
A refreash subpoena is need for
GHISLAINE MAXWELL AMEX JUNE 2013 DEC 2019 subsequent statements.
Note that the statement for Scott
Borgerson schedules a sub account
XXXX XXXX for Ghislaine
Borgerson. The February 2019
statement has a beginning balance.
This may be attributable to adding
Ghislaine Borgerson to the statement in
that month.
SCOTT G BORGERSON
(GHSILAINE BORGERSON IS The last month of the production was
LISTED AS A SUB ACCOUNT November. A refreash subpoena is
HOLDER) USAA FEB 2019 NOV 2019 need for subsequent statements.
EFTA00073426
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MAXWELL-HY ACCT.
For the Period 8/1/12 to 8/31/12
Adjusted Tax Cost Unrealized Est. Annual Income
Price Quartly Value Original Cost Gain/Loss Accrued Interest Yield
US Fixed Income
EQUINIX INC 111.50 10,030.00 11,150.00 10,772.50 377.50 812.50 5.66%
SR NOTES 8 1a3% MAR 01 2018 408.50
DTD 03/030010
29444I.M.J.5 BB- /BA2
AVIS BUDGET CAR RENTAL 110.63 5,000.00 5,531.25 5,470.00 81.25 481.25 7.26%
95/8% MAR 15 2018 221.90
DTD 03/10/2010
053773-AL-1 B /82
CIT GROUP INC 104.25 20,000.00 20,850.00 20,140.00 710.00 1.050.00 4.38%
5 1/4% MAR 15 2018 484.16
DTD 03/15/2012
125581-GL-6 BB- /B1
CABLEVISION SYSTEMS CORP 108.75 10,000.00 10,875.00 10,775.00 100.00 775.00 5.90%
SR NOTES 7 3/4% APR 15 2018 292/7
DID 04/162010
12686C-AZ-2 B+ /B1
PAERRILL LYNCH & CO 116.39 10,000.00 11,638.70 11,080.41 558.29 687.50 394%
MEDIUM TERM NOTES 6 7/8% APR 25 2018 240.62
DTD 04/25/2006
590181'416-4 A- /BAA
ALLBRITTON COMMUNICATION 107.75 10,000.00 10,775.00 10,300.00 475.00 800.00 6.36%
8% MAY 15 2018 235.55
DTD 04/30/2010
016745-AL-5 B /82
CKE RESTAURANTS INC 115.25 7,000.00 8.087.50 7,735.00 332.50 796.25 8.06%
11 3/8% JUL 15 2018 101.73
DTD 07/12/2010
12561E-AK-1 B- /B2
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Maxwell Trial Witness List
Checks as of 5 October-6 October 2021
1.
I
I
I
• (U//FOLIO) EJustice: Negative
2.
I
I
I
• (U//FOLIO) EJustice: Negative
3.
I
I
I
• (U//FOLIO) EJustice: Negative
4.
I
I
I
• (U//FOLIO) EJustice: Negative
5.
I
I
I
I
• (U//FOLIO) EJustice: Negative
EFTA00068960
Maxwell Trial Witness List
Checks as of 5 October-6 October 2021
61
I
I
I
• (U//FOUO) EJustice: Negative
7.
I
I
I
• (U//FOLIO) EJustice: Positive
8.
I
I
I
o (U//FOUO) Phone:
• (U//FOLIO) EJustice: Negative with both DOBs
9.
I
I
I
• (U//FOLIO) EJustice: Negative
10
I
I
I
(U//FOLIO) Elustice: Negative
EFTA00068961
Maxwell Trial Witness List
Checks as of 5 October-6 October 2021
11
I
I
I
• (U//FOUO) EJustice: Positive (expired protection order)
1
aM
I
I
I
I
• (U//FOUO) EJustice: Negative
13
I
I
I
• (UHFOUO) Elustice: Positive
14.
I
• (U//FOUO) EJustice: Positive
15
I
I
I
• (U//FOUO) EJustice: Positive
EFTA00068962
Maxwell Trial Witness List
Checks as of 5 October-6 October 2021
16.
I
• (U//FOLIO) EJustice: Positive
17.
I
I
I
• (U//FOLIO) EJustice: Negative
18
I
I
I
• (U//FOLIO) EJustice: Negative
19
I
I
I
I
20
I
I
I
• (U//FOLIO) EJustice: Positive
EFTA00068963
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MAXWELL-HY ACCT.
For the Period 7/1/1210 7/31/12
Adjusted Tax Cost Unrealized Est. Annual Income
Mice Quantity Value Original Cost Gain/Loss Accrued Interest Yield
US Fixed Income
RRI ENERGY INC 105.00 15,000.00 15,750.00 15,112.50 637.50 1,181.25 6.65%
77/8% JUN 15 2017 150.93
DTD 06/13/2007
74971X-AC-1 B•/83
SERVICE CORP INTL 112.89 20,000.00 22,577.80 21,700.00 877.80 1400.03 4.06%
7% JUN 15 2017 178.88
DTD 08/15/2006
MULTI CPN
81756541F-0 BB-/BA3
SMITHFIELD FOODS INC 111.60 10,000.00 11,159.70 10.475.00 68470 775.00 5.05%
SR NOTES 73/4% JUL 1 2017 64.58
DID 8/22/2007
832248-A0-1 BBBI
PINNACLE ENTERTAINMENT 109.00 10,000.00 10,900.00 10,850.00 50.00 862.50 6.49%
8 5/8% AUG 01 2017 433.64
DTD 02/01/2010
723458-AK-5 BB- /B1
CHESAPEAKE ENERGY CORP 100.50 15,000.00 15,075.00 15,975.00 (900.00) 975.00 6.38%
61/2% AUG 15 2017 449.58
DTD 8/16/2005
165167-BS-5 BB- /BA3
CCO HMOS LLC CAP CORP 110.13 9,000.00 9,911.25 9,495.00 416.25 652.50 5.03%
71/4% OCT 30 2017 184.93
DID 09/27/2010
1248EP-A04 BB- /81
WINDSTREAM CORP 110.00 20,000.00 22,000.00 21,450.00 550.00 1575.00 5.84%
7 7/8% NOV 01 2017 393.74
DID 10/08/2009
973811ALAJ-3 B /BA3
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1 pages
MAXWELL-HY ACC
For the Period 8/1/12 to 8/31/12
Adjusted Tax Cost Unrealized Est. Annual Income
Price Otiandty Value Original Cost Gain/Loss Accrued Interest Yield
US Fixed Income
HCA INC 112.88 20,000.00 22,575.00 22,250.00 325.00 1,700.00 6.11%
8 1/2% APR 15 2019 642.22
DTD 04/15/2010
404119-8F-5 BB /8A3
FELCOR LODGING LP 107.11 5,000.00 5,355.30 5,057.50 297.80 337.50 5.47%
6 3/4% JUN 01 2019 84.37
DTD 05/10/2011
314300-BB-2 B-/B2
CINEMAFtK USA INC 111.75 10,000.00 11,175.00 11,205.00 (30.00) 862.50 6.46%
8 5/8% JUN 152019 182.08
UM 12/15/2009
172441-AS-6 B. /82
P FOREST OIL CORPORATION 97.88 8,000.00 7,830.00 8,160.00 (330.00) 580.00 7.65%
7 1/4% JUN 15 2019 154.28
DTD 12/15/2007
346091-AZ-4 B- /B2
LIMITED BRANDS INC 119.88 20,000.00 23,976.00 23,000.00 976.00 1,700.00 5.01%
812% JUN 15 2019 358.88
DM 12/15/2009
532716-AR-8 BBB /BA1
REGAL CINEMAS CORP 111,50 5,000.00 5,575.00 5,640.00 (65.00) 431.25 6.52%
85/8% JUL 15 2019 55.10
DTD 07/15/2009
758753-AD-9 B-/82
DISH DBS CORP 115.06 15,000.00 17,259.30 16,462.50 796.80 1,181.25 5.27%
7 7/8% SEP 01 2019 593.89
DTD 08/17/2009
25470X-AB-1 BB- /BA2
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1 pages
MAXWELL-HY ACCT.
For the Period 9/1/12 to 9/30/12
Adjusted Tax Cost Unrealized Est. Annual Income
Price Quantity Value Original Cost Gain/Loss Accrued Interest Yield
US Fixed Income
BOISE PAPER HDG CO ISSR 110.00 10,030.00 11,000.00 10,862.50 137.50 800.00 6.31%
8% APR 01 2020 400.00
DTD 03/19/2010
097470-AB-9 BB /BA3
CONSOL ENERGY INC 104.50 15,000.00 15,675.00 16,556.25 (881.25) 1,237.50 7.48%
8 1/4% APR 01 2020 618.75
DTD 10/01/2010
20854P-AF-6 BB /B1
US STEEL CORP 99.91 10,000.00 9,991.40 10,437.50 (446.10) 737.50 7.39%
SR NOTES 73/8% APR 01 2020 368.75
DTD 03/19/2010
912909-AF-5 BB /81
AIRCASTLE LTD 111.88 2,000.00 2,237.62 2,185.00 52.82 152.50 5.67%
7.625% APR 15 2020 48.71
DTD 06/06/2012
009280-AG-6 BB+ /8A3
CF INDUSTRIES INC 125.50 10,000.00 12,550.00 11,675.00 875.00 712.50 3.30%
71/8% MAY 01 2020 296.87
DTD 04/23/2010
125270-AB-9 NR /BAA
OMNICARE INC 110.06 15,000.00 16,509.30 16,320.00 189.30 1,162.50 6.09%
7 3/4% JUN 01 2020 387.49
DTD 05/18/2010
681904-AM-0 BB /BA3
ADVANCE MICRO DEVICES 101.50 10,000.00 10,150.00 10,310.00 (160.00) 775.00 7.49%
7 3/4% AUG 01 2020 129.16
DTD 08/04/2010
007903-AU.1 BB- /8A3
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EFTA01522908
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1 pages
MAXWELL-HY ACCT.
For the Period 1/1/12 to 1/31/12
Adjusted Tax Cost Unrealized Est. Annual Income
Price Quantity Value Original Cost Gain/Loss Accrued Interest Yield
US Fixed Income
JARDEN CORP 107.25 10,000.00 10,725.00 10,487.50 237.50 75000 5.87%
SR SUB NOTES 71/2% MAY 1 2017 187.50
DTD 2/13/2007
471109-AB-4 B /B2
CONSTELLATION BRANDS INC 112.00 15,000.00 16,800.00 16,500.00 300.00 1.087.50 4.66%
71/4% MAY 15 2017 229.57
DTD 11/15/2007
21036P-AF-5 BB• /BA2
INGLES MARKETS INC 109.50 10,000.00 10,950.00 10,775.00 175.00 887.50 6.71%
8 7/8% MAY 15 2017 187.36
DTD 05/12/2009
457030-AG-9 BB-/B1
RRI ENERGY INC 92.75 25,000.00 23,187.50 25,187.50 (2,000.00) 1,968.75 9.63%
7 7/8% JUN 152017 251.55
DID 06/132007
74971X-AC-1 B /B3
SERVICE CORP INTL 111.00 20,000.00 22,200.00 21,700.00 500.00 1,400.00 4.86%
7%JUN 15 2017 178.88
DTD 06/15/2006
MULTI CPN
817565-BF-0 BB- /BA3
SMITHFIELD FOODS INC 113.13 10,000.00 11,312.50 10,475.00 837.50 775.00 4.96%
SR NOTES 7 3/4% JUL 1 2017 64.58
DTD 6/22/2007
832248-AO-1 BB- /B2
PINNACLE ENTERTAINMENT 107.50 10,000.00 10,750.00 10,850.00 (100.00) 862.50 6.98%
8 5/816 AUG 01 2017 433.64
DID 02/010010
723456-AK-5 BB 1B1
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1 pages
MAXWELL-HY ACCT.
For the Period 5/1/12 to 5/31/12
Adjusted Tax Cost Unrealized Est. Annual Income
Pdce Quantity Value Original Cost Gain/Loss Accrued Interest Yield
US Fixed Income
AMERICAS PART FIN CORP 96.75 7%00.00 6,772.50 N/A ^ N/A 455.00 6.99%
SR NOTES 6 1/2% MAY 20 2021 13.90
DTD 01/20/2011
030981.AF.1 NA /BA3
IRON MOUNTAIN INC 106.75 15,000.00 16,012.50 15,900.00 112.50 1,256.25 7.35%
8 3/8% AUG 15 2021 369.88
DTD 08/1012009
46284P-AM-6 B. /B1
NAVISTAR INTL CORP 105.00 10,000.00 10,500.00 10,987.50 (487.50) 825.00 7.50%
SR NOTES 8 1/4% NOV 01 2021 68.75
DTD 10/28/2009
63934E-AM-0 BB- /91
CCO FILOGS LLC/CAP CORP 102.38 6,000.00 6,142.50 5,970.00 172.50 397.50 6.29%
6 5/8% JAN 26 2012 139.12
DTD 01/31/2022
1248EP•AX•1 BB• /B1
COVANTA HOLDING CORP 103.69 3,000.00 3,110.64 3,09150 18.14 191.25 5.89%
6 3/8% OCT 01 2022 38.25
DTD 03/19/2012
22282E-AE-2 B+ /BA3
QEP RESOURCES INC 97.75 20,000.00 1%550.00 19,861.25 (311.25) 1.075.00 5.66%
5 3/8% OCT 01 2022 268.74
DTD 03/01/2012
74733V-AB-6 BB+ A3A1
FORD MOTOR COMPANY 130.25 15,000.00 19,537.50 17,580.00 1,957.50 1,117.50 4.98%
GLOBAL LANDMARK SECURITIES NOTES 419.05
7.45% JUL 16 2031
DTD 7/16/99
345370-CA-6 BB+ /BM
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MAXWELL-HY ACCT.
For the Period 6/1/12 to 6/30112
Adjusted Tax Cost Unrealized Est. Annual Income
Price Own,* Value Original Cost Gain/Loss Accrued Interest Yield
US Fixed Income
ALLBRITTON COMMUNICATION 104.50 10,030.00 10,450.00 10,300.00 150.00 800.00 7.05%
8% MAY 15 2018 102.22
DTD 04130/2010
016745-AL-5 B /82
P CKE RESTAURANTS NC 114.25 7,000.00 7,997.50 7,735.00 262.50 796.25 8.32%
11 3/8% JUL 15 2018 367.15
DTD 07/12/2010
12561E-AK-1 5- /I32
METROPCS WIRELESS INC 103.75 15,000.00 15,562.50 16,012.50 (450.00) 1,181.25 7.11%
SR NOTES 7 7/8% SEP 01 2018 393.75
DTD 09/21/2010
591709-AK-6 B /62
FRONTIER COMMUNICATIONS 106.25 20,000.00 21,250.00 21,950.00 (700.00) 1,625.00 6.87%
SR NOTES 81/8% OCT 01 2018 408.24
DTD 10/01/2009
35906A-AB-4 BB /BA2
NIELSEN FINANCE LLC/CO 110.75 10,000.00 11,075.00 11,040.00 35.00 775.00 5.69%
7 3/4% OCT 15 2018 163.61
DTD 04/15/2011
654090-AY-8 BB- /82
DAVITA INC 10325 10,000.00 10,325.00 10,200.00 125.00 637.50 5.75%
6 3/896 NOV 01 2018 106.25
DTD 10/20/2010
23918K-AL-2 B /B2
CSC HOLDINGS LLC 115.50 10,000.00 11,550.00 11,425.00 125.00 862.50 5.77%
8 98% FEB 15 2019 325.83
DTD 02/12/2009
126307-AC-1 BB /BA.3
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1 pages
MAXWELL-HY ACCT.
For the Period 9/1/11 to 9/30/11
Adjusted Tax Cost Unrealized Est. Annual Income
Nice Quantity Value Dural Cost Gain/Loss Accrued Interest Yield
US Fixed Income
WEYERHAEUSER CO 110.44 10,000.00 11,044.00 11,509.70 (465.70) 737.50 5.73%
7 3/8% OCT 01 2019 368.75
DTD 10/01/2009
962166-BV-5 BBB /BA1
UNITED RENTALS NORTH AM 103.75 15,000.00 15562.50 18,687.50 (1,125.00) 1,387.50 8.60%
91/4% DEC 15 2019 408.54
DID 11/17/2009
911365-AU-8 8 /132
PIONEER NATURAL RESOURCE 112.25 20,000.00 22,449.40 22,800.00 (350.60) 1,500.00 5.63%
7 1/2% JAN 15 2020 316.66
DID 11/30/2009
723787-AJ-6 BB+ /BA1
NEWFIELD EXPLOFtATION CO 103.00 20,000.00 20,600.00 21,450.00 (850.00) 1,375.00 6.40%
6 7/8% FEB 01 2020 229.16
DTD 01/25/2010
651290•AN4B BB* /BA2
LEAR CORP 105.00 10,000.00 10,500.00 10,945.00 (445.00) 81250 7.32%
81/8% MAR 15 2020 36.11
DID 03/26/2010
521865-AS-4 BB /BA3
MOM RESORTS INTERNATIONAL 103,88 15,000.00 15,58125 16,612,50 (1631.25) 1,350.00 8.35%
9% MAR 15 2020 60.00
DTD 0315/201I
553030-AD-2 B /BA3
BOISE PAPER HDG CO ISSR 101.38 5,000.00 5,068.75 5,312.50 (243.75) 400.00 7.78%
8% APR 01 2020 200.00
DTD 03/1942010
09747GA 8-9 8B /B1
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DataSet-10
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1 pages
MAXWELL-HY ACCT.
For the Period 5/1/12 to 5/31/12
Adjusted Tax Cost Unrealized Est. Annual Income
Pike Quantity Value (Dural Cost Gain/Loss Accrued Interest Yield
US Fixed Income
UNITED RENTALS NORTH AM 110.25 15,000.00 16,537.50 16,687.50 (150.00) 1,387.50 7.45%
9 IA% DEC 15 2019 639.78
DTD 11/17/2009
911365-AU-13 B fB3
PIONEER NATURAL RESOURCE 123.65 20,000.00 24,730.80 22,800.00 1,930.80 1,500.00 3.88%
71/2% JAN 15 2020 566.66
DTD 11/30/2009
723787-AJ-6 BBB /BM
NEWFIELD EXPLORATION CO 106.00 20,000.00 21,200.00 21,450.00 (250.00) 1,375.00 5.89%
6 7/8% FEB 01 2020 458.32
DTD 01/25/2010
651290-AN-8 BB. /BA2
LEAR CORP 112.00 10,000.00 11,200.00 10,945.00 255.00 812.50 6.16%
81/8% MAR 152020 171.52
DTD 0126/2010
521865-AS-4 BB /BA2
MOM RESORTS INTERNATIONAL 109.50 15,000.00 16,425.00 16,612.50 (187.50) 1,350.00 7.37%
9% MAR 15 2020 285.00
DTD 03/15/2011
553030-AD-2 B. 43A2
BOISE PAPER HDO CO ISSR 109.50 10,000.00 10,950.00 10,862.50 87.50 800.00 6.43%
8% APR 01 2020 133.33
DTD 03/19/2010
097470-AB-9 BB fBA3
CONSOL ENERGY INC 100.00 15,000.00 15,000.00 16,558.25 (1,556.25) 1,237.50 8.25%
8 1/4% APR 01 2020 206.25
DTD 10/01/2010
20854P-AF-6 BB fEl1
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