DataSet-10
Unknown
76 pages
GHISLAINE MAXWELL
EFTA01570923
EFTA01570924
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
(Reviewed)
For the Period 10/1/12 to 10/31/12
Asset Account
J.P. Morgan Team
Jason Bell
Janet Young
Gina Magliocco
Investment Specialist
Client Service Team
Client Service Team
Table of Contents
Account Summary
Holdings
Equity
Alternative Assets
Cash & Fixed Income
Other Assets
Portfolio Activity
Online access
www.jpmorganonline.com
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
Page
2
5
8
9 R
15
17
Client News
If you plan to make gifts of securities this year, please
notify your Client Service Representative before
December 1, 2012. This will allow us to process your
request before year-end and meet the deadline for tax
filing purposes.
0000000059.00.0.9E.00001.MAXWE04.20121107
Page 1 of 35
EFTA01570925
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Other
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
716,979.98
84,903.67
7,349,854.32
95,080.11
$8,246,818.08
19,968.17
$8,266,786.25
Ending
Market Value
725,752.95
82,482.42
7,363,104.02
159,882.30
$8,331,221.69
17,581.99
$8,348,803.68
Current
Portfolio Activity
Beginning Market Value
Contributions
Withdrawals & Fees
Securities Transferred In
Securities Transferred Out
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
(243.16)
1,724,107.92
(1,677,063.23)
$46,801.53
16,946.04
20,656.04
$8,331,221.69
17,581.99
$8,348,803.68
EFTA01570926
Period Value
8,246,818.08
Change
In Value
8,772.97
(2,421.25)
13,249.70
64,802.19
$84,403.61
(2,386.18)
$82,017.43
Year-to-Date
Value
4,926,904.29
4,972,947.20
(2,081,165.74)
14,267,350.24
(14,755,268.29)
$2,403,863.41
90,546.88
909,907.11
$8,331,221.69
17,581.99
$8,348,803.68
Estimated
45,693.48
45,161.61
$90,855.09
Current
Annual Income Allocation
11%
1%
86%
2%
100%
Equity
Cash &
Fixed Income
Other
Alternative
Assets
Asset Allocation
Page 2 of 35
EFTA01570927
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Account Summary
Tax Summary
Domestic Dividends/Distributions
Foreign Dividends
Currency Gain/Loss
Interest Income
Taxable Income
Tax-Exempt Income
Bond Premium Amortization
Tax-Exempt Income
CONTINUED
Current
Period Value
5,925.00
2,579.61
13.27
7,709.30
$16,227.18
1,250.00
(531.14)
$718.86
Year-to-Date
Value
14,729.60
12,777.47
(15,363.25)
71,366.89
$83,510.71
10,000.00
(2,963.83)
$7,036.17
Unrealized Gain/Loss
To-Date Value
($57,046.10)
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
Year-to-Date
Value
(45,626.77)
(82,656.00)
($128,282.77)
Note: * This summary is for informational purposes only and is not to be
used for any financial or tax purposes. This summary does not include
securities which are taxable at the
federal level but are state exempt. This summary may not include all income
derived from Municipal Securities; Please consult your tax advisor for tax
EFTA01570928
implications.
1 Other category combines all the remaining Tax Exempt Income generated by
securities in the account which may not have a state affiliation.
Tax-Exempt Income
Summary by State*
MA
MI
Current
Period Value
718.86
Year-to-Date
Value
1,824.06
1,606.61
Tax-Exempt Income
Summary by State*
TX
Tax-Exempt Income
$718.86
Current
Period Value
Year-to-Date
Value
3,605.50
$7,036.17
Page 3 of 35
EFTA01570929
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Account Summary
Cost Summary
Equity
Cash & Fixed Income
Other
Total
CONTINUED
Cost
764,967.39
7,391,756.64
90,364.18
$8,247,088.21
Page 4 of 35
EFTA01570930
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Equity Summary
Asset Categories
US Large Cap Equity
US Small/Mid Cap Equity
Non-US Equity
Preferred Stocks
Concentrated & Other Equity
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Equity Detail
Price
US Large Cap Equity
APACHE CORP
037411-10-5 APA
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Beginning
Market Value
55,587.22
5,130.00
139.76
449,298.00
206,825.00
$716,979.98
Ending
Market Value
58,158.40
3,990.00
150.05
449,211.00
214,243.50
$725,752.95
Current
Period Value
725,752.95
764,967.39
EFTA01570931
(39,214.44)
45,693.48
1,853.65
6.27%
US Large Cap Equity
Concentrated & Other Equity
Equity as a percentage of your portfolio - 11 %
Change
In Value
2,571.18
(1,140.00)
10.29
(87.00)
7,418.50
$8,772.97
Current
Allocation
1%
1%
1%
5%
3%
11%
US Small/Mid Cap Equity
Preferred Stocks
Non-US Equity
Asset Categories
82.72
95.000
7,858.31
11,403.30
(3,544.99)
64.60
16.15
0.82%
Page 5 of 35
EFTA01570932
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Price
US Large Cap Equity
BANK OF AMERICA CORP
CITIGROUP INC NEW
060505-10-4 BAC
37.39
172967-42-4 C
PROSHARES ULTRASHORT S&P500 NEW
PROSHARES TRUST
SCHLUMBERGER LTD
Total US Large Cap Equity
74347B-30-0 SDS
30.61
74347X-23-7 QID
69.53
806857-10-8 SLB
$58,158.40
$116,137.71
($57,979.31)
$240.98
$16.15
US Small/Mid Cap Equity
GERON CORP
374163-10-3 GERN
Non-US Equity
RIO TINTO PLC
ISIN GB0007188757 SEDOL 0718875
766994-90-9 GBP
0.41%
113.000
7,856.89
9,524.04
(1,667.15)
124.30
1.58%
200.000
6,122.00
26,203.50
(20,081.50)
56.55
250.000
14,137.50
44,809.50
(30,672.00)
358.000
13,385.62
14,048.52
(662.90)
14.32
EFTA01570933
0.11%
9.32
944.000
8,798.08
10,148.85
(1,350.77)
37.76
0.43%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
1.33
3,000.000
3,990.00
18,129.32
(14,139.32)
50.02
3.000
150.05
212.23
(62.18)
Page 6 of 35
EFTA01570934
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Price
Preferred Stocks
CITIGROUP CAPITAL XIII
7 7/8% PFD
173080-20-1 C PNNA /BA1
COUNTRYWIDE CAPITAL V
7% PFD
222388-20-9 CFC PB
3PM CHASE CAPITAL XXIX
6.7% PFD
48125E-20-7 3PM PC
Total Preferred Stocks
26.31
2,500.000
65,775.00
$449,211.00
62,500.00
$422,578.96
3,275.00
$26,632.04
4,187.50
$31,227.50
$1,837.50
Concentrated & Other Equity
GENERAL MOTORS CO
CV PFD B
37045V-20-9 GM PB
JPMORGAN CHASE & CO
7.9% PFD STK APR 30 2049
DTD 04/23/2008
46625H-HA-1 BBB /BA1
Total Concentrated & Other Equity
$214,243.50
$207,909.17
$6,334.33
$14,225.00
6.57%
115.75
150,000.000
173,623.50
157,909.17
15,714.33
11,850.00
6.74%
6.37%
6.95%
25.08
4,200.000
105,336.00
EFTA01570935
98,778.96
6,557.04
7,350.00
1,837.50
6.98%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
27.81
10,000.000
278,100.00
261,300.00
16,800.00
19,690.00
7.08%
40.62
1,000.000
40,620.00
50,000.00
(9,380.00)
2,375.00
5.85%
Page 7 of 35
EFTA01570936
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Estimated Value
84,903.67
Alternative Assets Detail
Price
Hard Assets
ETFS METAL SECURITIES LTD
ISIN JEO0B1VS3770 SEDOL BlVS377
131994-91-5
SPDR GOLD TRUST
Total Hard Assets
78463V-10-7 GLD
$82,482.42
$76,999.78
166.83
190.000
31,697.70
31,931.40
168.72
301.000
50,784.72
45,068.38
Quantity
Estimated
Value
Cost
Ending
Estimated Value
82,482.42
Change
In Value
(2,421.25)
Current
Allocation
1%
Page 8 of 35
EFTA01570937
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Non-USD Cash
Non-USD Short Term
US Fixed Income
Non-US Fixed Income
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
Market Value
5,840,799.03
349,222.62
114,401.87
632,074.05
413,356.75
$7,349,854.32
Ending
Market Value
5,855,471.25
17,878.83
445,969.02
633,126.82
410,658.10
$7,363,104.02
Current
Period Value
7,363,104.02
7,391,756.64
(28,652.62)
45,161.61
15,728.34
0.57%
Change
In Value
14,672.22
(331,343.79)
331,567.15
1,052.77
(2,698.65)
$13,249.70
Current
Allocation
EFTA01570938
67%
1%
5%
8%
5%
86%
Non-USD Short Term
Non-USD Cash
US Fixed Income
Non-US Fixed Income
Asset Categories
Cash
Cash & Fixed Income as a percentage of your portfolio - 86 %
Page 9 of 35
EFTA01570939
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
6-12 months,
1-5 years'
10+ years'
Total Value
1
SUMMARY BY TYPE
Market
Value
6,461,828.22
114,237.95
559,870.35
227,167.50
$7,363,104.02
% of Bond
Portfolio
89%
1%
7%
3%
100%
The years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their stated maturity.
Note:
R indicates position reviewed.
1
Cash & Fixed Income
Cash
NON USD Cash
Corporate Bonds
Municipal Bonds
International Bonds
Mutual Funds
Total Value
Market
Value
5,855,471.25
17,878.83
305,077.00
227,167.50
935,554.13
21,955.31
$7,363,104.02
A - Bonds purchased at a premium show amortization.
This is the Annual Percentage Yield (APY) which is the rate earned if
EFTA01570940
balances remain on deposit for a full year with compounding, there is no
change in the interest rate and all interest
is left in the account.
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
3PM NY MUNI MM FD - MORGAN
Total Cash
FUND 3
$5,855,471.25
$5,855,471.25
$0.00
$585.54
$49.50
0.01%
1.00
1.00
5,855,470.25
1.00
5,855,470.25
1.00
5,855,470.25
1.00
585.54
49.50
0.01%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
% of Bond
Portfolio
79%
1%
4%
3%
12%
1%
100%
Page 10 of 35
EFTA01570941
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Price
Non-USD Cash
AUSTRALIAN DOLLAR
POUND STERLING
HONG KONG DOLLAR
TURKISH LIRA NEW
PRINCIPAL CURRENCY
Total Non-USD Cash
1.04
1.61
0.13
0.56
100.00
4,212.18
950.00
19,500.00
103.69
6,786.03
122.58
10,866.53
$17,878.83
103.25
6,726.54
122.44
10,763.97
$17,716.20
0.44
59.49
0.14
102.56
$162.63
$0.00
0.00%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Non-USD Short Term
JP MORGAN CHASE BANK - NOK
17.52
LONDON TIME DEPOSITS 0.8500%
DATED 10/30/2012 MATURITY 11/06/2012
HELD BY LONDON TREASURY SERVICES
Bearer
EFTA01570942
2532D9-9R-9 NOK
JP MORGAN CHASE BANK - CAD
LONDON TIME DEPOSITS 0.5700%
DATED 10/31/2012 MATURITY 11/07/2012
HELD BY LONDON TREASURY SERVICES
Bearer
2532D9-9Y-4 CAD
100.05
115,616.13
115,673.97
113,223.45
2,450.52
659.33
1.73
0.58%
1,233,545.68
216,057.10
208,173.12
7,883.98
1,836.48
10.15
0.86%
Page 11 of 35
EFTA01570943
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Price
Non-USD Short Term
KFW - TRY
MTN 9 3/4% JUL 16 2013
DTD 02/10/2010
HELD BY EUROCLEAR
ISIN XS0484842470 SEDOL B637YV8
14085A-9A-6 AAA /AAA TRY
Total Non-USD Short Term
$445,969.02
$456,952.13
($10,983.11)
$13,362.34
$3,227.14
US Fixed Income
JPM MANAGED RESERVES C
(DIST) - GBP (HEDGED)
051398-91-5 GBP
ISHARES MARKIT IBOXX CORPORATE BOND
ISIN IE00B00FV011 SEDOL BOOFV01
461278-91-3 GBP
HSBC FINANCE CORP
MEDIUM TERM NOTE 2.9% OCT 15 2015
DTD 10/15/2010
40429X-YB-6 A /BAA
GENERAL ELEC CAP CORP
MEDIUM TERM FLOATING RATE NOTE
MAY 11 2016 DTD 05/11/2007
36962G-2V-5 AA+ /A1
BANK OF AMERICA CORP
MEDIUM TERM NOTE
3.6% NOV 15 2016
DTD 11/04/2010
06050W-DW-2 A- /BAA
Page 12 of 35
103.19
150,000.00
154,786.50
150,000.00
4,786.50
5,400.00
2,490.00
2.76%
97.69
50,000.00
48,842.50
45,394.50
3,448.00
333.42
EFTA01570944
75.90
1.34%
101.45
100,000.00
101,448.00
100,000.00
1,448.00
2,900.00
128.80
2.39%
209.10
105.00
21,955.31
19,023.08
2,932.23
10,321.30
7.65
78,927.01
80,157.26
(1,230.25)
2.10%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
57.12
200,000.00
114,237.95
135,555.56
(21,317.61)
10,866.53
3,215.26
5.97%
EFTA01570945
GHISLAINE MAXWELL
ACCT.
For the Period 10/1/12 to 10/31/12
Price
US Fixed Income
A MI ST MUNI BOND AUTH
ST CLEAN WTR REVOLVING FD 5%
OCT 01 2026 DTD 11/02/2006
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 10/01/2016 @ 100
59455T-PF-3 AAA /AAA
A BIRDVILLE TEXAS INDEPENDENT SCHOOL
DIST PERM SCH GTD FUND UNLIMITED TAX
5% FEB 15 2029 DTD 01/15/2007
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 02/15/2017 @ 100
090874-FV-5 AAA /AAA
A MA ST HLTH & EDUCTNL FACS AUTH
REVENUE HARVARD UNIV 5% B
JUL 15 2032 DTD 08/03/2005
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 07/15/2015 @ 100
57586C-FW-0 AAA /AAA
Total US Fixed Income
$633,126.82
$610,767.46
$614,541.84
Non-US Fixed Income
BLUEBAY HIGH YIELD BD FD GBP HDG-DB
ISIN LU0222772518
G13289-92-4 GBP
ISHARES BARCLAYS CAPITAL
ISIN IE00B1FZSD53 SEDOL B1G52V0
46578W-92-2 GBP
20.40
5,790.00
118,092.21
118,212.32
(120.11)
1,851.44
201.03
187.90
37,772.54
39,293.00
(1,520.46)
$22,359.36
$18,633.42
$4,694.60
2.54%
109.64
50,000.00
EFTA01570946
54,817.50
53,047.38
54,040.00
1,770.12
2,500.00
736.10
4.27%
114.71
100,000.00
114,708.00
108,704.81
110,503.00
6,003.19
5,000.00
1,055.50
3.78%
115.28
50,000.00
57,642.00
54,440.43
55,424.00
3,201.57
2,500.00
208.30
3.59%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 13 of 35
EFTA01570947
GHISLAINE MAXWELL
ACCT.
For the Period 10/1/12 to 10/31/12
Price
Non-US Fixed Income
R INTER AMERICAN DEVELOPMENT BANK- INR
MEDIUM TERM NOTE 3% MAR 25 2014
DTD 03/25/2010
HELD BY EUROCLEAR
ISIN XS0495010562 SEDOL B5114T3
U45818-9G-5 AAA /AAA INR
INTER AMERICAN DEVEL BK - IDR
MEDIUM TERM NOTE 6.50% JUN 04 2014
DTD 06/04/2010
HELD BY EUROCLEAR
ISIN XS0513770957 SEDOL B4YWHCO
45818W-9K-4 AAA /AAA IDR
Total Non-US Fixed Income
$410,658.10
$450,849.60
($40,191.50)
$12,580.31
$7,757.10
3.96%
0.01 1,300,000,000.00
136,656.00
150,112.11
(13,456.11)
8,797.50
3,615.30
5.89%
1.76
10/10/12
6,700,000.00
118,137.35
143,232.17
(25,094.82)
3,782.81
2,290.36
6.96%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 14 of 35
EFTA01570948
EFTA01570949
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Other Summary
Asset Categories
Balanced
Beginning
Estimated Value
95,080.11
Ending
Estimated Value
159,882.30
Change
In Value
64,802.19
Current
Allocation
2%
Current
Market Value/Cost
Estimated Value
Tax Cost
Estimated Gain/Loss
Note:
**
Period Value
159,882.30
90,364.18
5,338.32
Unrealized Gain/Loss is shown as "N/A" in cases where we do not have
appropriate cost information for all tax lots comprising the position.
Please contact your J.P. Morgan team for additional
information.
Other Detail
Price
Balanced
JPM INC OPP - GBP - A - DIST(HEDGED)
ISIN LU0323456201
287991-93-9 GBP
146.49
438.109
64,179.80
N/A **
N/A
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Accruals
Page 15 of 35
EFTA01570950
EFTA01570951
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Price
Balanced
PIMCO FUNDS GLOBAL INVESTORS SERIES
- GLOBAL INVESTMENT GRADE CREDIT
FUND
ISIN IE00B3BMD843 SEDOL B3BMD84
695421-91-7 GBP
Total Balanced
$159,882.30
$90,364.18
$5,338.32
21.94
4,361.513
95,702.50
90,364.18
5,338.32
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Accruals
Page 16 of 35
EFTA01570952
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
INFLOWS
Income
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS **
Withdrawals
Foreign Exchange - Outflows
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
$0.00
$5,855,470.25
640,598.74
(41,431.40)
$599,167.34
-$0.00
$0.00
$0.00
-$0.00
$14,672.22
Period
Value
5,840,798.03
14,672.22
Year-To-Date
Value*
-75,471.33
4,972,118.20
622,934.18
$5,670,523.71
(1,419,530.95)
(159,902.42)
($1,579,433.37)
$0.00
$0.00
$0.00
$0.00
INCOME
Current
Period
EFTA01570953
Value
0.00
Year-To-Date
Value*
-Current
Securities
Transferred In/Out
Securities Transferred Out
Period Value
(13,231.00)
Year-To-Date
Value*
(13,231.00)
Page 17 of 35
EFTA01570954
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Portfolio Activity Summary - U S Dollar
Current
Cost Adjustments
Amortization
Cost Adjustments
Total Cost Adjustments
($531.14)
Period Value
(531.14)
Year-To-Date
Value*
(2,963.83)
9,237.41
$6,273.58
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets
from your position
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
10/1
Municipal Interest
Description
MI ST MUNI BOND AUTH ST CLEAN WTR REVOLVING FD
5% OCT 01 2026 DTD 11/02/2006 HELD BY DTC BOOK
ENTRY ONLY PAR CALL 10/01/2016 @ 100
(ID: 59455T-PF-3)
10/1
10/2
10/12
Interest Income
Interest Income
Foreign Dividend
DEPOSIT SWEEP INTEREST FOR SEPT @ .01% RATE ON
NET AVG COLLECTED BALANCE OF $5,779,724.08 AS
OF 10/01/12
3PM CHASE CAPITAL XXIX 6.7% PFD @ 0.41875 PER
SHARE (ID: 48125E-20-7)
SCHLUMBERGER LTD @ 0.275 PER SHARE
(ID: 806857-10-8)
2,500.000
113.000
0.419
0.275
1,046.88
31.08
47.39
EFTA01570955
Quantity
Cost
50,000.000
Per Unit
Amount
0.025
PRINCIPAL
Amount
1,250.00
INCOME
Amount
Page 18 of 35
EFTA01570956
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
10/15
10/30
10/30
Corporate Interest
Div Domest
Interest Income
Total Inflows & Outflows
SECURITIES TRANSFERRED IN/OUT
Notes:
Settle Date Selection Method
Securities Transferred In
10/5
Description
NonTaxableExchange PROSHARES ULTRASHORT S&P500 NEW REVERSE SPLIT -
HOLDERS RECEIVE 1 NEW UNIT FOR EVERY 4 OLD
UNITS OF PROSHARES ULTRASHORT S&P 500, CUSIP:
74347R883, HELD. (ID: 743478-30-0)
Securities Transferred Out
10/5
Exchange
Description
HSBC FINANCE CORP MEDIUM TERM NOTE 2.9% OCT 15
2015 DTD 10/15/2010 (ID: 40429X-YB-6)
JPMORGAN CHASE & CO 7.9% PFD STK APR 30 2049
DTD 04/23/2008 (ID: 46625H-HA-1)
CITIGROUP CAPITAL XIII 7 7/8% PFD @ 0.492187
PER SHARE (ID: 173080-20-1)
Quantity
Cost
Per Unit
Amount
100,000.000
150,000.000
10,000.000
0.015
0.04
0.492
PRINCIPAL
Amount
1,450.00
5,925.00
4,921.87
$14,672.22
INCOME
Amount
* Transaction Market Value is representative of the prior trading day's
EFTA01570957
market value. This is for informational purposes only and is not to be used
for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type
Quantity
Cost
250.000
44,809.50
Transaction
Market Value *
PROSHARES ULTRASHORT S&P500 REVERSE SPLIT
HOLDERS RECEIVE 1 NEW UNIT OF PROSHARES
(1,000.000)
44,809.50
ULTRASHORT S&P 500, CUSIP: 743476300, FOR EVERY
4 OLD UNITS HELD. (ID: 74347R-88-3)
(13,231.00)
Page 19 of 35
EFTA01570958
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
COST ADJUSTMENTS
Settle Date
10/1
Type
Amortization
Description
MI ST MUNI BOND AUTH ST CLEAN WTR REVOLVING FD
5% OCT 01 2026 DTD 11/02/2006 HELD BY DTC BOOK
ENTRY ONLY PAR CALL 10/01/2016 @ 100 MUNICIPAL
BOND PREMIUM AMORTIZATIO (ID: 59455T-PF-3)
Quantity
50,000.000
Cost Basis
Adjustments
(531.14)
Page 20 of 35
EFTA01570959
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Portfolio Activity Summary Canadian Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Withdrawals
Ending Cash Balance
Period Value
-64.84
$64.84
(64.84)
($64.84)
-Year-To-Date
Value*
-581.86
$581.86
(581.86)
($581.86)
-Local
Value
Current
Period Value
0.00
64.05
64.05
(64.05)
(64.05)
0.00
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
EFTA01570960
Year-To-Date
Value*
--Year-To-Date
Value*
-582.59
582.59
(582.59)
(582.59)
-Page
21 of 35
EFTA01570961
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Portfolio Activity Summary - Canadian Dollar
Current
Securities Transferred In/Out
Securities Transferred In
Securities Transferred Out
Period Value
585,014.77
(585,022.37)
Year-To-Date
Value*
4,843,083.61
(4,841,922.82)
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets
from your position
Portfolio Activity Detail - Canadian Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
10/3
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 09/26/2012 MATURITY 10/03/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2531P9-9S-6)
10/3
10/10
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 10/03/2012 MATURITY 10/10/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2531S9-9V-6)
10/10
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
(12.810)
(13.09)
(12.81)
Page 22 of 35
(12.810)
115,564.890
(13.03)
(12.81)
13.09
EFTA01570962
12.81
Quantity
115,552.080
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
13.03
12.81
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
EFTA01570963
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
10/17
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 10/10/2012 MATURITY 10/17/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2531U9-9W-1)
10/17
10/24
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 10/17/2012 MATURITY 10/24/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2531X9-9U-2)
10/24
10/31
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 10/24/2012 MATURITY 10/31/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2532A9-9L-5)
10/31
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Total Inflows & Outflows
(12.810)
(12.82)
(12.81)
$0.00
(12.810)
115,603.320
(12.91)
(12.81)
12.82
12.81
(12.810)
115,590.510
(12.99)
(12.81)
12.91
12.81
EFTA01570964
Quantity
115,577.700
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
12.99
12.81
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 23 of 35
EFTA01570965
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
SECURITIES TRANSFERRED IN/OUT
Notes:
Settle Date Selection Method
Securities Transferred In
10/3
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 10/03/2012 MATURITY 10/10/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2531S9-9V-6)
10/11
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 10/10/2012 MATURITY 10/17/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
AS OF 10/10/12 (ID: 2531U9-9W-1)
10/17
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 10/17/2012 MATURITY 10/24/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2531X9-9U-2)
10/24
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 10/24/2012 MATURITY 10/31/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2532A9-9L-5)
10/31
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 10/31/2012 MATURITY 11/07/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2532D9-9Y-4)
Total Securities Transferred In
$585,014.77
115,616.130
113,223.45
115,691.33
115,603.320
113,210.63
116,471.03
115,590.510
113,197.72
117,225.81
115,577.700
113,184.73
118,087.05
EFTA01570966
* Transaction Market Value is representative of the prior trading day's
market value. This is for informational purposes only and is not to be used
for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type
Quantity
Cost
115,564.890
113,171.64
Transaction
Market Value *
117,539.55
Page 24 of 35
EFTA01570967
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Notes:
* Transaction Market Value is representative of the prior trading day's
market value. This is for informational purposes only and is not to be used
for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type
Settle Date Selection Method
Securities Transferred Out
10/3
Free Delivery
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 09/26/2012 MATURITY 10/03/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2531P9-9S-6)
10/10
Free Delivery
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 10/03/2012 MATURITY 10/10/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2531S9-9V-6)
10/17
Free Delivery
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 10/10/2012 MATURITY 10/17/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2531U9-9W-1)
10/24
Free Delivery
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 10/17/2012 MATURITY 10/24/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2531X9-9U-2)
10/31
Free Delivery
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 10/24/2012 MATURITY 10/31/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2532A9-9L-5)
Total Securities Transferred Out
($585,022.37)
(115,603.320)
113,210.63
(115,678.51)
(115,590.510)
113,197.72
(116,458.12)
(115,577.700)
113,184.73
EFTA01570968
(117,212.82)
(115,564.890)
113,171.64
(118,146.39)
Quantity
Cost
(115,552.080)
113,158.61
Transaction
Market Value *
(117,526.53)
Page 25 of 35
EFTA01570969
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Portfolio Activity Summary - Norwegian Krone
PRINCIPAL
US Dollar Value
Current
Transactions
Income
INFLOWS
Total Inflows
OUTFLOWS **
Withdrawals
Foreign Exchange - Outflows
Total Outflows
TRADE ACTIVITY
Total Trade Activity
Settled Sales/Maturities/Redemptions
$0.00
Ending Cash Balance
-Period
Value
Beginning Cash Balance
-178.32
$178.32
(178.32)
($178.32)
Year-To-Date
Value*
-1,566.15
$1,566.15
(104,526.55)
(13,993.71)
($118,520.26)
116,983.65
$116,983.65
-Local
Value
Current
Period Value
0.00
1,018.88
1,018.88
(1,018.88)
(1,018.88)
Year-To-Date
Value*
-9,135.73
9,135.73
(601,288.39)
(80,557.60)
(681,845.99)
EFTA01570970
0.00
0.00
672,710.26
672,710.26
-Page
26 of 35
EFTA01570971
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Portfolio Activity Summary Norwegian Krone
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Current
Securities
Transferred In/Out
Securities Transferred In
Securities Transferred Out
Period Value
1,078,988.15
(1,078,809.86)
Year-To-Date
Value*
7,995,979.34
(8,532,025.83)
US Dollar Value
Current
Cost Adjustments
Cost Adjustments
Total Cost Adjustments
Period Value
$0.00
Year-To-Date
Value*
(138,881.78)
($138,881.78)
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets
from your position
0.00
Local Value
Current
Period Value
EFTA01570972
Year-To-Date
Value*
(784,956.53)
(784,956.53)
Page 27 of 35
EFTA01570973
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Portfolio Activity Detail - Norwegian Krone
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
10/2
Foreign Interest
Description
HELD BY LONDON TREASURY SERVICES
(ID: 2531P9-9M-9)
10/2
10/9
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Foreign Interest
HELD BY LONDON TREASURY SERVICES
(ID: 2531S9-9Q-7)
10/9
10/16
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Foreign Interest
HELD BY LONDON TREASURY SERVICES
(ID: 2531U9-9S-0)
10/16
10/23
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Foreign Interest
HELD BY LONDON TREASURY SERVICES
(ID: 2531X9-9Q-1)
10/23
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
(203.810)
(35.96)
(203.81)
(203.780)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,233,138.030
0.8500% DATED 10/16/2012 MATURITY 10/23/2012
(35.65)
(203.78)
35.96
203.81
(203.740)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,232,934.250
0.8500% DATED 10/09/2012 MATURITY 10/16/2012
(35.72)
(203.74)
EFTA01570974
35.65
203.78
(203.710)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,232,730.510
0.8500% DATED 10/02/2012 MATURITY 10/09/2012
(35.60)
(203.71)
35.72
203.74
Quantity
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,232,526.800
0.8500% DATED 09/25/2012 MATURITY 10/02/2012
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
35.60
203.71
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 28 of 35
EFTA01570975
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
10/30
Foreign Interest
Description
HELD BY LONDON TREASURY SERVICES
(ID: 2532A9-9D-3)
10/30
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Total Inflows & Outflows
SECURITIES TRANSFERRED IN/OUT
Notes:
Settle Date Selection Method
Securities Transferred In
10/2
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 10/02/2012 MATURITY 10/09/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2531S9-9Q-7)
10/9
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 10/09/2012 MATURITY 10/16/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2531U9-9S-0)
10/16
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 10/16/2012 MATURITY 10/23/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2531X9-9Q-1)
Page 29 of 35
1,233,138.030
208,101.77
215,724.99
1,232,934.250
208,066.12
216,135.51
(203.840)
(35.39)
(203.84)
$0.00
Quantity
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,233,341.840
EFTA01570976
0.8500% DATED 10/23/2012 MATURITY 10/30/2012
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
35.39
203.84
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
* Transaction Market Value is representative of the prior trading day's
market value. This is for informational purposes only and is not to be used
for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type
Quantity
Cost
1,232,730.510
208,030.40
Transaction
Market Value *
215,403.11
EFTA01570977
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Notes:
* Transaction Market Value is representative of the prior trading day's
market value. This is for informational purposes only and is not to be used
for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type
Settle Date Selection Method
Securities Transferred In
10/23
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 10/23/2012 MATURITY 10/30/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2532A9-9D-3)
10/30
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 10/30/2012 MATURITY 11/06/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2532D9-9R-9)
Total Securities Transferred In
Securities Transferred Out
10/2
Free Delivery
$1,078,988.15
1,233,545.680
208,173.12
214,136.78
Quantity
Cost
1,233,341.840
208,137.73
Transaction
Market Value *
217,587.76
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 09/25/2012 MATURITY 10/02/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2531P9-9M-9)
10/9
Free Delivery
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 10/02/2012 MATURITY 10/09/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2531S9-9Q-7)
10/16
Free Delivery
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
EFTA01570978
0.8500% DATED 10/09/2012 MATURITY 10/16/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2531U9-9S-0)
(1,232,934.250 )
208,066.12
(215,689.35)
(1,232,730.510 )
208,030.40
(216,099.79)
(1,232,526.800 )
207,994.80
(215,367.52)
Page 30 of 35
EFTA01570979
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Notes:
* Transaction Market Value is representative of the prior trading day's
market value. This is for informational purposes only and is not to be used
for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type
Settle Date Selection Method
Securities Transferred Out
10/23
Free Delivery
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 10/16/2012 MATURITY 10/23/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2531X9-9Q-1)
10/30
Free Delivery
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 10/23/2012 MATURITY 10/30/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2532A9-9D-3)
Total Securities Transferred Out
($1,078,809.86)
(1,233,341.840 )
208,137.73
(214,101.40)
Quantity
Cost
(1,233,138.030 )
208,101.77
Transaction
Market Value *
(217,551.80)
Page 31 of 35
EFTA01570980
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Portfolio Activity Summary - Pound Sterling
PRINCIPAL
US Dollar Value
Current
Transactions
Income
OUTFLOWS **
Withdrawals
Tax Payments
Foreign Exchange - Outflows
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
(1,154.22)
($1,154.22)
-731,933.29
(1,329.75)
$730,603.54
-(714.69)
(714.69)
4,212.18
455,251.88
(824.19)
454,427.69
-$0.00
Period
Value
Beginning Cash Balance
INFLOWS
Foreign Exchange - Inflows
Total Inflows
-2,548.53
$2,548.53
Year-To-Date
Value*
-12,069.86
159,902.42
$171,972.28
(556,140.84)
(355.93)
(358,568.42)
($915,065.19)
0.00
Local
Value
Current
EFTA01570981
Period Value
3,346.09
1,580.78
1,580.78
Year-To-Date
Value*
-7,605.66
100,776.72
108,382.38
(350,837.45)
(222.15)
(226,311.80)
(577,371.40)
Page
32 of 35
EFTA01570982
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Portfolio Activity Summary Pound Sterling
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Current
Securities
Transferred In/Out
Securities Transferred In
Securities Transferred Out
Period Value
60,105.00
Year-To-Date
Value*
1,428,287.29
(1,368,088.64)
US Dollar Value
Current
Cost Adjustments
Cost Adjustments
Total Cost Adjustments
Period Value
$0.00
Year-To-Date
Value*
19,059.78
$19,059.78
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets
from your position
0.00
Local Value
Current
Period Value
Year-To-Date
EFTA01570983
Value*
12,137.60
12,137.60
Page 33 of 35
EFTA01570984
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
Portfolio Activity Detail - Pound Sterling
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
10/1
Foreign Dividend
Description
PIMCO FUNDS GLOBAL INVESTORS SERIES - GLOBAL
INVESTMENT GRADE CREDIT FUND ISIN IE00B3BMD843
SEDOL B3BMD84 @ 0.119082 PER SHARE CONY. @
"CONY RATE" AS OF 09/28/12 (ID: 695421-91-7)
10/3
10/9
Foreign Dividend
Foreign Dividend
Total Inflows & Outflows
SECURITIES TRANSFERRED IN/OUT
Notes:
Settle Date Selection Method
Securities Transferred In
10/24
Receipt of Assets
Description
3PM INC OPP - GBP - A - DIST(HEDGED) ISIN
LU0323456201 RECEIVED FROM 3PM GENIEVA
(ID: 287991-93-9)
3PM MANAGED RESERVES C (DIST) - GBP (HEDGED) AS
OF 10/01/12 (ID: 051398-91-5)
BLUEBAY HIGH YIELD BD FD GBP HDG-DB ISIN
LU0222772518 @ 1.8452 PER SHARE CONY. @ "CONV
RATE" AS OF 10/05/12 (ID: G13289-92-4)
$2,548.53
$0.00
7.535
187.898
153.181
94.849
2.957
1.845
1,154.22
714.69
555.62
346.71
Quantity
4,361.513
Amount USD
Local Value
0.192
EFTA01570985
0.119
PRINCIPAL
Amount USD
Local Value
838.69
519.38
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
* Transaction Market Value is representative of the prior trading day's
market value. This is for informational purposes only and is not to be used
for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type
Quantity
Cost
438.109
0.00
Transaction
Market Value *
60,105.00
Page 34 of 35
EFTA01570986
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 10/31/12
TRADE ACTIVITY - Pound Sterling
Per Unit
Trade Date
Settle Date
Type
Settled Securities Purchased
10/1
Purchase
10/3
Description
3PM MANAGED RESERVES C (DIST) GBP (HEDGED) AS
OF 10/01/12 (ID: 051398-91-5)
Quantity
0.112
Amount USD
Local Value
10,305.536
1.62
Market
Cost USD
Local Value
(1,154.22)
(714.69)
Currency
Gain/Loss USD
13.27
Page 35 of 35
EFTA01570987
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01570988
For the Period 10/1/12 to 10/31/12
For your convenience we have combined statement(s) for activity you conduct
through J.P. Morgan in one package. Below are important disclosures relating
to these different accounts.
These statements may relate to various account types. Some of the
disclosures are applicable to all of your accounts. For ease of reference
the disclosures applicable to a particular type
of account have been grouped together by descriptive headers.
IMPORTANT GENERAL INFORMATION APPLICABLE TO ALL OF YOUR ACCOUNT(S)
Important Information about Pricing ,Valuations, Estimated Annual Income,
and Estimated Yield
Market value information (including without limitation, prices, exchange
rates, accrued income and bond ratings) furnished herein, some of which has
been provided by pricing sources that J.P. Morgan
believes to be reliable, is not guaranteed for accuracy but provided for
informational purposes and is furnished for the exclusive use of the client.
The current price is the value of the financial asset share, unit or
contract as priced at the close of the market on the last day of the
statement period or the last available price. All values provided for
structured yield deposits (for example, JPMorgan London Time Deposits)
reflect the original deposit amount only. The value for Real Estate, Mineral
Interests and Miscellaneous Assets may not reflect
the most current value of the asset.
Important information regarding Auction Rate Securities (ARS). ARS are debt
or preferred securities with an interest or dividend rate reset periodically
in an auction. Although there may be daily, weekly
and monthly resets, there is no guarantee that there will be liquidity. If
there are not enough bids at an auction to redeem the securities available
for sale, the result may be a failed auction. In the event
of a failed auction, there is no assurance that a secondary market will
develop or that the security will trade at par or any other price reflected
on statements and online. Accordingly, investors should not
rely on pricing information appearing in their statements or online with
respect to ARS. When J.P. Morgan is unable to obtain a price from an
internal or outside source for a particular ARS, the price
column on your statement will indicate "unpriced".
Valuations of over-the-counter derivative transactions, including certain
derivatives-related deposit products, have been prepared on a mid-market
basis. These valuations are sourced from the various
issuers of the securities or they are sourced from a third party valuation
provider. J.P. Morgan expressly disclaims any responsibility for (1) the
accuracy of the models or estimates used in deriving the
valuations, (2) any errors or omissions in computing or disseminating the
valuations, and (3) any uses to which the valuations are put. Valuations are
provided for information purposes only and are
intended solely for your own use. Please refer to the trade confirmation for
details of each transaction.
Certain assets, including but not limited to, pooled and private
investments, non-publicly traded and infrequently traded securities,
derivatives, partnership interests and tangible assets are generally
illiquid, the value of such asset may have been provided to us by third
EFTA01570989
parties who may or may not be independent of the issuer or manager. Such
information is reflected as of the last date provided to
us, and is not independently verified.
In cases where we are unable to obtain a current market value from an
internal or outside source for a particular security, the price column on
your statement will indicate "unpriced". Although such
securities may have value, please note that the value of a security
indicated as "unpriced" will not be included in your overall current market
value as reflected on the statement.
J.P. Morgan makes no representation, warranty or guarantee, express or
implied, that any quoted value represents the actual terms at which
securities could be bought or sold or new transactions could
be entered into, or the actual terms on which existing transactions or
securities could be liquidated. Such values may only be indicative.
When we are unable to obtain a current value from an internal or outside
source for a particular security, the price column on your statement will
indicate "unpriced".
If a partial call is made with respect to an issue of securities included in
your Accounts we will allocate the call by a method we deem fair and
equitable.
To the extent applicable, please note the following regarding estimated
annual income (EAI) and estimated yield (EY): EAI and EY for certain types
of securities could include a return of principal or
capital gains in which case the EAI and EY would be overstated. EAI and EY
are estimates and the actual income and yield might be lower or higher than
the estimated amounts. EY reflects only the
income generated by an investment. It does not reflect changes in its price,
which may fluctuate.
Offshore Deposits - London and Nassau
Disclosures Page 1 of 5
EFTA01570990
For the Period 10/1/12 to 10/31/12
Deposits in Foreign Branches are not insured by the FDIC or any other Agency
of the Federal Government; amounts in such foreign accounts do not have the
benefit of any domestic
preference applicable to U.S Banks; certain Foreign accounts are considered
reportable to the Internal Revenue Service on a Report of Foreign Bank and
Financial Accounts (TD F
90-22.1).
Bank products and services are offered through JPMorgan Chase Bank, N.A.
("JPMCB") and its banking affiliates. Securities are offered by J.P.Morgan
Securities LLC ("JPMS") and, to the extent
noted below, cleared through J.P. Morgan Clearing Corp. ("JPMCC").
Neither JPMS, nor JPMCC is a bank and are each separate legal entities from
its bank or thrift affiliates.
Investment Products: Not FDIC Insured
-No Bank Guarantee -May Lose Value
Fund manager disclosure information available upon request
If you have an investment account that is managed by an SEC-Registered
Investment Advisor, J.P. Morgan will provide a copy of the advisor's Form
ADV II or brochure upon written request.
These statements are not official documents for income tax reporting
purposes and should not be relied upon for such purposes, including
determination of income, cost basis, amortization or accretion,
or gain/loss. Such information, which may be inaccurate, incomplete or
subject to updating, should be confirmed with your records and your tax
advisor.
Please take the steps indicated below if you think statement(s) are
incorrect or contact your J.P.Morgan team if you require additional
information about a transaction on your
statement(s).
IMPORTANT ADDITIONAL INFORMATION APPLICABLE ONLY TO YOUR ASSET ACCOUNT(S)
(LINKED TO JPMS)
Your Asset Account consists of a bank account that custodies assets linked
to a brokerage account through which securities transactions are executed.
As a result, the Asset Account statement(s) reflect
brokerage transactions executed through JPMS but (except for exchange listed
options) held in custody at JPMCB. Securities purchased or sold through JPMS
in U.S. markets (other then mutual
funds) are cleared through an affiliate of JPMS, in non-U.S. markets
securities are cleared through JPMS. Positions in exchange-listed options
are held by JPMCC. For your convenience, however,
positions in exchange-listed options are presented in Asset Account
statement(s) together with other assets held in such account(s). All
pertinent information about your settled and pending purchases
and sales effected through your JPMS account during the period covered by
these statement(s), is summarized in the "Trade Activity" portion of the
statement(s).
In Case of Other Errors or Questions About Your Asset Account Statement(s)
Please review your statement(s) and promptly report any inaccuracy or
discrepancy including possible unauthorized trading activity, unrecorded
dividend payments, unaccounted cash positions,
EFTA01570991
improper payments or transfers in writing to both the introducing broker,
JPMS and the clearing firm, JPMCC at the addresses shown on your
statement(s). Any oral communication should be
re-confirmed in writing to further protect your rights, including your
rights under the Securities Investor Protection Act (SIPA). If you have any
questions please contact your J.P.Morgan team.
In your written communication, please provide the following information: (1)
your name and account number; (2) the dollar amount of the suspected error;
and (3) a description of the error and
explanation, if you can, why you believe there is an error. If you need more
information, you must describe the item you are unsure about. We must
receive your written communication no later than 30
days after the statement on which the error or problem appeared is sent or
made available. If you do not so notify us, you agree that the statement
activity and account balance(s) are correct.
JPMCC and JPMS are members of the Securities Investor Protection Corp
("SIPC"), a not-for-profit membership corporation funded by broker-dealers
registered with the Securities and Exchange
Commission. Securities and cash held for a customer at JPMCC are protected
by SIPC up to $500,000 per customer, which includes up to $250,000 of
protection for cash. SIPC does not protect
against losses from fluctuations in the value of the securities. Assets held
in custody by JPMCB are not subject to SIPC. You may obtain information
about SIPC, including the SIPC Brochure, on their
website, at "www.sipc.org" or by contacting them at (202) 371-8300.
In Case of Errors or Questions About Your Electronic Transfers.
Disclosures Page 2 of 5
EFTA015