DataSet-10
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1 pages
GHISLAINE MAXWELL
For the Period 9/1/12 to 9)3W12
Portfolio Activity Summary - U S Dollar
Current Year-To-Date
Cost Adjustments Penod Value Value'
Amortization (2,432.69)
Cost Adjustments 9,237.41
Total Cost Adjustments $0.00 16,604.72
' Year to date information is calculated on a calendar year basis
▪ Your accounts standing instructions use a HIGH COST method for relieving assets
from your position
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type Quantity Per Unit PRINCIPAL INCOME
Settle Date Selection Method Description Cost Amount Amount Amount
9/4 Interest Income DEPOSIT SWEEP INTEREST FOR AUG. (0 .01% RATE ON 48.16
NET AVG COLLECTED BALANCE OF $5,888,489.98 AS
OF 09101/12
9/4 ON Dourest GENERAL MOTORS CO CV PFD 6 0 0.59375 PER SHARE 1,000.000 0.594 593.75
(ID: 37045V-20.9)
9/13 Corporate Interest MS 7YNCIY STEP-UP NOTE OW13/17 INITIAL RATE 150,000.000 0.014 2,062.50
2.75% CPN WHERE MAX RATE IS 6% PER ANNUM DD
9/8/10 (ID: 61745E-80.9)
9/28 Div Dottiest BANK OF AMERICA CORP @ 0.01 PER SHARE 944.000 0.01 9.44
Oa 060505-10-4)
Total Inflows & Outflows $2,113.86
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CHISLAINE MAXWELL -TAP DYS ACCT.
For the Period 9/I/I3 to 9/30113
Alternative Assets Summary
Beginning Ending Change Current Asset Categories
Asset Categories Estimated Value Estimated Value In Value Allocation
Hedge Funds 151917.03 152.996,58 1.079 55 15%
Real Estate & Infrastructure 53.504,88 55.244.56 1739.68 5%
Total Value $205,421.91 $208,241.14 52,819.23 20%
Roar Evan, & Infrawuctuto
3 Hodge Funds
Alternative Assets as a percentage of your portfolio - 20 %
Alternative Assets Detail
Estimated
Price Quantity Value Cost
Hedge Funds
EATON VANCE FLOATING-RATE 11.13 7.524.150 83.743.79 84.120.00
ADVANTAGE I
277923-63-7 EIFA X
GATEWAY FUND-Y 28.12 1,089.208 30,628.53 30,040.36
367829-88-4 GTEY X
J.P.Morgan Account Page 6 of 15 Consolidated Statement Page 61
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GHISLAINE MAXWELL ACCT.
For the Period 10/1/13 to loatto
Notes: • Transaction Market Value is representative of the poor trading days market value This is for informational purposes only and is not to be used for any finandal or tax
purposes. The Transaction Market Value shown is in USO
Type Quantity Transaction
Settle Date Selection Method Description Cost Market Value •
Securities Transferred Out
10/2 Free Delivery JP MORGAN CHASE BANK- CAD LONDON TIME DEPOSITS (116,241.540) (112,577.15)
0.5700% DATED 09/25/2013 MATURITY 10/02/2013 113.837.60
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537A9-9S-9)
1019 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS (116,254.420) (112578.72)
0.5700% DATED 10/02/2013 MATURITY 10/09/2013 113,850.07
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537C9-9P-3)
10/16 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS (116,267.300) (112,135.12)
0.6200% DATED 10/09/2013 MATURITY 10/18/2013 113,862.54
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537E9-9H-9)
10/23 Free Delivery JP MORGAN CHASE BANK- CAD LONDON TIME DEPOSITS (116,281.320) (113,059.13)
0.6200% DATED 10/16/2013 MATURITY 10/23/2013 113,876.06
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537G940.6)
10/30 Free Delivery JP MORGAN CHASE BANK- CAD LONDON TIME DEPOSITS (116295.340) (111.324.69)
0.6200% DATED 10/23/2013 MATURITY 10/30/2013 113,889.69
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537J9-9C-5)
Total Securities Transferred Out ($561,674.81)
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GHISLAINE MAXWELL -OAP HID ACCT.
For die Period 9/1/13 to 9/30/13
Portfolio Activity Detail
INFLOWS & OUTFLOWS
Type Quantity Per Unit
Settle Date Selection Method Description Amount Amount
Income
9/3 Interest income DEPOSIT SWEEP INTEREST FOR 08/01/13 - 08/31/13 0.49
.01% RATE ON AVG COLLECTED BALANCE OF
$53,444.64 AS OF 09/01/13
9/11 Foreign Dividend UNILEVER N V C 0.354471 PER SHARE 1,630.000 0.354 577.79
(ID: 904784-70-9)
9/12 Foreign Dividend KIRIN HOLDINGS COMPANY LTD SPONS ADR @ 0.160072 1,850.000 0.18 333.13
PER SHARE (ID: 497360-30-6)
9/16 Foreign Dividend ASTRAZENECA PLC SPONS ADR 0 0.90 PER SHARE 365.000 0.90 328.50
(ID: 046353-10-8)
9/16 Foreign Dividend UNITED OVERSEAS BANK LTD SPONS ADR 0 0.312573 1,590.000 0.313 496.99
PER SHARE (ID: 911271-30-2)
9/19 Foreign Dividend MTN GROUP LTD SPONS ADR Q 0.368104 PER SHARE 2,625.000 0.368 966.27
(ID: 62474M-10-8)
9/25 Foreign Dividend BHP LTD SPONS ADR @ 1.18 PER SHARE 435.000 1.18 513.30
(ID: 088606-10-8)
9/26 Foreign Dividend ROYAL DUTCH SHELL PLC ADR 0.90 PER SHARE 405.000 0.90 364.50
(ID: 780259-10-7)
Total Income 93480.97
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GHISLAINE MAXWELL ACCT.
For the Period I/I/14 to 1/31114
Adjusted Tax Cost Unrealized Est. Annual Inc.
Price Quantity Value Onginal Cost Gain/Loss Accrued Div. Yield
US Large Cap Equity
BANK OF AMERICA CORP 16.75 944.000 15,812.00 10,148.85 5,683.15 37.76 0.24%
050505-10-4 BAC
CMGROUP INC NEW 47.43 368.000 16,979.94 14,048.52 2,931.42 14.32 0.08%
172967-424 C 3.58
GENERAL MOTORS CO 38.08 1,373.000 49,537.84 50,000.00 (462.16) 1,647.60 3.33%
37045V-10-0 GM
SCHLUMBERGER LTD 87.57 113.000 9,896.41 9.524.04 371.37 180.80 1.83%
806857-10-8 SLB
SPDR S&P 600 ETF TRUST 178.18 1,495.000 268,379.10 250,407.85 15,971.25 5,009.74 1.88%
78462F-10-3 SPY
TWITTER INC 84.50 2,000.000 129,000.00 90,320.00 38,680.00
90 t &IL-10-2 TWTR
Total US Large Cap Equity $495,228.99 $438,852.58 $69,378.43 $8,986.22 1A1%
$2248
US Small/Mid Cap Equity
CIERON COFtP 5.02 3,000.000 15,060.00 18,129.32 (3,069.32)
374163-10-3 GERN
Non-US Equity
RIO TINTO PLC 53.31 3.000 159.92 212.23 (52 31,
ISIN GB0007188757 SEDOL 0716875
766994-90-9 BP
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GHISLAINE MAXWELL
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GHISLAINE MAXWELL-HY ACCT.
For the Period 10/1/I1 to 10/31/11
Trade Date Per Unit
Settle Date Type Description Quantity Amount Market Cost
Settled Securities Purchased
10/18 Purchase SPRINT NEXTEL CORP 6% DEC 1 2016 DID 11/202006 14,000.000 87.00 (12.180.00)
10/21 6 87.00 MLPFS INC/FIXED INCOME (ID: 852061-AD-2)
10/28 Purchase NIELSEN FINANCE LLC/CO 7314% OCT 15 2018 DTD 2,000.000 110.30 (2,205.00)
10/31 04/1512011 @ 110.25 8ROADPOINT CAPITAL
(ID: 654090-AY-Et)
Total Settled Securities Purchased (619.690.00)
Trade Date Per Unit
Est. Settle Date Type Description Quantity Amount Market Cost
Pending Securities Purchased
10/31 Purchase NIELSEN FINANCE LLC/CO 7 3/4% OCT 15 2018 DTD 6,000.000 110.50 (6,630.00)
11/3 04/15/2011 (ID: 6540942-AY-8)
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GHISLAINE MAXWELL IRA ACCT.
For the Period 11/1/12 to 11/30/12
Portfolio Activity Summary
Current Year-To-Date
Transactions Period Value Value'
Beginning Cash Balance 733.38
INFLOWS
Income 55.90 662.04
Total Inflows 955.90 $662.04
TRADE ACTIVITY
Settled Securities Purchased (55.8% (661.92)
Total Trade Activity (355.89) (8881.92)
Ending Cash Balance $733.39
• Year to date information is calculated on a calendar year basis.
Your accounts standing instructions use a HIGH COST method for relieving assets
from your position
Portfolio Activity Detail
INFLOWS & OUTFLOWS
Type Quantity Per Unit
Settle Date Selection Method Description Cost Amount Amount
11/I Interest Income DEPOSIT SWEEP INTEREST FOR OCT. .01% RATE ON 001
NET AVG COLLECTED BALANCE OF $733.38 AS OF
11/01/12
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GHISLAINE MAXWELL-HY ACCT
For the Period 111/1.1 to 1/31/14
Account Summary
Beginning Ending Change Estimated Current
Asset Allocation Market Value Market Value In Value Annual Income Allocation
Cash & Fixed Income 3.00 3.00 0.00 100%
Market Value $3.00 $3.00 $0.00 $0.00 100%
Current Year•to•Date
Portfolio Activity Period Value Value
Beginning Market Value 3.00 3.00
Ending Market Value 33.00 33.00
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GHISLAINE MAXWELL ACCT
For the Period 7/1/12 to 7/31/12
INFLOWS & OUTFLOWS
Per Unit PRINCIPAL INCOME
Type Amount USD Amount USD Amount USD Currency
Settle Date Selection Method Description Quantity Local Value Local Value Local Value Gain/Loss USD
7116 Receipt of Assets JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1230,518.920
0.6500% DATED 07/16/2012 MATURITY 07/23/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 25301
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CHISLAINE MAXWELL IRA ACCT.
For the Period 7/1/1210 7/31/12
Account Summary CONTINUED
Current Year-to-Date
Tax Summary Period Value Value To-Date Value
Domestic Dividends/Distributions 55.67 443 76 Unrealized Gain/Loss ($03.29)
Interest Income 0.01 0.08
Taxable Income $56.68 $443.84
Cost Summary Cost
Cash & Fixed Income 56.507 59
Total $56,507.59
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GHISLAINE MAXWELL ACCT.
For the Period 3/1/13 to 3/31/13
Notes: • Transaction Market Value is representative of the pnor trading days 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 Transaction
Settle Date Selection Method Description Cost Market Value •
Securities Transferred Out
3/15 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS (115,850.680) (112,909.39)
0.6200% DATED 03/08/2013 MATURITY 03/15/2013 113,458.27
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2534G9-9F-8)
3/22 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS (115,884.650) (113043.55)
0.8200% DATED 03/15/2013 MATURITY 03(22/2013 113,471.89
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2534J9-90-1)
Total Securities Transferred Out (4451,176.15)
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GHISLA1NE MAXWELL ACCT.
For the Period 2/1/11 to 2/28/11
INFLOWS & OUTFLOWS
Per Una PRINCIPAL INCOME
Settlement Type Amount USD Amount USD Amount USD Currency
Date Selection Method Description Quantity Local Value Local Value Local Value Gain/Loss USD
2/25 Foreign Interest JP MORGAN CHASE BANK - NOK 623.876 630 33.51
LONDON TIME DEPOSITS 1.5500% 188.03
DATED 02/1812011 MATURITY 02/2512011
HELD BY LONDON TREASURY SERVICES
2/25 Misc. Disbursement REP: ROLLOVER TO TIME DEPOSIT (188.030) (33.51)
NORWEGIAN KRONE (188.03)
2/25 Free Delivery JP MORGAN CHASE BANK - NOK (823,878.830)
High Cost LONDON TIME DEPOSITS 1.5500%
DATED 02/18/2011 MATURITY 02/25/2011
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
2/25 Receipt of Assets JP MORGAN CHASE BANK • NOK 824,084.880
LONDON TIME DEPOSITS 1.4500%
DATED 02/2512011 MATURITY 03/04/2011
HEW BY LONDON TREASURY SERVICES
CLIENT REF FIT:
Total Inflows & Outflows $0.00
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CHISLAINE MAXWELL - OAP IHD ACCT.
For the Period 4/1/14 to 4/30/14
Equity Detail
Adjusted Tax Cost Unrealized Est. Annual Inc.
Price Quantity Value Original Cost GainiLoss Mated Dry. Yield
EAFE Equity
FtECKIIT BENCKISER GROUP PLC 16.35 0.00 2.59%
SPONSORED ADR 776.95
756255-20-4 RBGL
J.P. Morgan Account Page 3 of 5 Consolidated Statement Page 21
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GHISLAINE MAXWELL ACCT.
For the Period 2/1/13 to 2/28/13
Notes: • Transaction Market Value is representative of the pnor trading days 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 Transaction
Sett* Date Selection Method Description Cost Market Value •
Securities Transferred Out
2/21 Free Delivery JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS (1,236.665.780) (222,690.24)
0.8500% DATED 02/14/2013 MATURITY 02/21/2013 208,730.04
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2533X9-9M-6)
2/28 Free Delivery JP MORGAN CHASE BANK -140K LONDON TIME DEPOSITS (1,236,870.170) (216,865.41)
0.8500% DATED 02121/2013 MATURITY 02/28/2013 208,766.85
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2534A9-9N-7)
Total Securities Transferred Out (S890.378.84)
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GHISLAINE MAXWELL -TAP DYS ACCT
For the Period 9/1/I3 to 9/30113
Adjusted Tax Cost Unrealized Est. Annual Income
Price Quantity Value Original Cost Gain/1.05s Accrued Interest Yield
US Fixed Income
RIDGEWORTH SEIX FLOATING4 899 8,502.613 58,458.87 58,784.00 (325.13) 2,581.55 4.42%
766287-67-8
TRP INST FLOATING RATE-F 10.22 5,394.08 55,127.29 55,397.00 (289.71) 2,405.75 4.38%
77958B-10-5
BLACKROCK HIGH YIELD BOND 8.15 8,504.33 89,310.27 89,140.00 170.27 4 311 69 6.22%
091929-63-8
Total US Fixed Income $595.839.78 $808,486.60 ($12,646.86) $28,249.39 4.74%
$63.33
Non-US Fixed Income
PIMCO EMERGING MARKETS CORPORATE 11.39 2,473.35 28,171.48 30,348.00 (2,178.54) 1 033 86 3.67%
BONO FUND
72201W415-7
J.P Morgan Account age 11 of 15 Consolidated Statement Page 66
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GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - U S Dollar•
PRINCIPAL INCOME
Current Year-To-Date Current Year-To-Date
Traniiacti0nii Period Value Value' Period Value Value'
Beginning Cash Balance 1,165,212.57 0.00
INFLOWS
Income 7 598 49 7,598.49
Contributions 4.971.970 54 4,971,970.54
Foreign Exchange - Inflows 3169 09 3.169.09
Total Inflows $4,982,738.12 $4.982,738.12 $0.00 $0.00
OUTFLOWS "
Withdrawals (1.419 53095) (1,419,53095)
Total Outflows (S1,419.530.95) ($1,419,530.96) $0.00 $0.00
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions 129,722.59 129,722.59
Total Trade Activity 5129,722.69 5129.722.59 $0.00 $0.00
Ending Cash Balance $4,858,142.33 $0.00
• Year to date information is calculated on a calendar year basis.
•• Your accounts standing instructions use a HIGH COST method for relieving assets from your position
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GHISLAINE MAXWELL ACCT.
For the Period 711/12 to 7/31/12
Adjusted Tax Cost Unreakzed Est. Annual Income
Price Quantity Value Original Cost Gain/Loss Acaued Interest Yield
US Fixed Income
JPM MANAGED RESERVES C 10,169.24 7.54 76,625.20 79,003.04 (2,377.84)
(DIST) - GBP (HEDGED)
051398-91.5 GBP
(SHARES MARKIT IBOXX CORPORATE BOND 200.07 105.00 21,007.87 19,023.08 1,984.79
ISIN lE0OBOOFV011 SEDOL BOOF VO I
461278-91-3 GBP
HSBC FINANCE CORP 100.18 100,000.00 loo.leo.00 100,000.00 180.00 2,900.00 2.84%
MEDIUM TERM NOTE 2.9% OCT 15 2015 853.80
DTD 10/15/2010
40429X-Y13-6 A /BAA
GENERAL ELEC CAP CORP 96.39 50,000.00 48,195.50 45,394.50 2,801.00 333.42 1.65%
MEDIUM TERM FLOATING RATE NOTE 75.90
MAY 11 2018 DTD 05/11f2007
36962G-2V-5 Aka/A1
BANK OF AMERICA CORP 100.43 150,000.00 150,646.50 150,000.00 646.50 5,400.00 3.49%
MEDIUM TERM NOTE 1.140.00
3.6% NOV 15 2016
DTD 11/04/2010
06050W-DW-2 A- /BAA
A MI ST MUNI BOND AUTH 115.57 50,000.00 57,787.00 54,708.64 3,078.36 2,500.00 3.59%
ST CLEAN WTR REVOLVING FD 5% 55,424.00 833.30
OCT 01 2026 DTD 11/02/2006
HELD BY OTC BOOK ENTRY ONLY
PAR CALL 10/01/2016 @ 100
59455T-PF-3 MA /AAA
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GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Account Summary CONTINUED
Current Year-to-Date Current Year-to-Date
Tax Summary Period Value Value Period Value Value
Domestic Dwidendstrstributions 50727 830.49 ST Realized Gain/Loss 6.075 75
Foreign Dividends 2,669.03 4,144.47 LT Realized GaIn/Loss (58,385 84)
Gummy Gain/Loss (42.54) Realized Gain/Loss (S52.310.09)
Interest Income 2,161.10 8,419.72
Taxable Income 66,337.40 $13,352.14
To-Date Value
Tax-Exempt Income 2,500.00 3,750.00
Bond Premium Amortization (451.72) (594.82) Unrealized Gaintoss ($284,066.60)
Tax-Exempt Income 32,048.28 $3,165.18
Cost Summary Coat
EtPAY 1,395,898.82
Cash & Fixed Income 7,326,428.50
Other 90364.18
Total $8,812.491.60
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GHISLAINE MAXWELL IRA ACCT.
For the Period 1/1/13 to 1/31/13
Portfolio Activity Summary
Current Year-To-Date
Transactions Period Value Value*
Beginning Cash Balance 733.39
INFLOWS
Income 66.19 66.19
Total Inflows $66.19 $66.19
TRADE ACTIVITY
Settled Securities Purchased (66 19) (66.19)
Total Trade Activity ($66.19) ($66.19)
Ending Cash Balance $733.39
' Year to date information is calculated on a calendar year basis.
Your accounts standing instructions use a HIGH COST method for relieving assets
from your position
Portfolio Activity Detail
INFLOWS & OUTFLOWS
Type Quantity Per Unit
Settle Date Selection Method Description Wst Amount Amount
1/2 Div Domest JPM SHORT DURATION BOND FD- SE. FUND 3133 5,091.210 0.013 66.19
0.013 PER SHARE (ID: 4812O1-33-0)
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