DataSet-10
Unknown
72 pages
GHISLAINE MAXWELL
EFTA01574360
EFTA01574361
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL-HY
270 Park Avenue, New York, NY 10017-2014
ACCT.
For the Period 7/1/13 to 7/31/13
Investment Management Account
J.P. Morgan Team
James Buckley
Jason Bell
Janet Young
Gina Magliocco
Jason Grosse
Online access
Banker
Investment Specialist
Client Service Team
Client Service Team
Client Service Team
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).
Table of Contents
Account Summary
Page
2
Holdings
Cash & Fixed Income
Portfolio Activity
4
5
0000002205.00.0.9E.00001.MAXEW00.20130802
Page 1 of 26
EFTA01574362
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Account Summary
Asset Allocation
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
1,087,738.84
$1,087,738.84
16,120.90
$1,103,859.74
Current
Portfolio Activity
Beginning Market Value
Withdrawals & Fees
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
Period Value
1,087,738.84
(1,103,527.89)
($1,103,527.89)
19,269.20
(3,480.15)
$0.00
3.00
$3.00
Ending
Market Value
0.00
$0.00
3.00
$3.00
Change
In Value
(1,087,738.84)
($1,087,738.84)
(16,117.90)
($1,103,856.74)
Year-to-Date
Value
1,098,358.35
(1,111,942.23)
($1,111,942.23)
54,591.55
EFTA01574363
(41,007.67)
$0.00
3.00
$3.00
Estimated
$0.00
Current
Annual Income Allocation
Page 2 of 26
EFTA01574364
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Account Summary
Tax Summary
Interest Income
Ordinary Income
Accrued Interest Current Year
Taxable Income
CONTINUED
Current
Period Value
18,244.16
1,055.12
(30.08)
$19,269.20
Year-to-Date
Value
55,944.38
1,055.12
(2,407.95)
$54,591.55
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
(7,649.75)
12,721.50
$5,071.75
Year-to-Date
Value
(7,557.55)
14,182.68
$6,625.13
Page 3 of 26
EFTA01574365
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
US Fixed Income
Market Value
73,697.48
1,014,041.36
$1,087,738.84
Cash & Fixed Income Detail
Total Value
Note:
1
Ending
Market Value
0.00
0.00
$0.00
Change
In Value
(73,697.48)
(1,014,041.36)
($1,087,738.84 )
This is the Annual Percentage Yield (APY) which is the rate earned if
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.
Current
Allocation
Price
Quantity
Cash
US DOLLAR
1.00
0.00
3.00
0.01%
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 4 of 26
EFTA01574366
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Portfolio Activity Summary
Beginning Cash Balance
Transactions
INFLOWS
Total Inflows
Income
OUTFLOWS **
Withdrawals
Fees & Commissions
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
1,013,776.33
(2,200.00)
$1,011,576.33
$0.00
* 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
1,163,044.21
(163,428.10)
$999,616.11
-Current
Period
Value
73,737.48
18,214.08
$18,214.08
(1,099,480 50)
(4,047.39)
($1,103,527.89)
Year-To-Date
Value*
-53,536.43
$53,536.43
(1,099,480.50)
(12,461.73)
($1,111,942.23)
Current
Cost
Adjustments
Cost Adjustments
Total Cost Adjustments
Period Value
$0.00
EFTA01574367
Year-To-Date
Value*
2,120.00
$2,120.00
Page 5 of 26
EFTA01574368
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Portfolio Activity Detail
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
Income
7/1
7/1
7/1
7/2
7/2
7/8
7/11
7/11
7/11
7/11
7/11
Corporate Interest
Corporate Interest
Interest Income
Corporate Interest
Accrued Int Paid
Foreign Interest
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Description
SMITHFIELD FOODS INC SR NOTES 7 3/4% JUL 1 2017
DTD 6/22/2007 (ID: 832248-AQ-1)
ZAYO GROUP LLC/ZAYO CAP 8.125% JAN 01 2020 DTD
08/17/2012 (ID: 989194-AG-0)
DEPOSIT SWEEP INTEREST FOR 06/01/13 - 06/30/13
@ .01% RATE ON AVG COLLECTED BALANCE OF
$51,225.75 AS OF 07/01/13
CDW LLC/CDW FINANCE 8% DEC 15 2018 DTD
06/15/2011 STEP CPN (ID: 12513G-AW-9)
DINEEQUITY INC 9 1/2% OCT 30 2018 DTD
04/30/2011 @ 110.00 DEUTSCHE BANK ALEX BROWN
TRADE DATE 06/24/13 (ID: 254423-AB-2)
ROYAL BANK SCOTLAND GRP PLC 5.05% JAN 08 2015
DTD 12/08/2004 (ID: 780097-AP-6)
ARCELORMITTAL 9.85% JUN 01 2019 DTD 05/20/2009
(ID: 03938L-AM-6)
SPRINT NEXTEL CORP 6% DEC 1 2016 DTD 11/20/2006
(ID: 852061-AD-2)
PINNACLE ENTERTAINMENT 8 5/8% AUG 01 2017 DTD
02/01/2010 (ID: 723456-AK-5)
CCO HLDGS LLC CAP CORP 7 1/4% OCT 30 2017 DTD
EFTA01574369
09/27/2010 (ID: 1248EP-AQ-6)
ZAYO GROUP LLC/ZAYO CAP 8.125% JAN 01 2020 DTD
08/17/2012 (ID: 989194-AG-0)
2,000.000
2,000.000
0.00
10,000.000
6,000.000
20,000.000
10,000.000
9,000.000
4,000.000
0.004
0.015
0.025
0.012
0.007
0.038
0.014
0.002
7.56
(30.08)
252.50
69.00
133.33
383.33
128.69
9.03
Page 6 of 26
Quantity
Cost
10,000.000
4,000.000
Per Unit
Amount
0.039
0.041
Amount
387.50
162.50
0.38
EFTA01574370
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Type
Settle Date Selection Method
Income
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Description
ALLIANT TECHSYSTEMS INC 6 7/8% SEP 15 2020 DTD
09/13/2010 (ID: 018804-AP-9)
CHESAPEAKE MIDSTREAM PT 6.125% JUL 15 2022 DTD
01/11/2012 (ID: 16524R-AE-3)
DELPHI CORP 6.125% MAY 15 2021 DTD 05/07/2012
(ID: 24713E-AF-4)
JARDEN CORP 6 1/8% NOV 15 2022 DTD 11/09/2010
(ID: 471109-AE-8)
SALLY HOLDINGS/SALLY CAP 5.75% JUN 01 2022 DTD
05/18/2012 (ID: 79546V-AJ-5)
BE AEROSPACE INC SR NOTES 6 7/8% OCT 01 2020
DTD 09/16/2010 (ID: 055381-AR-8)
US STEEL CORP SR NOTES 7 3/8% APR 01 2020 DTD
03/19/2010 (ID: 912909-AF-5)
WEYERHAEUSER CO 7 3/8% OCT 01 2019 DTD
10/01/2009 (ID: 962166-BV-5)
ENDO PHARMACEUT HLDGS IN 7% JUL 15 2019 DTD
06/08/2011 (ID: 29264F-AG-1)
MGM RESORTS INTL 11.375% MAR 01 2018 DTD
EFTA01574371
09/22/2009 (ID: 55303Q-AA-8)
SMITHFIELD FOODS INC SR NOTES 7 3/4% JUL 1 2017
DTD 6/22/2007 (ID: 832248-AQ-1)
GMAC 8% NOV 01 2031 DTD 12/31/2008
(ID: 36186C-BY-8)
HOLOGIC INC 6.250% 08/01/2020 DTD 03/22/2013
(ID: 436440-AF-8)
Quantity
Cost
5,000.000
4,000.000
5,000.000
1,000.000
5,000.000
15,000.000
2,000.000
10,000.000
5,000.000
5,000.000
10,000.000
20,000.000
5,000.000
Per Unit
Amount
0.022
0.03
0.01
0.01
0.006
0.019
0.02
0.02
0.034
0.041
0.002
0.016
0.028
Amount
110.76
119.78
47.64
9.53
31.94
286.46
40.97
204.86
171.11
205.38
21.53
311.11
138.89
EFTA01574372
Page 7 of 26
EFTA01574373
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Type
Settle Date Selection Method
Income
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Description
LEAR CORP 8 1/8% MAR 15 2020 DTD 03/26/2010
(ID: 521865-AS-4)
TENET HEALTHCARE CORP 6.25% NOV 01 2018 DTD
11/21/2011 (ID: 88033G-BP-4)
DAVITA INC 6 3/8% NOV 01 2018 DTD 10/20/2010
(ID: 23918K-AL-2)
DINEEQUITY INC 9 1/2% OCT 30 2018 DTD
04/30/2011 (ID: 254423-AB-2)
CSC HOLDINGS LLC 8 5/8% FEB 15 2019 DTD
02/12/2009 (ID: 126307-AC-1)
NOKIA CORP 5 3/8% MAY 15 2019 DTD 05/07/2009
(ID: 654902-AB-1)
PIONEER NATURAL RESOURCE 7 1/2% JAN 15 2020 DTD
11/30/2009 (ID: 723787-AJ-6)
CDW LLC/CDW FINANCE 8% DEC 15 2018 DTD
06/15/2011 STEP CPN (ID: 12513G-AW-9)
HANESBRANDS INC 8% DEC 15 2016 DTD 12/10/2009
(ID: 410345-AF-9)
CELANESE US HOLDINGS LLC 4.625% 11/15/2022 DTD
EFTA01574374
11/13/2012 (ID: 15089Q-AD-6)
ALLBRITTON COMMUNICATION 8% MAY 15 2018 DTD
04/30/2010 (ID: 016745-AL-5)
D R HORTON INC 6 1/2% APR 15 2016 DTD
04/17/2006 (ID: 23331A-AZ-2)
AIRCASTLE LTD 7.625% APR 15 2020 DTD 06/06/2012
(ID: 00928Q-AG-6)
Quantity
Cost
8,000.000
5,000.000
10,000.000
2,000.000
10,000.000
5,000.000
20,000.000
3,000.000
5,000.000
5,000.000
10,000.000
10,000.000
2,000.000
Per Unit
Amount
0.026
0.012
0.012
0.019
0.035
0.008
0.037
0.006
0.006
0.015
0.012
0.016
0.018
Amount
209.44
60.76
123.96
37.47
349.79
41.81
733.33
17.33
28.89
74.51
124.44
155.28
36.43
EFTA01574375
Page 8 of 26
EFTA01574376
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Type
Settle Date Selection Method
Income
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Description
ROYAL BANK SCOTLAND GRP PLC 5.05% JAN 08 2015
DTD 12/08/2004 (ID: 780097-AP-6)
AIRCASTLE LTD 6.75% APR 15 2017 DTD 06/06/2012
(ID: 00928Q-AF-8)
METROPCS WIRELESS INC SR NOTES 7 7/8% SEP 01
2018 DTD 09/21/2010 (ID: 591709-AK-6)
WPX ENERGY INC 5.25% JAN 15 2017 DTD 06/25/2012
(ID: 98212B-AC-7)
RRI ENERGY INC 7 7/8% JUN 15 2017 DTD
06/13/2007 (ID: 74971X-AC-1)
WINDSTREAM CORP 7 7/8% NOV 01 2017 DTD
10/08/2009 (ID: 97381W-AJ-3)
MGM RESORTS INTL 6.625% 12/15/2021 DTD
12/20/2012 (ID: 552953-CA-7)
BURGER KING CORP 9 7/8% OCT 15 2018 DTD
10/19/2010 (ID: 121207-AA-2)
FELCOR LODGING LP 6 3/4% JUN 01 2019 DTD
05/10/2011 (ID: 31430Q-BB-2)
HCA INC 8 1/2% APR 15 2019 DTD 04/15/2010
EFTA01574377
(ID: 404119-BF-5)
STARZ LLC/STARZ FIN CORP 5.000% 09/15/2019 DTD
02/13/2013 (ID: 85571N-AB-5)
VULCAN MATERIALS 6 1/2% DEC 01 2016 DTD
06/14/2011 (ID: 929160-AQ-2)
CONTINENTAL RESOURCES 5% SEP 15 2022 DTD
08/14/2012 (ID: 212015-AH-4)
Quantity
Cost
10,000.000
3,000.000
15,000.000
5,000.000
15,000.000
20,000.000
15,000.000
5,000.000
5,000.000
20,000.000
10,000.000
10,000.000
5,000.000
0.016
0.028
0.026
0.006
0.015
0.005
0.024
0.008
0.02
0.016
0.007
0.016
Per Unit
Amount
Amount
4.21
48.38
426.56
128.33
85.31
306.25
71.77
117.95
37.50
406.11
161.11
72.22
80.56
Page 9 of 26
EFTA01574378
EFTA01574379
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Type
Settle Date Selection Method
Income
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Description
AVIS BUDEGET CAR RENTAL 8 1/4% JAN 15 2019 DTD
01/15/2011 (ID: 053773-AN-7)
PVH CORP 4.500% 12/15/2022 DTD 12/20/2012
(ID: 693656-AA-8)
SEAGATE TECHNOLOGY HDD H SR NOTES 6.80% OCT 1
2016 DTD 9/20/2006 (ID: 81180R-AE-2)
AMKOR TECHNOLOGIES INC 6 5/8% JUN 01 2021 DTD
05/20/2011 (ID: 031652-BE-9)
HEALTH MANAGEMENT ASSOCIATION 6 1/8% APR 15
2016 DTD 04/21/2006 (ID: 421933-AH-5)
BOISE PAPER HDG CO ISSR 8% APR 01 2020 DTD
03/19/2010 (ID: 09747G-AB-9)
JARDEN CORP SR SUB NOTES 7 1/2% MAY 1 2017 DTD
2/13/2007 (ID: 471109-AB-4)
GRAPHIC PACKAGING INTL 4.750% 04/15/2021 DTD
04/02/2013 (ID: 38869P-AK-0)
AMERIGAS PART FIN CORP SR NOTES 6 1/2% MAY 20
2021 DTD 01/20/2011 (ID: 030981-AF-1)
SESI LLC 7.125% DEC 15 2021 DTD 06/15/2012
EFTA01574380
(ID: 78412F-AP-9)
NIELSEN FINANCE LLC/CO 7 3/4% OCT 15 2018 DTD
04/15/2011 (ID: 65409Q-AY-8)
CONSTELLATION BRANDS INC 7 1/4% MAY 15 2017 DTD
11/15/2007 (ID: 21036P-AF-5)
WYNN LAS VEGAS LLC CORP 7 3/4% AUG 15 2020 DTD
08/04/2010 (ID: 983130-AR-6)
Quantity
Cost
5,000.000
5,000.000
2,000.000
5,000.000
10,000.000
10,000.000
19,000.000
5,000.000
7,000.000
3,000.000
10,000.000
15,000.000
10,000.000
Per Unit
Amount
0.04
0.003
0.019
0.007
0.015
0.022
0.015
0.013
0.009
0.005
0.019
0.011
0.031
Amount
201.67
16.25
37.78
36.81
146.32
222.22
277.08
65.31
64.46
15.44
185.14
169.17
314.31
EFTA01574381
Page 10 of 26
EFTA01574382
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Type
Settle Date Selection Method
Income
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
7/11
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Description
MERRILL LYNCH & CO MEDIUM TERM NOTES 6 7/8% APR
25 2018 DTD 04/25/2008 (ID: 59018Y-N6-4)
NEWFIELD EXPLORATION CO 6 7/8% FEB 01 2020 DTD
01/25/2010 (ID: 651290-AN-8)
LENNAR CORPORATION 5.6% MAY 31 2015 DTD
4/28/2005 (ID: 526057-AS-3)
CHESAPEAKE ENERGY CORP 6 1/2% AUG 15 2017 DTD
8/16/2005 (ID: 165167-BS-5)
CABLEVISION SYSTEMS CORP SR NOTES 7 3/4% APR 15
2018 DTD 04/15/2010 (ID: 12686C-AZ-2)
DISH DBS CORP 7 7/8% SEP 01 2019 DTD 08/17/2009
(ID: 25470X-AB-1)
SESI LLC 6 3/8% MAY 01 2019 DTD 11/01/2011
(ID: 78412F-AL-8)
COVANTA HOLDING CORP 6 3/8% OCT 01 2022 DTD
03/19/2012 (ID: 22282E-AE-2)
FRONTIER COMMUNICATIONS SR NOTES 8 1/8% OCT 01
2018 DTD 10/01/2009 (ID: 35906A-AB-4)
ENERGY TRANSFER EQUITY 7 1/2% OCT 15 2020 DTD
EFTA01574383
09/20/2010 (ID: 29273V-AC-4)
MARKWEST ENERGY PART FIN 6 3/4% NOV 01 2020 DTD
11/02/2010 (ID: 570506-AM-7)
AMC NETWORKS INC 7.75% JUL 15 2021 DTD
07/09/2012 (ID: 00164V-AB-9)
OMNICARE INC 7 3/4% JUN 01 2020 DTD 05/18/2010
(ID: 681904-AM-0)
Quantity
Cost
10,000.000
20,000.000
10,000.000
15,000.000
10,000.000
15,000.000
2,000.000
7,000.000
11,000.000
20,000.000
5,000.000
10,000.000
15,000.000
Per Unit
Amount
0.015
0.031
0.006
0.026
0.019
0.028
0.012
0.018
0.023
0.018
0.013
0.038
0.009
Amount
145.14
611.11
62.22
395.42
185.14
426.56
24.79
123.96
248.26
358.33
65.63
378.89
129.17
EFTA01574384
Page 11 of 26
EFTA01574385
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Type
Settle Date Selection Method
Income
7/11
7/11
7/11
7/12
7/12
7/12
7/12
7/12
7/12
7/12
7/12
7/12
7/12
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Corporate Interest
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Description
ARCELORMITTAL 6 1/4% FEB 25 2022 DTD 02/28/2012
(ID: 03938L-AX-2)
BALL CORP SR NOTES 6 3/4% SEP 15 2020 DTD
03/22/2010 (ID: 058498-AP-1)
COMMERCIAL METALS CO NOTE 7.35% AUG 15 2018 DTD
08/04/2008 (ID: 201723-AJ-2)
BANK OF AMERICA CORP 3 3/4% JUL 12 2016 DTD
07/12/2011 (ID: 06051G-EK-1)
LAMAR MEDIA CORP 5.875% FEB 01 2022 DTD
07/27/2012 (ID: 513075-BB-6)
CIT GROUP INC 5 1/4% MAR 15 2018 DTD 03/15/2012
(ID: 125581-GL-6)
NRG ENERGY INC 8 1/4% SEP 01 2020 DTD
03/01/2011 (ID: 629377-BJ-0)
CITYCENTER HLDGS/FINANCE 7 5/8% JAN 15 2016 DTD
07/15/2011 (ID: 178760-AB-0)
UNITED RENTALS NORTH AM 9 1/4% DEC 15 2019 DTD
11/17/2009 (ID: 911365-AU-8)
INTL LEASE FINANCE CORP 8 1/4% DEC 15 2020 DTD
EFTA01574386
12/07/2010 (ID: 459745-GF-6)
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 (ID: 74733V-AB-6)
REGAL CINEMAS CORP 8 5/8% JUL 15 2019 DTD
07/15/2009 (ID: 758753-AD-9)
SERVICE CORP INTL 7% JUN 15 2017 DTD 06/15/2006
MULTI CPN (ID: 817565-BF-0)
Quantity
Cost
9,000.000
15,000.000
10,000.000
5,000.000
10,000.000
20,000.000
15,000.000
5,000.000
15,000.000
15,000.000
20,000.000
5,000.000
20,000.000
Per Unit
Amount
0.026
0.022
0.03
0.019
0.026
0.017
0.03
0.037
0.007
0.006
0.015
0.042
0.005
Amount
229.50
326.25
298.08
93.75
261.11
341.25
450.31
187.45
104.06
92.81
301.60
212.03
105.00
EFTA01574387
Page 12 of 26
EFTA01574388
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Type
Settle Date Selection Method
Income
7/12
7/12
7/12
7/12
7/12
7/12
7/12
7/12
7/12
7/12
7/12
7/12
7/12
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Accrued Int Recd
Description
IRON MOUNTAIN INC 8 3/8% AUG 15 2021 DTD
08/10/2009 (ID: 46284P-AM-6)
KEY ENERGY SERVICES INC 6 3/4% MAR 01 2021 DTD
03/04/2011 (ID: 492914-AS-5)
RANGE RESOURCES CORP 6 3/4% AUG 01 2020 DTD
08/12/2010 (ID: 75281A-AL-3)
CCO HLDGS LLC/CAP CORP 6 5/8% JAN 26 2012 DTD
01/31/2022 (ID: 1248EP-AX-1)
COVANTA HOLDING CORP SR NOTES 7 1/4% DEC 01
2020 DTD 12/01/2010 (ID: 22282E-AD-4)
CROWN AMER/CAP CORP III 6 1/4% FEB 01 2021 DTD
08/01/2011 (ID: 22818V-AB-3)
CONSOL ENERGY INC 8 1/4% APR 01 2020 DTD
10/01/2010 (ID: 20854P-AF-6)
AMERICAN INTL GROUP 8.175% MAY 15 2058 DTD
05/15/2009 (ID: 026874-BS-5)
ROYAL BK SCOTLND GRP PLC 6.125% 12/15/2022 DTD
12/04/2012 (ID: 780099-CE-5)
SEAGATE HDD CAYMAN 6 7/8% MAY 01 2020 DTD
EFTA01574389
05/01/2011 (ID: 81180W-AD-3)
FRONTIER COMMUNICATIONS SR NOTES 8 1/8% OCT 01
2018 DTD 10/01/2009 (ID: 35906A-AB-4)
CF INDUSTRIES INC 7 1/8% MAY 01 2020 DTD
04/23/2010 (ID: 12527G-AB-9)
LIMITED BRANDS INC 8 1/2% JUN 15 2019 DTD
12/15/2009 (ID: 532716-AR-8)
Quantity
Cost
15,000.000
5,000.000
9,000.000
6,000.000
3,000.000
15,000.000
15,000.000
15,000.000
5,000.000
5,000.000
9,000.000
10,000.000
20,000.000
Per Unit
Amount
0.034
0.025
0.03
0.03
0.008
0.028
0.023
0.013
0.005
0.014
0.023
0.014
0.006
Amount
512.97
122.81
271.69
178.88
24.77
419.27
347.19
194.16
22.97
67.80
205.16
140.52
127.50
EFTA01574390
Page 13 of 26
EFTA01574391
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Type
Settle Date Selection Method
Income
7/15
7/15
Corporate Interest
Accrued Int Recd
Total Income
Type
Settle Date Selection Method
Withdrawals
7/11
7/11
7/29
Description
Misc Disbursement PHONE INSTRUCTIONS FROM CLIENT FROM
TO V49920008
Misc Disbursement PHONE INSTRUCTIONS FROM CLIENT FROM
TO Q52167006
Misc Disbursement INTERNAL TRANSFER OF FUNDS
Total Withdrawals
Fees & Commissions
7/23
Quantity
Cost
Description
CKE RESTAURANTS INC 11 3/8% JUL 15 2018 DTD
07/12/2010 (ID: 12561E-AK-1)
CB STEEL DYNAMICS INC 7.625% MAR 15 2020 DTD
03/17/2010 (ID: 858119-AR-1)
Quantity
Cost
7,000.000
5,000.000
Per Unit
Amount
0.057
0.025
Amount
398.13
127.08
$18,214 08
Amount
(250,000.00)
(250,000.00)
(599,480.50)
($1,099,480.50)
Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR
THE PERIOD 04-01-2013 TO 06-30-2013
EFTA01574392
(4,047.39)
Page 14 of 26
EFTA01574393
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
TRADE ACTIVITY
Note:
0
Trade Date
Settle Date
L indicates Long Term Realized Gain/Loss
indicates Ordinary Income Realized Gain
S indicates Short Term Realized Gain/Loss
Settled transaction was initiated in prior statement period and settled in
current statement period
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
7/2
7/2
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
Redemption
Pro Rata
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
CDW LLC/CDW FINANCE 8% DEC 15 2018 DTD
06/15/2011 STEP CPN PARTIAL ISSUE CALLED @
108.00 (ID: 12513G-AW-9)
EFTA01574394
ARCELORMITTAL 9.85% JUN 01 2019 DTD 05/20/2009
@ 118.813 FIRST UNION CAPITAL MARKETS
(ID: 03938L-AM-6)
SPRINT NEXTEL CORP 6% DEC 1 2016 DTD 11/20/2006
@ 104.75 UBS SECURITIES LLC (ID: 852061-AD-2)
PINNACLE ENTERTAINMENT 8 5/8% AUG 01 2017 DTD
02/01/2010 @ 104.25 MLPFS INC/FIXED INCOME
(ID: 723456-AK-5)
CCO HLDGS LLC CAP CORP 7 1/4% OCT 30 2017 DTD
09/27/2010 @ 106.00 FIRST UNION CAPITAL MARKETS
(ID: 1248EP-AQ-6)
ZAYO GROUP LLC/ZAYO CAP 8.125% JAN 01 2020 DTD
08/17/2012 @ 108.00 FIRST UNION CAPITAL MARKETS
(ID: 989194-AG-0)
ALLIANT TECHSYSTEMS INC 6 7/8% SEP 15 2020 DTD
09/13/2010 @ 105.75 DEUTSCHE BANK ALEX BROWN
(ID: 018804-AP-9)
CHESAPEAKE MIDSTREAM PT 6.125% JUL 15 2022 DTD
01/11/2012 @ 101.00 DEUTSCHE BANK ALEX BROWN
(ID: 16524R-AE-3)
(4,000.000)
101.00
4,040.00
(3,930.00)
110.00 L
(5,000.000)
105.75
5,287.50
(5,545.50)
(258.00) S
(4,000.000)
108.00
4,320.00
(4,500.00)
(180.00) S
(9,000.000)
106.00
9,540.00
(9,495.00)
45.00 L
(20,000.000)
(10,000.000)
104.75
104.25
20,950.00
10,425.00
(17,385.00)
(10,850.00)
2,683.57 L
881.43 0
(425.00) L
EFTA01574395
(6,000.000)
118.813
7,128.78
(6,922.50)
206.28 S
Quantity
(2,000.000)
Per Unit
Amount
108.00
Proceeds
2,160.00
Tax Cost
(2,237.50)
Realized
Gain/Loss
(77.50) S
Page 15 of 26
EFTA01574396
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Trade Date
Settle Date
7/8
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
7/11
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
DELPHI CORP 6.125% MAY 15 2021 DTD 05/07/2012 @
108.52 DEUTSCHE BANK ALEX BROWN
(ID: 24713E-AF-4)
JARDEN CORP 6 1/8% NOV 15 2022 DTD 11/09/2010 @
104.75 DEUTSCHE BANK ALEX BROWN
(ID: 471109-AE-8)
SALLY HOLDINGS/SALLY CAP 5.75% JUN 01 2022 DTD
05/18/2012 @ 100.00 DEUTSCHE BANK ALEX BROWN
EFTA01574397
(ID: 79546V-AJ-5)
BE AEROSPACE INC SR NOTES 6 7/8% OCT 01 2020
DTD 09/16/2010 @ 107.55 MORGAN STANLEY & CO.
LLC (ID: 055381-AR-8)
US STEEL CORP SR NOTES 7 3/8% APR 01 2020 DTD
03/19/2010 @ 98.05 MORGAN STANLEY & CO. LLC
(ID: 912909-AF-5)
WEYERHAEUSER CO 7 3/8% OCT 01 2019 DTD
10/01/2009 @ 117.296 MORGAN STANLEY & CO. LLC
(ID: 962166-BV-5)
ENDO PHARMACEUT HLDGS IN 7% JUL 15 2019 DTD
06/08/2011 @ 100.75 CITIGROUP GLOBAL MARKETS
INC/SALOM (ID: 29264F-AG-1)
MGM RESORTS INTL 11.375% MAR 01 2018 DTD
09/22/2009 @ 124.50 CITIGROUP GLOBAL MARKETS
INC/SALOM (ID: 55303Q-AA-8)
SMITHFIELD FOODS INC SR NOTES 7 3/4% JUL 1 2017
DTD 6/22/2007 @ 110.00 FIRST UNION CAPITAL
MARKETS (ID: 832248-AQ-1)
(10,000.000)
110.00
11,000.00
(10,475.00)
525.00 L
(5,000.000)
124.50
6,225.00
(6,575.00)
(350.00) S
(5,000.000)
100.75
5,037.50
(5,337.50)
(300.00) S
(10,000.000)
117.296
11,729.60
(11,509.70)
219.90 L
(2,000.000)
98.05
1,961.00
(2,087.50)
(126.50) L
(15,000.000)
107.55
16,132.50
(16,012.50)
120.00 L
(5,000.000)
100.00
EFTA01574398
5,000.00
(5,295.00)
(295.00) S
(1,000.000)
104.75
1,047.50
(1,072.50)
(25.00) S
Quantity
(5,000.000)
Per Unit
Amount
108.52
Proceeds
5,426.00
Tax Cost
(5,545.00)
Realized
Gain/Loss
(119.00) S
Page 16 of 26
EFTA01574399
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Trade Date
Settle Date
7/8
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
7/11
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
GMAC 8% NOV 01 2031 DTD 12/31/2008 @ 119.00
BARCLAYS CAPITAL INC FIXED INCOME
(ID: 36186C-BY-8)
HOLOGIC INC 6.250% 08/01/2020 DTD 03/22/2013
EFTA01574400
103.51 BARCLAYS CAPITAL INC FIXED INCOME
(ID: 436440-AF-8)
LEAR CORP 8 1/8% MAR 15 2020 DTD 03/26/2010 @
108.00 BARCLAYS CAPITAL INC FIXED INCOME
(ID: 521865-AS-4)
TENET HEALTHCARE CORP 6.25% NOV 01 2018 DTD
11/21/2011 @ 105.00 DEUTSCHE BANK ALEX BROWN
(ID: 88033G-BP-4)
DAVITA INC 6 3/8% NOV 01 2018 DTD 10/20/2010 @
104.00 MLPFS INC/FIXED INCOME (ID: 23918K-AL-2)
DINEEQUITY INC 9 1/2% OCT 30 2018 DTD
04/30/2011 @ 111.25 FIRST UNION CAPITAL MARKETS
(ID: 254423-AB-2)
CSC HOLDINGS LLC 8 5/8% FEB 15 2019 DTD
02/12/2009 @ 116.55 MORGAN STANLEY & CO. LLC
(ID: 126307-AC-1)
NOKIA CORP 5 3/8% MAY 15 2019 DTD 05/07/2009 @
96.30 MORGAN STANLEY & CO. LLC (ID: 654902-AB-1)
PIONEER NATURAL RESOURCE 7 1/2% JAN 15 2020 DTD
11/30/2009 @ 121.66 MORGAN STANLEY & CO. LLC
(ID: 723787-AJ-6)
CDW LLC/CDW FINANCE 8% DEC 15 2018 DTD
06/15/2011 STEP CPN @ 108.40 CITIGROUP GLOBAL
MARKETS INC/SALOM (ID: 12513G-AW-9)
Page 17 of 26
(3,000.000)
108.40
3,252.00
(3,356.25)
(104.25) S
(5,000.000)
(20,000.000)
96.30
121.66
4,815.00
24,332.00
(4,912.50)
(22,800.00)
(97.50) S
1,532.00 L
(10,000.000)
116.55
11,655.00
(11,425.00)
230.00 L
(10,000.000)
(2,000.000)
104.00
111.25
10,400.00
2,225.00
EFTA01574401
(10,200.00)
(2,200.00)
200.00 L
25.00 S
(5,000.000)
105.00
5,250.00
(5,400.00)
(150.00) S
(8,000.000)
108.00
8,640.00
(8,756.00)
(116.00) L
(5,000.000)
103.51
5,175.50
(5,470.00)
(294.50) S
Quantity
(20,000.000)
Per Unit
Amount
119.00
Proceeds
23,800.00
Tax Cost
(21,912.50)
Realized
Gain/Loss
1,887.50 L
EFTA01574402
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Trade Date
Settle Date
7/8
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
7/11
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
HANESBRANDS INC 8% DEC 15 2016 DTD 12/10/2009 @
106.125 CITIGROUP GLOBAL MARKETS INC/SALOM
(ID: 410345-AF-9)
CELANESE US HOLDINGS LLC 4.625% 11/15/2022 DTD
EFTA01574403
11/13/2012 @ 96.27 CREDIT SUISSE FIRST BOSTON
LLC (ID: 15089Q-AD-6)
ALLBRITTON COMMUNICATION 8% MAY 15 2018 DTD
04/30/2010 @ 106.50 MLPFS INC/FIXED INCOME
(ID: 016745-AL-5)
D R HORTON INC 6 1/2% APR 15 2016 DTD
04/17/2006 @ 108.815 PERSHING & COMPANY
(ID: 23331A-AZ-2)
AIRCASTLE LTD 7.625% APR 15 2020 DTD 06/06/2012
@ 109.75 DEUTSCHE BANK ALEX BROWN
(ID: 00928Q-AG-6)
ROYAL BANK SCOTLAND GRP PLC 5.05% JAN 08 2015
DTD 12/08/2004 @ 100.375 GREENWICH CAPITAL
MARKETS INC (ID: 780097-AP-6)
AIRCASTLE LTD 6.75% APR 15 2017 DTD 06/06/2012
@ 104.00 SOUTHWEST SECURITIES INC
(ID: 00928Q-AF-8)
METROPCS WIRELESS INC SR NOTES 7 7/8% SEP 01
2018 DTD 09/21/2010 @ 107.25 DEUTSCHE BANK ALEX
BROWN (ID: 591709-AK-6)
WPX ENERGY INC 5.25% JAN 15 2017 DTD 06/25/2012
@ 103.065 FUJI SECURITIES (ID: 98212B-AC-7)
RRI ENERGY INC 7 7/8% JUN 15 2017 DTD
06/13/2007 @ 106.50 MORGAN STANLEY & CO. LLC
(ID: 74971X-AC-1)
Page 18 of 26
(5,000.000)
(15,000.000)
103.065
106.50
5,153.25
15,975.00
(5,362.50)
(15,112.50)
(209.25) S
862.50 L
(15,000.000)
107.25
16,087.50
(16,012.50)
75.00 L
(3,000.000)
104.00
3,120.00
(3,177.50)
(57.50) S
(10,000.000)
100.375
10,037.50
(10,336.25)
(298.75) S
EFTA01574404
(2,000.000)
109.75
2,195.00
(2,185.00)
10.00 S
(10,000.000)
108.815
10,881.50
(10,495.00)
386.50 L
(10,000.000)
106.50
10,650.00
(10,300.00)
350.00 L
(5,000.000)
96.27
4,813.50
(5,105.00)
(291.50) S
Quantity
(5,000.000)
Per Unit
Amount
106.125
Proceeds
5,306.25
Tax Cost
(5,412.50)
Realized
Gain/Loss
(106.25) L
EFTA01574405
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Trade Date
Settle Date
7/8
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
7/11
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
WINDSTREAM CORP 7 7/8% NOV 01 2017 DTD
10/08/2009 @ 109.25 CREDIT SUISSE FIRST BOSTON
LLC (ID: 97381W-AJ-3)
MGM RESORTS INTL 6.625% 12/15/2021 DTD
12/20/2012 @ 102.25 MLPFS INC/FIXED INCOME
(ID: 552953-CA-7)
BURGER KING CORP 9 7/8% OCT 15 2018 DTD
10/19/2010 @ 111.58 FIRST UNION CAPITAL MARKETS
EFTA01574406
(ID: 121207-AA-2)
FELCOR LODGING LP 6 3/4% JUN 01 2019 DTD
05/10/2011 @ 104.05 FIRST UNION CAPITAL MARKETS
(ID: 31430Q-BB-2)
HCA INC 8 1/2% APR 15 2019 DTD 04/15/2010 @
107.625 FIRST UNION CAPITAL MARKETS
(ID: 404119-BF-5)
STARZ LLC/STARZ FIN CORP 5.000% 09/15/2019 DTD
02/13/2013 @ 99.00 FIRST UNION CAPITAL MARKETS
(ID: 85571N-AB-5)
VULCAN MATERIALS 6 1/2% DEC 01 2016 DTD
06/14/2011 @ 107.875 FIRST UNION CAPITAL
MARKETS (ID: 929160-AQ-2)
CONTINENTAL RESOURCES 5% SEP 15 2022 DTD
08/14/2012 @ 100.521 CSI US INSTITUTIONAL DESK
(ID: 212015-AH-4)
AVIS BUDEGET CAR RENTAL 8 1/4% JAN 15 2019 DTD
01/15/2011 @ 108.504 MILLENNIUM ADVISORS, LLC
(ID: 053773-AN-7)
(5,000.000)
108.504
5,425.20
(5,572.50)
(147.30) S
(5,000.000)
100.521
5,026.05
(5,073.75)
(47.70) S
(10,000.000)
107.875
10,787.50
(10,975.00)
(187.50) S
(10,000.000)
99.00
9,900.00
(10,305.00)
(405.00) S
(20,000.000)
107.625
21,525.00
(22,250.00)
(725.00) L
(5,000.000)
104.05
5,202.50
(5,057.50)
145.00 L
(5,000.000)
111.58
EFTA01574407
5,579.00
(5,762.50)
(183.50) S
(15,000.000)
102.25
15,337.50
(15,582.50)
(245.00) S
Quantity
(20,000.000)
Per Unit
Amount
109.25
Proceeds
21,850.00
Tax Cost
(21,450.00)
Realized
Gain/Loss
400.00 L
Page 19 of 26
EFTA01574408
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Trade Date
Settle Date
7/8
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
7/11
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
PVH CORP 4.500% 12/15/2022 DTD 12/20/2012 @
96.271 MILLENNIUM ADVISORS, LLC
(ID: 693656-AA-8)
SEAGATE TECHNOLOGY HDD H SR NOTES 6.80% OCT 1
2016 DTD 9/20/2006 @ 110.625 MILLENNIUM
ADVISORS, LLC (ID: 81180R-AE-2)
AMKOR TECHNOLOGIES INC 6 5/8% JUN 01 2021 DTD
05/20/2011 @ 99.00 MORGAN STANLEY & CO. LLC
EFTA01574409
(ID: 031652-BE-9)
HEALTH MANAGEMENT ASSOCIATION 6 1/8% APR 15
2016 DTD 04/21/2006 @ 107.25 MLPFS INC/FIXED
INCOME (ID: 421933-AH-5)
BOISE PAPER HDG CO ISSR 8% APR 01 2020 DTD
03/19/2010 @ 106.25 FIRST UNION CAPITAL MARKETS
(ID: 09747G-AB-9)
JARDEN CORP SR SUB NOTES 7 1/2% MAY 1 2017 DTD
2/13/2007 @ 110.50 FIRST UNION CAPITAL MARKETS
(ID: 471109-AB-4)
GRAPHIC PACKAGING INTL 4.750% 04/15/2021 DTD
04/02/2013 @ 97.275 BARCLAYS CAPITAL INC FIXED
INCOME (ID: 38869P-AK-0)
AMERIGAS PART FIN CORP SR NOTES 6 1/2% MAY 20
2021 DTD 01/20/2011 @ 100.679 FIDELITY CAPITAL
MARKETS (ID: 030981-AF-1)
SESI LLC 7.125% DEC 15 2021 DTD 06/15/2012 @
107.249 FIDELITY CAPITAL MARKETS
(ID: 78412F-AP-9)
(3,000.000)
107.249
3,217.47
(3,322.50)
(105.03) S
(7,000.000)
100.679
7,047.53
(7,157.50)
(109.97) L
(5,000.000)
97.275
4,863.75
(4,987.50)
(123.75) S
(19,000.000)
110.50
20,995.00
(20,572.50)
522.50 L
(100.00) S
(10,000.000)
106.25
10,625.00
(10,862.50)
(237.50) L
(10,000.000)
107.25
10,725.00
(10,400.00)
325.00 L
(5,000.000)
EFTA01574410
99.00
4,950.00
(4,925.00)
25.00 S
(2,000.000)
110.625
2,212.50
(2,120.00)
92.50 L
Quantity
(5,000.000)
Per Unit
Amount
96.271
Proceeds
4,813.55
Tax Cost
(5,005.00)
Realized
Gain/Loss
(191.45) S
Page 20 of 26
EFTA01574411
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Trade Date
Settle Date
7/8
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
7/11
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
NIELSEN FINANCE LLC/CO 7 3/4% OCT 15 2018 DTD
04/15/2011 @ 107.75 FIRST UNION CAPITAL MARKETS
(ID: 65409Q-AY-8)
CONSTELLATION BRANDS INC 7 1/4% MAY 15 2017 DTD
11/15/2007 @ 112.50 BARCLAYS CAPITAL INC FIXED
INCOME (ID: 21036P-AF-5)
WYNN LAS VEGAS LLC CORP 7 3/4% AUG 15 2020 DTD
08/04/2010 @ 110.25 DEUTSCHE BANK ALEX BROWN
EFTA01574412
(ID: 983130-AR-6)
MERRILL LYNCH & CO MEDIUM TERM NOTES 6 7/8% APR
25 2018 DTD 04/25/2008 @ 115.542 US BANCORP
INVESTMENTS INC. (ID: 59018Y-N6-4)
NEWFIELD EXPLORATION CO 6 7/8% FEB 01 2020 DTD
01/25/2010 @ 104.00 CITIGROUP GLOBAL MARKETS
INC/SALOM (ID: 651290-AN-8)
LENNAR CORPORATION 5.6% MAY 31 2015 DTD
4/28/2005 @ 105.125 FIRST UNION CAPITAL MARKETS
(ID: 526057-AS-3)
CHESAPEAKE ENERGY CORP 6 1/2% AUG 15 2017 DTD
8/16/2005 @ 107.50 DEUTSCHE BANK ALEX BROWN
(ID: 165167-BS-5)
CABLEVISION SYSTEMS CORP SR NOTES 7 3/4% APR 15
2018 DTD 04/15/2010 @ 110.00 CITIGROUP GLOBAL
MARKETS INC/SALOM (ID: 12686C-AZ-2)
DISH DBS CORP 7 7/8% SEP 01 2019 DTD 08/17/2009
@ 111.00 MLPFS INC/FIXED INCOME
(ID: 25470X-AB-1)
(15,000.000)
111.00
16,650.00
(16,462.50)
187.50 L
(10,000.000)
110.00
11,000.00
(10,775.00)
225.00 L
(15,000.000)
107.50
16,125.00
(15,975.00)
150.00 L
(10,000.000)
105.125
10,512.50
(9,905.00)
576.71 L
30.79 0
(20,000.000)
104.00
20,800.00
(21,450.00)
(650.00) L
(10,000.000)
115.542
11,554.20
(11,080.41)
473.79 L
(10,000.000)
EFTA01574413
110.25
11,025.00
(10,950.00)
75.00 L
(15,000.000)
112.50
16,875.00
(16,500.00)
375.00 L
Quantity
(10,000.000)
Per Unit
Amount
107.75
Proceeds
10,775.00
Tax Cost
(11,040.00)
Realized
Gain/Loss
(265.00) L
Page 21 of 26
EFTA01574414
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Trade Date
Settle Date
7/8
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
7/8
7/11
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
7/11
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
SESI LLC 6 3/8% MAY 01 2019 DTD 11/01/2011 @
103.09 FIDELITY CAPITAL MARKETS
(ID: 78412F-AL-8)
COVANTA HOLDING CORP 6 3/8% OCT 01 2022 DTD
EFTA01574415
03/19/2012 @ 100.75 RBC CAPITAL MARKETS
CORPORATION (ID: 22282E-AE-2)
FRONTIER COMMUNICATIONS SR NOTES 8 1/8% OCT 01
2018 DTD 10/01/2009 @ 109.00 RBC CAPITAL
MARKETS CORPORATION (ID: 35906A-AB-4)
ENERGY TRANSFER EQUITY 7 1/2% OCT 15 2020 DTD
09/20/2010 @ 108.75 CREDIT SUISSE FIRST BOSTON
LLC (ID: 29273V-AC-4)
MARKWEST ENERGY PART FIN 6 3/4% NOV 01 2020 DTD
11/02/2010 @ 104.77 KEYBANC CAPITAL MARKETS
(ID: 570506-AM-7)
AMC NETWORKS INC 7.75% JUL 15 2021 DTD
07/09/2012 @ 108.75 FIRST UNION CAPITAL MARKETS
(ID: 00164V-AB-9)
OMNICARE INC 7 3/4% JUN 01 2020 DTD 05/18/2010
@ 108.75 FIRST UNION CAPITAL MARKETS
(ID: 681904-AM-0)
ARCELORMITTAL 6 1/4% FEB 25 2022 DTD 02/28/2012
@ 102.50 OPPENHEIMER & CO (ID: 03938L-AX-2)
BALL CORP SR NOTES 6 3/4% SEP 15 2020 DTD
03/22/2010 @ 107.25 OPPENHEIMER & CO
(ID: 058498-AP-1)
COMMERCIAL METALS CO NOTE 7.35% AUG 15 2018 DTD
08/04/2008 @ 107.565 TIMBER HILL LLC/IB CORP.
SETTLEMEN (ID: 201723-AJ-2)
Page 22 of 26
(10,000.000)
107.565
10,756.50
(11,087.50)
(331.00) S
(9,000.000)
(15,000.000)
102.50
107.25
9,225.00
16,087.50
(9,007.50)
(16,050.00)
217.50 S
37.50 L
(15,000.000)
108.75
16,312.50
(16,320.00)
(7.50) L
(10,000.000)
108.75
10,875.00
(11,490.00)
(615.00) S
EFTA01574416
(5,000.000)
104.77
5,238.50
(5,600.00)
(361.50) S
(20,000.000)
108.75
21,750.00
(21,450.00)
300.00 L
(11,000.000)
109.00
11,990.00
(12,072.50)
(82.50) L
(7,000.000)
100.75
7,052.50
(7,210.00)
(157.50) L
Quantity
(2,000.000)
Per Unit
Amount
103.09
Proceeds
2,061.80
Tax Cost
(2,135.00)
Realized
Gain/Loss
(73.20) S
EFTA01574417
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Trade Date
Settle Date
7/8
7/9
7/12
7/9
7/12
7/9
7/12
7/9
7/12
7/9
7/12
7/9
7/12
7/9
7/12
7/9
7/12
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
7/12
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
LAMAR MEDIA CORP 5.875% FEB 01 2022 DTD
07/27/2012 @ 102.25 NATIONAL FINL SVCS CORP
(ID: 513075-BB-6)
CIT GROUP INC 5 1/4% MAR 15 2018 DTD 03/15/2012
@ 103.50 MORGAN STANLEY & CO. LLC
(ID: 125581-GL-6)
NRG ENERGY INC 8 1/4% SEP 01 2020 DTD
03/01/2011 @ 108.00 MORGAN STANLEY & CO. LLC
EFTA01574418
(ID: 629377-BJ-0)
CITYCENTER HLDGS/FINANCE 7 5/8% JAN 15 2016 DTD
07/15/2011 @ 105.75 MLPFS INC/FIXED INCOME
(ID: 178760-AB-0)
UNITED RENTALS NORTH AM 9 1/4% DEC 15 2019 DTD
11/17/2009 @ 111.00 DEUTSCHE BANK ALEX BROWN
(ID: 911365-AU-8)
INTL LEASE FINANCE CORP 8 1/4% DEC 15 2020 DTD
12/07/2010 @ 113.00 UBS SECURITIES LLC
(ID: 459745-GF-6)
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.25 CITIGROUP GLOBAL MARKETS
INC/SALOM (ID: 74733V-AB-6)
REGAL CINEMAS CORP 8 5/8% JUL 15 2019 DTD
07/15/2009 @ 107.25 FIRST UNION CAPITAL MARKETS
(ID: 758753-AD-9)
SERVICE CORP INTL 7% JUN 15 2017 DTD 06/15/2006
MULTI CPN @ 110.125 FIRST UNION CAPITAL MARKETS
(ID: 817565-BF-0)
(20,000.000)
110.125
22,025.00
(21,700.00)
325.00 L
(5,000.000)
107.25
5,362.50
(5,640.00)
(277.50) S
(20,000.000)
99.25
19,850.00
(19,861.25)
(11.25) L
(15,000.000)
113.00
16,950.00
(16,540.00)
410.00 L
(15,000.000)
111.00
16,650.00
(16,687.50)
(37.50) L
(5,000.000)
105.75
5,287.50
(5,275.00)
12.50 S
(15,000.000)
108.00
EFTA01574419
16,200.00
(15,637.50)
562.50 L
(20,000.000)
103.50
20,700.00
(20,140.00)
560.00 L
Quantity
(10,000.000)
Per Unit
Amount
102.25
Proceeds
10,225.00
Tax Cost
(11,072.50)
Realized
Gain/Loss
(847.50) S
Page 23 of 26
EFTA01574420
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Trade Date
Settle Date
7/9
7/9
7/12
7/9
7/12
7/9
7/12
7/9
7/12
7/9
7/12
7/9
7/12
7/9
7/12
7/9
7/12
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
7/12
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
IRON MOUNTAIN INC 8 3/8% AUG 15 2021 DTD
08/10/2009 @ 106.625 CREDIT SUISSE FIRST BOSTON
LLC (ID: 46284P-AM-6)
KEY ENERGY SERVICES INC 6 3/4% MAR 01 2021 DTD
03/04/2011 @ 95.00 CREDIT SUISSE FIRST BOSTON
LLC (ID: 492914-AS-5)
RANGE RESOURCES CORP 6 3/4% AUG 01 2020 DTD
08/12/2010 @ 107.00 CREDIT SUISSE FIRST BOSTON
EFTA01574421
LLC (ID: 75281A-AL-3)
CCO HLDGS LLC/CAP CORP 6 5/8% JAN 26 2012 DTD
01/31/2022 @ 102.00 DEUTSCHE BANK ALEX BROWN
(ID: 1248EP-AX-1)
COVANTA HOLDING CORP SR NOTES 7 1/4% DEC 01
2020 DTD 12/01/2010 @ 105.50 DEUTSCHE BANK ALEX
BROWN (ID: 22282E-AD-4)
CROWN AMER/CAP CORP III 6 1/4% FEB 01 2021 DTD
08/01/2011 @ 105.125 BNP PARIBAS SECURITIES
BOND (ID: 22818V-AB-3)
CONSOL ENERGY INC 8 1/4% APR 01 2020 DTD
10/01/2010 @ 105.25 MORGAN STANLEY & CO. LLC
(ID: 20854P-AF-6)
AMERICAN INTL GROUP 8.175% MAY 15 2058 DTD
05/15/2009 @ 122.25 BARCLAYS CAPITAL INC FIXED
INCOME (ID: 026874-BS-5)
ROYAL BK SCOTLND GRP PLC 6.125% 12/15/2022 DTD
12/04/2012 @ 96.50 CITIGROUP GLOBAL MARKETS
INC/SALOM (ID: 780099-CE-5)
(5,000.000)
96.50
4,825.00
(5,340.10)
(515.10) S
(15,000.000)
122.25
18,337.50
(16,428.75)
1,908.75 L
(15,000.000)
105.25
15,787.50
(16,556.25)
(768.75) L
(15,000.000)
105.125
15,768.75
(16,262.50)
(493.75) L
(3,000.000)
105.50
3,165.00
(3,255.00)
(90.00) L
(6,000.000)
102.00
6,120.00
(5,970.00)
150.00 L
(9,000.000)
107.00
EFTA01574422
9,630.00
(9,720.00)
(90.00) L
(5,000.000)
95.00
4,750.00
(5,127.50)
(377.50) L
Quantity
(15,000.000)
Per Unit
Amount
106.625
Proceeds
15,993.75
Tax Cost
(15,900.00)
Realized
Gain/Loss
93.75 L
Page 24 of 26
EFTA01574423
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Trade Date
Settle Date
7/9
7/9
7/12
7/9
7/12
7/9
7/12
7/9
7/12
7/15
7/15
7/10
7/15
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
7/12
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Redemption
Pro Rata
Sale
High Cost
SEAGATE HDD CAYMAN 6 7/8% MAY 01 2020 DTD
05/01/2011 @ 107.00 JPMORGAN CLEARING CORP
(ID: 81180W-AD-3)
BANK OF AMERICA CORP 3 3/4% JUL 12 2016 DTD
07/12/2011 @ 105.31 BARCLAYS CAPITAL INC FIXED
INCOME (ID: 06051G-EK-1)
FRONTIER COMMUNICATIONS SR NOTES 8 1/8% OCT 01
2018 DTD 10/01/2009 @ 109.50 BARCLAYS CAPITAL
INC FIXED INCOME (ID: 35906A-AB-4)
CF INDUSTRIES INC 7 1/8% MAY 01 2020 DTD
04/23/2010 @ 120.079 KEYBANC CAPITAL MARKETS
(ID: 12527G-AB-9)
LIMITED BRANDS INC 8 1/2% JUN 15 2019 DTD
12/15/2009 @ 115.75 SUNTRUST CAPITAL MARKETS
INC (ID: 532716-AR-8)
CKE RESTAURANTS INC 11 3/8% JUL 15 2018 DTD
EFTA01574424
07/12/2010 ENTIRE ISSUE CALLED @ 103.00
(ID: 12561E-AK-1)
CB STEEL DYNAMICS INC 7.625% MAR 15 2020 DTD
03/17/2010 @ 107.75 BAIRD (ROBERT W.) & CO.
INCORPORAT (ID: 858119-AR-1)
Total Settled Sales/Maturities/Redemptions
$1,013,776.33
($1,007,649.46)
$12,721.50 L
($7,649.75) S
$1,055.12 0
(5,000.000)
107.75
5,387.50
(5,568.75)
(181.25) S
(7,000.000)
103.00
7,210.00
(7,735.00)
(525.00) L
(20,000.000)
115.75
23,150.00
(23,000.00)
150.00 L
(10,000.000)
120.079
12,007.90
(11,675.00)
332.90 L
(9,000.000)
109.50
9,855.00
(9,877.50)
(22.50) L
(5,000.000)
105.31
5,265.50
(4,581.50)
541.10 L
142.90 0
Quantity
(5,000.000)
Per Unit
Amount
107.00
Proceeds
5,350.00
Tax Cost
(5,450.00)
EFTA01574425
Realized
Gain/Loss
(100.00) S
Page 25 of 26
EFTA01574426
GHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/13 to 7/31/13
Trade Date
Settle Date
Type
Settled Securities Purchased
6/24
Purchase
7/2
Description
DINEEQUITY INC 9 1/2% OCT 30 2018 DTD
04/30/2011 @ 110.00 DEUTSCHE BANK ALEX BROWN
(ID: 254423-AB-2)
Quantity
2,000.000
Per Unit
Amount
110.00
Market Cost
(2,200.00) *
Page 26 of 26
EFTA01574427
For the Period 7/1/13 to 7/31/13
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
EFTA01574428
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 2
EFTA01574429
For the Period 7/1/13 to 7/31/13
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 INVESTMENT
MANAGEMENT ACCOUNT