DataSet-10
Unknown
34 pages
GHISLAINE MAXWELL
EFTA01573268
EFTA01573269
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL-HY
270 Park Avenue, New York, NY 10017-2014
ACCT.
For the Period 9/1/11 to 9/30/11
Investment Management Account
J.P. Morgan Team
Paul Morris
Ian Hirschfield
Janet Young
Gina Swetra
Online access
Banker
Investment Specialist
Client Service Team
Client Service Team
www.MorganOnline.com
For important information regarding your accounts refer to the rear of your
statement
Table of Contents
Account Summary
Page
2
Holdings
Cash & Fixed Income
Portfolio Activity
4
15
0000009930.15.0.15.00001.MAXEW00.20111007
Page 1 of 16
EFTA01573270
GHISLAINE MAXWELL-HY ACCT.
For the Period 9/1/11 to 9/30/11
Account Summary
Asset Allocation
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
951,738.55
$951,738.55
20,229.43
$971,967.98
Ending
Market Value
930,873.65
$930,873.65
21,983.48
$952,857.13
Current
Portfolio Activity
Beginning Market Value
Contributions
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
$0.00
4,137.85
(25,002.75)
$930,873.65
21,983.48
$952,857.13
Period Value
951,738.55
Change
In Value
(20,864.90)
($20,864.90)
1,754.05
($19,110.85)
Year-to-Date
Value
0.00
1,000,000.00
$1,000,000.00
(6,422.55)
(62,703.80)
EFTA01573271
$930,873.65
21,983.48
$952,857.13
Estimated
70,872.16
$70,872.16
Current
Annual Income Allocation
100%
100%
Page 2 of 16
EFTA01573272
GHISLAINE MAXWELL-HY ACCT.
For the Period 9/1/11 to 9/30/11
Account Summary
Tax Summary
Interest Income
Accrued Interest Current Year
Accrued Interest Subsequent Year
Taxable Income
Cash Receipts
Other Income & Receipts
Cost Summary
Cash & Fixed Income
Total
CONTINUED
Current
Period Value
4,137.85
Year-to-Date
Value
10,234.32
(16,587.03)
(144.84)
$4,137.85
($6,497.55)
75.00
$75.00
993,577.45
Cost
$993,577.45
Unrealized Gain/Loss
To-Date Value
($62,703.80)
Page 3 of 16
EFTA01573273
GHISLAINE MAXWELL-HY ACCT.
For the Period 9/1/11 to 9/30/11
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
US Fixed Income
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1-5 years,
5-10 years,
10+ years,
Total Value
1
Market Value
14,758.65
936,979.90
$951,738.55
Ending
Market Value
18,896.50
911,977.15
$930,873.65
Current
Period Value
930,873.65
993,577.45
(62,703.80)
70,872.16
21,983.48
7.65%
SUMMARY BY TYPE
Market
Value
32,134.00
157,269.95
683,268.40
58,201.30
$930,873.65
% of Bond
Portfolio
EFTA01573274
3%
16%
75%
6%
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.
Cash & Fixed Income
Cash
Corporate Bonds
International Bonds
Total Value
Market
Value
18,896.50
902,027.15
9,950.00
$930,873.65
% of Bond
Portfolio
2%
97%
1%
100%
US Fixed Income
Change
In Value
4,137.85
(25,002.75)
($20,864.90)
Current
Allocation
2%
98%
100%
Cash
Asset Categories
Cash & Fixed Income as a percentage of your portfolio 100%
Page 4 of 16
EFTA01573275
GHISLAINE MAXWELL-HY ACCT.
For the Period 9/1/11 to 9/30/11
Note:
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.
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
US Fixed Income
AMERICAN GENERAL FINANCE
MEDIUM TERM NOTES 5.85% JUN 1 2013
DTD 6/12/2006
02635P-TD-5 B /B3
FORD MOTOR CREDIT CO
NOTES 7% OCT 1 2013
DTD 9/23/2003
345397-TZ-6 BB- /BA2
VERSO PAPER HLDGS LLC IN
11 1/2% JUL 01 2014
DTD 01/01/2010
92532B-AB-5 BB- /BA2
LENNAR CORPORATION
5.6% MAY 31 2015
DTD 4/28/2005
526057-AS-3 B+ /B3
91.00
10,000.00
9,100.00
9,905.00
(805.00)
560.00
186.66
8.51%
104.00
25,000.00
26,000.00
26,812.50
(812.50)
2,875.00
718.75
9.79%
105.01
10,000.00
10,501.20
10,775.00
(273.80)
700.00
EFTA01573276
350.00
4.36%
85.50
20,000.00
17,100.00
20,000.00
(2,900.00)
1,170.00
390.00
16.09%
1.00
18,896.50
18,896.50
18,896.50
5.66
0.45
0.03%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 5 of 16
EFTA01573277
GHISLAINE MAXWELL-HY ACCT.
For the Period 9/1/11 to 9/30/11
Price
US Fixed Income
COMMUNITY HEALTH SYSTEMS
8 7/8% JUL 15 2015
DTD 07/25/2007
12543D-AF-7 B /B3
D R HORTON INC
6 1/2% APR 15 2016
DTD 04/17/2006
23331A-AZ-2 BB- /BA3
HEALTH MANAGEMENT ASSOCIATION
6 1/8% APR 15 2016
DTD 04/21/2006
421933-AH-5 BB- /NA
STEEL DYNAMICS INC
7.75% APR 15 2016
DTD 04/03/2008
858119-AN-0 BB+ /BA2
SUPERVALU INC
8% MAY 01 2016
DTD 05/07/2009
868536-AT-0 B /B2
CRICKET COMMUNICATIONS INC
7 3/4% MAY 15 2016
DTD 11/15/2009
226566-AK-3 B+ /BA2
GOODYEAR TIRE & RUBBER C
10 1/2% MAY 15 2016
DTD 05/11/2009
382550-AZ-4 B+ /B1
108.25
10,000.00
10,825.00
11,275.00
(450.00)
1,050.00
396.66
8.31%
100.38
15,000.00
15,056.25
16,050.00
(993.75)
1,162.50
439.15
7.65%
98.50
15,000.00
14,775.00
EFTA01573278
15,862.50
(1,087.50)
1,162.50
536.04
94.50
10,000.00
9,450.00
10,375.00
(925.00)
800.00
333.33
8.15%
98.25
10,000.00
9,825.00
10,400.00
(575.00)
612.50
282.43
6.58%
99.00
10,000.00
9,900.00
10,495.00
(595.00)
650.00
299.72
6.76%
98.25
15,000.00
14,737.50
15,525.00
(787.50)
1,331.25
281.04
9.43%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
9.50%
Page 6 of 16
EFTA01573279
GHISLAINE MAXWELL-HY ACCT.
For the Period 9/1/11 to 9/30/11
Price
US Fixed Income
HOST HOTELS & RESORTS LP
6 3/4% JUN 01 2016
DTD 04/04/2006
44108E-BA-5 BB+ /BA1
SEAGATE TECHNOLOGY HDD H
SR NOTES 6.80% OCT 1 2016
DTD 9/20/2006
81180R-AE-2 BB+ /BA1
HANESBRANDS INC
8% DEC 15 2016
DTD 12/10/2009
410345-AF-9 BB- /B1
RITE AID CORP
7 1/2% MAR 01 2017
DTD 02/21/2007
767754-BL-7 B- /CAA
JARDEN CORP
SR SUB NOTES 7 1/2% MAY 1 2017
DTD 2/13/2007
471109-AB-4 B /B2
CONSTELLATION BRANDS INC
7 1/4% MAY 15 2017
DTD 11/15/2007
21036P-AF-5 BB+ /BA2
INGLES MARKETS INC
8 7/8% MAY 15 2017
DTD 05/12/2009
457030-AG-9 BB- /B1
105.00
15,000.00
15,750.00
16,500.00
(750.00)
1,087.50
410.82
104.75
10,000.00
10,475.00
10,775.00
(300.00)
887.50
335.27
6.18%
102.00
10,000.00
10,200.00
10,487.50
EFTA01573280
(287.50)
750.00
312.50
7.06%
95.50
20,000.00
19,100.00
20,150.00
(1,050.00)
1,500.00
125.00
8.55%
99.50
10,000.00
9,950.00
10,600.00
(650.00)
680.00
340.00
105.75
10,000.00
10,575.00
10,825.00
(250.00)
800.00
235.55
6.92%
100.00
10,000.00
10,000.00
10,375.00
(375.00)
675.00
225.00
6.75%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
6.67%
7.81%
Page 7 of 16
EFTA01573281
GHISLAINE MAXWELL-HY ACCT.
For the Period 9/1/11 to 9/30/11
Price
US Fixed Income
RRI ENERGY INC
7 7/8% JUN 15 2017
DTD 06/13/2007
74971X-AC-1 B /B3
SERVICE CORP INTL
7% JUN 15 2017
DTD 06/15/2006
MULTI CPN
817565-BF-0 BB- /BA3
SMITHFIELD FOODS INC
SR NOTES 7 3/4% JUL 1 2017
DTD 6/22/2007
832248-AQ-1 B+ /B2
PINNACLE ENTERTAINMENT
8 5/8% AUG 01 2017
DTD 02/01/2010
723456-AK-5 BB /B1
CHESAPEAKE ENERGY CORP
6 1/2% AUG 15 2017
DTD 8/16/2005
165167-BS-5 BB+ /BA3
CCO HLDGS LLC CAP CORP
7 1/4% OCT 30 2017
DTD 09/27/2010
1248EP-AQ-6 BB- /B1
WINDSTREAM CORP
7 7/8% NOV 01 2017
DTD 10/08/2009
97381W-AJ-3 B+ /BA3
101.25
20,000.00
20,250.00
21,450.00
(1,200.00)
1,575.00
656.24
7.61%
100.00
15,000.00
15,000.00
15,825.00
(825.00)
1,087.50
456.13
7.25%
103.50
15,000.00
EFTA01573282
15,525.00
15,975.00
(450.00)
975.00
124.57
5.79%
100.75
10,000.00
10,075.00
10,850.00
(775.00)
862.50
143.75
8.46%
102.75
10,000.00
10,275.00
10,475.00
(200.00)
775.00
193.75
7.15%
103.50
20,000.00
20,700.00
21,700.00
(1,000.00)
1,400.00
412.22
6.26%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
92.00
25,000.00
23,000.00
25,187.50
(2,187.50)
1,968.75
579.67
9.73%
Page 8 of 16
EFTA01573283
GHISLAINE MAXWELL-HY ACCT.
For the Period 9/1/11 to 9/30/11
Price
US Fixed Income
CASCADES INC
7 3/4% DEC 15 2017
DTD 12/03/2009
146900-AG-0 B+ /BA3
CLEAR CHANNEL WORLDWIDE
9 1/4% DEC 15 2017
DTD 06/15/2010
18451Q-AD-0 B /B2
CABLEVISION SYSTEMS CORP
SR NOTES 7 3/4% APR 15 2018
DTD 04/15/2010
12686C-AZ-2 B+ /B1
ALLBRITTON COMMUNICATION
8% MAY 15 2018
DTD 04/30/2010
016745-AL-5 B /B2
CKE RESTAURANTS INC
11 3/8% JUL 15 2018
DTD 07/12/2010
12561E-AK-1 B- /B2
METROPCS WIRELESS INC
SR NOTES 7 7/8% SEP 01 2018
DTD 09/21/2010
591709-AK-6 B /B2
FRONTIER COMMUNICATIONS
SR NOTES 8 1/8% OCT 01 2018
DTD 10/01/2009
35906A-AB-4 BB /BA2
98.00
20,000.00
19,600.00
21,950.00
(2,350.00)
1,625.00
812.50
8.51%
97.00
15,000.00
14,550.00
16,012.50
(1,462.50)
1,181.25
98.43
8.45%
104.00
10,000.00
10,400.00
EFTA01573284
11,050.00
(650.00)
1,137.50
240.13
10.53%
94.00
10,000.00
9,400.00
10,300.00
(900.00)
800.00
302.22
9.23%
101.00
10,000.00
10,100.00
10,775.00
(675.00)
775.00
357.36
7.55%
102.25
10,000.00
10,225.00
11,000.00
(775.00)
925.00
272.36
8.77%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
95.00
10,000.00
9,500.00
10,475.00
(975.00)
775.00
228.19
8.81%
Page 9 of 16
EFTA01573285
GHISLAINE MAXWELL-HY ACCT.
For the Period 9/1/11 to 9/30/11
Price
US Fixed Income
DAVITA INC
6 3/8% NOV 01 2018
DTD 10/20/2010
23918K-AL-2 B /B2
CSC HOLDINGS LLC
8 5/8% FEB 15 2019
DTD 02/12/2009
126307-AC-1 BB /BA3
HCA INC
8 1/2% APR 15 2019
DTD 04/15/2010
404119-BF-5 BB /BA3
SPRINT CAPITAL CORP
6.90% MAY 1 2019
DTD 5/6/99
852060-AG-7 BB- /B1
FOREST OIL CORPORATION
7 1/4% JUN 15 2019
DTD 12/15/2007
346091-AZ-4 B /B1
LIMITED BRANDS INC
8 1/2% JUN 15 2019
DTD 12/15/2009
532716-AR-8 BB+ /BA1
DISH DBS CORP
7 7/8% SEP 01 2019
DTD 08/17/2009
25470X-AB-1 BB- /BA3
113.00
20,000.00
22,600.00
23,000.00
(400.00)
1,700.00
500.54
102.00
15,000.00
15,300.00
16,462.50
(1,162.50)
1,181.25
98.43
6.34%
98.50
20,000.00
19,700.00
20,400.00
EFTA01573286
(700.00)
1,450.00
426.94
7.51%
86.00
20,000.00
17,200.00
20,800.00
(3,600.00)
1,380.00
575.00
9.53%
106.00
20,000.00
21,200.00
22,250.00
(1,050.00)
1,700.00
783.88
7.44%
109.75
10,000.00
10,975.00
11,425.00
(450.00)
862.50
110.20
6.91%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
96.00
10,000.00
9,600.00
10,200.00
(600.00)
637.50
265.62
7.10%
7.53%
Page 10 of 16
EFTA01573287
GHISLAINE MAXWELL-HY ACCT.
For the Period 9/1/11 to 9/30/11
Price
US Fixed Income
WEYERHAEUSER CO
7 3/8% OCT 01 2019
DTD 10/01/2009
962166-BV-5 BBB /BA1
UNITED RENTALS NORTH AM
9 1/4% DEC 15 2019
DTD 11/17/2009
911365-AU-8 B /B2
PIONEER NATURAL RESOURCE
7 1/2% JAN 15 2020
DTD 11/30/2009
723787-AJ-6 BB+ /BA1
NEWFIELD EXPLORATION CO
6 7/8% FEB 01 2020
DTD 01/25/2010
651290-AN-8 BB+ /BA2
LEAR CORP
8 1/8% MAR 15 2020
DTD 03/26/2010
521865-AS-4 BB /BA3
MGM RESORTS INTERNATIONAL
9% MAR 15 2020
DTD 03/15/2011
55303Q-AD-2 B /BA3
BOISE PAPER HDG CO ISSR
8% APR 01 2020
DTD 03/19/2010
09747G-AB-9 BB /B1
101.38
5,000.00
5,068.75
5,312.50
(243.75)
400.00
200.00
7.78%
103.88
15,000.00
15,581.25
16,612.50
(1,031.25)
1,350.00
60.00
8.35%
103.00
20,000.00
20,600.00
EFTA01573288
21,450.00
(850.00)
1,375.00
229.16
105.00
10,000.00
10,500.00
10,945.00
(445.00)
812.50
36.11
6.40%
112.25
20,000.00
22,449.40
22,800.00
(350.60)
1,500.00
316.66
5.63%
103.75
15,000.00
15,562.50
16,687.50
(1,125.00)
1,387.50
408.54
8.60%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
110.44
10,000.00
11,044.00
11,509.70
(465.70)
737.50
368.75
5.73%
7.32%
Page 11 of 16
EFTA01573289
GHISLAINE MAXWELL-HY ACCT.
For the Period 9/1/11 to 9/30/11
Price
US Fixed Income
CONSOL ENERGY INC
8 1/4% APR 01 2020
DTD 10/01/2010
20854P-AF-6 BB /B1
US STEEL CORP
SR NOTES 7 3/8% APR 01 2020
DTD 03/19/2010
912909-AF-5 BB /BA2
CF INDUSTRIES INC
7 1/8% MAY 01 2020
DTD 04/23/2010
12527G-AB-9 BB+ /BA1
OMNICARE INC
7 3/4% JUN 01 2020
DTD 05/18/2010
681904-AM-0 BB /BA3
WYNN LAS VEGAS LLC CORP
7 3/4% AUG 15 2020
DTD 08/04/2010
983130-AR-6 BBB /BA3
NRG ENERGY INC
8 1/4% SEP 01 2020
DTD 03/01/2011
629377-BJ-0 BB- /B1
BALL CORP
SR NOTES 6 3/4% SEP 15 2020
DTD 03/22/2010
058498-AP-1 BB+ /BA1
103.50
15,000.00
15,525.00
16,050.00
(525.00)
1,012.50
45.00
6.23%
105.00
10,000.00
10,500.00
10,950.00
(450.00)
775.00
99.02
94.50
15,000.00
14,175.00
15,637.50
EFTA01573290
(1,462.50)
1,237.50
103.12
6.98%
113.88
10,000.00
11,387.50
11,675.00
(287.50)
712.50
296.87
102.00
15,000.00
15,300.00
16,320.00
(1,020.00)
1,162.50
387.49
5.11%
90.00
15,000.00
13,500.00
15,656.25
(2,156.25)
1,106.25
553.12
9.09%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
105.25
15,000.00
15,787.50
16,556.25
(768.75)
1,237.50
618.75
7.41%
7.43%
9.16%
Page 12 of 16
EFTA01573291
GHISLAINE MAXWELL-HY ACCT.
For the Period 9/1/11 to 9/30/11
Price
US Fixed Income
ARCH COAL INC
7 1/4% OCT 01 2020
DTD 08/09/2010
039380-AC-4 B+ /B1
BE AEROSPACE INC
SR NOTES 6 7/8% OCT 01 2020
DTD 09/16/2010
055381-AR-8 BB /BA3
ENERGY TRANSFER EQUITY
7 1/2% OCT 15 2020
DTD 09/20/2010
29273V-AC-4 BB- /BA2
INTL LEASE FINANCE CORP
8 1/4% DEC 15 2020
DTD 12/07/2010
459745-GF-6 BBB /B1
AMERIGAS PART FIN CORP
SR NOTES 6 1/2% MAY 20 2021
DTD 01/20/2011
030981-AF-1 NA /BA3
IRON MOUNTAIN INC
8 3/8% AUG 15 2021
DTD 08/10/2009
46284P-AM-6 B+ /B1
NAVISTAR INTL CORP
SR NOTES 8 1/4% NOV 01 2021
DTD 10/28/2009
63934E-AM-0 BB- /B1
102.63
10,000.00
10,262.50
10,987.50
(725.00)
825.00
343.75
7.87%
102.00
15,000.00
15,300.00
15,900.00
(600.00)
1,256.25
160.51
8.07%
96.50
15,000.00
14,475.00
EFTA01573292
15,337.50
(862.50)
975.00
354.78
7.00%
98.00
15,000.00
14,700.00
16,540.00
(1,840.00)
1,237.50
364.36
8.57%
102.75
20,000.00
20,550.00
21,450.00
(900.00)
1,500.00
691.66
7.08%
104.25
15,000.00
15,637.50
16,012.50
(375.00)
1,031.25
515.62
6.25%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
96.00
15,000.00
14,400.00
15,450.00
(1,050.00)
1,087.50
543.75
7.88%
Page 13 of 16
EFTA01573293
GHISLAINE MAXWELL-HY ACCT.
For the Period 9/1/11 to 9/30/11
Price
US Fixed Income
FORD MOTOR COMPANY
GLOBAL LANDMARK SECURITIES NOTES
7.45% JUL 16 2031
DTD 7/16/99
345370-CA-6 BB- /BA3
GMAC
8% NOV 01 2031
DTD 12/31/2008
36186C-BY-8 B+ /B1
CAPITAL ONE CAPITAL IV
6.745% FEB 17 2037
DTD 02/05/2007
140422-AA-4 BB /BAA
AMERICAN INTL GROUP
8.175% MAY 15 2058
DTD 05/15/2009
026874-BS-5 BBB /BAA
Total US Fixed Income
88.25
15,000.00
13,237.50
16,428.75
(3,191.25)
1,226.25
463.24
$911,977.15
$974,680.95
($62,703.80)
$70,866.50
$21,983.03
9.28%
95.50
20,000.00
19,100.00
20,275.00
(1,175.00)
1,349.00
164.86
7.13%
87.75
20,000.00
17,550.00
21,912.50
(4,362.50)
1,600.00
666.66
9.36%
EFTA01573294
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
112.89
10,000.00
11,288.80
11,475.00
(186.20)
745.00
155.20
6.30%
7.82%
Page 14 of 16
EFTA01573295
GHISLAINE MAXWELL-HY ACCT.
For the Period 9/1/11 to 9/30/11
Portfolio Activity Summary
Beginning Cash Balance
Transactions
Income
INFLOWS
4,137.85
Contributions
Total Inflows
OUTFLOWS **
Total Outflows
Interest Purchased
$0.00
TRADE ACTIVITY
Total Trade Activity
Settled Securities Purchased
$0.00
Ending Cash Balance
$18,896.50
* 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
$4,137.85
(6,277.71)
1,000,000.00
$993,722.29
(144.84)
($144.84)
(974,680.95)
($974,680.95)
-Current
Period
Value
14,758.65
Year-To-Date
Value*
-Page
15 of 16
EFTA01573296
GHISLAINE MAXWELL-HY ACCT.
For the Period 9/1/11 to 9/30/11
Portfolio Activity Detail
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
Income
9/1
9/1
9/1
9/1
9/1
9/15
9/15
9/15
Corporate Interest
Corporate Interest
Corporate Interest
Corporate Interest
Interest Income
Corporate Interest
Corporate Interest
Corporate Interest
Total Income
Description
DISH DBS CORP 7 7/8% SEP 01 2019 DTD 08/17/2009
(ID: 25470X-AB-1)
METROPCS WIRELESS INC SR NOTES 7 7/8% SEP 01
2018 DTD 09/21/2010 (ID: 591709-AK-6)
NRG ENERGY INC 8 1/4% SEP 01 2020 DTD
03/01/2011 (ID: 629377-B3-0)
RITE AID CORP 7 1/2% MAR 01 2017 DTD 02/21/2007
(ID: 767754-BL-7)
DEPOSIT SWEEP INTEREST FOR AUG. @ .03% RATE ON
NET AVG COLLECTED BALANCE OF $13,466.76 AS OF
09/01/11
BALL CORP SR NOTES 6 3/4% SEP 15 2020 DTD
03/22/2010 (ID: 058498-AP-1)
LEAR CORP 8 1/8% MAR 15 2020 DTD 03/26/2010
(ID: 521865-AS-4)
MGM RESORTS INTERNATIONAL 9% MAR 15 2020 DTD
03/15/2011 (ID: 55303Q-AD-2)
15,000.000
10,000.000
15,000.000
0.034
0.041
0.045
506.25
406.25
675.00
EFTA01573297
$4,137.85
Quantity
Cost
15,000.000
15,000.000
15,000.000
20,000.000
Per Unit
Amount
0.039
0.039
0.041
0.038
Amount
590.63
590.63
618.75
750.00
0.34
Page 16 of 16
EFTA01573298
For the Period 9/1/11 to 9/30/11
IMPORTANT INFORMATION ABOUT YOUR STATEMENT(S)
Please take the steps indicated below if you think statements are incorrect
or contact your J.P.Morgan team if you require additional information about
a transaction on your statement(s).
In case of other errors or questions about other account statements
Please review your account statement and promptly report any inaccuracy or
discrepancy including possible unauthorized trading activity, unrecorded
dividend payments, unaccounted cash positions,
improper payments or transfers in writing to JPMCB both the introducing
broker at the addresses shown on your statement. Any oral communication
should be re-confirmed in writing to further protect
your rights. 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.
Important Information about Pricing and Valuations
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 or other sources
that J.P. Morgan believes to be reliable, is not guaranteed for accuracy and
is furnished for the exclusive use of the client.
J.P. Morgan makes no representation, warranty or guarantee, express or
implied, that any quoted value represents the actual terms at which
transactions or 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.
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.
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 assets may have been provided to us by third
parties who 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.
Valuations of over-the-counter derivative transactions, including certain
derivatives-related deposit products, have been prepared on a mid-market
basis. These valuations are derived from proprietary
EFTA01573299
models based upon well-recognized financial principles and we have, when
necessary to calculate the present value of future cash flows, made
reasonable estimates about relevant future market
conditions. Valuations based on other models or different assumptions may
yield different results. 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.
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.
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. Where J.P. Morgan was unable to obtain a price
from an outside service for a particular ARS, the price
column on your statement and online will indicate "$0.00" which should not
be relied on as the price at which ARS would trade.
Offshore Deposits - London and Nassau
Disclosures Page 1 of 2
EFTA01573300
For the Period 9/1/11 to 9/30/11
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).
Fund manager disclosure information available upon request
If you have an investment account that is managed by an SEC-Registered
Investment Advisor, the Private Bank of J.P. Morgan will provide a copy of
the advisor's Form ADV II or brochure upon written
request.
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.
Bank products and services are offered through JPMCB and its banking
affiliates. Securities are offered by JPMS and, to the extent noted above,
cleared through JPMCC.
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.
JPMS is not a bank and is a separate legal entity from its bank or thrift
affiliates, including JPMorgan Chase Bank, N.A. ("JPMCB").
Investment Products: Not FDIC Insured
-No Bank Guarantee -May Lose Value
Disclosures Page 2 of 2
EFTA01573301