EFTA01521615.pdf
GHISLAINE MAXWELL 1000 VENETIAN WAY APT 801 MIAMI FL 33139-1043 Confidential Treatment Requested by JPMorgan JPM-SDNY-00049020 Chase CONFIDENTIAL SDNY_GM_00318218 EFTA01521615
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EFTA01522833.pdf
CH1SLAINE MAXWELL-HY ACCT. For the Period 6/1/12 to 6/30/12 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Quantity Per Unit Settle Date Selection Method Description Cost Amount Amount Income 6/1 Corporate Interest HOST HOTELS & RESORTS LP 6 3/4% JUN 01 2016 DTD 10,000.000 0.034 337.50 04/04/2006 (ID: 44108E-BA-5) 6/1 Corporate Interest LENNAR CORPORATION 5.6% MAY 31 2015 DTD 10,000.000 0.028 280.00 4/28/2005 (ID: 526057-AS.3) WI Corporate Interest OMNICARE INC 7 3/4% JUN 01 2020 DTD 05/18/2010 15,000.000 0.039 581.25 (ID: 681904-AM-0) 6/1 Corporate Interest SPRINT NEXTEL CORP 6% DEC 1 2016 DTD 1120/2006 20,000.000 0.03 600.00 (ID: 852061-AD-2) 8/1 Corporate Interest COVANTA HOLDING CORP SR NOTES 71/4% DEC 01 1,000.000 0.036 36.25 2020 DTD 12/01/2010 (ID: 22282E-AD-4) 6/1 Interest Income DEPOSIT SWEEP INTEREST FOR MAY CO .01% RATE ON 0.28 NET AVG COLLECTED BALANCE OF $33,044.87 AS OF 06/01/12 WI Accrued IM PaId RANGE RESOURCES CORP 63/4% AUG 01 2020 DTD 3,000.000 0.023 (87.50) 08/12/2010 @ 108.50 MLPFS INC/FIXED INCOME 0.00 TRADE DATE 05/29/12 (ID: 75281A-AL-3) WI Accrued IM Recd FOREST OIL CORPORATION 7 1/4% JUN 15 2019 DTD 9,000.000 0.033 300.87 12/15/2007 (ID: 346091-AZ-4) 6/4 Accrued IM Recd FOREST OIL CORPORATION 7 1/4% JUN 15 2019 DTD 1,000.030 0.034 34.03 12/15/2007 (ID: 346091-AZ-4) 6/4 Accrued IM Paid COVANTA HOLDING CORP SR NOTES 71/4% DEC 01 2,000.000 0.001 (1.21) 2020 DTD 12/01/2010 (2 108.75 MORGAN STANLEY & 0.00 CO. INCORPORATED TRADE DATE 05/30/12 (ID: 22282E-AD-4) J.P. Morgan Page 18 of 25 Confidential Treatment Requested by JPMorgan JPM-SDNY-00050415 Chase CONFIDENTIAL SDNY_GM_00319613 EFTA01522833
EFTA01520986.pdf
GHISLAINE MAXWELL ACCT. For the Period 12/1/11 to 12/31/11 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 1223 Free Delivery JP MORGAN CHASE BANK- GBP LONDON TIME DEPOSITS (295,506.560) High Cost 0.3000% DATED 12/16/2011 MATURITY 12/232011 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2526R9-9N-6) 12/23 Receipt of Assets JP MORGAN CHASE BANK - OW LONDON TIME DEPOSITS 295,523.560 0.3000% DATED 12/23/2011 MATURITY 12/30/2011 HELD BY LONDON TREASURY SERVICES CLIENT REF HD (ID: 2526V9-9D-2) 12/30 Foreign Interest JP MORGAN CHASE BANK- GBP LONDON TIME DEPOSITS 295,523.560 2616 0.3000% DATED 12/23/2011 MATURITY 12/30/2011 17.00 HELD BY LONDON TREASURY SERVICES (ID: 2526V9-9D-2) 12/30 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT POUND STERLING (17.000) (26.16) (0.37) (ID: OGBPPR-AA-9) (17.00) 12/30 Foreign Dividend PIMCO FUNDS GLOBAL INVESTORS SERIES - GLOBAL 4,361.513 0.209 909.67 INVESTMENT GRADE CREDIT FUND ISIN lE00838MD843 0.136 591.04 SEDOL Et3BMD84 at 0.135512 PER SHARE COW. © -CONV RATE" (ID: 695421.91-7) 12/30 Free Delivery JP MORGAN CHASE BANK - GBP LONDON WE DEPOSITS (295,523.560) High Cost 0.3000% DATED 12232011 MATURITY 12/3012011 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2526V9-9D-2) 12/30 Receipt of Assets JP MORGAN CHASE BANK- GBP LONDON TIME DEPOSITS 295.540.560 0.3000% DATED 1220/2011 MATURITY 01292012 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2526Y9-9A-5) Total Inflows /I Outflows 045134.60 ($0.271 J.P.Morgan Page 64 of 77 Confidential Treatment Requested by JPMorgan JPM-SDNY-00048333 Chase CONFIDENTIAL SDNY_GM_00317531 EFTA01520986
EFTA01522521.pdf
GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 2/1/14 to 2/28/14 Account Summary Beginning Ending Change Estimated Current Asset Allocation Market Value Market Value In Value Annual Income Allocation Equity 1,894,735.81 0.00 (1,894,735.81) Cash & Foxed Income 43.078 87 18,279.37 (24,799.50) 100% Market Value $1.937.814.68 $18,279.37 ($1,919,536.31) 30.00 100% Accruals 2 577 53 3883.63 1,306.10 Market Value with Accruals $1,940,392.21 622,163.00 (31,918,229.21) Current Year-to-Date Portfolio Activity Period Value Value Beginning Market Value 1,937,814.88 2,042,611.21 Wthdrawals 8 Fees (22,561.09) (26,219.21) Secunties Transferred Out (1.937,662.61) (1.937,662.61) Net Contributions/Withdrawals ($1,960,223.70) ($1,963,881.62) Income 8 Distnbutons 3,027.95 6,361.66 Change In Investment Value 37,660.44 (66,811.68) Ending Market Value $18,279.37 $18,279.37 Accruals 3,883.63 3,883.63 Market Value with Accruals 822,163.00 322,163.00 Current Year-to-Date Current Year-to-Date Tax Summary Penod Value Value Period Value Value Domestic Dividends/Distributions 3,025.48 6,357.48 ST Realized Gain/Loss (961.50) (961.50) Interest Income 2A7 4.18 LT Realized Gain/Loss (17.98) (17.98) Taxable Income 83,027.95 $6,361.66 Realized Gain/Loss ($979.48) (3979.46) JP Morgan Page 2 of 13 Confidential Treatment Requested by JPMorgan JPM-SDNY-00050075 Chase CONFIDENTIAL SDNY_GM_00319273 EFTA01522521
EFTA01521255.pdf
GHISLAINE MAXWELL For the Period 6/1/12 to 6/30/12 Account Summary CONTINUED Current Year-to-Date Current Year-to-Date Tax Summary Period Value Value Period Value Value Domestic Drvidends'Distributions 603.19 8,181.68 ST Realized GaIn/Loss (45.626 77) Foreign Dividends 222.03 8,639.48 LT Realized Gain/Loss (672.39) (70,995 24) Cummcy Gain/Loss (5,197.53) (15.376.52) Realized Gidn/Loss (3872.39) ($116.622.01) Interest Income 13,045.58 42,190.35 Taxable Income 311,873.27 843,834,97 To-Date Value Tax-Exempt Income 5,000.00 Bond Premium Amortization (957.07) Unrealized Gain/Loss ($150.971.36) Tax-Eamnpt Income 84,042.93 Cost Summary cost Equity 764,967.39 Cash & Fixed Income 7,347,849.77 Other 90,384.18 Total $8,203,181.34 JP Morgan Page 3 of 33 Confidential Treatment Requested by JPMorgan JPM-SDNY-00048626 Chase CONFIDENTIAL SDNY_GM_00317824 EFTA01521255
EFTA01520811.pdf
CHISLAINE MAXWELL ACCT. For the Period WW1 to g/30/11 Portfolio Activity Summary - Pound Sterling INCOME US Dollar Value Local Value Current Year-To-Date Current Year-To-Date Transactions Period Value Value' Period Value Value' Beginning Cash Balance 0.00 Ending Cash Balance 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 Portfolio Activity Detail - Pound Sterling INFLOWS 84 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 9/29 Foreign Interest JP MORGAN CHASE BANK - GBP LONDON TIME DEPOSITS 265,331.140 13.54 0.1700% DATED 09/22/2011 MATURITY 09/29/2011 8.65 HELD BY LONDON TREASURY SERVICES (ID: 25241/9-59-1) 9/29 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT POUND STERLING (8.650) (13.54) (ID: OGBPPR-AA-9) (8.65) 9/29 Free Delivery JP MORGAN CHASE BANK-GBP LONDON TIME DEPOSITS (285,331.140) High Cost 0.1700% DATED 09/22/2011 MATURITY 09/29/2011 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2524U9-9P-1) J.P.Morgan Page 28 of 29 Confidential Treatment Requested by JPMorgan JPM-SDNY-00048149 Chase CONFIDENTIAL SDNY_GM_00317347 EFTA01520811
EFTA01520768.pdf
GHISLAINE MAXWELL ACCT. For the Period 8/1/I I to 8/31/I I Portfolio Activity Summary - U S Dollar PRINCIPAL INCOME Current Year-To-Date Current Year-To-Date Transactions Period Value Value' Period Value Value' Beginning Cash Balance 471,095.75 0.00 INFLOWS Income 6 826 88 32,139.99 Contributions 113,182 42 373,275.73 Foreign Exchange - Inflows 19,301.36 Total Inflows 8120,009.30 $424,717.08 80.00 60.00 OUTFLOWS ** Wthdrawals (150,000.00) (150,000.00) Foreign Exchange - Outflows (144.773.93) Total Outflows ($160,000.00) (6294,773.93) 80.00 $0.00 TRADE ACTIVITY Settled Sales/Maturities/Redemptions 6,234.88 261,624.13 Settled Securities Purchased (4,750.00) (151,520.00) Total Trade Activity 51,484.88 8110,104.13 $0.00 80.00 Ending Cash Balance 5442,589.93 50.00 ' 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 JP Morgan Page 13 of 24 Confidential Treatment Requested by JPMorgan JPM-SDNY-00048104 Chase CONFIDENTIAL SDNY_GM_00317302 EFTA01520768
EFTA01523793.pdf
GHISLAINE MAXWELL IRA ACCT. For the Period 12/1/12 to 12/311/2 INFLOWS & OUTFLOWS Quantity Per Unit Settle Date S`election Method Description Cost Amount Amount 12/14 STCapitalGain Dist JPM SHORT DURATION BOND FD SEL FUND 3133 5,089.962 cool 3.46 SHORT TERM CAPITAL GAINS 0.00068 (ID: Total Inflows 8 Outflows 349.23 TRADE ACTIVITY Trade Date Type Per Unit Realized Settle Date Selection Method Description Quantity Amount Proceeds Tax Cost Gain,Loss Settled Sales/Maturities/Redemptions 1214 LT Capital Gain JPM SHORT DURATION BOND FD - SEL FUND 3133 LONG 5,089.962 0.002 10.28 12/14 Distribution TERM CAPITAL GAINS @ 0.00202 (ID: Trade Date Per Unit Settle Date Type Description Quantity Amount Market Cost Settled Securities Purchased 12/3 Purchase JPM SHORT DURATION BOND FD - SEL FUND 3133 4.157 11.01 (45.77) 12/3 REINVESTED @ 11.01 PER SHARE (ID: 12/14 Purchase JPM SHORT DURATION BOND FD - SEL FUND 3133 0.934 11.006 (10.28) 12/14 REINVESTED 11.00 PER SHARE (ID: 12/14 Purchase JPM SHORT DURATION BOND FD - SEL FUND 3133 0.314 11.019 (3.44 12/14 REINVESTED (111.00 PER SHARE (ID: Total Settled Securities Purchased (359.51) J.P.Morgan Page 7 of 7 Confidential Treatment Requested by JPMorgan JPM-SDNY-00051514 Chase CONFIDENTIAL SDNY_GM_00320712 EFTA01523793
EFTA01573874.pdf
GHISLAINE MAXWELL EFTA01573874 EFTA01573875 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL-HY 270 Park Avenue, New York, NY 10017-2014 ACCT. For the Period 10/1/12 to 10/31/12 Investment Management Account J.P. Morgan Team Paul Morris Jason Bell Janet Young Gina Magliocco Online access Banker Investment Specialist 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). ontents Account Summary Page 2 Holdings Cash & Fixed Income Portfolio Activity 4 18 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. 0000002265.00.0.9E.00001.MAXEW00.20121102 Page 1 of 23 EFTA01573876 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Account Summary Asset Allocation Cash & Fixed Income Market Value Accruals Market Value with Accruals Beginning Market Value 1,072,402.83 $1,072,402.83 20,889.52 $1,093,292.35 Ending Market Value 1,078,734.83 $1,078,734.83 18,545.49 $1,097,280.32 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 1,072,402.83 (4,181.32) ($4,181.32) 8,333.30 2,180.02 $1,078,734.83 18,545.49 $1,097,280.32 Change In Value 6,332.00 $6,332.00 (2,344.03) $3,987.97 Year-to-Date Value 993,756.14 (20,013.38) ($20,013.38) 57,213.36 EFTA01573877 47,778.71 $1,078,734.83 18,545.49 $1,097,280.32 Estimated 70,899.73 $70,899.73 Current Annual Income Allocation 100% 100% Page 2 of 23 EFTA01573878 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Account Summary Tax Summary Interest Income Accrued Interest Current Year Accrued Interest Subsequent Year Taxable Income Cash Receipts Other Income & Receipts CONTINUED Current Period Value 8,520.92 (140.20) (47.42) $8,333.30 Year-to-Date Value 59,089.10 (2,591.53) (341.14) $56,156.43 1,056.93 $1,056.93 Unrealized Gain/Loss To-Date Value $39,846.60 ST Realized Gain/Loss LT Realized Gain/Loss Realized Gain/Loss Current Period Value (407.50) (517.50) ($925.00) Year-to-Date Value (9,911.28) (1,992.00) ($11,903.28) Cost Summary Cash & Fixed Income 1,031,393.89 Cost Total $1,031,393.89 Page 3 of 23 EFTA01573879 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Cash & Fixed Income Summary Beginning Asset Categories Cash US Fixed Income Global 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 18,678.55 1,048,317.38 5,406.90 $1,072,402.83 Ending Market Value 21,515.53 1,057,219.30 0.00 $1,078,734.83 Current Period Value 1,078,734.83 1,031,393.89 39,846.60 70,899.73 18,545.49 5.25% SUMMARY BY TYPE Market Value 40,297.18 292,777.00 688,247.55 57,413.10 EFTA01573880 $1,078,734.83 % of Bond Portfolio 3% 27% 65% 5% 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. Page 4 of 23 Cash & Fixed Income Cash Corporate Bonds International Bonds Total Value Market Value 21,515.53 1,025,232.95 31,986.35 $1,078,734.83 % of Bond Portfolio 1% 97% 2% 100% US Fixed Income Change In Value 2,836.98 8,901.92 (5,406.90) $6,332.00 100% Cash Current Allocation 2% 98% Asset Categories Cash & Fixed Income as a percentage of your portfolio 100% EFTA01573881 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Note: P indicates position adjusted for Pending Trade Activity. 1 ** 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. 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. Cash & Fixed Income Detail Price Cash US DOLLAR PROCEEDS FROM PENDING SALES Total Cash 1.00 1.00 19,858.03 1,657.50 19,858.03 1,657.50 $21,515.53 19,858.03 1,657.50 $21,515.53 $0.00 $1.98 $0.21 US Fixed Income ROYAL BANK SCOTLAND GRP PLC 5.05% JAN 08 2015 DTD 12/08/2004 780097-AP-6 BB+ /BA3 LENNAR CORPORATION 5.6% MAY 31 2015 DTD 4/28/2005 526057-AS-3 B+ /B1 CITYCENTER HLDGS/FINANCE 7 5/8% JAN 15 2016 DTD 07/15/2011 178760-AB-0 B /B1 Page 5 of 23 106.72 5,000.00 5,336.15 5,275.00 EFTA01573882 61.15 381.25 112.25 5.31% 104.10 10,000.00 10,409.80 10,336.25 73.55 505.00 158.51 107.25 10,000.00 10,725.00 9,905.00 820.00 560.00 233.33 3.10% 0.01% 1.98 0.21 0.01% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield 2.67% EFTA01573883 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Price US Fixed Income D R HORTON INC 6 1/2% APR 15 2016 DTD 04/17/2006 23331A-AZ-2 BB- /BA2 HEALTH MANAGEMENT ASSOCIATION 6 1/8% APR 15 2016 DTD 04/21/2006 421933-AH-5 BB- /NR SUPERVALU INC 8% MAY 01 2016 DTD 05/07/2009 868536-AT-0 B- /CAA CRICKET COMMUNICATIONS INC 7 3/4% MAY 15 2016 DTD 11/15/2009 226566-AK-3 B+ /BA2 HOST HOTELS & RESORTS LP 6 3/4% JUN 01 2016 DTD 04/04/2006 44108E-BA-5 BB+ /BAA BANK OF AMERICA CORP 3 3/4% JUL 12 2016 DTD 07/12/2011 06051G-EK-1 A- /BAA SEAGATE TECHNOLOGY HDD H SR NOTES 6.80% OCT 1 2016 DTD 9/20/2006 81180R-AE-2 BB+ /BA1 111.00 10,000.00 11,100.00 10,600.00 500.00 680.00 56.66 3.75% 106.91 5,000.00 5,345.55 4,581.50 764.05 187.50 56.77 1.81% 102.82 8,000.00 8,225.60 EFTA01573884 8,300.00 (74.40) 540.00 225.00 5.86% 106.00 15,000.00 15,900.00 16,050.00 (150.00) 1,162.50 536.04 5.85% 94.88 10,000.00 9,487.50 10,375.00 (887.50) 800.00 402.22 9.76% 108.75 10,000.00 10,875.00 10,400.00 475.00 612.50 27.22 3.42% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield 111.50 10,000.00 11,149.90 10,495.00 654.90 650.00 28.88 2.97% Page 6 of 23 EFTA01573885 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Price US Fixed Income SPRINT NEXTEL CORP 6% DEC 1 2016 DTD 11/20/2006 852061-AD-2 B+ /B3 HANESBRANDS INC 8% DEC 15 2016 DTD 12/10/2009 410345-AF-9 BB- /B1 WPX ENERGY INC 5.25% JAN 15 2017 DTD 06/25/2012 98212B-AC-7 BB+ /BA1 RITE AID CORP 7 1/2% MAR 01 2017 DTD 02/21/2007 767754-BL-7 B- /CAA AIRCASTLE LTD 6.75% APR 15 2017 DTD 06/06/2012 00928Q-AF-8 BB+ /BA3 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+ /BA1 118.25 15,000.00 17,737.50 16,500.00 1,237.50 1,087.50 501.45 2.93% 107.00 3,000.00 3,210.00 3,177.50 32.50 202.50 9.00 114.00 15,000.00 17,100.00 16,052.50 EFTA01573886 1,047.50 1,125.00 565.62 4.98% 106.50 5,000.00 5,325.00 5,362.50 (37.50) 262.50 77.29 102.75 20,000.00 20,550.00 20,150.00 400.00 1,500.00 250.00 3.57% 110.38 10,000.00 11,037.50 10,825.00 212.50 800.00 302.22 5.17% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield 107.75 20,000.00 21,550.00 17,385.00 4,165.00 1,200.00 500.00 3.93% 6.75% 4.06% Page 7 of 23 EFTA01573887 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Price US Fixed Income INGLES MARKETS INC 8 7/8% MAY 15 2017 DTD 05/12/2009 457030-AG-9 BB- /B1 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 BB /B1 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 109.38 9,000.00 9,843.75 9,495.00 348.75 652.50 1.80 5.10% 105.50 15,000.00 15,825.00 15,975.00 (150.00) 975.00 205.83 5.19% 107.75 10,000.00 EFTA01573888 10,775.00 10,850.00 (75.00) 862.50 215.62 6.69% 112.25 10,000.00 11,225.00 10,475.00 750.00 775.00 258.33 4.79% 115.00 20,000.00 23,000.00 21,700.00 1,300.00 1,400.00 528.88 3.46% 108.63 15,000.00 16,293.75 15,112.50 1,181.25 1,181.25 446.25 5.72% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield 107.50 10,000.00 10,750.00 10,775.00 (25.00) 887.50 409.23 6.92% Page 8 of 23 EFTA01573889 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Price US Fixed Income WINDSTREAM CORP 7 7/8% NOV 01 2017 DTD 10/08/2009 97381W-AJ-3 B /BA3 CLEAR CHANNEL WORLDWIDE 9 1/4% DEC 15 2017 DTD 06/15/2010 18451Q-AD-0 B /B1 EQUINIX INC SR NOTES 8 1/8% MAR 01 2018 DTD 03/03/2010 29444U-AJ-5 BB- /BA2 AVIS BUDGET CAR RENTAL 9 5/8% MAR 15 2018 DTD 03/10/2010 053773-AL-1 B /B2 CIT GROUP INC 5 1/4% MAR 15 2018 DTD 03/15/2012 125581-GL-6 BB- /B1 CABLEVISION SYSTEMS CORP SR NOTES 7 3/4% APR 15 2018 DTD 04/15/2010 12686C-AZ-2 B+ /B1 MERRILL LYNCH & CO MEDIUM TERM NOTES 6 7/8% APR 25 2018 DTD 04/25/2008 59018Y-N6-4 A- /BAA 120.87 10,000.00 12,087.30 11,080.41 1,006.89 687.50 11.45 2.75% 111.50 10,000.00 11,150.00 10,775.00 375.00 775.00 34.44 5.29% 106.50 20,000.00 21,300.00 EFTA01573890 20,140.00 1,160.00 1,050.00 134.16 3.90% 111.75 5,000.00 5,587.50 5,470.00 117.50 481.25 61.49 6.96% 110.00 10,000.00 11,000.00 10,772.50 227.50 812.50 135.41 5.91% 107.25 10,000.00 10,725.00 11,000.00 (275.00) 925.00 349.44 7.51% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield 111.50 20,000.00 22,300.00 21,450.00 850.00 1,575.00 791.86 5.23% Page 9 of 23 EFTA01573891 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Price US Fixed Income 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 BURGER KING CORP 9 7/8% OCT 15 2018 DTD 10/19/2010 121207-AA-2 B /B3 NIELSEN FINANCE LLC/CO 7 3/4% OCT 15 2018 DTD 04/15/2011 65409Q-AY-8 BB- /B2 DAVITA INC 6 3/8% NOV 01 2018 DTD 10/20/2010 23918K-AL-2 NR /B2 106.99 10,000.00 10,698.70 10,200.00 498.70 637.50 320.52 5.01% 111.98 10,000.00 11,197.70 11,040.00 157.70 775.00 34.44 5.37% 114.50 5,000.00 5,725.00 EFTA01573892 5,762.50 (37.50) 493.75 21.94 6.87% 114.00 20,000.00 22,800.00 21,950.00 850.00 1,625.00 135.40 5.33% 109.75 15,000.00 16,462.50 16,012.50 450.00 1,181.25 196.87 5.87% 115.00 7,000.00 8,050.00 7,735.00 315.00 796.25 234.45 8.04% 108.00 10,000.00 10,800.00 10,300.00 500.00 800.00 368.88 6.27% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Page 10 of 23 EFTA01573893 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Price US Fixed Income TENET HEALTHCARE CORP 6.25% NOV 01 2018 DTD 11/21/2011 88033G-BP-4 B+ /B1 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 FELCOR LODGING LP 6 3/4% JUN 01 2019 DTD 05/10/2011 31430Q-BB-2 B- /B2 CINEMARK USA INC 8 5/8% JUN 15 2019 DTD 12/15/2009 172441-AS-6 B+ /B2 LIMITED BRANDS INC 8 1/2% JUN 15 2019 DTD 12/15/2009 532716-AR-8 BB+ /BA1 REGAL CINEMAS CORP 8 5/8% JUL 15 2019 DTD 07/15/2009 758753-AD-9 B- /B2 121.60 20,000.00 24,319.20 23,000.00 1,319.20 1,700.00 642.22 110.13 5,000.00 5,506.25 5,640.00 (133.75) 431.25 126.97 4.67% 111.00 10,000.00 11,100.00 11,205.00 EFTA01573894 (105.00) 862.50 325.83 6.55% 106.59 5,000.00 5,329.25 5,057.50 271.75 337.50 140.62 5.54% 119.00 10,000.00 11,900.00 11,425.00 475.00 862.50 182.08 112.47 20,000.00 22,493.60 22,250.00 243.60 1,700.00 75.54 5.06% 108.00 5,000.00 5,400.00 5,400.00 312.50 157.11 4.70% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield 6.13% 6.72% Page 11 of 23 EFTA01573895 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Price US Fixed Income DISH DBS CORP 7 7/8% SEP 01 2019 DTD 08/17/2009 25470X-AB-1 BB- /BA2 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+ /B3 PIONEER NATURAL RESOURCE 7 1/2% JAN 15 2020 DTD 11/30/2009 723787-AJ-6 NR /BAA NEWFIELD EXPLORATION CO 6 7/8% FEB 01 2020 DTD 01/25/2010 651290-AN-8 NR /BA2 LEAR CORP 8 1/8% MAR 15 2020 DTD 03/26/2010 521865-AS-4 BB /BA2 MGM RESORTS INTERNATIONAL 9% MAR 15 2020 DTD 03/15/2011 55303Q-AD-2 B+ /BA2 111.25 15,000.00 16,687.50 16,612.50 75.00 1,350.00 172.50 7.02% 111.00 9,000.00 9,990.00 9,850.50 139.50 731.25 93.42 6.24% 108.50 20,000.00 21,700.00 EFTA01573896 21,450.00 250.00 1,375.00 343.74 5.44% 126.88 20,000.00 25,375.60 22,800.00 2,575.60 1,500.00 441.66 3.28% 114.00 15,000.00 17,100.00 16,687.50 412.50 1,387.50 524.16 6.74% 125.80 10,000.00 12,579.70 11,509.70 1,070.00 737.50 61.45 3.19% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield 117.50 15,000.00 17,625.00 16,462.50 1,162.50 1,181.25 196.87 4.84% Page 12 of 23 EFTA01573897 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Price US Fixed Income CB STEEL DYNAMICS INC 7.625% MAR 15 2020 DTD 03/17/2010 858119-AR-1 BB+ /BA2 BOISE PAPER HDG CO ISSR 8% APR 01 2020 DTD 03/19/2010 09747G-AB-9 BB /BA3 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 /B1 AIRCASTLE LTD 7.625% APR 15 2020 DTD 06/06/2012 00928Q-AG-6 BB+ /BA3 CF INDUSTRIES INC 7 1/8% MAY 01 2020 DTD 04/23/2010 12527G-AB-9 NR /BAA OMNICARE INC 7 3/4% JUN 01 2020 DTD 05/18/2010 681904-AM-0 BB /BA3 110.54 15,000.00 16,580.70 16,320.00 260.70 1,162.50 484.36 6.00% 126.88 10,000.00 12,687.50 11,675.00 1,012.50 110.75 2,000.00 2,215.00 2,185.00 30.00 152.50 EFTA01573898 6.77 712.50 358.22 5.83% 101.79 10,000.00 10,178.70 10,437.50 (258.80) 737.50 61.45 7.06% 106.29 15,000.00 15,943.50 16,556.25 (612.75) 1,237.50 103.12 7.14% 110.00 10,000.00 11,000.00 10,862.50 137.50 800.00 66.66 6.29% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield 110.10 5,000.00 5,504.80 5,568.75 (63.95) 381.25 48.71 5.91% 3.08% Page 13 of 23 EFTA01573899 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Price US Fixed Income P ADVANCE MICRO DEVICES 7 3/4% AUG 01 2020 DTD 08/04/2010 007903-AU-1 BB- /B1 RANGE RESOURCES CORP 6 3/4% AUG 01 2020 DTD 08/12/2010 75281A-AL-3 BB /BA3 WYNN LAS VEGAS LLC CORP 7 3/4% AUG 15 2020 DTD 08/04/2010 983130-AR-6 BBB /BA2 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 BE AEROSPACE INC SR NOTES 6 7/8% OCT 01 2020 DTD 09/16/2010 055381-AR-8 BB /BA2 ENERGY TRANSFER EQUITY 7 1/2% OCT 15 2020 DTD 09/20/2010 29273V-AC-4 BB /NR 114.90 20,000.00 22,980.40 21,450.00 1,530.40 1,500.00 66.66 5.19% 110.50 15,000.00 16,575.00 16,012.50 562.50 110.00 15,000.00 16,500.00 16,050.00 450.00 EFTA01573900 1,012.50 129.37 1,031.25 85.93 5.19% 112.55 10,000.00 11,255.20 10,950.00 305.20 775.00 163.61 110.00 15,000.00 16,500.00 15,637.50 862.50 1,237.50 206.25 5.73% 109.79 9,000.00 9,881.28 9,720.00 161.28 607.50 151.87 5.20% 83.85 8,000.00 6,707.92 8,245.00 (1,537.08) 620.00 195.47 10.88% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield 6.59% 5.24% Page 14 of 23 EFTA01573901 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Price US Fixed Income SUNGARD DATA SYSTEMS INC SR SUB 7 5/8% NOV 15 2020 DTD 11/16/2010 CALLABLE 11/15/2015 @ 103.81 867363-AU-7 B /CAA COVANTA HOLDING CORP SR NOTES 7 1/4% DEC 01 2020 DTD 12/01/2010 22282E-AD-4 B+ /BA3 INTL LEASE FINANCE CORP 8 1/4% DEC 15 2020 DTD 12/07/2010 459745-GF-6 BBB /BA3 CROWN AMER/CAP CORP III 6 1/4% FEB 01 2021 DTD 08/01/2011 22818V-AB-3 BB /BA2 KEY ENERGY SERVICES INC 6 3/4% MAR 01 2021 DTD 03/04/2011 492914-AS-5 BB- /B1 DELPHI CORP 6.125% MAY 15 2021 DTD 05/07/2012 24713E-AF-4 BB+ /BA2 AMERIGAS PART FIN CORP SR NOTES 6 1/2% MAY 20 2021 DTD 01/20/2011 030981-AF-1 NR /BA3 107.06 7,000.00 7,494.34 N/A ** N/A 455.00 203.48 5.46% 110.00 5,000.00 5,500.00 5,545.00 (45.00) 306.25 141.21 4.69% 100.50 5,000.00 EFTA01573902 5,025.00 5,127.50 (102.50) 337.50 56.25 6.67% 110.50 15,000.00 16,575.00 16,262.50 312.50 937.50 234.37 4.70% 117.75 15,000.00 17,662.50 16,540.00 1,122.50 1,237.50 467.49 5.51% 110.60 3,000.00 3,317.91 3,255.00 62.91 217.50 90.62 5.60% 108.63 5,000.00 5,431.35 5,375.00 56.35 381.25 175.79 6.24% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Page 15 of 23 EFTA01573903 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Price US Fixed Income AMKOR TECHNOLOGIES INC 6 5/8% JUN 01 2021 DTD 05/20/2011 031652-BE-9 BB /BA3 IRON MOUNTAIN INC 8 3/8% AUG 15 2021 DTD 08/10/2009 46284P-AM-6 B+ /B1 CCO HLDGS LLC/CAP CORP 6 5/8% JAN 26 2012 DTD 01/31/2022 1248EP-AX-1 BB- /B1 ARCELORMITTAL 6 1/4% FEB 25 2022 DTD 02/28/2012 03938L-AX-2 BB+ /BAA CHESAPEAKE MIDSTREAM PT 6.125% JUL 15 2022 DTD 01/11/2012 16524R-AE-3 BB- /BA3 COVANTA HOLDING CORP 6 3/8% OCT 01 2022 DTD 03/19/2012 22282E-AE-2 B+ /BA3 QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD 03/01/2012 74733V-AB-6 BB+ /BA1 105.19 20,000.00 21,037.40 19,861.25 1,176.15 1,075.00 89.58 4.71% 108.00 7,000.00 7,560.00 7,210.00 350.00 446.25 37.18 5.33% 105.50 4,000.00 4,220.00 EFTA01573904 3,930.00 290.00 245.00 72.13 5.39% 101.03 5,000.00 5,051.55 5,025.00 26.55 312.50 57.29 6.10% 108.50 6,000.00 6,510.00 5,970.00 540.00 397.50 100.47 5.44% 110.71 15,000.00 16,606.50 15,900.00 706.50 1,256.25 265.20 6.74% 95.12 5,000.00 4,756.20 4,925.00 (168.80) 331.25 138.02 7.40% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Page 16 of 23 EFTA01573905 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Price US Fixed Income FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES NOTES 7.45% JUL 16 2031 DTD 7/16/99 345370-CA-6 BB+ /BAA 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 $1,057,219.30 $1,009,878.36 $39,846.60 102.77 20,000.00 20,554.00 20,275.00 279.00 1,349.00 277.28 125.21 15,000.00 18,781.65 16,428.75 2,352.90 1,226.25 565.42 $70,897.75 $18,545.28 6.52% 120.31 20,000.00 24,062.40 21,912.50 2,149.90 1,600.00 804.44 6.17% Quantity EFTA01573906 Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield 127.97 10,000.00 12,796.70 11,475.00 1,321.70 745.00 217.29 5.11% 6.45% 5.36% Page 17 of 23 EFTA01573907 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Total Inflows Income OUTFLOWS ** Fees & Commissions Interest Purchased Total Outflows TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 2,572.50 (9,688.75) ($7,116.25) $19,858.03 * 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 182,503.72 (221,396.66) ($38,892.94) -(4,181.32) (47.42) ($4,228.74) (20,013.38) (341.14) ($20,354.52) Current Period Value 22,822.30 8,380.72 $8,380.72 Year-To-Date Value* -57,554.50 $57,554.50 Page 18 of 23 EFTA01573908 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method Income 10/1 10/1 10/1 10/1 10/1 10/1 10/1 10/1 10/1 10/1 10/1 Corporate Interest Corporate Interest Corporate Interest Corporate Interest Corporate Interest Corporate Interest Corporate Interest Foreign Interest Corporate Interest Corporate Interest Interest Income Description ARCH COAL INC 7 1/4% OCT 01 2020 DTD 08/09/2010 (ID: 039380-AC-4) BE AEROSPACE INC SR NOTES 6 7/8% OCT 01 2020 DTD 09/16/2010 (ID: 055381-AR-8) BOISE PAPER HDG CO ISSR 8% APR 01 2020 DTD 03/19/2010 (ID: 09747G-AB-9) CONSOL ENERGY INC 8 1/4% APR 01 2020 DTD 10/01/2010 (ID: 20854P-AF-6) 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) QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD 03/01/2012 (ID: 74733V-AB-6) SEAGATE TECHNOLOGY HDD H SR NOTES 6.80% OCT 1 2016 DTD 9/20/2006 (ID: 81180R-AE-2) 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) DEPOSIT SWEEP INTEREST FOR SEPT @ .01% RATE ON EFTA01573909 NET AVG COLLECTED BALANCE OF $42,112.19 AS OF 10/01/12 Page 19 of 23 Quantity Cost 3,000.000 15,000.000 10,000.000 15,000.000 7,000.000 20,000.000 20,000.000 10,000.000 10,000.000 10,000.000 Per Unit Amount 0.036 0.034 0.04 0.041 0.034 0.041 0.031 0.034 0.037 0.037 Amount 108.75 515.63 400.00 618.75 238.00 812.50 627.08 340.00 368.75 368.75 0.35 EFTA01573910 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Type Settle Date Selection Method Income 10/15 10/15 10/15 10/15 10/15 10/15 10/15 10/15 10/15 10/19 10/25 10/29 10/30 Foreign Interest Foreign Interest Corporate Interest Corporate Interest Corporate Interest Corporate Interest Corporate Interest Corporate Interest Corporate Interest Accrued Int Recd Corporate Interest Accrued Int Paid Corporate Interest Description AIRCASTLE LTD 6.75% APR 15 2017 DTD 06/06/2012 (ID: 00928Q-AF-8) AIRCASTLE LTD 7.625% APR 15 2020 DTD 06/06/2012 (ID: 00928Q-AG-6) BURGER KING CORP 9 7/8% OCT 15 2018 DTD 10/19/2010 (ID: 121207-AA-2) CABLEVISION SYSTEMS CORP SR NOTES 7 3/4% APR 15 2018 DTD 04/15/2010 (ID: 12686C-AZ-2) D R HORTON INC 6 1/2% APR 15 2016 DTD 04/17/2006 (ID: 23331A-AZ-2) ENERGY TRANSFER EQUITY 7 1/2% OCT 15 2020 DTD 09/20/2010 (ID: 29273V-AC-4) HCA INC 8 1/2% APR 15 2019 DTD 04/15/2010 (ID: 404119-BF-5) HEALTH MANAGEMENT ASSOCIATION 6 1/8% APR 15 2016 DTD 04/21/2006 (ID: 421933-AH-5) NIELSEN FINANCE LLC/CO 7 3/4% OCT 15 2018 DTD 04/15/2011 (ID: 65409Q-AY-8) ARCH COAL INC 7 1/4% OCT 01 2020 DTD 08/09/2010 EFTA01573911 (ID: 039380-AC-4) MERRILL LYNCH & CO MEDIUM TERM NOTES 6 7/8% APR 25 2018 DTD 04/25/2008 (ID: 59018Y-N6-4) DELPHI CORP 6.125% MAY 15 2021 DTD 05/07/2012 @ 111.00 MLPFS INC/FIXED INCOME TRADE DATE 10/24/12 (ID: 24713E-AF-4) CCO HLDGS LLC CAP CORP 7 1/4% OCT 30 2017 DTD 09/27/2010 (ID: 1248EP-AQ-6) 9,000.000 0.036 326.25 Quantity Cost 3,000.000 2,000.000 5,000.000 10,000.000 10,000.000 20,000.000 20,000.000 10,000.000 10,000.000 3,000.000 10,000.000 3,000.000 0.00 Per Unit Amount 0.036 0.04 0.049 0.039 0.033 0.038 0.043 0.031 0.039 0.004 0.034 0.028 Amount 107.44 80.91 246.88 387.50 325.00 750.00 850.00 306.25 387.50 10.88 EFTA01573912 343.75 (83.71) Page 20 of 23 EFTA01573913 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Type Settle Date Selection Method Income 10/31 Accrued Int Paid Total Income Type Settle Date Selection Method Fees & Commissions 10/23 Description Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR THE PERIOD 07-01-2012 TO 09-30-2012 Interest Purchased 10/3 Quantity Cost Description DELPHI CORP 6.125% MAY 15 2021 DTD 05/07/2012 @ 110.75 MLPFS INC/FIXED INCOME TRADE DATE 10/26/12 (ID: 24713E-AF-4) $8,380.72 Quantity Cost 2,000.000 0.00 Per Unit Amount 0.028 Amount (56.49) Amount (4,181.32) Accrued Int Paid ROYAL BANK SCOTLAND GRP PLC 5.05% JAN 08 2015 DTD 12/08/2004 @ 103.4375 BARCLAYS CAPITAL INC (23.57) 0.00 FIXED INCOME TRADE DATE 09/27/12 (ID: 780097-AP-6) 10/3 Accrued Int Paid ROYAL BANK SCOTLAND GRP PLC 5.05% JAN 08 2015 DTD 12/08/2004 @ 103.75 BARCLAYS CAPITAL INC FIXED INCOME TRADE DATE 09/28/12 (ID: 780097-AP-6) Total Interest Purchased ($47.42) (23.85) EFTA01573914 0.00 Page 21 of 23 EFTA01573915 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 TRADE ACTIVITY Note: Trade Date Settle Date 10/16 10/19 L indicates Long Term Realized Gain/Loss 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 Sale High Cost ARCH COAL INC 7 1/4% OCT 01 2020 DTD 08/09/2010 @ 85.75 MORGAN STANLEY & CO. INCORPORATED (ID: 039380-AC-4) Quantity (3,000.000) Per Unit Amount 85.80 Proceeds 2,572.50 Tax Cost (3,090.00) Realized Gain/Loss (517.50) L Trade Date Settle Date Type Description Settled Securities Purchased 9/27 Purchase 10/3 9/28 10/3 10/24 10/29 10/26 10/31 Purchase Purchase Purchase Total Settled Securities Purchased ROYAL BANK SCOTLAND GRP PLC 5.05% JAN 08 2015 EFTA01573916 DTD 12/08/2004 @ 103.4375 BARCLAYS CAPITAL INC FIXED INCOME (ID: 780097-AP-6) ROYAL BANK SCOTLAND GRP PLC 5.05% JAN 08 2015 DTD 12/08/2004 @ 103.75 BARCLAYS CAPITAL INC FIXED INCOME (ID: 780097-AP-6) DELPHI CORP 6.125% MAY 15 2021 DTD 05/07/2012 @ 111.00 MLPFS INC/FIXED INCOME (ID: 24713E-AF-4) DELPHI CORP 6.125% MAY 15 2021 DTD 05/07/2012 @ 110.75 MLPFS INC/FIXED INCOME (ID: 24713E-AF-4) 3,000.000 2,000.000 111.00 110.80 (3,330.00) (2,215.00) ($9,688.75) 2,000.000 103.80 (2,075.00) * Quantity 2,000.000 Per Unit Amount 103.40 Market Cost (2,068.75) * Page 22 of 23 EFTA01573917 GHISLAINE MAXWELL-HY ACCT. For the Period 10/1/12 to 10/31/12 Trade Date Type Est. Settle Date Selection Method Description Pending Sales, Maturities, Redemptions Sale 10/31 11/5 ADVANCE MICRO DEVICES 7 3/4% AUG 01 2020 DTD 08/04/2010 (ID: 007903-AU-1) Quantity (2,000.000) Per Unit Amount 82.875 Proceeds 1,657.50 Tax Cost (2,065.00) Realized Gain/Loss (407.50) S Page 23 of 23 EFTA01573918 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01573919 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 EFTA01573920 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 EFTA01573921 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 INVESTMENT MANAGEMENT ACCOUNT(S) WHICH REFLECT ASSETS HELD AT JPMORGAN CHASE BANK, N.A. In case of other errors or questions about other account statement(s) Please review your account statement(s) 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 at the addresses shown on your statement(s). 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. You must promptly advise your J.P.Morgan representative of material changes in your investment objectives or financial situation or if you wish to EFTA01573922 modify the management of your account. Unless you inform otherwise, your J.P.Morgan representative will consider the information currently in its files to be complete and accurate. Disclosures Page 2 of 2 EFTA01573923
EFTA01523720.pdf
GHISLAINE MAXWELL Confidential Treatment Requested by JPMorgan JPM-SDNY-00051422 Chase CONFIDENTIAL SDNY_GM_00320620 EFTA01523720
EFTA01520870.pdf
GHISLAINE MAXWELL For the Period I I/I/11 to 11/30/11 Adjusted Tax Cost Unrealized Est. Annual Income Price Quantity Value Original Cost Gain/Loss Acaued Interest Yield Cash JPM NY MUNI MM FD MORGAN 100 100 1 00 1.00 Total Cash 51.001.899.23 $1,001,899.23 $0.00 $272.87 0.03% $19.79 Non-USD Cash P SWISS FRANC 1.10 5,486.95 6,006.85 5,926.23 80.42 P EURO PRINCIPAL CURRENCY 1.35 43,378.82 58,394.36 58,474.53 (80.17) P POUND STERLING 1.57 30,044.28 47,253.61 46,728.91 524.70 NORWEGIAN KRONE 0.17 14,769.57 2,560.33 2,548.90 11.43 TURKISH LIRA NEW 0.55 19,500.00 10.687.85 11,816.03 (1,128.18) PRINCIPAL CURRENCY Total Non-USD Cash $124.902.80 3126,494.60 ($691.80) 30.00 0.00% Non-USD Short Term JP MORGAN CHASE BANK - CAD 98.35 114,959.75 113,065.90 112,589.43 496.47 746 23 0 70% LONDON TIME DEPOSITS 0.6600% 12 43 DATED 11/25/2011 MATURITY 12/02/2011 HELD BY LONDON TREASURY SERVICES Bearer 2526E9-9J-8 CAD JP Morgan Page 19 of 66 Confidential Treatment Requested by JPMorgan JPM-SDNY-00048214 Chase CONFIDENTIAL SDNY_GM_00317412 EFTA01520870
EFTA01522200.pdf
CHISLAINE MAXWELL- OAP FDC ACC For the Period 5/1/12 to 5/31/12 Account Summary CONTINUED Current Year-to-Date Gwent Year-to-Date Tax Summary Period Value Value Period Value Value Domestic Dividends/Distributions 467.64 2.004.55 ST Realized Gain/Loss (17.63) (181 73) Interest Income 0.05 0.32 Realized Gain/Loss 017.631 ($181.73) Taxable Income $487.89 $2,004.87 To-Date Value Unrealized Gain/Loss $12.764.30 COS( Stintniary Cost Equity 147.770 42 Cash & Fixed Income 4,335 62 Total 5152.106.04 J.P.Morgan Page 3 of 17 Confidential Treatment Requested by JPMorgan JPM-SDNY-00049696 Chase CONFIDENTIAL SDNY_GM_00318894 EFTA01522200
EFTA01521494.pdf
GHISLAINE MAXWELL ACCT. For the Period 12/1/12 to 12/31/12 Other Summary Beginning Ending Change Current Asset Categories Estimated Value Estimated Value In Value Allocation Balanced 160,055 98 162,318.55 2,262.57 2% Current Market Value/Cost Penod Value Esthnated Value 162,318.55 Tax Cost 90,364.18 Estimated Gain/Loss 6,622.08 Note: — Unrealized Gain:Loss is shown as "VA" in cases where we do not have appropriate cost information for an tax lots comprising the position. Please contact your J.P. Morgan team for additional information Other Detail Adjusted Cost Unrealized Pnce Quantity Value 0nginal Cost Gaintoss Accruals Balanced JPM INC OPP - GBP - A - DIST(HEDGED) 149 12 438 109 65.332 29 N/A " NIA ISIN LU0323456201 287991-93-9 GBP JP Morgan Page 15 of 31 Confidential Treatment Requested by JPMorgan JPM-SDNY-00048880 Chase CONFIDENTIAL SDNY_GM_00318078 EFTA01521494
EFTA01519205.pdf
CHISLAINE MAXWELL ACCT. For the Period 17J1/13 to 12131/13 Alternative Assets Summary Beginning Ending Change Current Asset Categories Estimated Value Estimated Value In Value Allocation Hard Assets 59.695 64 57.276.79 (2.418 85) 1% Alternative Assets Detail Estimated Est. Annual Income Price Quantity Value Cost Accrued Income Hard Assets ETFS METAL SECURITIES LTD 116.99 301.000 35,213.99 45,068.38 MIN JE0081V53770 SEDOL 81VS377 131994-91-5 SPDR GOLD TRUST 116.12 190.000 22,062.80 31,931.40 78463V-10.7 OLD Total Hard Assets $57.278.79 $76,999.78 J.P. Morgan Account age 8 o' 31 Consolidated Statement Page 11 Confidential Treatment Requested by JPMorgan JPM-SDNY-00046485 Chase CONFIDENTIAL SDNY_GM_00315683 EFTA01519205
EFTA01518656.pdf
GHISLAINE MAXWELL -OAP HID ACCT. For the Period 7/1/13 to 7/31/13 Adjusted Tax Cost Unrealized Est. Annual Inc. Price Quantity Value Onginal Cost Gain/Loss Accrued Div. Yield EAFE Equity DEUTSCHE POST AG 27.98 2,015.000 56,375.67 47,293.82 9,081.85 1,787.30 3.17% SPONS ADR DPSG Y GDF SUEZ 20.94 1,315.000 27,536.10 27,241.29 294.81 1,731 85 6.29% SPONS ADR GDFZ Y GLAXOSMITHKUNE PLC 50.96 1,015.000 51,724.40 48,412.36 3,312.04 2,407 58 4.65% SPONS ADR GSK HSBC HOLDINGS PLC 56.75 1.145 000 64,978.75 62,810.83 2,167.92 2,633.50 4.05% SPONS ADR HBC IMPERIAL TOBACCO PLC 66.89 515.000 34,447.32 36,270.85 (1,823.53) 1,738.58 5.04% ADR 50698 ITYB ISRAEL CHE/MCALS LTD 7.99 3,750.000 29,973.75 48,666.96 (18.693.21) 2,133.75 7.12% ADR ISCH Y KIRIN HOLDINGS COMPANY LTD 14.75 2,175.000 32,087.78 35,337.00 (3,249.22) 578.55 1.80% SPONS ADR 334.19 KNEIWY LUKOIL OAO SPONS ADR 59.02 1,035.000 61,089.84 64,776.50 (3,686.66) 3,160.89 5.17% LUKO Y MTN GROUP LTD 18.70 2,625.000 49,074.38 49,970.21 (895.83) 1,971.37 4.02% SPONS ADR MTNO Y JP Morgan Page 6 of 19 Confidential Treatment Requested by JPMorgan JPM-SDNY-00045899 Chase CONFIDENTIAL SDNY_GM_00315097 EFTA01518656
EFTA01523157.pdf
GHISLAINE MAXWELL-HY ACCT. For the Period 6/1/13 to 6/30/13 Adjusted Tax Cost Unrealized Est. Annual Income Price Quantity Value Original Cost Gain/Loss Acaued Interest Yield US Fixed Income CHESAPEAKE MIDSTREAM PT 102.00 4,000.00 4080.00 3,93800 150.00 245.00 5.84% 6.125% JUL 15 2022 112.97 DID 01/11/2012 16524R-AE-3 BB- /BA3 CONTINENTAL RESOURCES 101.75 5,000.00 5,087.50 5,073.75 13.75 250.00 4.76% 5% SEP 15 2022 73.61 DTD 06/14/2012 212015-M44 BB+ /BA2 COVANTA HOLDING CORP 100.03 7,000.00 7,002.10 7210.00 (207.90) 446.25 6.37% 63/8% OCT 01 2022 111.55 DTD 03/19/2012 72282E-AE-2 B /BA3 QEP RESOURCES INC 98.25 20.000.00 19,850.00 19,661.25 (211.25) 1,075.00 5.62% 53/8% OCT 01 2022 268.74 DTD 03/01/2012 74733V-AB-6 BB+ /BA1 CELANESE US HOLDINGS LLC 102.27 5,000.00 5,113.50 5,105.00 8.50 231.25 4.33% 4.625% 11/15/2022 DTD 11/13/2012 29.54 15089Q-AD-6 BB+ /BA2 JARDEN CORP 104.75 1,000.00 1,047.50 1,072.50 (25.00) 61.25 5.47% 6 1/8% NOV 15 2022 7.82 DTD 11/09/2010 471109-AE-8 86- /8A3 PVH CORP 96.00 5,000.00 4,800.00 5,005.00 (205.00) 225.00 5.04% 4.500% 12/15/2022 DTD 12/20/2012 10.00 693856-M4 BB /BA3 ROYAL BK SCOTLND GRP PLC 95.83 5,000.00 4,791.50 5,340.10 (548.60) 306.25 6.73% 6.125% 12/15/2022 DTD 12/04/2012 13.61 780099-CE-5 BB+ /BA2 JP Morgan Page 18 of 30 Confidential Treatment Requested by JPMorgan JPM-SDNY-00050765 Chase CONFIDENTIAL SDNY_GM_00319963 EFTA01523157
EFTA01523863.pdf
GHISLAINE MAXWELL IRA For the Period 7/1/13 to 7/31/13 Account Summary JP Morgan Page 2 of 7 Confidential Treatment Requested by JPMorgan JPM-SDNY-00051607 Chase CONFIDENTIAL SDNY_GM_00320805 EFTA01523863
EFTA01522428.pdf
GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 7/1/13 to 7131/13 Trade Date Per Unit Settle Date Type Description Quantity Amount Market Cost Settled Securities Purchased 6/26 Purchase CATERPILLAR INC © 82.2394 5,674.52 BROKERAGE 69.000 82259 (5,675.90) * 7/1 1.38 CREDIT SUISSE FIRST BOSTON LLC (ID: 149123-10-1) 6/27 Purchase CATERPILLAR INC C 82.9312 11,693.30 BROKERAGE 141.000 82.951 (11,696.12) * 7/2 2.82 MORGAN STANLEY & CO. LLC (ID: 149123-10-1) 6/27 Purchase CATERPILLAR INC (a 82.905 580.34 BROKERAGE 0.14 7.000 82.926 (580.48) 7/2 UQUIDNET INC (ID: 149123-10-1) 6/28 Purchase CATERPILLAR INC la 82.7547 13,985.54 BROKERAGE 169.000 82.775 (13,988.92) * 7/3 3.38 CREDIT SUISSE FIRST BOSTON LLC (ID: 149123-10-1) Purchase CATERPILLAR INC C 82.7612 5,379.48 BROKERAGE 65.000 82781 (5,380.78) 7/5 1.30 GOLDMAN SACHS & CO. (ID: 149123-10-1) Total Settled Securities Purchased ($37,322.20) JP Morgan Page 12 of 12 Confidential Treatment Requested by JPMorgan JPM-SDNY-00049965 Chase CONFIDENTIAL SDNY_GM_00319163 EFTA01522428
EFTA01522420.pdf
GHISLAINE MAXWELL- OAP FDG ACCT For the Period 7/1/13 to 7/31/13 Equity Summary Beginning Ending Change Current Asset Categories Market Value Market Value In Value Allocation US Large Cap Equity 1,780 407 88 1.891,270.70 110.882.82 97% Current Market Value/Cost Penod Value Market Value 1,891,270.70 Tax Cost 1,633,683.68 Unrealized Gain/Loss 257,587.02 Estimated Annual Income 51,559.58 Accrued Dividends 3,597.18 Yield 2.72% Equity Detail Adjusted Tax Cost Unrealized Est. Annual Inc. Price Quantity Value Original Cost GaiNLoss Accrued Div. Yield US Large Cap Et! it, ANALOG DEVICES INC 49.38 1,751.000 86,484.38 73,523.89 12,940.49 2,381.36 2.75% 032854-10-5 ADI AUTOMATIC DATA PROCESSING INC 72.09 1,272.000 91,701.02 76,310.18 15,390.84 2,213.28 2.41% 053015-10-3 ADP BAXTER INTERNATIONAL INC 73.04 1,272.000 92,906.88 83,522.65 9,384.23 2,493 12 2.88% 071813-10-9 BAX JP Morgan Page 4 of 12 Confidential Treatment Requested by JPMorgan JPM-SDNY-00049957 Chase CONFIDENTIAL SDNY_GM_00319155 EFTA01522420
EFTA01519353.pdf
CHISLAINE MAXWELL - OAP IHD ACCT. For the Period I/I/14 to 1/31/14 TRADE ACTIVITY Note: S indicates Short Term Realized Gain/Loss Trade Date Type Per Unit Realized Settle Date Selection Method Description Quantity Amount Proceeds Tax Cost GaiNLoss Settled Sales/Maturities/Redemptions 1110 Sale DEUTSCHE POST AG SPONS ADR 0 35.107916883.45 (310.000) 35.077 10,873.96 (7,493.57) 3,380.39 S 1/15 High Cost BROKERAGE 9.30 TAX 8/OR SEC .19 FIDELITY CAPITAL MARKETS (ID: 25157Y-20-2) 1/13 Sale DEUTSCHE POST AG SPONS ADR fa 35.5508 12,265.03 (345.000) 35.51 12,251.01 (8,245.50) 4,005.51 S 1/16 High Cost BROKERAGE 13.80 TAX 8/OR SEC 22 FIDELITY CAPITAL MARKETS (ID: 25157Y-20.2) 1/14 Sale BAYER A G SPONS ADR 6 131.9228 10,553.82 (80.000) 131.89 10,55123 (8,405.57) 2,145.66 S 1/17 High Cost BROKERAGE 2.40 TAX 8/OR SEC .19 FIDELITY CAPITAL MARKETS (ID: 072730-30-2) 1/14 Sale SMITHS GROUP PLC SPONSORED ADR @ 24.4569 (110.000) 24.426 2,686.91 (2,279.26) 407.65 S 1/17 High Cost 2,690.26 BROKERAGE 3.30 TAX 8/OR SEC .05 FIDELITY CAPITAL MARKETS (ID: 83238P-20-3) 122 Sale BAE SYSTEMS PLC SPONS ADR O 28.9174 10,844.03 (375.000) 28.887 10,832.59 (8,949.48) 1,883.11 S 1/27 High Cost BROKERAGE 11.25 TAX 8/OR SEC .19 FIDELITY CAPITAL MARKETS (ID: 05523R-10-7) 1/23 Sale ALSTOM ADR 0 3.0646 10,358.35 BROKERAGE 33.80 (3,380.000) 3.055 10,324.36 (12,444.81) (2,120.45) S 1/28 High Cost TAX 8/OR SEC .19 FIDELITY CAPITAL MARKETS (ID: 021244-20-7) 1/23 Sale ME SYSTEMS PLC SPONS ADR 0 29.0186 10,446.70 (360.000) 28.988 10,435.71 (8,167.90) 2,267.81 S 1/28 High Cost BROKERAGE 10.80 TAX 8/OR SEC .19 FIDELITY CAPITAL MARKETS (ID: 05523R-10-7) 1/24 Sale ALSTOM ADR 0 2.9547 9,144.80 BROKERAGE 30.95 (3,095.000) 2.945 9,113.89 (11,380.18) (2248.49) S 1/29 High Cost TAX 8/OR SEC .18 FIDELITY CAPITAL MARKETS (ID: 021244-26.7) J.P.Morgan Account Page 12 of 14 Consolidated Statement Page 49 Confidential Treatment Requested by JPMorgan JPM-SDNY-00046637 Chase CONFIDENTIAL SDNY_GM_00315835 EFTA01519353