DataSet-10
Unknown
1 pages
MAXWELL-HY ACCT.
For the Period 8/1/12 to 8/31/12
Adjusted Tax Cost Unrealized Est. Annual Income
Prim Quantity Value Original Cost Gain/Loss Accrued Interest Yield
US Fixed Income
SERVICE CORP INTL 114.50 20,000.00 22,900.00 21,700.00 1.200.00 1.400.00 3.67%
7% JUN 15 2017 295.54
DTD 06/152006
MULTI CPN
817565-BF-0 88- /BA3
SMITHFIELD FOODS INC 112.13 10,000.00 11,212.50 10,475.00 737.50 775.00 4.90%
SR NOTES 7 3/4% JUL 1 2017 129.16
DTD 6/22/2007
832248•AQ-1 BB /B1
PINNACLE ENTEFtTIUNMENT 109.75 10,000.00 10,975.00 10,850.00 125.00 862.50 6.29%
8 5/8% AUG 01 2017 71.87
DTD 02001/2010
723456-AK-5 BB- /B1
CHESAPEAKE ENERGY CORP 103.00 15,000.00 15,450.00 15,975.00 (525.00) 975.00 5.79%
6 1/2% AUG 15 2017 43.32
DTD 8/16/2005
165167-BS-5 BB- /BAS
CCO HLDGS LLC CAP CORP 109.75 9,000.00 9,877.50 9,495.00 382.50 652.50 5.08%
7 1/4% OCT 30 2017 219.31
DM 09272010
1248EP-AQ-6 BB- /B1
IMNDSTRF-AM CORP 10925 20,000.00 21,850.00 21,450.00 400.00 1.575.00 5.78%
7 7/8% NOV 01 2017 525.00
DM 10/08/2009
97381W-AJ3 8 /BA3
CLEAR CHANNEL WORLDWIDE 108.88 10,000.00 10,887.50 11,000.00 (112.50) 925.00 7.20%
9 1/4% DEC 15 2017 195.27
DM 06A 5/2010
184510-AD-0 B /B1
J.P. Morgan Page 8 of 23
Confidential Treatment Requested by JPMorgan JPM-SDNY-00050465
Chase
CONFIDENTIAL SDNY_GM_00319663
EFTA01522877
DataSet-10
Unknown
1 pages
MAXWELL-HY ACCT.
For the Period 8/1/12 to 8/31/12
Adjusted Tax Cost Unrealized Est Annual Income
Price Quantity Value Original Cost Gain/Loss Accrued Interest Yield
US Fixed Income
NRG ENERGY INC 108.25 15,030.00 18,237.50 15,837.50 600.00 1,237.50 6.89%
81/4% SEP 01 2020 622.18
DTD 03/01/2011
629377-8J-0 BB- /B1
BALL CORP 110.75 15,000.00 16,612.50 16,050.00 562.50 1,012.50 5.10%
SR NOTES 6 3/4% SEP 15 2020 466.87
DTD 0122/2010
058498-AP-1 BB+ /BA1
ARCH COAL INC 90.50 3,000.00 2,715.00 3,090.00 (375.00) 217.50 8.92%
71/4% OCT 01 2020 90.62
DID 08/09/2010
039380-AC-4 B- /B3
BE AEROSPACE INC 111.00 15,000.00 16,850.00 18,012.50 637.50 1,031.25 5A9%
SR NOTES 6 7/8% OCT 01 2020 429.67
DTD 09/16/2010
055381-AR-8 BB /BA2
ENERGY TRANSFER EQUITY 115.55 20,000.00 23,110.00 21,450.00 1,050.00 1,500.00 5.13%
7 1/2% OCT 15 2020 588.86
DTD 09/202010
29273V-AC-4 BB /BA2
SUNGARD DATA SYSTEMS INC 107.50 5,000.00 5,375.00 5,375.00 381.25 6.43%
SR SUB 75/8% NOV 15 2020 112.25
DID 11/16/2010
CALLABLE 11/15/2015 @ 103.81
WM-AU-7 B /CM
COVANTA HOLDING CORP 110.72 3,000.00 3,321.60 3,255.00 86.60 217.50 5.81%
SR NOTES 71/4% DEC 01 2020 54.37
DTD 12101(2010
22282E-AD-4 B+ /BA3
J.P Morgan Page 14 of 23
Confidential Treatment Requested by JPMorgan JPM-SDNY-00050471
Chase
CONFIDENTIAL SDNY_GM_00319669
EFTA01522883
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL-HY ACCT.
For the Period 211/13 to 2/28/13
Account Summary CONTINUED
Current Year-to-Date Current Year-to-Date
Tax Summary Period Value Value Period Value Value
Interest Income 4.730.99 8,774 31 LT Realized GainLoss (152.00) (618 25)
Accrued Interest Current Year (247.68) (902 36) Realized Gain/Loss ($152.00) ($618.25)
Taxable Income $4,483.11 $7.871.95
To -Date Value
Unrealized Gain/Loss $47,781.81
Cost Summary Cost
Cash 8 Fixed Income 1,053845 71
Total $1,053,845.71
JP Morgan Page 3 of 25
Confidential Treatment Requested by JPMorgan JPM-SDNY-00050632
Chase
CONFIDENTIAL SDNY_GM_00319830
EFTA01523032
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL
For the Period 5/1/12 to 5/31/12
Portfolio Activity Summary - U S Dollar
Cuirent Year-To-Date
Cost Adjustments Period Value Value•
Amortization (957.07)
Cost Adjustments 9,237.41
Total Cost Adjustments $0.00 $8,280.34
' Year to date information is calculated on a calendar year basis.
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type Quantity Per Una PRINCIPAL INCOME
Settle Date Selection Method Description Cost Amount Amount Amount
511 Interest Income DEPOSIT SWEEP INTEREST FOR APR. 0.01% RATE ON 44.37
NET AVG COLLECTED BALANCE OF $5,411,548.03 AS
OF 05/01/12
5/1 Interest Income COUNTRYWIDE CAPITAL V 7% PFD 0 0.4375 PER SHARE 4,200.000 0.438 1,837.50
(ID: 222388-20-9)
5/11 Corporate Interest GENERAL ELEC CAP CORP MEDIUM TERM FLOATING RATE 50,000.000 0.002 88.78
NOTE MAY 11 2018 DTD 05/11/2007
(ID: 313982G-2V-5)
5/15 Corporate Interest BANK OF AMERICA CORP MEDIUM TERM NOTE 3.6% NOV 150,000.000 0.018 2,700.00
15 2018 DTD 11/04/2010 (ID: 08050W-OW2)
5/22 Div Domest APACHE CORP O 0.17 PER SHARE (ID: 037411-10-5) 95.000 0.17 18.15
5/25 Div Dottiest CMGROUP INC NEW 0 01 PER SHARE 358.000 0.01 3.58
(ID: 172967-42-4)
Total Inflows & Outflows $4,688.38
J.P.Morgan Page 16 of 29
Confidential Treatment Requested by JPMorgan JPM-SDNY-00048601
Chase
CONFIDENTIAL SDNY_GM_00317799
EFTA01521235
DataSet-10
Unknown
1 pages
CHISLAINE MAXWELL -TAP ARFI ACCT.
For the Period 10/1/13 to 10/31/13
Account Summary CONTINUED
Current Year-to-Date Current Year-to-Date
Tax Summary Period Value Value Period Value Value
Domestic Dividends/Distributions 1.648.45 14.703.69 ST Realized Gain/Loss (1,710 23) (4.262 78)
Interest Income 0.54 3.63 Realized Gain/Loss ($1,710.23) ($4,262.78)
Taxable Income $1,848.88 $14,707.32
Tax-Exempt Income 1 165 73
To-Date Value
Tax-Exempt Income $1.166.73
Unrealized Gain/Loss (S8.686.20)
Cost Summary Cod
Cash 8 Faced Income 59668257
Total $898,882.57
J.P.Morgan it trT ge 3 c' 9 Consolidated Statement Page 69
Confidential Treatment Requested by JPMorgan JPM-SDNY-00046330
Chase
CONFIDENTIAL SDNY_GM_00315528
EFTA01519062
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL ACCT.
For the Period 10/1/12 to 1 I/I
Adjusted Tax Cost Unrealized Est. Annual Inc.
Price Quantity Value 0nginal Cost Gain/Loss Accrued Div. Yield
Preferred Stocks
CITIGROUP CAPITAL XIII 27.81 10,000.00D 278,100.00 261,300.00 16,800.00 19,690.00 7.08%
7 7,6% PFD
173080-20-1 C PNNA /BA1
COUNTRYWIDE CAPITAL V 25.08 4,200.000 105,338.00 98,778.96 6,557.04 7,350.00 6.98%
7% PFD 1,837.50
222388-20-9 CFC PB
JPM CHASE CAPITAL XXIX 28.31 2,500.000 65,775.00 62,500.00 3,275.00 4,187.50 6.37%
61% PFD
48125E-20.7 JPM PC
Total Preferred Stocks $449,211.00 $422,679.94 $211,132.04 $31,227.60 6.96%
S1.837.50
Concentrated & Other Equity
GENERAL MOTORS CO 40.62 1,000.000 40,620.00 50,000.00 (9,380.00) 2 375 00 5 85%
CV PFD B
37045V-20-9 GM PB
JPI10FtGAN CHASE & CO 115.75 150.000.000 173.623.50 157,909.17 15,714.33 11$50 CO 6 746,
7.9% PFD STK APR 30 2049
DTD 04/23/2008
48625H-HA-1 BBB /BA1
Total Concentrated & Other Equity 3214,243.60 $207,909.17 66.334.33 $14,225.00 6.57%
JP Morgan Page 7 of 35
Confidential Treatment Requested by JPMorgan JPM-SDNY-00048788
Chase
CONFIDENTIAL SDNY_GM_00317986
EFTA01521407
DataSet-10
Unknown
1 pages
GHISLA1NE MAXWELL -TAP DYS ACCT.
For the Period 8/1/13 to WI/13
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
Adjusted Tax Cost Unrealized Est. Annual Income
Price Quantity Value Original Cost Gain/Loss Accrued Interest Yield
Cash
US DOLLAR 1.00 42,381.39 42,381 39 42,381 39 4.23 0.01% 1
0.31
US Fixed Income
HARBOR HIGH YIELD BOND-INST 10.95 4,547.24 49,792.30 51,111.00 (1,318.70) 2901.14 5.63%
411511.553
HARBOR CONVERTIBLE SEC4NST 10.83 2,833.31 30,118.13 29,272.00 846.13 643.16 2.14%
411512-73-4
COHEN & STEERS PREFERRED SECURITIES 12.82 4,493.97 57,612.66 60,624.00 (3,011.34) 3,828.85 6.85%
AND INCOME FUND INC
19248X-30-7
DOUBLEUNE TOTAL RET BD4 10.88 12,498.18 135,97993 142,229.00 (8,249.07) 7,281.42 5.34%
258620-10-3
JPM SIR INC OPP FD 11.83 3,015.90 35,678.10 38,040.00 (38190) 1,088.73 3.05%
FUND 3844 72.38
4812A4-35-1
JPM 7R I MLT SC INCOME FD - SEL 10.06 4,784.86 48,135.73 49,092.71 (956.98) 1,373.25 2.85%
FUND 2130 138.76
48121A-29-0
PRUDENTIAL TOTAL RETURN BD-Z 13.85 3,895.47 53,932.20 56 795 89 (2,843 69) 2,010.08 3.73%
744406-40-5
J.P, Morgan Account Page 10 of 15 Consolidated Statement Page 69
Confidential Treatment Requested by JPMorgan JPM-SDNY-00046105
Chase
CONFIDENTIAL SDNY_GM_00315303
EFTA01518851
DataSet-10
Unknown
1 pages
CHISLAINE MAXWELL-HY ACCT
For the Period 7/1/11 to 7131/11
Portfolio Activity Detail
INFLOWS & OUTFLOWS
Type Quantity Per Unit
Settle Date Selection Method Description Cost Amount Amount
Income
7/1 Interest Income DEPOSIT SWEEP INTEREST FOR JUNE Q .03% RATE ON 2.47
NET AVG COLLECTED BALANCE OF $100,000.00 AS OF
07/01/11
7/8 Accrued Int Paid FORD MOTOR COMPANY GLOBAL LANDMARK SECURMES 10,000.000 0.036 (355.94)
NOTES 7.45% JUL 16 2031 DTD 7/16/99 fa 114.75
BANC OF AMERICA SEC LLC TRADE DATE 07/05/11
FACE VALUE 10,000.00 (ID: 345370-CA-6)
7/8 Acaued Int Paid CHESAPEAKE ENERGY CORP 61/2% AUG 15 2017 DTD 15,000.000 0.026 (387.29)
8/16/2005 @ 106.50 GREENWICH CAPITAL MARKETS
INC TRADE DATE 07/05111 FACE VALUE 15,000.00
(ID: 165167-B5-5)
7/8 Acaued Int Paid HOST HOTELS & RESORTS LP 63/4% JUN 01 2016 DTD 10,000.000 0.007 (69.37)
04/04/2006 O 103.75 BARCLAYS CAPITAL INC FIXED
INCOME TRADE DATE 07/05/11 FACE VALUE 10,000.00
(ID: 44108E-BA-5)
7/8 Accrued Int Pak' LEAR CORP 81/8% MAR 15 2020 DTD 03/26/2010 • 10,000.000 0.026 (255.03)
109.45 BANC OF AMERICA SEC LLC TRADE DATE
07/05/11 FACE VALUE 10,000.00 (ID: 521865-AS-4)
7/8 Acaued Int Paid WYNN LAS VEGAS LLC CORP 7 3/4% AUG 15 2020 DTD 10,000.000 0.031 (307.85)
08/04/2010 Q 109.50 FIRST UNION CAP MKTSMHEAT
FIRST TRADE DATE 07/05/11 FACE VALUE 10,000.00
(ID: 983130-AR-6)
7/11 Accrued IM Pak' SEAGATE TECHNOLOGY HDD H SR NOTES 6.80% OCT 1 10.000.000 0.019 (188.89)
2016 DTD 9/2012006 @ 106.00 MORGAN STANLEY &
CO. INCORPORATED TRADE DATE 07/06/11 FACE VALUE
10,000.00 (ID: 81180R-AE-2)
J.P. Morgan Page 16 of 35
Confidential Treatment Requested by JPMorgan JPM-SDNY-00050125
Chase
CONFIDENTIAL SDNY_GM_00319323
EFTA01522564
DataSet-10
Unknown
21 pages
GHISLAINE MAXWELL
EFTA01575390
EFTA01575391
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL IRA
270 Park Avenue, New York, NY 10017-2014
ACCT.
For the Period 12/1/12 to 12/31/12
Asset Account
J.P. Morgan Team
Kirsten Sichler
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).
Table of Contents
Account Summary
Holdings
Cash & Fixed Income
Portfolio Activity
4
6
Page
2
Page 1 of 7
EFTA01575392
GHISLAINE MAXWELL IRA ACCT.
For the Period 12/1/12 to 12/31/12
Account Summary
Asset Allocation
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
56,728.10
$56,728.10
45.77
$56,773.87
Ending
Market Value
56,685.79
$56,685.79
66.19
$56,751.98
Current
Portfolio Activity
Beginning Market Value
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
Period Value
56,728.10
49.23
(91.54)
$56,685.79
66.19
$56,751.98
Year-to-Date
Value
55,763.29
711.27
211.23
$56,685.79
66.19
$56,751.98
Change
In Value
(42.31)
($42.31)
20.42
($21.89)
Estimated
712.83
EFTA01575393
$712.83
Current
Annual Income Allocation
100%
100%
Page 2 of 7
EFTA01575394
GHISLAINE MAXWELL IRA ACCT.
For the Period 12/1/12 to 12/31/12
Account Summary
Tax Summary
Domestic Dividends/Distributions
Interest Income
Taxable Income
CONTINUED
Current
Period Value
49.23
$49.23
Year-to-Date
Value
711.15
0.12
$711.27
Unrealized Gain/Loss
To-Date Value
($99.51)
LT Capital Gain Distributions
Realized Gain/Loss
Current
Period Value
10.28
$10.28
Year-to-Date
Value
10.28
$10.28
Cost Summary
Cash & Fixed Income
56,785.30
Cost
Total
$56,785.30
Page 3 of 7
EFTA01575395
GHISLAINE MAXWELL IRA ACCT.
For the Period 12/1/12 to 12/31/12
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
Market Value
733.39
55,994.71
$56,728.10
Ending
Market Value
733.39
55,952.40
$56,685.79
Current
Period Value
56,685.79
56,785.30
(99.51)
712.83
66.19
1.25%
Cash & Fixed Income as a percentage of your portfolio 100%
SUMMARY BY TYPE
Market
Value
56,685.79
% of Bond
Portfolio
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
Mutual Funds
EFTA01575396
Total Value
Market
Value
733.39
55,952.40
$56,685.79
% of Bond
Portfolio
1%
99%
100%
US Fixed Income
Change
In Value
0.00
(42.31)
($42.31)
Current
Allocation
1%
99%
100%
Cash
Asset Categories
Page 4 of 7
EFTA01575397
GHISLAINE MAXWELL IRA ACCT.
For the Period 12/1/12 to 12/31/12
Note:
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.
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
US Fixed Income
JPM SHORT DURATION BOND FD - SEL
FUND 3133
4812C1-33-0
10.99
5,091.21
55,952.40
56,051.91
(99.51)
712.76
66.19
1.27%
1.00
733.39
733.39
733.39
0.07
0.01%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 5 of 7
EFTA01575398
GHISLAINE MAXWELL IRA ACCT.
For the Period 12/1/12 to 12/31/12
Portfolio Activity Summary
Beginning Cash Balance
Transactions
INFLOWS
Total Inflows
Income
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
10.28
(59.51)
($49.23)
$733.39
* 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
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
12/3
Div Domest
Description
3PM SHORT DURATION BOND FD - SEL FUND 3133 @
0.009 PER SHARE (ID: 4812C1-33-0)
Quantity
Cost
5,085.805
Per Unit
Amount
0.009
Amount
45.77
10.28
(721.43)
($711.15)
-Current
Period
Value
733.39
49.23
$49.23
Year-To-Date
Value*
-711.27
$711.27
EFTA01575399
Page
6 of 7
EFTA01575400
GHISLAINE MAXWELL IRA ACCT.
For the Period 12/1/12 to 12/31/12
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
12/14
Description
STCapitalGain Dist JPM SHORT DURATION BOND FD - SEL FUND 3133
SHORT TERM CAPITAL GAINS @ 0.00068
(ID: 4812C1-33-0)
Total Inflows & Outflows
TRADE ACTIVITY
Trade Date
Type
Settle Date
Selection Method Description
Settled Sales/Maturities/Redemptions
12/14
12/14
Distribution
LT Capital Gain JPM SHORT DURATION BOND FD - SEL FUND 3133 LONG
TERM CAPITAL GAINS @ 0.00202 (ID: 4812C1-33-0)
Quantity
5,089.962
$49.23
Quantity
Cost
Per Unit
Amount
5,089.962
0.001
Amount
3.46
Per Unit
Amount
0.002
Proceeds
Tax Cost
10.28
Realized
Gain/Loss
Trade Date
Settle Date
Type
Description
Settled Securities Purchased
12/3
Purchase
12/3
12/14
12/14
EFTA01575401
12/14
12/14
Purchase
Purchase
Total Settled Securities Purchased
3PM SHORT DURATION BOND FD - SEL FUND 3133
REINVESTED @ 11.01 PER SHARE (ID: 4812C1-33-0)
3PM SHORT DURATION BOND FD - SEL FUND 3133
REINVESTED @ 11.00 PER SHARE (ID: 4812C1-33-0)
3PM SHORT DURATION BOND FD - SEL FUND 3133
REINVESTED @ 11.00 PER SHARE (ID: 4812C1-33-0)
Quantity
4.157
0.934
0.314
Per Unit
Amount
11.01
11.006
11.019
Market Cost
(45.77)
(10.28)
(3.46)
($59.51)
Page 7 of 7
EFTA01575402
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01575403
For the Period 12/1/12 to 12/31/12
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
EFTA01575404
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 3
EFTA01575405
For the Period 12/1/12 to 12/31/12
Deposits in Foreign Branches are not insured by the FDIC or any other Agency
of the Federal Government; amounts in such foreign accounts do not have the
benefit of any domestic
preference applicable to U.S Banks; certain Foreign accounts are considered
reportable to the Internal Revenue Service on a Report of Foreign Bank and
Financial Accounts (TD F
90-22.1).
Bank products and services are offered through JPMorgan Chase Bank, N.A.
("JPMCB") and its banking affiliates. Securities are offered by J.P.Morgan
Securities LLC ("JPMS") and, to the extent
noted below, cleared through J.P. Morgan Clearing Corp. ("JPMCC").
Neither JPMS, nor JPMCC is a bank and are each separate legal entities from
its bank or thrift affiliates.
Investment Products: Not FDIC Insured
-No Bank Guarantee -May Lose Value
Fund manager disclosure information available upon request
If you have an investment account that is managed by an SEC-Registered
Investment Advisor, J.P. Morgan will provide a copy of the advisor's Form
ADV II or brochure upon written request.
These statements are not official documents for income tax reporting
purposes and should not be relied upon for such purposes, including
determination of income, cost basis, amortization or accretion,
or gain/loss. Such information, which may be inaccurate, incomplete or
subject to updating, should be confirmed with your records and your tax
advisor.
Please take the steps indicated below if you think statement(s) are
incorrect or contact your J.P.Morgan team if you require additional
information about a transaction on your
statement(s).
IMPORTANT ADDITIONAL INFORMATION APPLICABLE ONLY TO YOUR ASSET ACCOUNT(S)
(LINKED TO JPMS)
Your Asset Account consists of a bank account that custodies assets linked
to a brokerage account through which securities transactions are executed.
As a result, the Asset Account statement(s) reflect
brokerage transactions executed through JPMS but (except for exchange listed
options) held in custody at JPMCB. Securities purchased or sold through JPMS
in U.S. markets (other then mutual
funds) are cleared through an affiliate of JPMS, in non-U.S. markets
securities are cleared through JPMS. Positions in exchange-listed options
are held by JPMCC. For your convenience, however,
positions in exchange-listed options are presented in Asset Account
statement(s) together with other assets held in such account(s). All
pertinent information about your settled and pending purchases
and sales effected through your JPMS account during the period covered by
these statement(s), is summarized in the "Trade Activity" portion of the
statement(s).
In Case of Other Errors or Questions About Your Asset Account Statement(s)
Please review your statement(s) and promptly report any inaccuracy or
discrepancy including possible unauthorized trading activity, unrecorded
dividend payments, unaccounted cash positions,
EFTA01575406
improper payments or transfers in writing to both the introducing broker,
JPMS and the clearing firm, JPMCC at the addresses shown on your
statement(s). Any oral communication should be
re-confirmed in writing to further protect your rights, including your
rights under the Securities Investor Protection Act (SIPA). If you have any
questions please contact your J.P.Morgan team.
In your written communication, please provide the following information: (1)
your name and account number; (2) the dollar amount of the suspected error;
and (3) a description of the error and
explanation, if you can, why you believe there is an error. If you need more
information, you must describe the item you are unsure about. We must
receive your written communication no later than 30
days after the statement on which the error or problem appeared is sent or
made available. If you do not so notify us, you agree that the statement
activity and account balance(s) are correct.
JPMCC and JPMS are members of the Securities Investor Protection Corp
("SIPC"), a not-for-profit membership corporation funded by broker-dealers
registered with the Securities and Exchange
Commission. Securities and cash held for a customer at JPMCC are protected
by SIPC up to $500,000 per customer, which includes up to $250,000 of
protection for cash. SIPC does not protect
against losses from fluctuations in the value of the securities. Assets held
in custody by JPMCB are not subject to SIPC. You may obtain information
about SIPC, including the SIPC Brochure, on their
website, at "www.sipc.org" or by contacting them at (202) 371-8300.
In Case of Errors or Questions About Your Electronic Transfers.
Disclosures Page 2 of 3
EFTA01575407
For the Period 12/1/12 to 12/31/12
Contact your J.P. Morgan Team at one of the telephone numbers on the front
of your statements or write us at J.P. Morgan, 500 Stanton Christiana Road,
1/OPS3, Newark, DE 19713-2107 as soon as
you can, if you think your statement is wrong or if you need more
information about a transfer on the statement. We must hear from you no
later than 60 days after we sent you the FIRST statement on
which the error or problem appeared. (1) Tell us your name and account
number. (2) Describe the error or the transfer you are unsure about, and
explain as clearly as you can why you believe it is an
error or why you need more information. (3) Tell us the dollar amount of the
suspected error. We will investigate your complaint and will correct any
error promptly. If we take more than 10 business
days (or 20 business days for new accounts) to do this, we will credit your
account for the amount you think is in error, so that you will have the use
of the money during the time it takes us to complete
our investigation.
In Case of Errors or Questions About Non-Electronic Transfers (Checks or
Deposits)
Contact JPMorgan Chase Bank, N.A. ("JPMCB") Member FDIC immediately if a
statement is incorrect or if you need more information about any non-
electronic transactions (checks or deposits) on this
statement. If any such error appears, you must notify the bank in writing as
soon as possible after your statement was made available to you. For more
complete details, see the applicable account
agreements and appendices that govern your account.
Deposit products and services are offered by JPMCB Member FDIC.
You must promptly advise your J.P.Morgan representative of material changes
in your investment objectives or financial situation or if you wish to
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.
With reference to JPMS and JPMCC: A financial statement of this organization
is available to you for personal inspection at its offices, or a copy will
be mailed to you upon written request.
You should have received (or have made available to you) separate
confirmations for each securities transaction. All transactions are subject
to the terms and conditions stated on the reverse side of
such confirmations and are subject to the constitution, by-laws, customs and
interpretations of the marketplace where executed and governed by and
construed in accordance with the laws of the State
of New York and all applicable federal laws and regulations. Further
information with respect to commissions and other charges related to the
execution of transactions, including options transactions,
has been included in confirmations that were previously furnished or have
made available to you. Upon written request, JPMS will promptly supply you
with the latest information.
PRODUCT RELATED DISCLOSURE: THE JPMORGAN FUNDS OR THIRD PARTIES
Shares of the funds referenced above are not bank deposits and are not
guaranteed by any bank, government entity, or the FDIC. Return and share
price will fluctuate and redemption value may be
EFTA01575408
more or less than original cost. While the money market funds seek to
maintain a stable net asset value of $1.00 per share, there is no assurance
that they will continue to do so. The estimated annual
income and dividend yield figures for mutual funds represent the funds' most
recent income dividend annualized.
Prospectuses and other fund information for JPMorgan funds may be obtained
by calling your J.P. Morgan team or JPMorgan Distribution Services, Inc. at
(800) 480-4111. You also may view and
order materials online for JPMorgan funds at www.jpmorganfunds.com.
J.P. Morgan affiliates may receive compensation from the JPMorgan funds for
providing investment advisory services to the funds. J.P. Morgan affiliates
may also provide administrative, custodial,
sales, distribution, shareholder or other services to the JPMorgan Funds or
funds established, sponsored, advised, or managed by third parties, and J.P.
Morgan affiliates may be compensated for such
services as allowed by applicable law. The distributor of the JPMorgan Funds
is JPMorgan Distribution Services, Inc., which is an affiliate of 3PMCB.
Assets may be reflected herein even though they may be held by a third party
unaffiliated with J.P. Morgan. In such cases, unless J.P. Morgan otherwise
agrees, J.P. Morgan has no responsibility for
the verification, valuation, safekeeping or management of those assets.
Disclosures Page 3 of 3
EFTA01575409
EFTA01575410
DataSet-10
Unknown
1 pages
GH1SLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Portfolio Activity Summary - Pound Sterling
• 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 & 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 GairvLoss USD
9118 Foreign Dividend ISHARES GBP CORPORATE BOND UCITS ETF ISIN 105.000 1.802 189.19
lE00B00FV011 SEDOL B00FV01 e 1.133 PER SHARE 1.133 118.97
(ID: 461278-91-3)
9/30 Foreign Dividend PIMCO FUNDS GLOBAL INVESTORS SERIES - GLOBAL 4.361.513 0.157 684.81
INVESTMENT GRADE CREDIT FUND ISIN IE00B3BMD843 0.097 424.78
SEDOL B361AD84 ig 0.097392 PER SHARE CONV. @
-CONV RATE (ID: 695421-91-7)
Total Inflows & Outflows $874.00 $0.00
J.P.Morgan Account Page 32 of 34 Consolidated Statement Page 35
Confidential Treatment Requested by JPMorgan JPM-SDNY-00046183
Chase
CONFIDENTIAL SDNY_GM_00315381
EFTA01518925
DataSet-10
Unknown
1 pages
CHISLAINE MAXWELL - OAP IHD ACCT.
For the Period 4/1/14 to 4/30/14
Account Summary
Beginning Ending Change Estimated Current
Asset Allocation Market Value Market Value In Value Annual Income Allocation
Market Value S0.00 $0.00 $0.00 $0.00
Accruals 1,937 95 776.95 (1 161 00)
Market Value with Accruals 51,937.95 $776.95 ($1,161.00)
Current Year-to-Date
Portfolio Activity Period Value Value
Beginning Market Value 0.00 1,964,166.76
Contributions 1,156.11 1,156.11
lArithdrawals & Fees (2443.09) (92,503.81)
Securities Transferred In 42,152.23
Securities Transferred Out (1,939.755.05)
Net Contributions/Withdrawals (61,286.99) ($1,988,950.52)
Income & Distributions 1,286.96 42,791 62
Change In Investment Value (18.006.85)
Ending Market Value $0.00 $0.00
Accruals 776.95 776.95
Market Value with Accruals $776.96 $776.95
Current Year4o-Date Current Year-to-Date
Tax Summary Period Value Value Period Value Value
Foreign Dividends 1,286.98 42,787.65 ST Realized Gain/Loss 9,772.82
Interest Income 3.97 LT Realized Gain/Loss 1,562.35
Taxable Income $1,286.98 $42,791.62 Realized Gain/Loss 611,336.17
J.P. Morgan Account Page 2 of 5 Consolidated Statement Page 20
Confidential Treatment Requested by JPMorgan JPM-SDNY-00046873
Chase
CONFIDENTIAL SDNY_GM_00316071
EFTA01519579
DataSet-10
Unknown
1 pages
CH1SLAINE MAXWELL - OAP IHD ACCT
For the Period 11/1/13 to 11/30/13
Adjusted Tax Cost Unrealized Est. Annual Inc.
Price Quantity Value Original Cost Gain/Loss Accrued Div. Yield
EAFE Equity
BRITISH AMERICAN TOBACCO PLC 106.33 590.000 62,734.70 82,048.30 888.40 2.552.34 4.07%
SPONS ADR
IIMISMIL
DEUTSCHE TELEKOM AG 15.87 4,270.000 67,764.90 58,928.15 8.836.75 3.825.92 5.65%
SPONS ADR
DEUTSCHE POST AG 35.48 2.015.000 71,492.20 47.293.82 24,198.38 1,787.30 2.50%
SPONS ADR
GDF SUEZ 23.24 1,980.000 46,015.20 42,100.10 3.915.10 2,665.08 5.79%
1,651.24
52.92 1,015.000 53,713.80 48,412.36 5,301.44 2,445.13 4.55%
582.81
HSBC HOLDINGS PLC 56.10 1,145.000 64,234.50 82,810.83 1,423.67 2.748.00 4.28%
IMPERIAL TOBACCO PLC 76.42 515.000 39,356.30 36,270.65 3,085.45 1,895.20 4.82%
KIRIN HOLDINGS COMPANY LTD 15.55 3,010.000 46,805.50 48,510.86 (1305.36) 824.74 1.76%
SPONS ADR
LUKOIL OAO SPONS ADR 62.22 1,035.000 64,397.70 64,776.50 (378.80) 3,783.96 5.88%
MN GROUP LTD 19.67 2,625.000 51,633.75 49,970.21 1,863.54 1,929.37 3.74%
SPONS ADR
J.P.Morgan Account V49920008 Page 6 of 12 Consolidated Statement Page 50
Confidential Treatment Requested by JPMorgan JPM-SDNY-00046415
Chase
CONFIDENTIAL SDNY_GM_00315613
EFTA01519141
DataSet-10
Unknown
1 pages
CHISLAINE MAXWELL -TAP DYS ACCT.
For the Period 1011/13 to 10/31/13
Portfolio Activity Summary
Current Year-To-Date
Transactions Period Value Value'
Beginning Cash Balance 46.341.06
INFLOWS
Income 2,714.05 25212.82
Contributions 1,000,000.00
Total Inflows $2.714.06 51.025.212.82
OUTFLOWS —
Fees& Commissions (1,798.18) (4,930.43)
Total Outflows (61,790.10) ($4,930.43)
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions %axes 191,591.21
Settled Securities Purchased (77.030.00) (1.186.370 00)
Total Trade Activity ($21,763.34) ($994.778.79)
Ending Cash Balance 525,503.60
, 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
J.P.Morgan Account Page 12 of 15 Consolidated Statement Page 63
Confidential Treatment Requested by JPMorgan JPM-SDNY-00046323
Chase
CONFIDENTIAL SDNY_GM_00315521
EFTA01519055
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL
Confidential Treatment Requested by JPMorgan JPM-SDNY-00051296
Chase
CONFIDENTIAL SDNY_GM_00320494
EFTA01523619
DataSet-10
Unknown
1 pages
CHISIAINE MAXWELL. ACCT
For the Period 2/1/14 to 2/28/14
Portfolio Activity Summary - Canadian Dollar
PRINCIPAL
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
INFLOWS
Income 50.89 111.65 56 19 122 38
Total Inflows $50.89 $111.85 56.19 122.38
OUTFLOWS
Withdrawals (38.21) (98.97) (42.14) (108.33)
Total Outflows (838.21) ($98.97) (42.14) (108.33)
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions 114,112.17 114,112.17 116,533.92 116,533.92
Total Trade Activity 5114.112.17 5114.112.17 116.633.92 116,533.92
Ending Cash Balance 116,547.97 ENV
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
J.P.Morgan Page 19 of 28
Confidential Treatment Requested by JPMorgan JPM-SDNY-00049446
Chase
CONFIDENTIAL SDNY_GM_00318644
EFTA01521990
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL ACCT
For the Period 12/1/13 to 12/31/13
Adjusted Tax Cost Unrealized Est. Annual Inc.
Prim OuaMky Value Original Cost GairvLoss Accrued Div. Yield
Preferred Stocks
CITIGROUP CAPITAL XIII 27.25 10,000.000 272500.00 261300 00 11,200.00 19,690.00 7.23%
7 78% PFD
173080-20-1 C PN NA /BA1
COUNTRYWIDE CAPITAL V 25.35 4,200.000 108,470.00 98,778.98 7,891.04 7,350.00 8.90%
7% PFD
222388-20-9 CFC PB
JPM CHASE CAPITAL XXIX 25.32 2,500.000 63.300.00 62.500.00 800.00 4,187.50 6.62%
6.7% PFD 1,046.88
48125E-20-7 JPM PC
Total Preferred Stocks $442,270.00 6422,678.96 $19,691.04 $31,227.60 7.08%
$1,046.88
Concentrated & Other Equity
JPMOROAN CHASE & CO 110.16 150,000 000 165,246 00 157.909.17 7,336.83 11,850.00 7.11%
VAR RT PFD STK 04/30/2049 2,007.90
DID 04/23/2008
46825H•HA-1 BBB /13A1
J.P Morgan Page 7 of 31
Confidential Treatment Requested by JPMorgan JPM-SDNY-00049356
Chase
CONFIDENTIAL SDNY_GM_00318554
EFTA01521910
DataSet-10
Unknown
26 pages
GHISLAINE MAXWELL
EFTA01572555
EFTA01572556
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL- OAP FDG
270 Park Avenue, New York, NY 10017-2014
ACCT.
For the Period 8/1/12 to 8/31/12
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).
Table of Contents
Account Summary
Page
2
Holdings
Equity
Cash & Fixed Income
Portfolio Activity
4
7
9
0000013235.15.0.15.00001.MAXWE04.20120905
Page 1 of 10
EFTA01572557
GHISLAINE MAXWELL- OAP FDG ACCT.
For the Period 8/1/12 to 8/31/12
Account Summary
Asset Allocation
Equity
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
170,728.40
5,207.03
$175,935.43
369.07
$176,304.50
Ending
Market Value
172,518.63
5,476.44
$177,995.07
843.11
$178,838.18
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
$0.00
269.41
1,790.23
$177,995.07
843.11
$178,838.18
Period Value
175,935.43
Change
In Value
1,790.23
269.41
$2,059.64
474.04
$2,533.68
Year-to-Date
Value
165,408.94
EFTA01572558
(1,399.46)
($1,399.46)
3,240.31
10,745.28
$177,995.07
843.11
$178,838.18
Estimated
5,655.71
0.54
Current
Annual Income Allocation
97%
3%
$5,656.25
100%
Cash &
Fixed Income
Asset Allocation
Equity
Page 2 of 10
EFTA01572559
GHISLAINE MAXWELL- OAP FDG ACCT.
For the Period 8/1/12 to 8/31/12
Account Summary
Tax Summary
Domestic Dividends/Distributions
Interest Income
Taxable Income
CONTINUED
Current
Period Value
269.36
0.05
$269.41
Year-to-Date
Value
3,239.86
0.45
$3,240.31
Unrealized Gain/Loss
To-Date Value
$23,065.33
ST Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
Year-to-Date
Value
1,880.98
$1,880.98
Cost Summary
Equity
Cash & Fixed Income
Total
5,476.44
Cost
149,453.30
$154,929.74
Page 3 of 10
EFTA01572560
GHISLAINE MAXWELL- OAP FDG ACCT.
For the Period 8/1/12 to 8/31/12
Equity Summary
Asset Categories
US Large Cap Equity
Beginning
Market Value
170,728.40
Ending
Market Value
172,518.63
Change
In Value
1,790.23
Current
Allocation
97%
Current
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Equity Detail
Price
US Large Cap Equity
ANALOG DEVICES INC
032654-10-5 ADI
AUTOMATIC DATA PROCESSING INC
BAXTER INTERNATIONAL INC
053015-10-3 ADP
58.68
071813-10-9 BAX
149.000
8,743.32
7,720.85
1,022.47
268.20
3.07%
58.08
150.000
8,712.00
7,264.05
1,447.95
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
EFTA01572561
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Period Value
172,518.63
149,453.30
23,065.33
5,655.71
843.06
3.27%
39.74
206.000
8,186.44
7,138.40
1,048.04
247.20
61.80
237.00
3.02%
2.72%
Page 4 of 10
EFTA01572562
GHISLAINE MAXWELL- OAP FDG ACCT.
For the Period 8/1/12 to 8/31/12
Price
US Large Cap Equity
CHEVRON CORP
166764-10-0 CVX
COLGATE PALMOLIVE CO
CONOCOPHILLIPS
GENERAL MILLS INC
194162-10-3 CL
56.79
20825C-10-4 COP
39.33
370334-10-4 GIS
HONEYWELL INTERNATIONAL INC
ILLINOIS TOOL WORKS INC
INTEL CORP
438516-10-6 HON
59.29
452308-10-9 ITW
24.83
458140-10-0 INTC
JOHNSON & JOHNSON
LOCKHEED MARTIN CORP
MC DONALDS CORP
478160-10-4 JNJ
91.14
539830-10-9 LMT
89.49
580135-10-1 MCD
MICROCHIP TECHNOLOGY INC
NEXTERA ENERGY INC
PEPSICO INC
595017-10-4 MCHP
67.31
65339F-10-1 NEE
72.43
713448-10-8 PEP
Page 5 of 10
124.000
8,981.32
7,957.93
1,023.39
137.000
9,221.47
7,254.34
1,967.13
34.75
226.000
7,853.50
7,115.59
EFTA01572563
737.91
98.000
8,770.02
8,329.79
440.23
102.000
9,296.28
7,330.98
1,965.30
67.43
126.000
8,496.18
7,863.57
632.61
320.000
7,945.60
6,770.10
1,175.50
288.00
72.00
307.44
76.86
408.00
102.00
274.40
68.60
317.30
79.33
328.80
82.20
266.60
3.62%
3.62%
4.39%
3.13%
4.04%
3.57%
2.97%
138.000
8,182.02
6,498.07
1,683.95
58.45
145.000
8,475.25
7,124.46
1,350.79
216.05
54.01
209.76
2.55%
EFTA01572564
2.56%
196.000
7,708.68
7,105.54
603.14
151.000
8,575.29
7,956.76
618.53
398.64
99.66
258.72
4.65%
3.36%
106.31
89.000
9,461.59
7,413.85
2,047.74
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
112.16
81.000
9,084.96
7,927.41
1,157.55
291.60
72.90
220.72
3.21%
2.33%
EFTA01572565
GHISLAINE MAXWELL- OAP FDG ACCT.
For the Period 8/1/12 to 8/31/12
Price
US Large Cap Equity
PROCTER & GAMBLE CO
RAYTHEON CO
742718-10-9 PG
56.52
755111-50-7 RTN
THE TRAVELERS COMPANIES INC.
WALGREEN CO
89417E-10-9 TRV
35.76
931422-10-9 WAG
Total US Large Cap Equity
$172,518.63
$149,453.30
$23,065.33
268.000
9,583.68
8,778.72
804.96
294.80
73.70
$5,655.71
$843.06
3.08%
3.28%
64.74
122.000
7,898.28
7,812.62
85.66
224.48
2.84%
163.000
9,212.76
6,815.36
2,397.40
326.00
3.54%
67.19
121.000
8,129.99
7,274.91
855.08
272.00
3.35%
Quantity
Value
Adjusted Tax Cost
EFTA01572566
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Page 6 of 10
EFTA01572567
GHISLAINE MAXWELL- OAP FDG ACCT.
For the Period 8/1/12 to 8/31/12
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Market Value
5,207.03
Ending
Market Value
5,476.44
Change
In Value
269.41
Current
Allocation
3%
Current
Market Value/Cost
Market Value
Tax Cost
Estimated Annual Income
Accrued Interest
Yield
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1
Period Value
5,476.44
5,476.44
0.54
0.05
0.01%
SUMMARY BY TYPE
Market
Value
5,476.44
% of Bond
Portfolio
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
Market
Value
5,476.44
% of Bond
EFTA01572568
Portfolio
1009a
Page 7 of 10
EFTA01572569
GHISLAINE MAXWELL- OAP FDG ACCT.
For the Period 8/1/12 to 8/31/12
Note:
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.
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
1.00
5,476.44
5,476.44
5,476.44
0.54
0.05
0.01%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 8 of 10
EFTA01572570
GHISLAINE MAXWELL- OAP FDG ACCT.
For the Period 8/1/12 to 8/31/12
Portfolio Activity Summary
Beginning Cash Balance
Transactions
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Fees & Commissions
$0.00
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
$0.00
$5,476.44
* 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
26,471.81
(28,180.72)
($1,708.91)
-Current
Period
Value
5,207.03
269.41
$269.41
Year-To-Date
Value*
-3,240.31
$3,240.31
(1,399.46)
($1,399.46)
Current
Cost
Adjustments
Cost Adjustments
Total Cost Adjustments
Period Value
$0.00
Year-To-Date
Value*
(157.08)
($157.08)
Page 9 of 10
EFTA01572571
EFTA01572572
GHISLAINE MAXWELL- OAP FDG ACCT.
For the Period 8/1/12 to 8/31/12
Portfolio Activity Detail
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
Income
8/1
8/1
8/9
8/15
8/15
Div Domest
Interest Income
Div Domest
Div Domest
Div Domest
Total Income
Description
GENERAL MILLS INC @ 0.33 PER SHARE
(ID: 370334-10-4)
DEPOSIT SWEEP INTEREST FOR JULY @ .01% RATE ON
NET AVG COLLECTED BALANCE OF $5,527.27 AS OF
08/01/12
RAYTHEON CO @ 0.50 PER SHARE (ID: 755111-50-7)
PROCTER & GAMBLE CO @ 0.562 PER SHARE
(ID: 742718-10-9)
COLGATE PALMOLIVE CO @ 0.62 PER SHARE
(ID: 194162-10-3)
89.000
0.62
55.18
$269.41
163.000
121.000
0.50
0.562
81.50
68.00
Quantity
Cost
196.000
Per Unit
Amount
0.33
Amount
64.68
0.05
Page 10 of 10
EFTA01572573
For the Period 8/1/12 to 8/31/12
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
EFTA01572574
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 4
EFTA01572575
For the Period 8/1/12 to 8/31/12
Deposits in Foreign Branches are not insured by the FDIC or any other Agency
of the Federal Government; amounts in such foreign accounts do not have the
benefit of any domestic
preference applicable to U.S Banks; certain Foreign accounts are considered
reportable to the Internal Revenue Service on a Report of Foreign Bank and
Financial Accounts (TD F
90-22.1).
Bank products and services are offered through JPMorgan Chase Bank, N.A.
("JPMCB") and its banking affiliates. Securities are offered by J.P.Morgan
Securities LLC ("JPMS") and, to the extent
noted below, cleared through J.P. Morgan Clearing Corp. ("JPMCC").
Neither JPMS, nor JPMCC is a bank and are each separate legal entities from
its bank or thrift affiliates.
Investment Products: Not FDIC Insured
-No Bank Guarantee -May Lose Value
Fund manager disclosure information available upon request
If you have an investment account that is managed by an SEC-Registered
Investment Advisor, J.P. Morgan will provide a copy of the advisor's Form
ADV II or brochure upon written request.
These statements are not official documents for income tax reporting
purposes and should not be relied upon for such purposes, including
determination of income, cost basis, amortization or accretion,
or gain/loss. Such information, which may be inaccurate, incomplete or
subject to updating, should be confirmed with your records and your tax
advisor.
Please take the steps indicated below if you think statement(s) are
incorrect or contact your J.P.Morgan team if you require additional
information about a transaction on your
statement(s).
IMPORTANT ADDITIONAL INFORMATION APPLICABLE ONLY TO YOUR ASSET ACCOUNT(S)
(LINKED TO JPMS)
Your Asset Account consists of a bank account that custodies assets linked
to a brokerage account through which securities transactions are executed.
As a result, the Asset Account statement(s) reflect
brokerage transactions executed through JPMS but (except for exchange listed
options) held in custody at JPMCB. Securities purchased or sold through JPMS
in U.S. markets (other then mutual
funds) are cleared through an affiliate of JPMS, in non-U.S. markets
securities are cleared through JPMS. Positions in exchange-listed options
are held by JPMCC. For your convenience, however,
positions in exchange-listed options are presented in Asset Account
statement(s) together with other assets held in such account(s). All
pertinent information about your settled and pending purchases
and sales effected through your JPMS account during the period covered by
these statement(s), is summarized in the "Trade Activity" portion of the
statement(s).
In Case of Other Errors or Questions About Your Asset Account Statement(s)
Please review your statement(s) and promptly report any inaccuracy or
discrepancy including possible unauthorized trading activity, unrecorded
dividend payments, unaccounted cash positions,
EFTA01572576
improper payments or transfers in writing to both the introducing broker,
JPMS and the clearing firm, JPMCC at the addresses shown on your
statement(s). Any oral communication should be
re-confirmed in writing to further protect your rights, including your
rights under the Securities Investor Protection Act (SIPA). If you have any
questions please contact your J.P.Morgan team.
In your written communication, please provide the following information: (1)
your name and account number; (2) the dollar amount of the suspected error;
and (3) a description of the error and
explanation, if you can, why you believe there is an error. If you need more
information, you must describe the item you are unsure about. We must
receive your written communication no later than 30
days after the statement on which the error or problem appeared is sent or
made available. If you do not so notify us, you agree that the statement
activity and account balance(s) are correct.
JPMCC and JPMS are members of the Securities Investor Protection Corp
("SIPC"), a not-for-profit membership corporation funded by broker-dealers
registered with the Securities and Exchange
Commission. Securities and cash held for a customer at JPMCC are protected
by SIPC up to $500,000 per customer, which includes up to $250,000 of
protection for cash. SIPC does not protect
against losses from fluctuations in the value of the securities. Assets held
in custody by JPMCB are not subject to SIPC. You may obtain information
about SIPC, including the SIPC Brochure, on their
website, at "www.sipc.org" or by contacting them at (202) 371-8300.
In Case of Errors or Questions About Your Electronic Transfers.
Disclosures Page 2 of 4
EFTA01572577
For the Period 8/1/12 to 8/31/12
Contact your J.P. Morgan Team at one of the telephone numbers on the front
of your statements or write us at J.P. Morgan, 500 Stanton Christiana Road,
1/OPS3, Newark, DE 19713-2107 as soon as
you can, if you think your statement is wrong or if you need more
information about a transfer on the statement. We must hear from you no
later than 60 days after we sent you the FIRST statement on
which the error or problem appeared. (1) Tell us your name and account
number. (2) Describe the error or the transfer you are unsure about, and
explain as clearly as you can why you believe it is an
error or why you need more information. (3) Tell us the dollar amount of the
suspected error. We will investigate your complaint and will correct any
error promptly. If we take more than 10 business
days (or 20 business days for new accounts) to do this, we will credit your
account for the amount you think is in error, so that you will have the use
of the money during the time it takes us to complete
our investigation.
In Case of Errors or Questions About Non-Electronic Transfers (Checks or
Deposits)
Contact JPMorgan Chase Bank, N.A. ("JPMCB") Member FDIC immediately if a
statement is incorrect or if you need more information about any non-
electronic transactions (checks or deposits) on this
statement. If any such error appears, you must notify the bank in writing as
soon as possible after your statement was made available to you. For more
complete details, see the applicable account
agreements and appendices that govern your account.
Deposit products and services are offered by JPMCB Member FDIC.
You must promptly advise your J.P.Morgan representative of material changes
in your investment objectives or financial situation or if you wish to
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.
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.
EFTA01572578
You must promptly advise your J.P.Morgan representative of material changes
in your investment objectives or financial situation or if you wish to
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.
With reference to JPMS and JPMCC: A financial statement of this organization
is available to you for personal inspection at its offices, or a copy will
be mailed to you upon written request.
You should have received (or have made available to you) separate
confirmations for each securities transaction. All transactions are subject
to the terms and conditions stated on the reverse side of
such confirmations and are subject to the constitution, by-laws, customs and
interpretations of the marketplace where executed and governed by and
construed in accordance with the laws of the State
of New York and all applicable federal laws and regulations. Further
information with respect to commissions and other charges related to the
execution of transactions, including options transactions,
has been included in confirmations that were previously furnished or have
made available to you. Upon written request, JPMS will promptly supply you
with the latest information.
Disclosures Page 3 of 4
EFTA01572579
For the Period 8/1/12 to 8/31/12
PRODUCT RELATED DISCLOSURE: THE JPMORGAN FUNDS OR THIRD PARTIES
Shares of the funds referenced above are not bank deposits and are not
guaranteed by any bank, government entity, or the FDIC. Return and share
price will fluctuate and redemption value may be
more or less than original cost. While the money market funds seek to
maintain a stable net asset value of $1.00 per share, there is no assurance
that they will continue to do so. The estimated annual
income and dividend yield figures for mutual funds represent the funds' most
recent income dividend annualized.
Prospectuses and other fund information for JPMorgan funds may be obtained
by calling your J.P. Morgan team or JPMorgan Distribution Services, Inc. at
(800) 480-4111. You also may view and
order materials online for JPMorgan funds at www.jpmorganfunds.com.
J.P. Morgan affiliates may receive compensation from the JPMorgan funds for
providing investment advisory services to the funds. J.P. Morgan affiliates
may also provide administrative, custodial,
sales, distribution, shareholder or other services to the JPMorgan Funds or
funds established, sponsored, advised, or managed by third parties, and J.P.
Morgan affiliates may be compensated for such
services as allowed by applicable law. The distributor of the JPMorgan Funds
is JPMorgan Distribution Services, Inc., which is an affiliate of 3PMCB.
Assets may be reflected herein even though they may be held by a third party
unaffiliated with J.P. Morgan. In such cases, unless J.P. Morgan otherwise
agrees, J.P. Morgan has no responsibility for
the verification, valuation, safekeeping or management of those assets.
Disclosures Page 4 of 4
EFTA01572580
DataSet-10
Unknown
1 pages
CHISLAINE MAXWELL ACCT.
For the Period 10/I/I I to 10/31/11
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
10127 Receipt of Assets JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 590:808.860
1.5500% DATED 10,27/2011 MATURITY 11/03/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2525P9-9U-3)
Total Inflows & Outflows $0.00
J.P.Morgan Page 27 of 31
Confidential Treatment Requested by JPMorgan JPM-SDNY-00048184
Chase
CONFIDENTIAL SDNY_GM_00317382
EFTA01520843
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL ACCT.
For the Period 3/1/13 to 3/31/13
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type Quantity Per Unit PRINCIPAL INCOME
Settle Date Selection Method Description Cos( Amount Amount Amount
3/1 Interest Income DEPOSIT SWEEP INTEREST FOR 02101/13 - 02/28/13 14.14
at .01% RATE ON AVG COLLECTED BALANCE OF
$1,877,002.20 AS OF 03/01/13
3/1 Div Domest GENERAL MOTORS CO CV PFD Et @ 0.59375 PER SHARE 1,000.000 0.594 593.75
(ID: 37045V-20-9)
322 Div Domeet BANK OF AMERICA CORP 0 0.01 PER SHARE 944.000 0.01 9.44
(ID: 060505-10-4)
3/25 Foreign Interest INTER AMERICAN DEVELOPMENT BANK- INR MEDIUM 6,700,000.000 0.001 3,702.23
TERM NOTE 3% MAR 25 2014 DTD 03/25/2010 HELD BY
EUROCLEAR ISIN XS0495010562 SEDOL 8511473
(ID: U45818-9G-5)
Total Inflows & Outflows 54,319.66
JP Morgan Page 18 of 30
Confidential Treatment Requested by JPMorgan JPM-SDNY-00049001
Chase
CONFIDENTIAL SDNY_GM_00318199
EFTA01521600
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL- TAP ARFI ACCT.
For the Period 4/1/13 to 4/30/13
Account Summary
Beginning Ending Change Estimated Current Asset Allocation
Asset Allocation Market Value Market Value In Value Annual Income Allocation
Alternative Assets 346,751.85 348,131.79 1,379.94 5,984 01 35%
Cash & Fixed Income 652583.28 658.810.05 6,226.77 22,009 62 65%
Market Value $999,335.13 $1.006.941.84 57,606.71 $27,993.63 100%
Accruals 1 . 143 21 749 36 (393 85)
Market Value with Accruals $1,000,478.34 $1,007,691.20 $7,212.86 Cash
Fixed Income
Allemauve
Current Year-to-Date Assers
Portfolio Activity Period Value Value
Beginning Market Value 999.335.13 0.00
Contributions 1,000,000.00
Wthdrawals 8 Fees (1,111.99) (1,111.99)
Net Contributions/Withdrawals ($1,111.99) $998,888.01
Income 8 Distributions 1,923.20 4,595.39
Change In Investment Value 6,795.50 3,458.44
Ending Market Value $1,006,941.84 $1,006,941.84
Accruals 749.36 749.36
Market Value with Accruals 51,007,891.20 $1,007,691.20
JP Morgan Account Page 2 of 9 Consolidated Statement Page 74
Confidential Treatment Requested by JPMorgan JPM-SDNY-00045673
Chase
CONFIDENTIAL SDNY_GM_00314871
EFTA01518446