DataSet-10
Unknown
55 pages
GHISLAINE MAXWELL
EFTA01573509
EFTA01573510
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL-HY
270 Park Avenue, New York, NY 10017-2014
ACCT.
For the Period 3/1/12 to 3/31/12
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.MorganOnline.com
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
Table of Contents
Account Summary
Page
2
Holdings
Cash & Fixed Income
Portfolio Activity
4
16
Client News
Effective in the second quarter, we will be implementing a
new pricing procedure with regard to your statements. In
cases where we are unable to obtain a current price from
an internal or external source for a particular security, the
price column on your statements may indicate
"unpriced". Although such securities may have value,
please note that if a security is indicated as "unpriced" it
will not be included in your overall current market value
as reflected on the statement.
0000000083.15.0.15.00001.MAXEW00.20120403
Page 1 of 26
EFTA01573511
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Account Summary
Asset Allocation
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
1,025,833.12
$1,025,833.12
20,020.25
$1,045,853.37
Ending
Market Value
1,018,505.78
$1,018,505.78
20,638.69
$1,039,144.47
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
5,657.44
(12,984.78)
$1,018,505.78
20,638.69
$1,039,144.47
Period Value
1,025,833.12
Change
In Value
(7,327.34)
($7,327.34)
618.44
($6,708.90)
Year-to-Date
Value
993,756.14
(7,948.58)
($7,948.58)
13,834.35
18,863.87
EFTA01573512
$1,018,505.78
20,638.69
$1,039,144.47
Estimated
68,618.61
$68,618.61
Current
Annual Income Allocation
100%
100%
Page 2 of 26
EFTA01573513
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Account Summary
Tax Summary
Interest Income
Accrued Interest Current Year
Taxable Income
Cash Receipts
Other Income & Receipts
CONTINUED
Current
Period Value
5,924.97
(777.53)
$5,147.44
510.00
$510.00
Year-to-Date
Value
14,101.88
(777.53)
$13,324.35
510.00
$510.00
Unrealized Gain/Loss
To-Date Value
$3,011.20
ST Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
(2,314.89)
($2,314.89)
Year-to-Date
Value
(3,592.39)
($3,592.39)
Cost Summary
Cash & Fixed Income
1,007,374.58
Cost
Total
$1,007,374.58
Page 3 of 26
EFTA01573514
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
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
1-5 years,
5-10 years,
10+ years,
Total Value
1
Market Value
54,016.82
971,816.30
$1,025,833.12
Ending
Market Value
46,113.83
972,391.95
$1,018,505.78
Current
Period Value
1,018,505.78
1,007,374.58
3,011.20
68,618.61
20,638.69
5.94%
SUMMARY BY TYPE
Market
Value
61,991.33
164,132.70
720,264.25
72,117.50
$1,018,505.78
% of Bond
Portfolio
EFTA01573515
6%
16%
71%
7%
100%
The years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their stated maturity.
Cash & Fixed Income
Cash
Corporate Bonds
International Bonds
Total Value
Market
Value
46,113.83
961,366.95
11,025.00
$1,018,505.78
% of Bond
Portfolio
4%
95%
1%
100%
US Fixed Income
Change
In Value
(7,902.99)
575.65
($7,327.34)
Current
Allocation
5%
95%
100%
Cash
Asset Categories
Cash & Fixed Income as a percentage of your portfolio 100%
Page 4 of 26
EFTA01573516
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
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.
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
1.00
46,113.83
46,113.83
46,113.83
4.61
0.45
US Fixed Income
FORD MOTOR CREDIT CO
NOTES 7% OCT 1 2013
DTD 9/23/2003
345397-TZ-6 BB+ /BA1
LENNAR CORPORATION
5.6% MAY 31 2015
DTD 4/28/2005
526057-AS-3 B+ /B2
COMMUNITY HEALTH SYSTEMS
8 7/8% JUL 15 2015
DTD 07/25/2007
12543D-AF-7 B /B3
D R HORTON INC
6 1/2% APR 15 2016
DTD 04/17/2006
23331A-AZ-2 BB- /BA2
Page 5 of 26
109.50
10,000.00
10,950.00
10,495.00
455.00
650.00
299.72
3.93%
103.63
4,000.00
EFTA01573517
4,145.00
4,357.89
(212.89)
355.00
74.94
7.60%
104.50
10,000.00
10,450.00
9,905.00
545.00
0.01%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
106.63
10,000.00
10,662.80
10,775.00
(112.20)
700.00
351.94
560.00
186.66
2.47%
4.07%
EFTA01573518
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Price
US Fixed Income
HEALTH MANAGEMENT ASSOCIATION
6 1/8% APR 15 2016
DTD 04/21/2006
421933-AH-5 BB- /NA
STEEL DYNAMICS INC
7.75% APR 15 2016
DTD 04/03/2008
858119-AN-0 BB+ /BA2
SUPERVALU INC
8% MAY 01 2016
DTD 05/07/2009
868536-AT-0 B /B2
CRICKET COMMUNICATIONS INC
7 3/4% MAY 15 2016
DTD 11/15/2009
226566-AK-3 B+ /BA2
HOST HOTELS & RESORTS LP
6 3/4% JUN 01 2016
DTD 04/04/2006
44108E-BA-5 BB+ /BA1
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
110.25
10,000.00
11,025.00
10,600.00
425.00
680.00
341.88
4.27%
100.50
5,000.00
5,024.90
4,581.50
443.40
187.50
41.14
3.62%
103.00
10,000.00
10,300.00
EFTA01573519
10,375.00
(75.00)
675.00
225.00
5.92%
105.50
15,000.00
15,825.00
16,050.00
(225.00)
1,162.50
439.15
6.21%
103.75
15,000.00
15,562.50
15,862.50
(300.00)
1,162.50
536.04
104.75
10,000.00
10,475.00
10,375.00
100.00
800.00
333.33
6.67%
104.63
10,000.00
10,462.50
10,400.00
62.50
612.50
282.43
4.85%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
6.65%
Page 6 of 26
EFTA01573520
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
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
RITE AID CORP
7 1/2% MAR 01 2017
DTD 02/21/2007
767754-BL-7 B- /CAA
JARDEN CORP
SR SUB NOTES 7 1/2% MAY 1 2017
DTD 2/13/2007
471109-AB-4 B /B2
CONSTELLATION BRANDS INC
7 1/4% MAY 15 2017
DTD 11/15/2007
21036P-AF-5 BB+ /BA2
INGLES MARKETS INC
8 7/8% MAY 15 2017
DTD 05/12/2009
457030-AG-9 BB- /B1
RRI ENERGY INC
7 7/8% JUN 15 2017
DTD 06/13/2007
74971X-AC-1 B /B3
87.25
25,000.00
21,812.50
25,187.50
(3,375.00)
1,968.75
579.67
11.16%
113.25
15,000.00
16,987.50
16,500.00
487.50
1,087.50
410.82
108.25
10,000.00
10,825.00
10,775.00
EFTA01573521
50.00
887.50
335.27
4.34%
110.00
10,000.00
11,000.00
10,487.50
512.50
750.00
312.50
5.23%
102.00
20,000.00
20,400.00
20,150.00
250.00
1,500.00
125.00
7.01%
110.00
10,000.00
11,000.00
10,825.00
175.00
800.00
235.55
5.55%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
89.25
20,000.00
17,850.00
17,385.00
465.00
1,200.00
400.00
8.86%
6.93%
Page 7 of 26
EFTA01573522
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Price
US Fixed Income
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 /B2
PINNACLE ENTERTAINMENT
8 5/8% AUG 01 2017
DTD 02/01/2010
723456-AK-5 BB- /B1
CHESAPEAKE ENERGY CORP
6 1/2% AUG 15 2017
DTD 8/16/2005
165167-BS-5 BB+ /BA3
CCO HLDGS LLC CAP CORP
7 1/4% OCT 30 2017
DTD 09/27/2010
1248EP-AQ-6 BB- /B1
WINDSTREAM CORP
7 7/8% NOV 01 2017
DTD 10/08/2009
97381W-AJ-3 B+ /BA3
CASCADES INC
7 3/4% DEC 15 2017
DTD 12/03/2009
146900-AG-0 B+ /BA3
100.00
5,000.00
5,000.00
5,237.50
(237.50)
387.50
114.09
7.75%
110.25
20,000.00
22,050.00
21,450.00
600.00
1,575.00
656.24
5.70%
107.25
9,000.00
EFTA01573523
9,652.50
9,495.00
157.50
652.50
273.68
5.71%
106.50
15,000.00
15,975.00
15,975.00
975.00
124.57
5.10%
109.00
10,000.00
10,900.00
10,850.00
50.00
862.50
143.75
6.59%
113.00
10,000.00
11,300.00
10,475.00
825.00
775.00
193.75
4.91%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
111.75
20,000.00
22,350.00
21,700.00
650.00
1,400.00
412.22
4.44%
Page 8 of 26
EFTA01573524
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Price
US Fixed Income
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
ALLBRITTON COMMUNICATION
8% MAY 15 2018
DTD 04/30/2010
016745-AL-5 B /B2
106.75
10,000.00
10,675.00
10,300.00
375.00
800.00
302.22
6.64%
111.17
10,000.00
11,117.00
11,080.41
36.59
687.50
297.91
4.73%
104.50
10,000.00
10,450.00
EFTA01573525
10,775.00
(325.00)
775.00
357.36
6.83%
102.00
20,000.00
20,400.00
20,140.00
260.00
1,050.00
46.66
4.86%
108.50
5,000.00
5,425.00
5,470.00
(45.00)
481.25
21.38
7.81%
110.00
10,000.00
11,000.00
10,772.50
227.50
812.50
67.70
6.09%
109.63
10,000.00
10,962.50
11,000.00
(37.50)
925.00
272.36
7.16%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 9 of 26
EFTA01573526
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Price
US Fixed Income
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
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 B /B2
CSC HOLDINGS LLC
8 5/8% FEB 15 2019
DTD 02/12/2009
126307-AC-1 BB /BA3
HCA INC
8 1/2% APR 15 2019
DTD 04/15/2010
404119-BF-5 BB /BA3
111.13
20,000.00
22,225.00
22,250.00
(25.00)
1,700.00
783.88
6.50%
115.00
10,000.00
11,500.00
11,425.00
75.00
862.50
110.20
5.93%
104.75
10,000.00
10,475.00
EFTA01573527
10,200.00
275.00
637.50
265.62
5.50%
110.25
10,000.00
11,025.00
11,040.00
(15.00)
775.00
357.36
5.84%
105.75
20,000.00
21,150.00
21,950.00
(800.00)
1,625.00
817.00
7.01%
105.25
15,000.00
15,787.50
16,012.50
(225.00)
1,181.25
98.43
6.85%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
114.25
9,000.00
10,282.50
9,945.00
337.50
1,023.75
216.11
8.41%
Page 10 of 26
EFTA01573528
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Price
US Fixed Income
FOREST OIL CORPORATION
7 1/4% JUN 15 2019
DTD 12/15/2007
346091-AZ-4 B /B1
LIMITED BRANDS INC
8 1/2% JUN 15 2019
DTD 12/15/2009
532716-AR-8 BB+ /BA1
DISH DBS CORP
7 7/8% SEP 01 2019
DTD 08/17/2009
25470X-AB-1 BB- /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 BBB /BA1
NEWFIELD EXPLORATION CO
6 7/8% FEB 01 2020
DTD 01/25/2010
651290-AN-8 BB+ /BA2
104.75
20,000.00
20,950.00
21,450.00
(500.00)
1,375.00
229.16
6.10%
122.31
20,000.00
24,462.20
22,800.00
1,662.20
1,500.00
316.66
4.12%
110.25
15,000.00
16,537.50
EFTA01573529
16,687.50
(150.00)
1,387.50
408.54
7.47%
114.77
10,000.00
11,476.90
11,509.70
(32.80)
737.50
370.79
4.99%
118.25
20,000.00
23,650.00
23,000.00
650.00
1,700.00
500.54
115.00
15,000.00
17,250.00
16,462.50
787.50
1,181.25
98.43
5.41%
97.75
20,000.00
19,550.00
20,400.00
(850.00)
1,450.00
426.94
7.66%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
5.39%
Page 11 of 26
EFTA01573530
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Price
US Fixed Income
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
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
CF INDUSTRIES INC
7 1/8% MAY 01 2020
DTD 04/23/2010
12527G-AB-9 BB+ /BA1
OMNICARE INC
7 3/4% JUN 01 2020
DTD 05/18/2010
681904-AM-0 BB /BA3
119.13
10,000.00
11,912.50
11,675.00
237.50
712.50
296.87
111.00
15,000.00
16,650.00
16,320.00
330.00
1,162.50
387.49
4.30%
102.00
10,000.00
10,200.00
10,437.50
EFTA01573531
(237.50)
737.50
370.79
7.04%
104.50
15,000.00
15,675.00
16,556.25
(881.25)
1,237.50
622.18
7.49%
110.00
10,000.00
11,000.00
10,862.50
137.50
800.00
402.22
6.38%
111.25
15,000.00
16,687.50
16,612.50
75.00
1,350.00
60.00
7.12%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
111.50
10,000.00
11,150.00
10,945.00
205.00
812.50
36.11
6.27%
6.02%
Page 12 of 26
EFTA01573532
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Price
US Fixed Income
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
ARCH COAL INC
7 1/4% OCT 01 2020
DTD 08/09/2010
039380-AC-4 B+ /B1
BE AEROSPACE INC
SR NOTES 6 7/8% OCT 01 2020
DTD 09/16/2010
055381-AR-8 BB /BA2
ENERGY TRANSFER EQUITY
7 1/2% OCT 15 2020
DTD 09/20/2010
29273V-AC-4 BB /BA2
INTL LEASE FINANCE CORP
8 1/4% DEC 15 2020
DTD 12/07/2010
459745-GF-6 BBB /B1
110.02
15,000.00
16,503.15
16,540.00
(36.85)
1,237.50
364.36
6.71%
111.00
20,000.00
22,200.00
21,450.00
750.00
1,500.00
691.66
5.84%
109.50
15,000.00
16,425.00
EFTA01573533
16,012.50
412.50
1,031.25
518.47
5.46%
92.75
15,000.00
13,912.50
15,450.00
(1,537.50)
109.50
15,000.00
16,425.00
16,050.00
375.00
1,012.50
45.00
1,087.50
546.76
5.34%
109.88
10,000.00
10,987.50
10,950.00
37.50
775.00
99.02
98.50
15,000.00
14,775.00
15,637.50
(862.50)
1,237.50
103.12
6.22%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
8.50%
8.46%
Page 13 of 26
EFTA01573534
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Price
US Fixed Income
AMERIGAS PART FIN CORP
6 1/2% MAY 20 2021
DTD 01/20/2011
TENDERED SHARES - EXPIRATION
4/10/2012
03099A-HH-9 NA /BA3
IRON MOUNTAIN INC
8 3/8% AUG 15 2021
DTD 08/10/2009
46284P-AM-6 B+ /B1
NAVISTAR INTL CORP
SR NOTES 8 1/4% NOV 01 2021
DTD 10/28/2009
63934E-AM-0 BB- /B1
CCO HLDGS LLC/CAP CORP
6 5/8% JAN 26 2012
DTD 01/31/2022
1248EP-AX-1 BB- /B1
QEP RESOURCES INC
5 3/8% OCT 01 2022
DTD 03/01/2012
74733V-AB-6 BB+ /BA1
FORD MOTOR COMPANY
GLOBAL LANDMARK SECURITIES NOTES
7.45% JUL 16 2031
DTD 7/16/99
345370-CA-6 BB+ /BA2
99.13
18,000.00
17,842.50
17,873.75
(31.25)
967.50
83.30
122.25
10,000.00
12,225.00
11,475.00
750.00
745.00
155.20
5.49%
103.75
6,000.00
6,225.00
5,970.00
255.00
EFTA01573535
397.50
72.87
6.11%
109.00
10,000.00
10,900.00
10,987.50
(87.50)
825.00
343.75
6.95%
108.75
15,000.00
16,312.50
15,900.00
412.50
1,256.25
160.51
7.08%
101.50
8,000.00
8,120.00
N/A **
N/A
520.00
189.21
6.28%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
5.55%
Page 14 of 26
EFTA01573536
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Price
US Fixed Income
GMAC
8% NOV 01 2031
DTD 12/31/2008
36186C-BY-8 /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
$972,391.95
$961,260.75
$3,011.20
100.00
20,000.00
20,000.00
20,275.00
(275.00)
1,349.00
164.86
105.85
15,000.00
15,877.50
16,428.75
(551.25)
1,226.25
463.24
$68,614.00
$20,638.24
6.74%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
110.25
20,000.00
22,050.00
21,912.50
137.50
EFTA01573537
1,600.00
666.66
7.03%
7.71%
6.23%
Page 15 of 26
EFTA01573538
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Portfolio Activity Summary
Beginning Cash Balance
Transactions
Income
INFLOWS
Total Inflows
OUTFLOWS **
Total Outflows
Fees & Commissions
$0.00
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
51,728.73
(60,114.16)
($8,385.43)
$46,113.83
* 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
84,761.23
(66,084.16)
$18,677.07
-Current
Period
Value
48,841.82
5,657.44
$5,657.44
Year-To-Date
Value*
-13,834.35
$13,834.35
(7,948.58)
($7,948.58)
Page
16 of 26
EFTA01573539
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Portfolio Activity Detail
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
Income
3/1
3/1
3/1
3/1
3/1
3/1
3/1
3/7
3/8
3/8
Corporate Interest
Corporate Interest
Corporate Interest
Corporate Interest
Corporate Interest
Interest Income
Accrued Int Recd
Accrued Int Paid
Accrued Int Paid
Accrued Int Paid
Description
DISH DBS CORP 7 7/8% SEP 01 2019 DTD 08/17/2009
(ID: 25470X-AB-1)
EQUINIX INC SR NOTES 8 1/8% MAR 01 2018 DTD
03/03/2010 (ID: 29444U-A3-5)
METROPCS WIRELESS INC SR NOTES 7 7/8% SEP 01
2018 DTD 09/21/2010 (ID: 591709-AK-6)
NRG ENERGY INC 8 1/4% SEP 01 2020 DTD
03/01/2011 (ID: 629377-B3-0)
RITE AID CORP 7 1/2% MAR 01 2017 DTD 02/21/2007
(ID: 767754-BL-7)
DEPOSIT SWEEP INTEREST FOR FEB. @ .01% RATE ON
NET AVG COLLECTED BALANCE OF $35,391.97 AS OF
03/01/12
CASCADES INC 7 3/4% DEC 15 2017 DTD 12/03/2009
(ID: 146900-AG-0)
AVIS BUDGET CAR RENTAL 9 5/8% MAR 15 2018 DTD
03/10/2010 @ 109.50 CSI US INSTITUTIONAL DESK
TRADE DATE 03/02/12 (ID: 053773-AL-1)
AVIS BUDGET CAR RENTAL 9 5/8% MAR 15 2018 DTD
03/10/2010 @ 109.25 MLPFS INC/FIXED INCOME
TRADE DATE 03/05/12 (ID: 053773-AL-1)
AVIS BUDGET CAR RENTAL 9 5/8% MAR 15 2018 DTD
03/10/2010 @ 109.50 FIRST UNION CAPITAL MARKETS
EFTA01573540
TRADE DATE 03/05/12 (ID: 053773-AL-1)
Page 17 of 26
1,000.000
0.00
0.046
(46.26)
2,000.000
0.00
0.046
(92.51)
5,000.000
2,000.000
0.00
0.016
0.046
81.81
(91.97)
Quantity
Cost
15,000.000
10,000.000
15,000.000
15,000.000
20,000.000
Per Unit
Amount
0.039
0.041
0.039
0.041
0.038
Amount
590.63
406.25
590.63
618.75
750.00
0.28
EFTA01573541
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Type
Settle Date Selection Method
Income
3/9
3/12
3/14
3/15
3/15
3/15
3/15
3/15
3/15
3/20
3/20
Corporate Interest
Accrued Int Paid
Accrued Int Paid
Corporate Interest
Corporate Interest
Corporate Interest
Corporate Interest
Accrued Int Recd
Accrued Int Recd
Accrued Int Paid
Accrued Int Paid
Description
CIT GROUP INC 7% MAY 01 2017 DTD 11/04/2009
(ID: 125581-FX-1)
BOISE PAPER HDG CO ISSR 8% APR 01 2020 DTD
03/19/2010 @ 111.00 FIRST UNION CAPITAL MARKETS
TRADE DATE 03/07/12 (ID: 09747G-AB-9)
BOISE PAPER HDG CO ISSR 8% APR 01 2020 DTD
03/19/2010 @ 111.00 FIRST UNION CAPITAL MARKETS
TRADE DATE 03/09/12 (ID: 09747G-AB-9)
AVIS BUDGET CAR RENTAL 9 5/8% MAR 15 2018 DTD
03/10/2010 (ID: 053773-AL-1)
BALL CORP SR NOTES 6 3/4% SEP 15 2020 DTD
03/22/2010 (ID: 058498-AP-1)
LEAR CORP 8 1/8% MAR 15 2020 DTD 03/26/2010
(ID: 521865-AS-4)
MGM RESORTS INTERNATIONAL 9% MAR 15 2020 DTD
03/15/2011 (ID: 55303Q-AD-2)
AMERICAN GENERAL FINANCE MEDIUM TERM NOTES
5.85% JUN 1 2013 DTD 6/12/2006 (ID: 02635P-TD-5)
AMERICAN GENERAL FINANCE MEDIUM TERM NOTES
5.85% JUN 1 2013 DTD 6/12/2006 (ID: 02635P-TD-5)
CIT GROUP INC 5 1/4% MAR 15 2018 DTD 03/15/2012
@ 100.75 UBS SECURITIES LLC TRADE DATE 03/15/12
(ID: 125581-GL-6)
EFTA01573542
CIT GROUP INC 5 1/4% MAR 15 2018 DTD 03/15/2012
@ 100.75 GOLDMAN SACHS & CO. TRADE DATE
03/15/12 (ID: 125581-GL-6)
4,000.000
0.00
0.001
(2.92)
5,000.000
15,000.000
10,000.000
15,000.000
5,000.000
15,000.000
3,000.000
0.00
0.048
0.034
0.041
0.045
0.017
0.017
0.001
240.63
506.25
406.25
675.00
84.50
253.50
(2.19)
2,000.000
0.00
0.036
(72.44)
Quantity
Cost
5,000.000
3,000.000
0.00
Per Unit
Amount
0.017
0.036
Amount
86.53
(107.33)
Page 18 of 26
EFTA01573543
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Type
Settle Date Selection Method
Income
3/20
3/20
3/21
Accrued Int Paid
Accrued Int Paid
Accrued Int Paid
Description
CIT GROUP INC 5 1/4% MAR 15 2018 DTD 03/15/2012
@ 100.75 MLPFS INC/FIXED INCOME TRADE DATE
03/15/12 (ID: 125581-GL-6)
CIT GROUP INC 5 1/4% MAR 15 2018 DTD 03/15/2012
@ 100.75 DEUTSCHE BANK ALEX BROWN TRADE DATE
03/15/12 (ID: 125581-GL-6)
MERRILL LYNCH & CO MEDIUM TERM NOTES 6 7/8% APR
25 2018 DTD 04/25/2008 @ 110.463 CREDIT SUISSE
FIRST BOSTON LLC TRADE DATE 03/16/12
(ID: 59018Y-N6-4)
3/21
3/21
3/21
3/23
Accrued Int Paid
Accrued Int Paid
Accrued Int Paid
Corporate Interest
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.00 GOLDMAN SACHS & CO. TRADE
DATE 03/16/12 (ID: 74733V-AB-6)
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.25 PERSHING & COMPANY TRADE
DATE 03/16/12 (ID: 74733V-AB-6)
CIT GROUP INC 5 1/4% MAR 15 2018 DTD 03/15/2012
@ 100.50 DEUTSCHE BANK ALEX BROWN TRADE DATE
03/16/12 (ID: 125581-GL-6)
CHS/COMMUNITY HEALTH SYS 8 7/8% JUL 15 2015 DTD
07/25/2007 TENDERED BONDS-EXPIRES 4/4/2012
HOLDERS RECEIVE $1,017.50 IN TENDER PROCEEDS
PLUS A $30.00 CONSENT PAYMENT PLUS $16.270833
IN ACCRUED INTEREST PER 1,000 P.A. OF BONDS
TENDERED FROM CUSIP: 12543DAF7. A PRORATION
RATE OF 0.508827202 WAS APPLIED.
(ID: 12599B-KU-0)
5,000.000
0.016
81.35
4,000.000
EFTA01573544
0.00
0.001
(3.50)
2,000.000
0.00
0.003
(5.97)
2,000.000
0.00
0.003
(5.97)
3,000.000
0.00
0.028
(83.65)
4,000.000
0.00
0.001
(2.92)
Quantity
Cost
5,000.000
0.00
Per Unit
Amount
0.001
Amount
(3.65)
Page 19 of 26
EFTA01573545
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Type
Settle Date Selection Method
Income
3/23
Cash Receipt
Description
CHS/COMMUNITY HEALTH SYS 8 7/8% JUL 15 2015 DTD
07/25/2007 TENDERED BONDS-EXPIRES 4/4/2012
HOLDERS RECEIVE $1,017.50 IN TENDER PROCEEDS
PLUS A $30.00 CONSENT PAYMENT PLUS $16.270833
IN ACCRUED INTEREST PER 1,000 P.A. OF BONDS
TENDERED FROM CUSIP: 12543DAF7. A PRORATION
RATE OF 0.508827202 WAS APPLIED.
(ID: 12599B-KU-0)
3/23
3/23
3/26
3/26
3/26
Accrued Int Paid
Accrued Int Paid
Accrued Int Paid
Accrued Int Paid
Accrued Int Paid
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.25 CREDIT SUISSE FIRST BOSTON
LLC TRADE DATE 03/19/12 (ID: 74733V-AB-6)
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.00 MLPFS INC/FIXED INCOME TRADE
DATE 03/20/12 (ID: 74733V-AB-6)
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.50 SUNTRUST CAPITAL MARKETS INC
TRADE DATE 03/21/12 (ID: 74733V-AB-6)
MERRILL LYNCH & CO MEDIUM TERM NOTES 6 7/8% APR
25 2018 DTD 04/25/2008 @ 110.92 GOLDMAN SACHS &
CO. TRADE DATE 03/21/12 (ID: 59018Y-N6-4)
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.50 RBC CAPITAL MARKETS
CORPORATION TRADE DATE 03/21/12
(ID: 74733V-AB-6)
3/28
Cash Receipt
ENERGY TRANSFER EQUITY 7 1/2% OCT 15 2020 DTD
09/20/2010 HOLDERS RECEIVE A CONSENT PAYMENT AT
$7.50 PER 1,000 P.A. AS OF RECORD DATE
2/7/2012. (ID: 29273V-AC-4)
150.00
3,000.000
0.00
EFTA01573546
2,000.000
0.00
0.029
0.004
(86.51)
(7.47)
2,000.000
0.00
2,000.000
0.00
2,000.000
0.00
0.003
0.003
0.004
(6.27)
(6.57)
(7.47)
Quantity
Cost
5,000.000
Per Unit
Amount
0.03
Amount
150.00
Page 20 of 26
EFTA01573547
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Type
Settle Date Selection Method
Income
3/28
Accrued Int Paid
Description
MERRILL LYNCH & CO MEDIUM TERM NOTES 6 7/8% APR
25 2018 DTD 04/25/2008 @ 110.973 MLPFS
INC/FIXED INCOME TRADE DATE 03/23/12
(ID: 59018Y-N6-4)
3/29
3/29
Corporate Interest
Corporate Interest
GOODYEAR TIRE & RUBBER C 10 1/2% MAY 15 2016
DTD 05/11/2009 (ID: 382550-AZ-4)
AMERIGAS PART FIN CORP 6 1/2% MAY 20 2021 DTD
01/20/2011 TENDERED SHARES - EXPIRATION
4/10/2012 HOLDERS RECEIVE $1,020.00 + $30.00
CONSIDERATION + ACCRUED INTEREST OF $23.111111
PER $1,000.00 P.A. OF BONDS TENDERED AT A
PRORATION RATE OF 0.5231525304. ORIGINAL CUSIP:
030981AF1. (ID: 03099A-HH-9)
3/29
Cash Receipt
AMERIGAS PART FIN CORP 6 1/2% MAY 20 2021 DTD
01/20/2011 TENDERED SHARES - EXPIRATION
4/10/2012 HOLDERS RECEIVE $1,020.00 + $30.00
CONSIDERATION + ACCRUED INTEREST OF $23.111111
PER $1,000.00 P.A. OF BONDS TENDERED AT A
PRORATION RATE OF 0.5231525304. ORIGINAL CUSIP:
030981AF1. (ID: 03099A-HH-9)
3/29
Accrued Int Paid
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.4375 RBC CAPITAL MARKETS
CORPORATION TRADE DATE 03/22/12
(ID: 74733V-AB-6)
3/30
3/30
Accrued Int Paid
Accrued Int Paid
Total Income
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.50 FIRST UNION CAPITAL MARKETS
TRADE DATE 03/27/12 (ID: 74733V-AB-6)
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.25 SUNTRUST CAPITAL MARKETS INC
TRADE DATE 03/27/12 (ID: 74733V-AB-6)
EFTA01573548
$5,657.44
Page 21 of 26
2,000.000
0.00
0.004
(8.66)
2,000.000
0.00
0.004
(8.66)
2,000.000
0.00
0.004
(7.76)
7,000.000
0.03
210.00
10,000.000
7,000.000
0.039
0.023
390.83
161.78
Quantity
Cost
4,000.000
0.00
Per Unit
Amount
0.029
Amount
(116.88)
EFTA01573549
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Type
Settle Date Selection Method
Miscellaneous Credits
3/16
3/16
3/26
3/26
3/26
3/26
Name Change
Name Change
Name Change
Name Change
Name Change
Name Change
Total Miscellaneous Credits
Description
COMMUNITY HEALTH SYSTEMS 8 7/8% JUL 15 2015 DTD
07/25/2007 TO REDESCRIPTION (ID: 12543D-AF-7)
CHS/COMMUNITY HEALTH SYS 8 7/8% JUL 15 2015 DTD
07/25/2007 TENDERED BONDS-EXPIRES 4/4/2012 FROM
REDESCRIPTION (ID: 12599B-KU-0)
AMERIGAS PART FIN CORP SR NOTES 6 1/2% MAY 20
2021 DTD 01/20/2011 TO REDESCRIPTION
(ID: 030981-AF-1)
AMERIGAS PART FIN CORP 6 1/2% MAY 20 2021 DTD
01/20/2011 TENDERED SHARES - EXPIRATION
4/10/2012 FROM REDESCRIPTION (ID: 03099A-HH-9)
CHS/COMMUNITY HEALTH SYS 8 7/8% JUL 15 2015 DTD
07/25/2007 TENDERED BONDS-EXPIRES 4/4/2012 TO
REDESCRIPTION (ID: 12599B-KU-0)
COMMUNITY HEALTH SYSTEMS 8 7/8% JUL 15 2015 DTD
07/25/2007 FROM REDESCRIPTION (ID: 12543D-AF-7)
15,000.000
0.00
(4,000.000)
(4,357.89)
4,000.000
4,357.89
$0.00
(15,000.000)
(15,337.50)
Quantity
Cost
(9,000.000)
(9,805.26)
9,000.000
9,805.26
Amount
EFTA01573550
Page 22 of 26
EFTA01573551
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
TRADE ACTIVITY
Note:
S
*
indicates Short Term Realized Gain/Loss
Settled transaction was initiated in prior statement period and settled in
current statement period
** Realized Gain/Loss and tax cost are shown as "N/A" in cases where we do
not have appropriate cost information for all tax lots comprising the sale.
Please contact your J.P. Morgan team for
additional information.
Trade Date
Settle Date
2/27
3/1
3/9
3/9
3/12
3/15
3/12
3/15
3/23
3/23
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
Redemption
Pro Rata
Sale
High Cost
Sale
High Cost
Sale
Pro Rata
CASCADES INC 7 3/4% DEC 15 2017 DTD 12/03/2009
@ 103.50 FIRST UNION CAPITAL MARKETS
(ID: 146900-AG-0)
CIT GROUP INC 7% MAY 01 2017 DTD 11/04/2009
ENTIRE ISSUE CALLED @ 100.00 (ID: 125581-FX-1)
AMERICAN GENERAL FINANCE MEDIUM TERM NOTES
5.85% JUN 1 2013 DTD 6/12/2006 @ 92.25
CITIGROUP GLOBAL MARKETS INC/SALOM
(ID: 02635P-TD-5)
AMERICAN GENERAL FINANCE MEDIUM TERM NOTES
5.85% JUN 1 2013 DTD 6/12/2006 @ 92.00 MORGAN
STANLEY & CO. INCORPORATED (ID: 02635P-TD-5)
CHS/COMMUNITY HEALTH SYS 8 7/8% JUL 15 2015 DTD
EFTA01573552
07/25/2007 TENDERED BONDS-EXPIRES 4/4/2012
HOLDERS RECEIVE $1,017.50 IN TENDER PROCEEDS
PLUS A $30.00 CONSENT PAYMENT PLUS $16.270833
IN ACCRUED INTEREST PER 1,000 P.A. OF BONDS
TENDERED FROM CUSIP: 12543DAF7. A PRORATION
RATE OF 0.508827202 WAS APPLIED.
(ID: 12599B-KU-0)
3/29
3/29
Redemption
Pro Rata
GOODYEAR TIRE & RUBBER C 10 1/2% MAY 15 2016
DTD 05/11/2009 ENTIRE ISSUE CALLED @ 109.137262
(ID: 382550-AZ-4)
(10,000.000)
109.10
10,913.73
(11,275.00)
(361.27) S
(5,000.000)
101.80
5,087.50
(5,447.37)
(359.87) S
(15,000.000)
92.00
13,800.00
(15,000.00)
(1,200.00) S
(5,000.000)
(5,000.000)
100.00
92.30
5,000.00
4,612.50
(5,006.25)
(5,000.00)
(6.25) S
(387.50) S
Quantity
(5,000.000)
Per Unit
Amount
103.50
Proceeds
5,175.00
Tax Cost
(5,237.50)
Realized
Gain/Loss
(62.50) S*
EFTA01573553
Page 23 of 26
EFTA01573554
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Trade Date
Settle Date
3/29
3/29
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
Pro Rata
AMERIGAS PART FIN CORP 6 1/2% MAY 20 2021 DTD
01/20/2011 TENDERED SHARES - EXPIRATION
4/10/2012 HOLDERS RECEIVE $1,020.00 + $30.00
CONSIDERATION + ACCRUED INTEREST OF $23.111111
PER $1,000.00 P.A. OF BONDS TENDERED AT A
PRORATION RATE OF 0.5231525304. ORIGINAL CUSIP:
030981AF1. (ID: 03099A-HH-9)
Total Settled Sales/Maturities/Redemptions
$51,728.73
($46,966.12)
($2,377.39) S
Quantity
(7,000.000)
Per Unit
Amount
102.00
Proceeds
7,140.00
Tax Cost
N/A **
Realized
Gain/Loss
N/A
Trade Date
Settle Date
Type
Description
Settled Securities Purchased
3/2
Purchase
3/7
3/5
3/8
3/5
3/8
3/7
3/12
3/9
3/14
Purchase
EFTA01573555
Purchase
Purchase
Purchase
AVIS BUDGET CAR RENTAL 9 5/8% MAR 15 2018 DTD
03/10/2010 @ 109.50 CSI US INSTITUTIONAL DESK
(ID: 053773-AL-1)
AVIS BUDGET CAR RENTAL 9 5/8% MAR 15 2018 DTD
03/10/2010 @ 109.25 MLPFS INC/FIXED INCOME
(ID: 053773-AL-1)
AVIS BUDGET CAR RENTAL 9 5/8% MAR 15 2018 DTD
03/10/2010 @ 109.50 FIRST UNION CAPITAL MARKETS
(ID: 053773-AL-1)
BOISE PAPER HDG CO ISSR 8% APR 01 2020 DTD
03/19/2010 @ 111.00 FIRST UNION CAPITAL MARKETS
(ID: 09747G-AB-9)
BOISE PAPER HDG CO ISSR 8% APR 01 2020 DTD
03/19/2010 @ 111.00 FIRST UNION CAPITAL MARKETS
(ID: 09747G-AB-9)
Page 24 of 26
2,000.000
111.00
(2,220.00)
3,000.000
111.00
(3,330.00)
1,000.000
109.50
(1,095.00)
2,000.000
109.30
(2,185.00)
Quantity
2,000.000
Per Unit
Amount
109.50
Market Cost
(2,190.00)
EFTA01573556
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Trade Date
Settle Date
Type
Settled Securities Purchased
3/15
Purchase
3/20
3/15
3/20
3/15
3/20
3/15
3/20
3/16
3/21
3/16
3/21
3/16
3/21
3/16
3/21
3/19
3/23
3/20
3/23
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Description
CIT GROUP INC 5 1/4% MAR 15 2018 DTD 03/15/2012
@ 100.75 UBS SECURITIES LLC (ID: 125581-GL-6)
CIT GROUP INC 5 1/4% MAR 15 2018 DTD 03/15/2012
@ 100.75 GOLDMAN SACHS & CO. (ID: 125581-GL-6)
CIT GROUP INC 5 1/4% MAR 15 2018 DTD 03/15/2012
@ 100.75 MLPFS INC/FIXED INCOME
(ID: 125581-GL-6)
CIT GROUP INC 5 1/4% MAR 15 2018 DTD 03/15/2012
@ 100.75 DEUTSCHE BANK ALEX BROWN
(ID: 125581-GL-6)
MERRILL LYNCH & CO MEDIUM TERM NOTES 6 7/8% APR
25 2018 DTD 04/25/2008 @ 110.463 CREDIT SUISSE
FIRST BOSTON LLC (ID: 59018Y-N6-4)
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
EFTA01573557
03/01/2012 @ 99.00 GOLDMAN SACHS & CO.
(ID: 74733V-AB-6)
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.25 PERSHING & COMPANY
(ID: 74733V-AB-6)
CIT GROUP INC 5 1/4% MAR 15 2018 DTD 03/15/2012
@ 100.50 DEUTSCHE BANK ALEX BROWN
(ID: 125581-GL-6)
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.25 CREDIT SUISSE FIRST BOSTON
LLC (ID: 74733V-AB-6)
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.00 MLPFS INC/FIXED INCOME
(ID: 74733V-AB-6)
Page 25 of 26
2,000.000
99.00
(1,980.00)
2,000.000
99.30
(1,985.00)
4,000.000
100.50
(4,020.00)
2,000.000
99.30
(1,985.00)
2,000.000
99.00
(1,980.00)
3,000.000
110.50
(3,313.89)
4,000.000
100.80
(4,030.00)
Quantity
3,000.000
4,000.000
5,000.000
Per Unit
Amount
100.80
100.80
100.80
Market Cost
(3,022.50)
(4,030.00)
(5,037.50)
EFTA01573558
GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/12 to 3/31/12
Trade Date
Settle Date
Type
Settled Securities Purchased
3/21
Purchase
3/26
3/21
3/26
3/21
3/26
3/23
3/28
3/22
3/29
3/27
3/30
3/27
3/30
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Total Settled Securities Purchased
Description
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.50 SUNTRUST CAPITAL MARKETS INC
(ID: 74733V-AB-6)
MERRILL LYNCH & CO MEDIUM TERM NOTES 6 7/8% APR
25 2018 DTD 04/25/2008 @ 110.92 GOLDMAN SACHS &
CO. (ID: 59018Y-N6-4)
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.50 RBC CAPITAL MARKETS
CORPORATION (ID: 74733V-AB-6)
MERRILL LYNCH & CO MEDIUM TERM NOTES 6 7/8% APR
25 2018 DTD 04/25/2008 @ 110.973 MLPFS
INC/FIXED INCOME (ID: 59018Y-N6-4)
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.4375 RBC CAPITAL MARKETS
CORPORATION (ID: 74733V-AB-6)
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.50 FIRST UNION CAPITAL MARKETS
(ID: 74733V-AB-6)
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.25 SUNTRUST CAPITAL MARKETS INC
(ID: 74733V-AB-6)
($60,114.16)
EFTA01573559
2,000.000
99.30
(1,985.00)
2,000.000
99.50
(1,990.00)
2,000.000
99.40
(1,988.75)
4,000.000
111.00
(4,438.92)
2,000.000
99.50
(1,990.00)
3,000.000
110.90
(3,327.60)
Quantity
2,000.000
Per Unit
Amount
99.50
Market Cost
(1,990.00)
Page 26 of 26
EFTA01573560
For the Period 3/1/12 to 3/31/12
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.
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
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.
Important information regarding Auction Rate Securities (ARS). ARS are debt
or preferred securities with an interest or dividend rate reset periodically
in an auction. Although there may be daily, weekly
and monthly resets, there is no guarantee that there will be liquidity. If
there are not enough bids at an auction to redeem the securities available
for sale, the result may be a failed auction. In the event
of a failed auction, there is no assurance that a secondary market will
develop or that the security will trade at par or any other price reflected
on statements and online. Accordingly, investors should not
rely on pricing information appearing in their statements or online with
respect to ARS. Where J.P. Morgan was unable to obtain a price from an
outside service for a particular ARS, the price column on
your statement and online will indicate "$0.00" which should not be relied
on as the price at which ARS would trade.
J.P. Morgan makes no representation, warranty or guarantee, express or
implied, that any quoted value represents the actual terms at which
transactions or securities could be bought or sold or new
transactions could be entered into, or the actual terms on which existing
transactions or securities could be liquidated. Such values may only be
indicative.
Valuations of over-the-counter derivative transactions, including certain
EFTA01573561
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.
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
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").
Disclosures Page 1 of 2
EFTA01573562
For the Period 3/1/12 to 3/31/12
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
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
EFTA01573563