DataSet-10
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1 pages
GHISLAINE MAXWELL
For the Period 311/12 to 3/31/12
TRADE ACTIVITY - Pound Sterling
Note: L indicates Long Term Realized Gain/Loss S indicates Short Term Realized Gainless
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 composing the sale. Please contact your J P Morgan team for
additional information.
Per Unit
Trade Date Type Amount USD Proceeds USD Tax Cost USD Realized
Settle Date Selection Method Description Quantity Local Value Local Value Local Value Gain/Loss USD
Settled SalesiMaturities/Redemptions
3/20 Sale AVIVA PLC ISIN GB0002162385 SEDOL 0216238 (6.000.000) 5.942 35,650.50 WA n WA
3/23 High Cost (ID: G2307K-92-2) 3.75 22,432.28
3/20 Sale CENTRICA ISIN GB008033F229 SEDOL 8033F22 (1,556.000) 4.941 7,688.52 (7,922.75) (234.23) S
3/23 High Cost (ID: 15639K-90-4) 3.119 4,837.83 (4,877.95)
3/20 Sale CINEWORLD GROUP PLC ISIN GBOOBISFWH7OSEDOL (4,500.000) 3.379 15,203.59 (16.168.92) (965.33)1
3(23 High Cost 815PA1117 172145-91.4) 2.132 9566.52 (9,993.46)
3(20 Sale MARKS 8 SPENCER PLC - GBP MIN GB0031274896 (4,350.000) 6.014 26,160.49 (26.287.24) (126.75) L
3/23 High Cost SEDOL 3127489 (ID: G5824/41-92-5) 3.796 16,460.90 (16,247.25)
3(20 Sale RSA INSURANCE GROUP PLC ISIN GB0006616899 SEDOL (23,800.000) 1.819 43,296.94 (48,596.10) (5,299.16) 1
3(23 High Cost 0661689 (ID: G8566X-91-9) 1.148 27,243.63 (30,035.60)
3/20 Sale RIO TINTO PLC ISIN G00007188757 SEDOL 0718875 (191.000) 54.847 10,475.76 (12,954.00) (2,478.24 S
3(23 High Cost (ID: 766994-90-9) 34.615 6,591.64 (7,975.35)
3(20 Sale STANDARD CHARTERED PLC ORD UE 0.50 ISIN (555.000) 25.803 14,320.84 (14,171.09) 149.75 S
3/23 High Cost GB0004062847 SEDOL 0408284 (ID: G84228-924) 16.285 9,011.07 (8,724.78)
3/20 Sale MARSTON'S PLC ISIN GBOOBIJODME0 SEDOL B1JODM8 (30,000.000) 1.557 46,709.96 (48,127.99) (1,418.01)
3/23 High Cost (ID: G58512-91-7) 0.983 29,391.21 (29,746.28)
Total Settled Sales/Maturities/Redemptions (USD) 6199,606.82 ($174,229.09) ($7,809.28) L
($2,682.72) S
JP Morgan Page 48 of 53
Confidential Treatment Requested by JPMorgan JPM-SDNY-00048503
Chase
CONFIDENTIAL SDNY_GM_00317701
EFTA01521143
DataSet-10
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CHISLAINE MAXWELL -OAP IHD ACCT.
For the Period 10/1/13 to 10/31/13
Adjusted Tax Cost Unrealized Est. Annual Inc.
Prize Quantity Value Original Cost Gain/Loss Accrued Div. Yield
EAFE Equity
MIN GROUP LTD 19.86 2,625.000 52,132.50 49,970.21 2,162.29 1,929.37 3.70%
SPONS ADR
62474M-10-8 MTNO Y
MUENCHENER RUECKVERSICHERUNGS - 20.95 2,610.000 54,679.50 48,665.02 8,014.48 1,618.20 2.96%
GESELLSCHAFT
ADR
626188-10-6 MURG Y
NESTLE S A 72.41 1,055.000 76,392.55 73,413.83 2.978.72 1,915.86 2.51 %
SPONS ADR REPSTG REG SH
641069-4043 NSRG Y
NIPPON TEL & TEL COFtP 26.10 2210.000 57,881 .00 58,374.87 (693.87) 1,818.83 3.15%
ADR 839.88
654624-10-5 NTT
NOVARTM A 0 77.55 975.000 75,611.25 68,101.01 7,510.24 2,005.57 2_65%
ADR
66987V-10-9 NVS
PROCEEDS FROM PENDING SALES 1.00 2,126.340 2.126.34 2126.34
RECKITT BENCKISER GROUP PLC 15.56 3,540.000 55,082.40 48.749.99 8,332.41 1,454.94 2.64%
SPONSORED ADR
756255-20-4 RBGL Y
ROCHE HOLDINGS LTD 69.34 700.000 48,538.00 39,379.81 9,158.19 1,136.80 2.34%
SPONS ADR
771195-10-4 RHHB Y
ROYAL DUTCH SHELL PLC 69.52 400.000 27,808.00 27,957.37 (149.37) 1,440.00 5.18%
ADR
780259-10-7 RDS B
SANOFI 53.48 1,195.000 83,908.60 60,068.51 3,840.09 1,499.72 2.35%
80105N-10-5 SNY
J.P. Morgan Account Page 7 of 13 Consolidated Statement Page 45
Confidential Treatment Requested by JPMorgan JPM-SDNY-00046304
Chase
CONFIDENTIAL SDNY_GM_00315502
EFTA01519036
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GHISLAINE MAXWELL ACCT.
For the Period 1111/12 to 11/30/12
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 Gain/Loss USD
11114 Foreign Dividend 'SHARES BARCLAYS CAPITAL ISIN lE0091F2SD53 5,790 000 0.315 1,826 38
SEDOL B1G52V0 %0.1985 PER SHARE 0.199 1,149 32
(ID: 46578W-92-2)
JP Morgan Page 32 of 32
Confidential Treatment Requested by JPMorgan JPM-SDNY-00048857
Chase
CONFIDENTIAL SDNY_GM_00318055
EFTA01521472
DataSet-10
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GHISLAINE MAXWELL- OAP FDG ACCT.
For the Period 4/1/12 to 4/30/12
TRADE ACTIVITY
Note: S indicates Short Term Realized Gainkoss
Trade Date Type Per Unit Realized
Sett* Date Selection Method Description Quantity Amount Proceeds Tax Cost Gain/Loss
Settled Sales/Maturities/Redemptions
4/24 Sale INTEL CORP Q 27.5247 798.22 BROKERAGE 0.87 TM (29.000) 27.494 797.33 (613.97) 183.36 S
4/27 High Cost 8/OR SEC .02 NOMURA SECURITIES INTERNATIONAL
(ID: 458140-10-0)
4/24 Sale PEOPLE'S UNITED FINANCIAL INC @ 12.4157 422.13 (34.000) 12.385 421.10 (412.37) 8.73 S
NV High Cost BROKERAGE 1.02 TAX 8/OR SEC .01 DEUTSCHE BANC
ALEX BROWN INC (ID: 712704-10-5)
4/24 Sale PEOPLES UNITED FINANCIAL INC 12.365 24.73 (2.000) 12.33 24.66 (24.25) 0.40 S
4/27 High Cost BROKERAGE 0.06 TAX 8/OR SEC .01 PULSE TRADING
LLC (ID: 712704-10-5)
4124 Sale PEOPLES UNITED FINANCIAL INC (0 12.4055 111.65 (9.000) 12.374 111.37 (109.16) 2.21 S
4/30 High Cost BROKERAGE 0.27 TAX 8/OR SEC .01 STERNE, AGEE,
AND LEACH INC (ID: 712704-10-5)
4/25 Sale PEOPLE'S UNITED FINANCIAL INC 12.5053 1251 (1.000) 12.47 12.47 (12.13) 0.34 S
430 High Cost BROKERAGE 0.03 TAX 8/OR SEC .01 DEUTSCHE BANC
ALEX BROWN INC (ID: 712704-10-5)
4/25 Sale PEOPLES UNITED FINANCIAL INC @ 12.415 86.91 (7.000) 12.394 86.76 (34.90) 1.86 S
4/30 High Cost BROKERAGE 0.14 TAX 8/OR SEC .01 LIOUIDNET INC
(ID: 712704-10-5)
4/25 Sale PEOPLE'S UNITED FINANCIAL INC @ 12.4751 174.65 (14.000) 12.444 174.22 (169.80) 4.42 S
4/30 High Cost BROKERAGE 0.42 TAX 8/OR SEC .01 STERNE, AGEE,
AND LEACH INC (ID: 712704-10-6)
Total Settled Sales/Maturities/Redemptions $1.52731 ($1.426.59) $201.32 S
J.P.Morgan Page 11 of 14
Confidential Treatment Requested by JPMorgan JPM-SDNY-00049684
Chase
CONFIDENTIAL SDNY_GM_00318882
EFTA01522190
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GHISLAINE MAXWELL- OAP FDG ACCT.
For the Period 9/1/13 to 9130/13
Trade Dale Per Unit
Est. Settle Date Type Description Quantity Amount Market Cost
Pending Securities Purchased
9/30 Purchase TARGET CORP (ID: 87812E-1l}8) 104.000 53.755 (6,633.64)
10/3
9/30 Purchase TARGET CORP (ID: 87812E-108) 51.000 63.868 (3.258.30)
10/3
Total Pending Securities Purchased ($48,180.90)
JP Morgan Page 17 of 17
Confidential Treatment Requested by JPMorgan JPM-SDNY-00050002
Chase
CONFIDENTIAL SDNY_GM_00319200
EFTA01522460
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GHISLAINE MAXWELL- OAP FDG ACCT.
For the Period 6/1/13 to 6/30/13
Portfolio Activity Summary
Current Year-To-Date
Transactions Period Value Value'
Beginning Cash Balance 46,196.03
INFLOWS
Income 8,834.02 18 478.18
Contributions 1500.000 00
Total Inflows $8,534.02 $1,618,478.18
OUTFLOWS
Fees & Commissions (2.756 93)
Total Outflows $0.00 (02,750.93)
TRADE ACTIVITY
Settled SalesiMaturkiss/Rerdemptions 66,209.44 82,328.61
Settled Securities Purchased (65,608.57) (1,547,320.88)
Total Trade Activity 6600.87 (61.464,992.27)
Ending Cash Balance $54,630.92
• Year to date information is calculated on a calendar year basis.
— Your accounts standing instructions use a HIGH COST method for relieving assets
from your position
JP Morgan Page 9 of 14
Confidential Treatment Requested by JPMorgan JPM-SDNY-00049944
Chase
CONFIDENTIAL SDNY_GM_00319142
EFTA01522409
DataSet-10
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GHISLAINE MAXWELL
For the Period 6/1/10 to 6/30/10
Equity Summary
Beginning Ending Change Current Asset Categories
Asset Categories Market Value Market Value In Value Allocation
US Large Cap 227,219.00 216,767.00 (10,452.00) 16%
US Mid Cap/Small Cap 38.48 12.40 (25-08) 1%
Non US Equity 170,067.90 48,774.98 (121,292.92) 4%
Emerging Markets 13,280.00 12,930.00 (350.00) 1%
Preferred Stocks 58.150 00 59.275.00 1,125 00 5% US Mid Cap Smut Cap
&morn Markets
Total Value S468,755.38 5337,759.38 (5130,996.00) 27% ustarroCap
Current
Market Value/Cost Period Value
Market Value 337,759.38
Pre/el...IStocks
Tax Cost 358,84425
Unrealized Gain/Loss (21,084.87)
Estimated Annual Income 6,947.50
Accrued Dividends 1,046.88
Yield 2.06%
JP Morgan Page 4 of 28
Confidential Treatment Requested by JPMorgan JPM-SDNY-00047643
Chase
CONFIDENTIAL SDNY_GM_00316841
EFTA01520329
DataSet-10
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1 pages
GHISLAINE MAXWELL
For the Period 1/1/12 to 1/31/12
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
127 Free Delivery JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS (632,525 160)
High Cost 0.9500% DATED 01/20/2012 MATURITY 01/27/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527G9-97-2)
1i27 Receipt of Assets JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,224,867.030
1.0000% DATED 01/27/2012 MATURITY 02/03/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527K9-9B4)
Total Inflows & Outflows ($102,960.40) ($0.66)
TRADE ACTIVITY - Norwegian Krone
Per Unit
Trade Date Type Amount USD Proceeds USD Tax Cost USD Reakzed
Settle Date Selection Method Description Quantity Local Value Local Value Local Value Gain/Loss USD
Settled Sales/Maturities/Redemptions
1/17 Sale JP MORGAN CHASE BANK- NOK LONDON TIME DEPOSITS (592,152.660) 17.40 102860.95 (102,960.95)
1/17 High Cost 0.5500% DATED 01/09/2012 MATURITY 01/17/2012 100.00 592,152.66 (592,152.66)
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 252789-9P-5)
JP Morgan Page 44 of 50
Confidential Treatment Requested by JPMorgan JPM-SDNY-00048399
Chase
CONFIDENTIAL SDNY_GM_00317597
EFTA01521046
DataSet-10
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20 pages
GHISLAINE MAXWELL
EFTA01575233
EFTA01575234
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL IRA
270 Park Avenue, New York, NY 10017-2014
ACCT.
For the Period 4/1/12 to 4/30/12
Asset 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
Holdings
Cash & Fixed Income
Portfolio Activity
4
6
Page
2
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 statement 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.
Page 1 of 7
EFTA01575235
GHISLAINE MAXWELL IRA ACCT.
For the Period 4/1/12 to 4/30/12
Account Summary
Asset Allocation
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
56,065.00
$56,065.00
65.58
$56,130.58
Ending
Market Value
56,231.58
$56,231.58
60.61
$56,292.19
Current
Portfolio Activity
Beginning Market Value
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
Period Value
56,065.00
65.58
101.00
$56,231.58
60.61
$56,292.19
Year-to-Date
Value
55,763.29
266.88
201.41
$56,231.58
60.61
$56,292.19
Change
In Value
166.58
$166.58
(4.97)
$161.61
Estimated
878.75
EFTA01575236
5878.75
Current
Annual Income Allocation
100%
100%
Page 2 of 7
EFTA01575237
GHISLAINE MAXWELL IRA ACCT.
For the Period 4/1/12 to 4/30/12
Account Summary
Tax Summary
Domestic Dividends/Distributions
Interest Income
Taxable Income
CONTINUED
Current
Period Value
65.57
0.01
$65.58
Year-to-Date
Value
266.83
0.05
$266.88
Unrealized Gain/Loss
To-Date Value
($99.05)
Cost Summary
Cash & Fixed Income
56,330.63
Cost
Total
$56,330.63
Page 3 of 7
EFTA01575238
GHISLAINE MAXWELL IRA ACCT.
For the Period 4/1/12 to 4/30/12
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
733.31
55,331.69
$56,065.00
Ending
Market Value
733.32
55,498.26
$56,231.58
Current
Period Value
56,231.58
56,330.63
(99.05)
878.75
60.61
1.56%
Cash & Fixed Income as a percentage of your portfolio 100%
SUMMARY BY TYPE
Market
Value
56,231.58
% 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
EFTA01575239
Total Value
Market
Value
733.32
55,498.26
$56,231.58
% of Bond
Portfolio
1%
99%
100%
US Fixed Income
Change
In Value
0.01
166.57
$166.58
Current
Allocation
1%
99%
100%
Cash
Asset Categories
Page 4 of 7
EFTA01575240
GHISLAINE MAXWELL IRA ACCT.
For the Period 4/1/12 to 4/30/12
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
733.32
733.32
733.32
0.07
0.01
US Fixed Income
3PM SHORT DURATION BOND FD - SEL
4812C1-33-0
10.99
5,049.89
55,498.26
55,597.31
(99.05)
878.68
60.60
1.58%
0.01%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 5 of 7
EFTA01575241
GHISLAINE MAXWELL IRA ACCT.
For the Period 4/1/12 to 4/30/12
Portfolio Activity Summary
Beginning Cash Balance
Transactions
Income
INFLOWS
Total Inflows
TRADE ACTIVITY
Total Trade Activity
Settled Securities Purchased
Ending Cash Balance
Current
Period Value
733.31
65.58
$65.58
(65.57)
($65.57)
$733.32
* 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
4/2
4/2
Interest Income
Div Domest
Total Inflows & Outflows
Description
DEPOSIT SWEEP INTEREST FOR MAR. @ .01% RATE ON
NET AVG COLLECTED BALANCE OF $733.31 AS OF
04/01/12
3PM SHORT DURATION BOND FD - SEL @ 0.013 PER
SHARE (ID: 4812C1-33-0)
5,043.910
0.013
65.57
$65.58
Quantity
Cost
Per Unit
Amount
Amount
0.01
Year-To-Date
Value*
-266.88
EFTA01575242
$266.88
(266.83)
($266.83)
-Page
6 of 7
EFTA01575243
GHISLAINE MAXWELL IRA ACCT.
For the Period 4/1/12 to 4/30/12
TRADE ACTIVITY
Trade Date
Settle Date
Type
Settled Securities Purchased
4/2
Purchase
4/2
Description
3PM SHORT DURATION BOND FD - SEL REINVESTED
10.97 PER SHARE (ID: 4812C1-33-0)
Quantity
5.977
Per Unit
Amount
10.97
Market Cost
(65.57)
Page 7 of 7
EFTA01575244
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01575245
For the Period 4/1/12 to 4/30/12
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
EFTA01575246
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
EFTA01575247
For the Period 4/1/12 to 4/30/12
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,
EFTA01575248
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
EFTA01575249
For the Period 4/1/12 to 4/30/12
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.
EFTA01575250
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
EFTA01575251
For the Period 4/1/12 to 4/30/12
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
EFTA01575252
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL-HY ACCT.
For the Period 11/1/12 to 11/30/12
Adjusted Tax Cost Unrealized Est. Annual Income
Price Quantity Value Original Cost Gain/Loss Acaued Interest Yield
US Fixed Income
FORD MOTOR COMPANY 125.38 10,00300 12538.40 11.475.03 1,063.40 745.00 5.29%
GLOBAL LANDMARK SECURITIES NOTES 279.37
7.45% JUL 16 2031
DTD 7/16/99
345370-CA-6 B8+ /BM
CIMAC 126.41 20,000.00 25,282.00 21,912.50 3,369.50 1500.00 5.70%
8% NOV 01 2031 133.32
DM 12/31/2008
36186C-BY-8 8+/81
CAPITAL ONE CAPITAL IV 100.04 20,000.00 20,008.00 20,275.00 (267.00) 1.34900 6.74%
6.745% FEB 17 2037 389 70
OTT) 02/05/2007
140422-AA-4 BB* /BM
AMERICAN INTL GROUP 124.65 15.000.00 18.698 10 16,428.75 2,269.35 1226 25 6.48%
8.175% MAY 15 2058 54 49
DTD 05/15/2009
026874-BS-5 BBB /BAA
Total US Fixed Income $1.044.407.73 $996.125.86 540.869.77 569.793.75 5.32%
517.374.32
JP Morgan Page 17 of 24
Confidential Treatment Requested by JPMorgan JPM-SDNY-00050558
Chase
CONFIDENTIAL SDNY_GM_00319756
EFTA01522963
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Portfolio Activity Summary - Turkish Lira New
PRINCIPAL
US Dollar Value Local Value
Current Year -To-Date Current Year-To-Date
Transactions Period Value Value' Period Value Value'
Beginning Cash Balance 19,600.00
INFLOWS
Income 10,063.74 10,083.74 19,500.00 19,500.00
Total Inflows 310,083.74 310,013.74 19,500.00 19,500.00
TRADE ACTIVITY
Settled SalewMaturttlesMadamptions 103,217.82 103,217.82 200,000.00 200,000.00
Total Trade Activity 3103,217.82 3103,217.82 200.000.00 200,000.00
Ending Cash Balance 239,000.00
INCOME
US Dollar Value Local Value
Current Year -To-Date C,erent ar To Date
Transactions Per cid Va!ue Value' Per od Value'
Beginning Cash Balance 0.00
Ending Cash Balance 0.00
JP Morgan Page 32 of 33
Confidential Treatment Requested by JPMorgan JPM-SDNY-00049167
Chase
CONFIDENTIAL SDNY_GM_00318365
EFTA01521748
DataSet-10
Unknown
1 pages
CHISLAINE MAXWELL ACCT.
For the Period 5/1/12 to 5/31/12
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
5/9 Receipt of Assets JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,228,331.810
1.0000% DATED 05/09/2012 MATURITY 05/16/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2529F9-9S-1)
5/16 Foreign Interest JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1228,331.810 39.96
1.0000% DATED 0509/2012 MATURITY 05/16/2012 238.84
HELD BY LONDON TREASURY SERVICES
(ID: 2529F9-9S-1)
5/16 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (238.840) (39.96)
(ID: ONOKPR-AA-1) (238.84)
5/16 Free Delivery JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS (1.228,331.810)
High Cost 1.0000% DATED 0509/2012 MATURITY 05/16/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2529F9-SS-1)
5/16 Receipt of Assets JP MORGAN CHASE BANK- NOK LONDON TIME DEPOSITS 1228.570.650
0.9500% DATED 05/16/2012 MATURITY 05/23/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2529J9-9V-0)
5/23 Foreign Interest JP MORGAN CHASE BANK- NOK LONDON TIME DEPOSITS 1.228,570.650 38.25
0.9500% DATED 05/16/2012 MATURITY 05/232012 226.94
HELD BY LONDON TREASURY SERVICES
(ID: 2529J9-9V-0)
5/23 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (228.940)
(ID: ONOKPR-AA-1) (226.94)
5/23 Free Delivery JP MORGAN CHASE BANK • NOK LONDON TIME DEPOSITS (1,228,570.650)
High Cost 0.9500% DATED 05/16/2012 MATURITY 05/23/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTC/
(ID: 2529J9-9V-0)
J.P.Morgan Page 25 of 29
Confidential Treatment Requested by JPMorgan JPM-SDNY-00048610
Chase
CONFIDENTIAL SDNY_GM_00317808
EFTA01521244
DataSet-10
Unknown
104 pages
GHISLAINE MAXWELL
EFTA01570180
EFTA01570181
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
For the Period 1/1/12 to 1/31/12
Asset Account
J.P. Morgan Team
Paul Morris
Jason Bell
Janet Young
Gina Magliocco
Banker
Investment Specialist
Client Service Team
Client Service Team
Table of Contents
Account Summary
Holdings
Equity
Alternative Assets
Cash & Fixed Income
Other Assets
Portfolio Activity
Online access
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).
Page
2
4
12
13
19
20
0000000222.15.0.15.RRRRR.MAXWE04.20120709
Page 1 of 50
EFTA01570182
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Other
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
1,414,900.54
44,424.00
3,383,938.21
83,641.54
$4,926,904.29
27,584.20
$4,954,488.49
Ending
Market Value
1,123,837.25
189,792.46
7,258,799.86
88,373.68
$8,660,803.25
32,695.68
$8,693,498.93
Current
Portfolio Activity
Beginning Market Value
Contributions
Withdrawals & Fees
Securities Transferred In
Securities Transferred Out
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
Period Value
4,926,904.29
4,972,799.54
(1,522,802.63)
2,449,604.12
(2,347,535.86)
$3,552,065.17
9,121.64
172,712.15
EFTA01570183
$8,660,803.25
32,695.68
$8,693,498.93
Change
In Value
(291,063.29)
145,368.46
3,874,861.65
4,732.14
$3,733,898.96
5,111.48
$3,739,010.44
Year-to-Date
Value
4,926,904.29
4,972,799.54
(1,522,802.63)
2,449,604.12
(2,347,535.86)
$3,552,065.17
9,121.64
172,712.15
$8,660,803.25
32,695.68
$8,693,498.93
Estimated
46,954.44
58,748.29
$105,702.73
Current
Annual Income Allocation
13%
2%
84%
1%
100%
Equity
Cash &
Fixed Income
Other
Alternative
Assets
Asset Allocation
Page 2 of 50
EFTA01570184
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Account Summary
Tax Summary
Domestic Dividends/Distributions
Foreign Dividends
Currency Gain/Loss
Interest Income
Taxable Income
Tax-Exempt Income
Bond Premium Amortization
Tax-Exempt Income
CONTINUED
Current
Period Value
323.22
1,475.44
(42.54)
6,258.62
$8,014.74
1,250.00
(143.10)
$1,106.90
Year-to-Date
Value
323.22
1,475.44
(42.54)
6,258.62
$8,014.74
1,250.00
(143.10)
$1,106.90
Unrealized Gain/Loss
To-Date Value
($350,559.41)
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
6,075.75
(58,385.84)
($52,310.09)
Year-to-Date
Value
6,075.75
(58,385.84)
($52,310.09)
Cost Summary
Equity
EFTA01570185
Cost
Cash & Fixed Income
Other
Total
1,395,698.82
7,319,020.74
90,364.18
$8,805,083.74
Page 3 of 50
EFTA01570186
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Equity Summary
Asset Categories
US Large Cap Equity
US Small/Mid Cap Equity
Non-US Equity
Preferred Stocks
Concentrated & Other Equity
Unclassified
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Beginning
Market Value
226,931.66
4,440.00
431,810.63
409,576.00
193,953.50
148,188.75
$1,414,900 54
Ending
Market Value
112,244.53
5,940.00
374,029.22
429,082.00
202,541.50
0.00
$1,123,837.25
Current
Period Value
1,123,837.25
1,395,698.82
(266,905.87)
46,954.44
7,738.59
4.16%
Equity as a percentage of your portfolio - 13 %
Change
In Value
(114,687.13)
1,500.00
(57,781.41)
19,506.00
EFTA01570187
8,588.00
(148,188.75)
($291,063.29)
13%
Current
Allocation
1%
1%
4%
5%
2%
Preferred Stocks
US Large Cap Equity
US Small/Mid Cap Equity
Asset Categories
Concentrated & Other Equity
Non-US Equity
Page 4 of 50
EFTA01570188
GHISLAINE MAXWELL
ACCT.
For the Period 1/1/12 to 1/31/12
Note:
P
**
indicates position adjusted for Pending Trade Activity.
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.
Equity Detail
Price
US Large Cap Equity
APACHE CORP
AT&T INC
00206R-10-2 T
BANK OF AMERICA CORP
BB & T CORP
060505-10-4 BAC
0.00
054937-10-7 BBT
CITIGROUP INC NEW
172967-42-4 C
P COGNIZANT TECHNOLOGY SOLUTIONS CORP
CL A
192446-10-2 CTSH
E I DU PONT DE NEMOURS & CO
E M C CORP MASS
KROGER CO
263534-10-9 DD
25.76
268648-10-2 EMC
23.76
501044-10-1 KR
265.000
6,296.40
6,587.16
(290.76)
121.90
1.94%
468.000
12,055.68
12,378.64
(322.96)
50.89
224.000
11,399.36
11,537.62
(138.26)
367.36
EFTA01570189
3.22%
30.72
71.75
358.000
10,997.76
14,048.52
0.00
(3,050.76)
49.44
14.32
0.13%
7.13
944.000
6,730.72
10,148.85
(3,418.13)
98.88
037411-10-5 APA
0.00
440.00
37.76
0.56%
95.000
9,393.60
11,403.30
(2,009.70)
57.00
14.25
0.61%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Page 5 of 50
EFTA01570190
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
US Large Cap Equity
PROSHARES ULTRASHORT S&P 500
PROSHARES TRUST
SCHLUMBERGER LTD
UNITED TECHNOLOGIES CORP
WALT DISNEY CO
74347R-88-3 SDS
38.23
74347X-23-7 QID
75.17
806857-10-8 SLB
78.35
913017-10-9 UTX
38.90
254687-10-6 DIS
Total US Large Cap Equity
$112,244.53
$169,440.36
($57,195.83)
$1,171.08
$503.69
US Small/Mid Cap Equity
GERON CORP
374163-10-3 GERN
Non-US Equity
AKZO NOBEL N V
ISIN NL0000009132/SEDOL 5458314
N01803-90-2 EUR
ALLIANZ SE HOLDING
ISIN DE0008404005 SEDOL 5231485
D03080-90-6 EUR
110.69
77.000
8,523.38
10,206.94
(1,683.56)
1.04%
229.000
8,908.10
9,015.40
(107.30)
137.40
1.54%
162.000
12,692.70
13,783.83
(1,091.13)
311.04
EFTA01570191
2.45%
113.000
8,494.21
9,524.04
(1,029.83)
124.30
1.46%
200.000
7,646.00
26,203.50
(18,557.50)
17.63
1,000.000
17,630.00
44,809.50
(27,179.50)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
1.98
3,000.000
5,940.00
18,129.32
(12,189.32)
52.06
149.000
7,757.08
9,781.64
(2,024.56)
Page 6 of 50
EFTA01570192
GHISLAINE MAXWELL
ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-US Equity
ATLAS COPCO AB-A SHS
ISIN SE0000101032 SEDOL B1QGR41
W10020-92-8 SEK
AVIVA PLC
ISIN GB0002162385 SEDOL 0216238
G2307K-92-2 GBP
BAYER AG REGISTERED SHS
ISIN DE000BAY0017 SEDOL 5069211
072733-91-8 EUR
CAP GEMINI S A
ISIN FR0000125338 SEDOL 4163437
F13587-92-2 EUR
CENTRICA
ISIN GB00B033F229 SEDOL B033F22
15639K-90-4 GBP
CINEWORLD GROUP PLC
ISIN GBOOB15FWH70 SEDOL Bl5FWH7
172145-91-4 GBP
P
COVIDIEN PLC NEW
CREDIT SUISSE GROUP AG
G2554F-11-3 COV
25.97
ISIN CH0012138530 SEDOL 7171589
H3698D-93-0 CHF
ERICSSON LM-B SHS
ISIN SE0000108656 SEDOL 5959378
W26049-91-1 SEK
GDF SUEZ
ISIN FR0010208488 SEDOL BOC2CQ3
36827E-91-4 EUR
Page 7 of 50
27.16
289.000
7,850.05
9,914.97
(2,064.92)
9.29
793.000
7,365.88
10,052.84
(2,686.96)
230.000
5,972.60
8,916.46
(2,943.86)
EFTA01570193
51.50
0.00
53.10
1.75%
3.37
4,500.000
15,161.11
16,168.92
(1,007.81)
4.63
1,556.000
7,204.28
7,922.75
(718.47)
36.54
217.000
7,928.22
11,437.04
(3,508.82)
70.10
163.000
11,426.67
13,056.92
(1,630.25)
5.51
6,000.000
33,082.24
38,037.94 **
N/A
23.75
442.000
10,495.99
10,669.62
(173.63)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
EFTA01570194
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-US Equity
JFE HOLDINGS INC
ISIN JP3386030005 SEDOL 6543792
476990-91-6 JPY
MARINE HARVEST ASA
ISIN N00003054108 SEDOL B02L486
693045-91-6 NOK
MARKS & SPENCER PLC - GBP
ISIN GB0031274896 SEDOL 3127489
G5824M-92-5 GBP
MARSTON'S PLC
ISIN GBOOB1JODM80 SEDOL B1JQDM8
G58512-91-7 GBP
MITSUBISHI UFJ FINANCIAL GROUP
ISIN JP3902900004 SEDOL 6335171
J44497-92-3 JPY
MITSUI & CO
ISIN JP3893600001 SEDOL 6597302
J43787-91-0 JPY
NISSAN MOTOR CO LTD
ISIN JP3672400003 SEDOL 6642860
J57160-91-3 JPY
PHILIPS ELECTRONICS N.V.
ISIN NL0000009538 SEDOL 5986622
N6983Q-91-5 EUR
PPR SA
ISIN FR0000121485 SEDOL 5505072
F74953-93-0 EUR
157.48
38.000
5,984.19
6,319.18
(334.99)
20.22
337.000
6,815.77
8,419.17
(1,603.40)
330.86
3.71%
9.43
1,200.000
11,315.41
12,254.65
(939.24)
16.97
500.000
8,485.25
EFTA01570195
8,640.50
(155.25)
4.58
1,400.000
6,407.87
6,697.36
(289.49)
1.53
30,000.000
45,921.24
48,127.99
(2,206.75)
1,747.50
5.16
4,350.000
22,433.24
26,287.24
(3,854.00)
0.54
25,000.000
13,588.00
163,464.66
(149,876.66)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
17.84
200.000
3,567.21
5,219.70
(1,652.49)
Page 8 of 50
EFTA01570196
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-US Equity
QBE INSURANCE GROUP LTD
ISIN AU000000QBE9 SEDOL 6715740
Q78063-91-6 AUD
RIO TINTO PLC
ISIN GB0007188757 SEDOL 0718875
766994-90-9 GBP
RSA INSURANCE GROUP PLC
ISIN GB0006616899 SEDOL 0661689
G8566X-91-9 GBP
SANOFI
ISIN FR0000120578 SEDOL 5671735
F5548N-91-1 EUR
SCHNEIDER S A
ISIN FR0000121972 SEDOL 4834108
F86921-91-7 EUR
SHISEIDO COMPANY LIMITED
ISIN JP3351600006 SEDOL 6805265
824841-91-0 JPY
SOLVAY SA
ISIN BE0003470755 SEDOL 4821100
834437-91-5 EUR
STANDARD CHARTERED PLC
ORD U$ 0.50
ISIN GB0004082847 SEDOL 0408284
G84228-92-6 GBP
STORA ENSO OYJ
R SHS
ISIN FI0009005961 SEDOL 5072673
X21349-90-1 SEOA EUR
Page 9 of 50
7.12
933.000
6,644.11
9,050.23
(2,406.12)
24.21
555.000
13,435.04
14,171.09
(736.05)
98.69
77.000
7,599.07
8,750.42
(1,151.35)
18.35
400.000
EFTA01570197
7,339.02
7,325.88
13.14
62.15
164.000
10,193.21
11,096.92
(903.71)
73.92
156.000
11,531.84
11,779.77
(247.93)
1.67
23,800.000
39,811.02
48,596.10
(8,785.08)
60.04
191.000
11,468.56
12,954.00
(1,485.44)
12.18
400.000
4,871.65
7,237.30
(2,365.65)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
EFTA01570198
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-US Equity
SUN HUNG KAI PROPERTIES
ISIN HK0016000132 SEDOL 6859927
Y82594-12-1 SHKP HKD
VODAFONE GROUP PLC
ISIN GBOOB16GWD56 SEDOL B16GWD5
92857W-92-8 GBP
Total Non-US Equity
$374,029.22
$577,641.01
($198,656.09)
0.00
601.45
$330.86
$2,402.05
Preferred Stocks
CITIGROUP CAPITAL XIII
7 7/8% PFD
173080-20-1 C PNNA /BA1
COUNTRYWIDE CAPITAL V
7% PFD
222388-20-9 CFC PB
JPM CHASE CAPITAL XXIX
6.7% PFD
48125E-20-7 JPM PC
Total Preferred Stocks
25.72
2,500.000
64,300.00
$429,082.00
62,500.00
$422,578.96
1,800.00
$6,503.04
4,187.50
$31,227.50
$1,837.50
6.51%
7.28%
22.71
4,200.000
95,382.00
98,778.96
(3,396.96)
7,350.00
1,837.50
7.71%
0.07%
EFTA01570199
13.85
1,000.000
13,850.02
15,082.81
(1,232.79)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
26.94
10,000.000
269,400.00
261,300.00
8,100.00
19,690.00
7.31%
Page 10 of 50
EFTA01570200
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Concentrated & Other Equity
GENERAL MOTORS CO
CV PFD B
37045V-20-9 GM PB
JPMORGAN CHASE & CO
7.9% PFD STK APR 30 2049
DTD 04/23/2008
46625H-HA-1 BBB /BAA
Total Concentrated & Other Equity
$202,541.50
$207,909.17
($5,367.67)
$14,225.00
$2,995.35
6.99%
108.32
150,000.000
162,481.50
157,909.17
4,572.33
11,850.00
2,995.35
7.25%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
40.06
1,000.000
40,060.00
50,000.00
(9,940.00)
2,375.00
5.93%
Page 11 of 50
EFTA01570201
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Estimated Value
44,424.00
Alternative Assets Detail
Price
Hard Assets
BARC CALLABLE PALLDIUM CP NT
05/14/12
LNKD TO PLDMLNPM
7.4% CPN, 20% MAX, 80% BARRIER
05/03/2011
06738K-JA-0
DB X-TRACKERS
ISIN LU0292106167 SEDOL B3DYFK4
892352-91-5
ETFS METAL SECURITIES LTD
ISIN 3E00B1VS3770 SEDOL BlVS377
131994-91-5
ISHARES SILVER TRUST
Total Hard Assets
46428Q-10-9 SLV
$189,792.46
$211,234.62
32.28
1,000.000
32,280.00
44,010.03
170.23
301.000
51,237.73
45,068.38
42.19
2,058.000
86,816.73
102,156.21
97.29
20,000.000
19,458.00
20,000.00
Quantity
Estimated
Value
Cost
Ending
Estimated Value
189,792.46
EFTA01570202
Change
In Value
145,368.46
Current
Allocation
2%
Page 12 of 50
EFTA01570203
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Non-USD Cash
Non-USD Short Term
US Fixed Income
Non-US Fixed Income
Complementary Structured Strategies
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
Market Value
1,165,213.57
808,604.77
48,289.02
632,373.50
596,452.35
133,005.00
$3,383,938 21
Ending
Market Value
4,877,588.71
885,103.01
0.00
750,979.70
600,733.94
144,394.50
$7,258,799.86
Current
Period Value
7,258,799.86
7,319,020.74
(60,220.88)
58,748.29
24,957.09
0.82%
Non-USD Cash
Change
In Value
3,712,375.14
76,498.24
(48,289.02)
118,606.20
EFTA01570204
4,281.59
11,389.50
$3,874,861.65
Current
Allocation
56%
10%
9%
7%
2%
84%
US Fixed Income
Non-US Fixed Income
Complementary Structured
Strategies
Cash
Asset Categories
Cash & Fixed Income as a percentage of your portfolio 84 %
Page 13 of 50
EFTA01570205
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1-5 years'
5-10 years'
10+ years'
Total Value
1
SUMMARY BY TYPE
Market
Value
6,070,779.77
671,175.09
289,369.50
227,475.50
$7,258,799.86
% of Bond
Portfolio
85%
9%
3%
3%
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.
Note:
A - Bonds purchased at a premium show amortization.
1
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
PROCEEDS FROM PENDING SALES
3PM NY MUNI MM FD - MORGAN
Total Cash
1.00
1.00
1.00
4,858,142.33
19,445.38
1.00
4,858,142.33
19,445.38
1.00
$4,877,588.71
4,858,142.33
19,445.38
EFTA01570206
1.00
$4,877,588.71
$0.00
$485.81
$12.04
0.01%
485.81
12.04
0.01%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Cash & Fixed Income
Cash
NON USD Cash
Corporate Bonds
Municipal Bonds
International Bonds
Mutual Funds
Complementary Structure
Total Value
Market
Value
4,877,588.71
885,103.01
281,529.50
227,475.50
822,513.70
20,194.94
144,394.50
$7,258,799.86
% of Bond
Portfolio
69%
12%
3%
3%
11%
1%
1%
100%
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.
EFTA01570207
Page 14 of 50
EFTA01570208
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-USD Cash
POUND STERLING
JAPANESE YEN
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.0000%
DATED 01/27/2012 MATURITY 02/03/2012
HELD BY LONDON TREASURY SERVICES
JP MORGAN CHASE BANK - CAD
LONDON TIME DEPOSITS 0.6100%
DATED 01/31/2012 MATURITY 02/07/2012
HELD BY LONDON TREASURY SERVICES
Total Non-USD Cash
$885,103.01
$892,281.17
($7,178.16)
$2,790.99
$30.68
US Fixed Income
JPM MANAGED RESERVES C
051398-91-5 GBP
ISHARES MARKIT IBOXX CORPORATE BOND
ISIN IE00B00FV011 SEDOL BOOFV01
461278-91-3 GBP
HSBC FINANCE CORP
MEDIUM TERM NOTE 2.9% OCT 15 2015
DTD 10/15/2010
40429X-YB-6 A /A3
GENERAL ELEC CAP CORP
MEDIUM TERM FLOATING RATE NOTE
MAY 11 2016 DTD 05/11/2007
36962G-2V-5 AA+ /AA2
Page 15 of 50
92.77
50,000.00
46,384.00
45,394.50
989.50
326.39
73.60
2.44%
96.47
100,000.00
96,469.00
100,000.00
(3,531.00)
2,900.00
853.80
3.93%
EFTA01570209
10,193.07
192.33
7.54
105.00
76,804.76
20,194.94
79,003.04
19,023.08
(2,198.28)
1,171.86
0.34%
99.72
115,098.80
114,771.70
112,705.79
2,065.91
700.10
1.83
0.62%
1.58
0.01
17.07
349,139.99
784,035.00
1,224,867.03
550,960.01
10,281.83
209,089.47
562,718.31
10,173.02
206,684.05
(11,758.30)
108.81
2,405.42
2,090.89
28.85
1.09%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
EFTA01570210
GHISLAINE MAXWE
ACCT.
For the Period 1/1/12 to 1/31/12
Price
US Fixed Income
BANK OF AMERICA CORP
MEDIUM TERM NOTE
3.6% NOV 15 2016
DTD 11/04/2010
06050W-DW-2 A- /BAA
BARCLAYS BANK PLC
MEDIUM TERM NOTE 2 2/1% OCT 20 2017
DTD 10/20/2010
06740P-VG-8 NA /AA3
A MI ST MUNI BOND AUTH
ST CLEAN WTR REVOLVING FD 5%
OCT 01 2026 DTD 11/02/2006
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 10/01/2016 @ 100
59455T-PF-3 AAA /AAA
A BIRDVILLE TEXAS INDEPENDENT SCHOOL
DIST PERM SCH GTD FUND UNLIMITED TAX
5% FEB 15 2029 DTD 01/15/2007
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 02/15/2017 @ 100
090874-FV-5 AAA /AAA
A MA ST HLTH & EDUCTNL FACS AUTH
REVENUE HARVARD UNIV 5% B
JUL 15 2032 DTD 08/03/2005
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 07/15/2015 @ 100
57586C-FW-0 AAA /AAA
Total US Fixed Income
$750,979.70
$762,638.96
$763,387.62
($11,659.26)
$22,376.39
$6,369.25
3.43%
110.74
50,000.00
55,372.00
53,855.22
54,040.00
1,516.78
2,500.00
111.10
4.21%
113.95
100,000.00
EFTA01570211
113,951.00
110,123.14
110,503.00
3,827.86
5,000.00
2,305.50
3.87%
116.31
50,000.00
58,152.50
55,239.98
55,424.00
2,912.52
2,500.00
833.30
3.56%
96.65
150,000.00
144,975.00
150,000.00
(5,025.00)
3,750.00
1,051.95
3.14%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
92.45
150,000.00
138,676.50
150,000.00
(11,323.50)
5,400.00
1,140.00
5.41%
Page 16 of 50
EFTA01570212
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-US Fixed Income
BLUEBAY HIGH YIELD BD FD GBP HDG-DB
ISIN LU0222772518
G13289-92-4 GBP
ISHARES BARCLAYS CAPITAL
ISIN IE00B1FZSD53 SEDOL B1G52V0
46578W-92-2 GBP
INTL BK RECON & DEVELOP - BRL
8 3/4% JUN 15 2012
DTD 08/20/2009
HELD BY EUROCLEAR ISIN:XS0446421157
SEDOL:B435Z93
459058-9B-1 NA /AAA BRL
KFW - TRY
MTN 9 3/4% JUL 16 2013
DTD 02/10/2010
HELD BY EUROCLEAR
ISIN XS0484842470 SEDOL B637YV8
14085A-9A-6 AAA /AAA TRY
INTER AMERICAN DEVELOPMENT BANK- INR
MEDIUM TERM NOTE 3% MAR 25 2014
DTD 03/25/2010
HELD BY EUROCLEAR
ISIN XS0495010562 SEDOL B5114T3
U45818-9G-5 AAA /AAA INR
1.88
6,700,000.00
125,734.21
143,232.17
(17,497.96)
4,065.12
3,476.35
6.70%
57.43
200,000.00
114,853.38
135,555.56
(20,702.18)
11,006.68
6,014.50
8.36%
57.10
90,000.00
51,390.08
50,106.74
1,283.34
4,498.97
2,839.49
EFTA01570213
8.66%
21.50
5,790.00
124,490.38
118,212.32
6,278.06
187.38
187.90
35,207.89
39,293.00
(4,085.11)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 17 of 50
EFTA01570214
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-US Fixed Income
INTER AMERICAN DEVEL BK - IDR
MEDIUM TERM NOTE 6.50% JUN 04 2014
DTD 06/04/2010
HELD BY EUROCLEAR
ISIN XS0513770957 SEDOL B4YWHCO
45818W-9K-4 AAA /AAA IDR
Total Non-US Fixed Income
$600,733.94
$636,511.90
($35,777.96)
$28,970.10
$18,545.12
Complementary Structured Strategies
MS 7YNC1Y STEP-UP NOTE 09/13/17
INITIAL RATE 2.75% CPN
WHERE MAX RATE IS 6% PER ANNUM
DD 9/8/10
61745E-6Q-9 A- /A2
5.06%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
0.01 1,300,000,000.00
149,058.00
150,112.11
(1,054.11)
9,399.33
6,214.78
5.33%
96.26
150,000.00
144,394.50
150,000.00
(5,605.50)
4,125.00
Page 18 of 50
EFTA01570215
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Other Summary
Asset Categories
Balanced
Beginning
Estimated Value
83,641.54
Ending
Estimated Value
88,373.68
Change
In Value
4,732.14
Current
Allocation
1%
Current
Market Value/Cost
Estimated Value
Tax Cost
Estimated Gain/Loss
Other Detail
Price
Balanced
PIMCO FUNDS GLOBAL INVESTORS SERIES
- GLOBAL INVESTMENT GRADE CREDIT
FUND
ISIN IE00B3BMD843 SEDOL B3BMD84
695421-91-7 GBP
20.26
4,361.513
88,373.68
90,364.18
(1,990.50)
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Accruals
Period Value
88,373.68
90,364.18
(1,990.50)
Page 19 of 50
EFTA01570216
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
Income
INFLOWS
7,598.49
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS **
Total Outflows
Withdrawals
TRADE ACTIVITY
Total Trade Activity
Settled Sales/Maturities/Redemptions
Ending Cash Balance
4,971,970.54
3,169.09
$4,982,738.12
(1,419,530.95)
($1,419,530.95)
129,722.59
$129,722.59
$4,858,142.33
* 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
7,598.49
4,971,970.54
3,169.09
$4,982,738.12
(1,419,530.95)
($1,419,530.95)
129,722.59
$129,722.59
-$0.00
$0.00
Period
Value
1,165,212.57
Year-To-Date
Value*
-INCOME
Current
Period
Value
0.00
EFTA01570217
Year-To-Date
Value*
-$0.00
$0.00
$0.00
$0.00
$0.00
-Page
20 of 50
EFTA01570218
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary U S Dollar
Current
Cost Adjustments
Amortization
Cost Adjustments
Total Cost Adjustments
Period Value
(143.10)
9,237.41
$9,094.31
* Year to date information is calculated on a calendar year basis.
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
1/3
1/3
1/3
1/3
1/4
1/6
1/11
Div Domest
Div Domest
Interest Income
Interest Income
Description
UNION PACIFIC CORP @ 0.60 PER SHARE
(ID: 907818-10-8)
JOHNSON CONTROLS INC @ 0.18 PER SHARE
(ID: 478366-10-7)
DEPOSIT SWEEP INTEREST FOR DEC. @ .03% RATE ON
NET AVG COLLECTED BALANCE OF $1,109,240.04 AS
OF 01/01/12
JPM CHASE CAPITAL XXIX 6.7% PFD @ 0.41875 PER
SHARE (ID: 48125E-20-7)
Misc Disbursement FUNDS TRANSFERRED FROM PRN A/C# Q52167006 TO
MMIA A/C# 00000000002916490721 AS REQUESTED
Foreign Dividend
Misc Receipt
SCHLUMBERGER LTD @ 0.25 PER SHARE
(ID: 806857-10-8)
TRANSFER FROM SANFORD BERNSTEIN
113.000
0.25
2,500.000
0.419
1,046.88
(1,166,407.29)
EFTA01570219
28.25
180,424.00
Page 21 of 50
Quantity
Cost
109.000
301.000
Per Unit
Amount
0.60
0.18
PRINCIPAL
Amount
65.40
54.18
28.26
INCOME
Amount
Year-To-Date
Value*
(143.10)
9,237.41
$9,094.31
EFTA01570220
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
1/17
1/17
1/17
1/17
1/17
1/17
Div Domest
Spot FX
Spot FX
Spot FX
Description
OCCIDENTAL PETROLEUM CORP @ 0.46 PER SHARE
(ID: 674599-10-5)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
AUD EXCHANGE RATE 1.029200000 DEAL 01/13/12
VALUE 01/17/12 (ID: OAUDPR-AA-8)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.266400000 DEAL 01/13/12
VALUE 01/17/12 (ID: OEURPR-AA-9)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
JPY EXCHANGE RATE 77.020000000 DEAL 01/13/12
VALUE 01/17/12 (ID: OJPYPR-AA-9)
Misc Disbursement FUNDS TRANSFERRED FROM PRN A/C# Q52167006 TO
MMIA A/C# 00000000002916490721 PHONE
INSTRUCTIONS FROM CLIENT
Municipal Interest
MA ST HLTH & EDUCTNL FACS AUTH REVENUE HARVARD
UNIV 5% B JUL 15 2032 DTD 08/03/2005 HELD BY
DTC BOOK ENTRY ONLY PAR CALL 07/15/2015 @ 100
(ID: 57586C-FW-0)
1/18
1/18
1/25
1/26
1/26
Div Domest
WALT DISNEY CO @ 0.60 PER SHARE
(ID: 254687-10-6)
Misc Disbursement FUNDS TRANSFERRED FROM PRN A/C# Q52167006 TO
MMIA A/C# 00000000002916490721 PHONE
INSTRUCTIONS FROM CLIENT
Spot FX
Misc Receipt
Misc Receipt
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.302200000 DEAL 01/23/12
EFTA01570221
VALUE 01/25/12 (ID: OEURPR-AA-9)
TRANSFER FROM SANFORD BERNSTEIN
TRANSFER FROM SANFORD BERNSTEIN
1,139,863.05
50,210.82
Page 22 of 50
(69.300)
(88.81)
90.24
229.000
0.60
137.40
(36,045.96)
50,000.000
0.025
1,250.00
(217,077.70)
(47,055.000)
(612.74)
610.95
(1,535.460)
(1,982.97)
1,944.51
Quantity
Cost
Per Unit
Amount
144.000
(208.350)
(216.26)
0.46
PRINCIPAL
Amount
66.24
214.43
INCOME
Amount
EFTA01570222
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
1/26
1/26
1/27
1/30
1/31
1/31
Misc Receipt
Misc Receipt
Spot FX
Interest Income
Misc Receipt
Misc Receipt
Total Inflows & Outflows
TRADE ACTIVITY
Note:
Trade Date
Settle Date
1/4
1/9
1/4
1/9
1/4
1/9
Description
TRANSFER FROM SANFORD BERNSTEIN
TRANSFER FROM SANFORD BERNSTEIN
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
HKD EXCHANGE RATE 7.768100000 DEAL 01/24/12
VALUE 01/27/12 (ID: OHKDPR-AA-4)
CITIGROUP CAPITAL XIII 7 7/8% PFD @ 0.492188
PER SHARE (ID: 173080-20-1)
TRANSFER FROM SANFORD BERNSTEIN
TRANSFER FROM SANFORD BERNSTEIN
10,000.000
0.492
4,921.88
49.36
42.50
$3,563,207.17
(2,400.000)
(309.23)
Quantity
Cost
Per Unit
Amount
PRINCIPAL
EFTA01570223
Amount
131.20
3,601,249.61
308.96
INCOME
Amount
L indicates Long Term Realized Gain/Loss
Type
S indicates Short Term Realized Gain/Loss
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
Sale
High Cost
Sale
High Cost
CHEVRON CORP @ 109.5906 12,712.51 BROKERAGE
6.96 TAX &/OR SEC .25 J.P. MORGAN SECURITIES
LLC (ID: 166764-10-0)
TIME WARNER INC NEW @ 36.08 10,463 20 BROKERAGE
17.40 TAX &/OR SEC .21 J.P. MORGAN SECURITIES
LLC (ID: 887317-30-3)
WELLS FARGO & CO @ 28.25 13,503.50 BROKERAGE
28.68 TAX &/OR SEC .26 J.P. MORGAN SECURITIES
LLC (ID: 949746-10-1)
Page 23 of 50
(478.000)
28.189
13,474.56
(13,224.13)
250.43 S
(290.000)
36.019
10,445.59
(10,196.64)
248.95 S
Quantity
(116.000)
Per Unit
Amount
109.528
Proceeds
12,705.30
Tax Cost
(11,819.95)
Realized
Gain/Loss
885.35 S
EFTA01570224
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Trade Date
Settle Date
1/11
1/17
1/11
1/17
1/11
1/17
1/19
1/24
1/23
1/26
1/23
1/26
1/23
1/26
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
BB & T CORP @ 26.75038 8,265.87 BROKERAGE 18.54
TAX &/OR SEC .16 J.P. MORGAN SECURITIES LLC
(ID: 054937-10-7)
OCCIDENTAL PETROLEUM CORP @ 96.73 13,929.12
BROKERAGE 8.64 TAX &/OR SEC .27 J.P. MORGAN
SECURITIES LLC (ID: 674599-10-5)
QUALCOMM INC @ 55.70 9,803.20 BROKERAGE 10.56
TAX &/OR SEC .19 J.P. MORGAN SECURITIES LLC
(ID: 747525-10-3)
BROADCOM CORP CL A @ 34.68066 8,670.17
BROKERAGE 15.00 TAX &/OR SEC .17 J.P. MORGAN
SECURITIES LLC (ID: 111320-10-7)
AT&T INC @ 30.51 30,510.00 BROKERAGE 60.00 TAX
&/OR SEC .59 J.P. MORGAN SECURITIES LLC
(ID: 00206R-10-2)
JOHNSON CONTROLS INC @ 31.40 9,451.40 BROKERAGE
EFTA01570225
18.06 TAX &/OR SEC .19 J.P. MORGAN SECURITIES
LLC (ID: 478366-10-7)
RESEARCH IN MOTION LIMITED @ 15.81 12,648.00
BROKERAGE 48.00 TAX &/OR SEC .25 J.P. MORGAN
SECURITIES LLC (ID: 760975-10-2)
Total Settled Sales/Maturities/Redemptions
$129,722.59
($187,291.31)
($58,385.84) L
$817.12 S
(800.000)
15.75
12,599.75
(69,825.00)
(57,225.25) L
(301.000)
31.339
9,433.15
(11,324.21)
(1,891.06) S
(1,000.000)
30.449
30,449.41
(31,610.00)
(1,160.59) L
(250.000)
34.62
8,655.00
(8,276.78)
378.22 S
(176.000)
55.639
9,792.45
(9,237.41)
555.04 S
(144.000)
96.668
13,920.21
(13,653.98)
266.23 S
Quantity
(309.000)
Per Unit
Amount
26.69
Proceeds
8,247.17
Tax Cost
(8,123.21)
Realized
Gain/Loss
EFTA01570226
123.96 S
Page 24 of 50
EFTA01570227
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Trade Date
Type
Est. Settle Date Selection Method Description
Pending Sales, Maturities, Redemptions
Sale
1/27
2/1
1/27
2/1
Sale
COVIDIEN PLC NEW (ID: G2554F-11-3)
COGNIZANT TECHNOLOGY SOLUTIONS CORP CL A
(ID: 192446-10-2)
Total Pending Sales, Maturities, Redemptions
Quantity
(236.000)
(102.000)
Per Unit
Amount
51.658
71.32
Proceeds
12,177.00
7,268.38
$19,445.38
Tax Cost
(11,860.03)
(7,275.16)
($19,135.19)
Realized
Gain/Loss
316.97 S
(6.78) S
$310.19 S
COST ADJUSTMENTS
Settle Date
1/4
1/17
Type
Cost Basis Adj
Amortization
Description
QUALCOMM INC COST BASIS ADJUSTMENT
(ID: 747525-10-3)
MA ST HLTH & EDUCTNL FACS AUTH REVENUE HARVARD
UNIV 5% B JUL 15 2032 DTD 08/03/2005 HELD BY
DTC BOOK ENTRY ONLY PAR CALL 07/15/2015 @ 100
MUNICIPAL BOND PREMIUM AMORTIZATIO
(ID: 57586C-FW-0)
EFTA01570228
Total Cost Adjustments
$9,094.31
Quantity
176.000
50,000.000
Cost Basis
Adjustments
9,237.41
(143.10)
Page 25 of 50
EFTA01570229
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Australia Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Contributions
OUTFLOWS **
Total Outflows
Foreign Exchange - Outflows
Ending Cash Balance
* 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
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* 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
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Period
Value
-216.26
$216.26
(214.43)
($214.43)
-Year-To-Date
Value*
-216.26
$216.26
(214.43)
($214.43)
-Local
EFTA01570230
Value
Current
Period Value
0.00
208.35
208.35
(208.35)
(208.35)
0.00
Year-To-Date
Value*
-208.35
208.35
(208.35)
(208.35)
-Page
26 of 50
EFTA01570231
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Detail - Australia Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/4
1/17
Misc Receipt
Spot FX
Total Inflows & Outflows
Description
REP: AUD RECEIVED FROM GHISLAINE MAXWELL
AUSTRALIAN DOLLAR (ID: OAUDPR-AA-8)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
AUD EXCHANGE RATE 1.029200000 DEAL 01/13/12
VALUE 01/17/12 (ID: OAUDPR-AA-8)
$1.83
($1.83)
Quantity
208.350
214.430
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
216.26
208.35
(214.43)
(208.35)
(1.83)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 27 of 50
EFTA01570232
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Canadian Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Withdrawals
Ending Cash Balance
* 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
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* 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
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Period
Value
-64.20
$64.20
(64.20)
($64.20)
-Year-To-Date
Value*
-64.20
$64.20
(64.20)
($64.20)
-Local
EFTA01570233
Value
Current
Period Value
0.00
65.26
65.26
(65.26)
(65.26)
0.00
Year-To-Date
Value*
-65.26
65.26
(65.26)
(65.26)
-Page
28 of 50
EFTA01570234
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Detail - Canadian Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/9
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/30/2011 MATURITY 01/09/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2526X9-9Q-1)
1/9
1/9
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
1/9
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/30/2011 MATURITY 01/09/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526X9-9Q-1)
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 01/09/2012 MATURITY 01/17/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527A9-9Y-7)
1/17
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 01/09/2012 MATURITY 01/17/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527A9-9Y-7)
1/17
1/17
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 01/09/2012 MATURITY 01/17/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527A9-9Y-7)
(16.870)
(115,054.630)
(16.46)
(16.87)
115,054.630
EFTA01570235
16.46
16.87
115,054.630
(21.090)
(115,033.540)
(20.59)
(21.09)
Quantity
115,033.540
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
20.59
21.09
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 29 of 50
EFTA01570236
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/17
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/17/2012 MATURITY 01/24/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527E9-9K-3)
1/24
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/17/2012 MATURITY 01/24/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527E9-9K-3)
1/24
1/24
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
1/24
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/17/2012 MATURITY 01/24/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527E9-9K-3)
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/24/2012 MATURITY 01/31/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527H9-9B-0)
1/31
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/24/2012 MATURITY 01/31/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527H9-9B-0)
1/31
1/31
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/24/2012 MATURITY 01/31/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527H9-9B-0)
EFTA01570237
(13.650)
(115,085.150)
(13.59)
(13.65)
115,085.150
13.59
13.65
115,085.150
(13.650)
(115,071.500)
(13.56)
(13.65)
115,071.500
13.56
13.65
Quantity
115,071.500
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 30 of 50
EFTA01570238
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/31
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/31/2012 MATURITY 02/07/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527L9-9H-2)
Total Inflows & Outflows
$0.00
Quantity
115,098.800
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 31 of 50
EFTA01570239
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Euro
PRINCIPAL
US Dollar Value
Current
Transactions
Income
INFLOWS
Total Inflows
OUTFLOWS **
Tax Payments
Foreign Exchange - Outflows
Total Outflows
Ending Cash Balance
* 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
Period Value
Beginning Cash Balance
-118.42
$118.42
(29.61)
(2,034.75)
($2,064.36)
-Year-To-Date
Value*
-118.42
$118.42
(29.61)
(2,034.75)
($2,064.36)
-Local
Value
Current
Period Value
1,535.46
92.40
92.40
(23.10)
(1,604.76)
(1,627.86)
0.00
Year-To-Date
Value*
-92.40
92.40
(23.10)
(1,604.76)
(1,627.86)
-Page
EFTA01570240
32 of 50
EFTA01570241
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Euro
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* 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
US Dollar Value
Current
Cost Adjustments
Cost Adjustments
Total Cost Adjustments
Period Value
25,835.27
$25,835.27
* Year to date information is calculated on a calendar year basis.
Year-To-Date
Value*
25,835.27
$25,835.27
Local Value
Current
Period Value
18,995.12
18,995.12
Year-To-Date
Value*
18,995.12
18,995.12
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
33 of 50
EFTA01570242
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Detail - Euro
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/17
1/19
1/19
1/25
Spot FX
Foreign Dividend
FGN Tax Withheld
Spot FX
Total Inflows & Outflows
COST ADJUSTMENTS - Euro
Cost Basis
Settle Date
1/4
1/4
1/4
Type
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Total Cost Adjustments (USD)
Description
PPR SA ISIN FR0000121485 SEDOL 5505072 COST
BASIS ADJUSTMENT (ID: F74953-93-0)
SCHNEIDER S A ISIN FR0000121972 SEDOL 4834108
COST BASIS ADJUSTMENT (ID: F86921-91-7)
PHILIPS ELECTRONICS N.V. ISIN NL0000009538
SEDOL 5986622 COST BASIS ADJUSTMENT
(ID: N6983Q-91-5)
$25,835.27
Page 34 of 50
Quantity
38.000
164.000
337.000
Adjustments USD
Local Value
6,319.18
4,646.11
11,096.92
8,158.90
8,419.17
6,190.11
Description
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
EFTA01570243
EUR EXCHANGE RATE 1.266400000 DEAL 01/13/12
VALUE 01/17/12 (ID: OEURPR-AA-9)
SOLVAY SA ISIN BE0003470755 SEDOL 4821100 @
1.20 PER SHARE (ID: 834437-91-5)
SOLVAY SA ISIN BE0003470755 SEDOL 4821100 TAX
WITHHELD BELGIUM 25.00% (ID: OEURPR-AA-9)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.302200000 DEAL 01/23/12
VALUE 01/25/12 (ID: OEURPR-AA-9)
($1,945.94)
($37.03)
77.000
(23.100)
90.240
1.538
1.20
118.42
92.40
(29.61)
(23.10)
(90.24)
(69.30)
1.43
Quantity
1,944.510
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
(1,944.51)
(1,535.46)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
(38.46)
EFTA01570244
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Hong Kong Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Foreign Exchange - Outflows
Ending Cash Balance
* 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
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* 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
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Period
Value
-309.23
$309.23
(308.96)
($308.96)
-Year-To-Date
Value*
-309.23
$309.23
(308.96)
($308.96)
-Local
EFTA01570245
Value
Current
Period Value
0.00
2,400.00
2,400.00
(2,400.00)
(2,400.00)
0.00
Year-To-Date
Value*
-2,400.00
2,400.00
(2,400.00)
(2,400.00)
-Page
35 of 50
EFTA01570246
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Detail - Hong Kong Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/19
1/27
Foreign Dividend
Spot FX
Total Inflows & Outflows
Description
SUN HUNG KAI PROPERTIES ISIN HK0016000132 SEDOL
6859927 @ 2.40 PER SHARE (ID: Y82594-12-1)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
HKD EXCHANGE RATE 7.768100000 DEAL 01/24/12
VALUE 01/27/12 (ID: OHKDPR-AA-4)
$0.27
($0.27)
Quantity
1,000.000
308.960
Amount USD
Local Value
0.309
2.40
PRINCIPAL
Amount USD
Local Value
309.23
2,400.00
(308.96)
(2,400.00)
(0.27)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 36 of 50
EFTA01570247
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Japanese Yen
PRINCIPAL
US Dollar Value
Current
Transactions
Contributions
INFLOWS
Total Inflows
OUTFLOWS **
Total Outflows
Foreign Exchange - Outflows
TRADE ACTIVITY
Total Trade Activity
Period Value
Beginning Cash Balance
-612.74
$612.74
(610.95)
($610.95)
Settled
Sales/Maturities/Redemptions
Ending Cash Balance
* 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
10,173.02
$10,173.02
-Year-To-Date
Value*
-612.74
$612.74
(610.95)
($610.95)
10,173.02
$10,173.02
-Local
Value
Current
Period Value
0.00
47,055.00
47,055.00
(47,055.00)
(47,055.00)
784,035.00
784,035.00
784,035.00
Year-To-Date
Value*
EFTA01570248
-47,055.00
47,055.00
(47,055.00)
(47,055.00)
784,035.00
784,035.00
-Page
37 of 50
EFTA01570249
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Japanese Yen
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* 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 - Japanese Yen
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/11
1/17
Misc Receipt
Spot FX
Total Inflows & Outflows
Description
REP: JPY RECEIVED FROM GHISLAINE MAXWELL
JAPANESE YEN AS OF 01/10/12 (ID: OJPYPR-AA-9)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
JPY EXCHANGE RATE 77.020000000 DEAL 01/13/12
VALUE 01/17/12 (ID: OJPYPR-AA-9)
$1.79
($1.79)
Quantity
47,055.000
610.950
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
612.74
47,055.00
(610.95)
(47,055.00)
(1.79)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Period Value
--Year-To-Date
Value*
EFTA01570250
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
38 of 50
EFTA01570251
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
TRADE ACTIVITY - Japanese Yen
Note:
Trade Date
Settle Date
1/20
1/25
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
JAPAN TOBACCO INC ISIN JP3726800000 SEDOL
6474535 (ID: J27869-91-6)
Quantity
(2.000)
S indicates Short Term Realized Gain/Loss
Per Unit
Amount USD
Local Value
5,086.51
393,000.00
Proceeds USD
Local Value
10,173.02
784,035.00
Tax Cost USD
Realized
Local Value Gain/Loss USD
(8,930.02)
(685,646.76)
1,243.00 S
Page 39 of 50
EFTA01570252
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Norwegian Krone
PRINCIPAL
US Dollar Value
Current
Transactions
Income
INFLOWS
Total Inflows
OUTFLOWS **
Total Outflows
Withdrawals
TRADE ACTIVITY
Total Trade Activity
Settled Sales/Maturities/Redemptions
Ending Cash Balance
* 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
Period Value
Beginning Cash Balance
-77.08
$77.08
(103,037.48)
($103,037.48)
102,960.95
$102,960.95
-Year-To-Date
Value*
-77.08
$77.08
(103,037.48)
($103,037.48)
102,960.95
$102,960.95
-Local
Value
Current
Period Value
0.00
457.08
457.08
(592,609.74)
(592,609.74)
592,152.66
592,152.66
0.00
Year-To-Date
Value*
-457.08
EFTA01570253
457.08
(592,609.74)
(592,609.74)
592,152.66
592,152.66
-Page
40 of 50
EFTA01570254
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Norwegian Krone
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* 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 - Norwegian Krone
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/4
Foreign Interest
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.7500% DATED 12/28/2011 MATURITY 01/04/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2526W9-9P-4)
1/4
1/4
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.7500% DATED 12/28/2011 MATURITY 01/04/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526W9-9P-4)
(92.200)
(632,257.290)
(15.59)
(92.20)
Quantity
632,257.290
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
15.59
92.20
INCOME
Amount USD
Local Value
Currency
EFTA01570255
Gain/Loss USD
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
41 of 50
EFTA01570256
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/4
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.4500% DATED 01/04/2012 MATURITY 01/13/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526Z9-9H-9)
1/9
Free Delivery
High Cost
1/9
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.0000% DATED 12/30/2011 MATURITY 01/09/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526Y9-9G-2)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.5500% DATED 01/09/2012 MATURITY 01/17/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 252769-9P-5)
1/13
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.4500% DATED 01/04/2012 MATURITY 01/13/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2526Z9-9H-9)
1/13
1/13
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
1/13
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.4500% DATED 01/04/2012 MATURITY 01/13/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526Z9-9H-9)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 01/13/2012 MATURITY 01/20/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527E9-9B-3)
632,420.630
(71.140)
(632,349.490)
EFTA01570257
(11.85)
(71.14)
632,349.490
11.85
71.14
592,152.660
(592,152.660)
Quantity
632,349.490
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 42 of 50
EFTA01570258
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/17
Foreign Interest
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.5500% DATED 01/09/2012 MATURITY 01/17/2012
HELD BY LONDON TREASURY SERVICES
(ID: 252769-9P-5)
1/20
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 01/13/2012 MATURITY 01/20/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527E9-9B-3)
1/20
1/20
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
1/20
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 01/13/2012 MATURITY 01/20/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527E9-9B-3)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 01/20/2012 MATURITY 01/27/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527G9-9T-2)
1/27
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 01/20/2012 MATURITY 01/27/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527G9-9T-2)
1/27
1/27
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Misc Disbursemen
DataSet-10
Unknown
1 pages
CHISLAINE MAXWELL-HY ACCT.
For the Period 7/1/11 to 7/31/11
Trade Date Per Unit
Settle Date Type DelaIptIon Quantity Amount Market Cost
Settled Securities Purchased
7/6 Purchase SPRINT CAPITAL CORP 6.90% MAY 1 2019 DID 5/6/99 20.000.000 104.00 (20,800.00)
7/11 12 104.00 BANC OF AMERICA SEC LLC FACE VALUE
20,000.00 (ID: 852060-AG-7)
7/6 Purchase CRICKET COMMUNICATIONS INC 7 3/4% MAY 152016 15.000.000 107.00 (16,050.00)
7/11 DTD 11/15/2009 0 107.00 BANC OF AMERICA SEC LLC
FACE VALUE 15.000.00 (ID: 226566-AK-3)
7)6 Purchase IRON MOUNTAIN INC 8 3/8% AUG 15 2021 DTD 15,000.000 106.00 (15,900.00)
7111 °ono/woo 0 108.00 DEUTSCHE BANK ALEX BROWN
FACE VALUE 15,000.00 (ID: 46264P-AM-6)
7/6 Purchase GMAC 8% NOV 01 2031 DID 12/31/2008 . 109.25 6,000.000 109.30 (6555.00)
7/11 GOLDMAN SACHS & CO. FACE VALUE 6,000.00
(ID: 36186C-BY-8)
7/6 Purchase GMAC 8% NOV 01 2031 DID 12/31/2008 0 109.25 9,000.000 109.30 (9,832.50)
7/11 BANC OF AMERICA SEC LLC FACE VALUE 9,000.00
(ID: 36186C-BY-8)
7/6 Purchase AMERICAN INTL GROUP 8.175% MAY 15 2058 01D 3,000.000 109.60 (3.288.75)
7/11 05/15/2009 0 109.625 CREDIT SUISSE FIRST BOSTON
LLC FACE VALUE 3,000.00 (ID: 026874-BS-5)
7/6 Purchase MGM RESORTS INTERNATIONAL 9% MAR 15 2020 DTD 15,000.000 110.80 (16,612.50)
7/11 03/15/2011 0 110.75 BANC OF AMERICA SEC LLC
FACE VALUE 15,000.00 (ID: 553030-AD-2)
7/6 Purchase DAVITA INC 6 3/8% NOV 01 2018 DTD 10/20/2010 10,000.000 10200 (10,200.00)
7/11 102.00 MORGAN STANLEY & CO. INCORPORATED FACE
VALUE 10,000.00 (ID: 23918K-AL-2)
7/8 Purchase INTL LEASE FINANCE CORP 81/4% DEC 15 2020 DID 4,000.000 110.00 (4.400.00)
7/12 12/07/2010 0110.00 SALOMON BROTHERS FACE VALUE
4,000.00 (ID: 459745-GF-6)
J.P.Morgan Page 29 of 35
Confidential Treatment Requested by JPMorgan JPM-SDNY-00050138
Chase
CONFIDENTIAL SDNY_GM_00319336
EFTA01522577
DataSet-10
Unknown
138 pages
GHISLAINE MAXWELL
EFTA01569880
EFTA01569881
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
(Reviewed)
For the Period 11/1/11 to 11/30/11
Asset Account
J.P. Morgan Team
Paul Morris
Ian Hirschfield
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
Holdings
Equity
Alternative Assets
Cash & Fixed Income
Portfolio Activity
Page
2
4
16
17
24
0000005442.15.0.15.00003.MAXWE00.20111205
Page 1 of 66
EFTA01569882
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
723,367.50
51,256.00
2,603,425.93
$3,378,049.43
22,021.62
$3,400,071.05
Ending
Market Value
1,631,152.30
48,724.00
3,282,112.87
$4,961,989.17
20,212.45
$4,982,201.62
Current
Portfolio Activity
Beginning Market Value
Contributions
Withdrawals & Fees
Securities Transferred In
Securities Transferred Out
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
Period Value
3,378,049.43
344,458.81
(440.79)
4,432,966.90
(3,088,764.77)
$1,688,220.15
8,979.21
(113,259.62)
$4,961,989.17
20,212.45
$4,982,201.62
EFTA01569883
Change
In Value
907,784.80
(2,532.00)
678,686.94
$1,583,939 74
(1,809.17)
$1,582,130 57
Equity
Year-to-Date
Value
1,946,279.39
1,149,972.16
(153,417.52)
16,689,293.77
(15,138,209.44)
$2,547,638.97
84,578.24
383,492.57
$4,961,989.17
20,212.45
$4,982,201.62
Estimated
52,169.67
55,587.39
$107,757.06
Current
Annual Income Allocation
34%
1%
65%
100%
Alternative
Assets
Cash &
Fixed Income
Asset Allocation
Page 2 of 66
EFTA01569884
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Account Summary
Tax Summary
Domestic Dividends/Distributions
Foreign Dividends
Currency Gain/Loss
Interest Income
Accrued Interest Current Year
Taxable Income
Tax-Exempt Income
Bond Premium Amortization
Accrued Interest Subsequent Year
Tax-Exempt Income
CONTINUED
Current
Period Value
430.00
105.77
(0.84)
8,192.33
$8,727.26
2,866.67
(17.50)
(2,597.22)
$251.95
Year-to-Date
Value
9,649.03
105.77
17.80
83,772.06
(9,218.37)
$84,326.29
2,866.67
(17.50)
(2,597.22)
$251.95
Unrealized Gain/Loss
To-Date Value
($253,087.31)
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
(97,962.97)
($97,962.97)
Year-to-Date
Value
19,728.75
EFTA01569885
(63,328.29)
($43,599.54)
Cost Summary
Equity
Cash & Fixed Income
Total
3,252,334.96
Cost
780,736.45
$4,033,071.41
Page 3 of 66
EFTA01569886
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Equity Summary
Asset Categories
US Large Cap Equity
US Small/Mid Cap Equity
Non-US Equity
Preferred Stocks
Concentrated & Other Equity
Unclassified
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Beginning
Market Value
58,286.00
7,050.00
32,320.00
422,405.00
203,306.50
0.00
$723,367.50
Ending
Market Value
283,435.07
5,010.00
501,612.46
404,636.00
192,845.50
243,613.27
$1,631,152 30
Current
Period Value
1,631,152.30
780,736.45
(113,198.95)
52,169.67
2,995.61
3.18%
US Large Cap Equity
Equity as a percentage of your portfolio - 34 %
Change
In Value
225,149.07
(2,040.00)
469,292.46
EFTA01569887
(17,769.00)
(10,461.00)
243,613.27
$907,784.80
Current
Allocation
6%
1%
10%
8%
4%
5%
34%
Preferred Stocks
Unclassified
Concentrated & Other Equity
US Small/Mid Cap Equity
Non-US Equity
Asset Categories
Page 4 of 66
EFTA01569888
GHISL LL
ACCT.
For the Period 11/1/11 to 11/30/11
Note:
P
**
indicates position adjusted for Pending Trade Activity.
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.
Equity Detail
Price
US Large Cap Equity
APACHE CORP
AT&T INC
00206R-10-2 T
P AUTOZONE INC
053332-10-2 AZO
BANK OF AMERICA CORP
BB & T CORP
BROADCOM CORP
060505-10-4 BAC
23.17
054937-10-7 BBT
30.35
CL A
111320-10-7 BRCM
CAPITAL ONE FINANCIAL CORP
CHEVRON CORP
CITIGROUP INC NEW
14040H-10-5 COF
102.82
166764-10-0 CVX
27.48
172967-42-4 C
358.000
9,837.84
N/A **
N/A
116.000
11,927.12
N/A **
N/A
44.66
114.000
5,091.24
N/A **
N/A
22.80
5.70
EFTA01569889
375.84
93.96
14.32
0.45%
3.15%
0. 15%
250.000
7,586.25
N/A **
N/A
90.00
1.19%
309.000
7,159.53
N/A **
N/A
328.38
5.44
944.000
5,135.36
N/A **
N/A **
N/A
N/A
37.76
9.44
197.76
0.74%
2.76%
99.44
037411-10-5 APA
28.98
1,000.000
28,980.00
31,610.00
(2,630.00)
1,720.00
5.94%
95.000
9,446.80
N/A **
N/A
57.00
0.60%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
EFTA01569890
Accrued Div.
Yield
Page 5 of 66
EFTA01569891
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
US Large Cap Equity
COCA-COLA CO
191216-10-0 KO
COGNIZANT TECHNOLOGY SOLUTIONS CORP
CL A
P
P
192446-10-2 CTSH
COMCAST CORP
CL A
20030N-10-1 CMCS A
P
DOMINION RESOURCES INC VA
E I DU PONT DE NEMOURS & CO
E M C CORP MASS
EXXON MOBIL CORP
HUMANA INC
25746U-10-9 D
47.72
263534-10-9 DD
23.01
268648-10-2 EMC
80.44
30231G-10-2 XOM
88.68
444859-10-2 HUM
P
JOHNSON CONTROLS INC
KROGER CO
NIKE INC B
478366-10-7 JCI
23.18
501044-10-1 KR
96.18
654106-10-3 NKE
OCCIDENTAL PETROLEUM CORP
674599-10-5 OXY
98.90
144.000
14,241.60
N/A **
N/A
264.96
1.86%
N/A **
N/A
265.000
EFTA01569892
6,142.70
N/A **
N/A
121.90
30.48
1.98%
1.50%
31.48
301.000
9,475.48
N/A **
N/A
216.72
2.29%
N/A **
N/A
1.13%
190.000
15,283.60
N/A **
N/A
357.20
2.34%
468.000
10,768.68
N/A **
N/A
224.000
10,689.28
N/A **
N/A
51.62
N/A **
N/A
89.64
367.36
91.84
3.44%
3.82%
67.35
22.67
102.000
6,869.70
N/A **
N/A **
N/A
N/A
1.99%
Quantity
Value
Adjusted Tax Cost
EFTA01569893
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
67.23
204.000
13,714.92
N/A **
N/A
383.52
95.88
2.80%
Page 6 of 66
EFTA01569894
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
US Large Cap Equity
P ORACLE CORP
68389X-10-5 ORCL
PROSHARES ULTRASHORT S&P 500
PROSHARES TRUST
QUALCOMM INC
SCHLUMBERGER LTD
TIME WARNER INC
74347R-88-3 SDS
45.01
74347X-23-7 QID
54.80
747525-10-3 QCOM
75.33
806857-10-8 SLB
34.82
NEW
887317-30-3 TWX
P
UNION PACIFIC CORP
UNITEDHEALTH GROUP INC
UNITED TECHNOLOGIES CORP
VERIZON COMMUNICATIONS INC
WALT DISNEY CO
907818-10-8 UNP
48.77
91324P-10-2 UNH
76.60
913017-10-9 UTX
37.73
92343V-10-4 VZ
35.85
254687-10-6 DIS
229.000
8,209.65
N/A **
N/A
91.60
1.12%
N/A **
N/A
162.000
12,409.20
N/A **
N/A
311.04
77.76
EFTA01569895
2.51%
5.30%
198.000
9,656.46
N/A **
N/A
103.41
109.000
11,271.69
N/A **
N/A
261.60
65.40
128.70
2.32%
1.33%
290.000
10,097.80
N/A **
N/A
113.000
8,512.29
N/A **
N/A
176.000
9,644.80
N/A **
N/A
151.36
37.84
113.00
28.25
272.60
68.15
1.57%
1.33%
2.70%
200.000
9,002.00
26,203.50
(17,201.50)
19.92
1,000.000
19,920.00
44,809.50
(24,889.50)
31.35
N/A **
N/A
0.77%
Quantity
EFTA01569896
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Page 7 of 66
EFTA01569897
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
US Large Cap Equity
WELLS FARGO & CO
Total US Large Cap Equity
949746-10-1 WFC
$283,435.07
$102,623.00
($44,721.00)
$5,786.48
$694.34
US Small/Mid Cap Equity
GERON CORP
374163-10-3 GERN
Non-US Equity
P
P
ACCENTURE PLC-CL A
ACE LTD NEW
AKZO NOBEL N V
G1151C-10-1 ACN
69.53
H0023R-10-5 ACE
50.51
ISIN NL0000009132/SEDOL 5458314
N01803-90-2 EUR
ALLIANZ SE HOLDING
ISIN DE0008404005 SEDOL 5231485
D03080-90-6 EUR
ATLAS COPCO AB-A SHS
ISIN SE0000101032 SEDOL B1QGR41
W10020-92-8 SEK
21.43
442.000
9,470.63
N/A **
N/A
102.59
77.000
7,899.44
N/A **
N/A
149.000
7,525.62
N/A **
N/A
N/A **
N/A
2.01%
EFTA01569898
57.93
N/A **
N/A
2.33%
2.04%
25.86
478.000
12,361.08
N/A **
N/A
229.44
1.86%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
1.67
3,000.000
5,010.00
18,129.32
(13,119.32)
Page 8 of 66
EFTA01569899
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-US Equity
AVIVA PLC
ISIN GB0002162385 SEDOL 0216238
G2307K-92-2 GBP
BAYER AG REGISTERED SHS
ISIN DE000BAY0017 SEDOL 5069211
072733-91-8 EUR
BRITISH AMERICAN TOBACCO PLC
ISIN GB0002875804 SEDOL 0287580
G1510J-91-2 GBP
CAP GEMINI S A
ISIN FR0000125338 SEDOL 4163437
F13587-92-2 EUR
CENTRICA
ISIN GB00B033F229 SEDOL B033F22
15639K-90-4 GBP
CINEWORLD GROUP PLC
ISIN GBOOB15FWH70 SEDOL Bl5FWH7
172145-91-4 GBP
COVIDIEN PLC NEW
CREDIT SUISSE GROUP AG
G2554F-11-3 COV
24.13
ISIN CH0012138530 SEDOL 7171589
H3698D-93-0 CHF
DRAX GROUP PLC
ISIN GBOOB1VNSX38 SEDOL BlVNSX3
G2904K-92-9 GBP
ERICSSON LM-B SHS
ISIN SE0000108656 SEDOL 5959378
W26049-91-1 SEK
Page 9 of 66
10.73
793.000
8,507.47
N/A **
N/A
8.80
5,300.000
46,639.02
N/A **
N/A
230.000
5,549.41
N/A **
N/A
45.55
236.000
EFTA01569900
10,749.80
N/A **
N/A
212.40
1.98%
3.19
4,500.000
14,349.83
N/A **
N/A
4.75
1,556.000
7,385.88
N/A **
N/A
37.82
217.000
8,206.96
N/A **
N/A
46.32
293.000
13,571.45
N/A **
N/A
65.52
163.000
10,679.29
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
4.90
6,000.000
29,414.50
N/A **
N/A
EFTA01569901
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-US Equity
GDF SUEZ
ISIN FR0010208488 SEDOL BOC2CQ3
36827E-91-4 EUR
P GLAXOSMITHKLINE PLC
ISIN GB0009252882/SEDOL 0925288
G3910J-90-6 GBP
JAPAN TOBACCO INC
ISIN JP3726800000 SEDOL 6474535
J27869-91-6 JPY
JFE HOLDINGS INC
ISIN JP3386030005 SEDOL 6543792
476990-91-6 JPY
MARINE HARVEST ASA
ISIN N00003054108 SEDOL B02L486
693045-91-6 NOK
MARKS & SPENCER PLC - GBP
ISIN GB0031274896 SEDOL 3127489
G5824M-92-5 GBP
MARSTON'S PLC
ISIN GBOOB1JODM80 SEDOL B1JQDM8
G58512-91-7 GBP
MITSUBISHI UFJ FINANCIAL GROUP
ISIN JP3902900004 SEDOL 6335171
J44497-92-3 JPY
MITSUI & CO
ISIN JP3893600001 SEDOL 6597302
J43787-91-0 JPY
15.23
500.000
7,613.04
N/A **
N/A
4.23
1,400.000
5,915.24
N/A **
N/A
5.19
1.51
4,350.000
30,000.000
22,591.22
45,202.26
N/A **
N/A **
N/A
EFTA01569902
426.54
N/A
0.43
25,000.000
10,825.85
N/A **
N/A
17.89
200.000
3,578.51
N/A **
N/A
4,695.35
2.000
9,390.70
N/A **
N/A
22.07
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
27.98
289.000
8,086.14
N/A **
N/A
Page 10 of 66
EFTA01569903
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-US Equity
NESTLE SA-REG
ISIN CH0038863350 SEDOL 7123870
H57312-92-0 CHF
NISSAN MOTOR CO LTD
ISIN JP3672400003 SEDOL 6642860
J57160-91-3 JPY
PERNOD-RICARD SA
ISIN FR0000120693 SEDOL 4682329
F72027-91-9 EUR
PHILIPS ELECTRONICS N.V.
ISIN NL0000009538 SEDOL 5986622
N6983Q-91-5 EUR
PPR SA
ISIN FR0000121485 SEDOL 5505072
F74953-93-0 EUR
QBE INSURANCE GROUP LTD
ISIN AU000000QBE9 SEDOL 6715740
Q78063-91-6 AUD
P
RESEARCH IN MOTION LIMITED
RIO TINTO PLC
760975-10-2 RIMM
52.52
ISIN GB0007188757 SEDOL 0718875
766994-90-9 GBP
P
P
ROCHE HOLDINGS AG-GENUSSS
ISIN CH0012032048 SEDOL 7110388
H69293-93-6 CHF
ROYAL DUTCH SHELL PLC - A
ISIN GBOOB03MLX29 SEDOL BO3MLX2
G7690A-91-0 GBP
Page 11 of 66
34.98
N/A **
N/A
159.31
N/A **
N/A
191.000
10,030.52
N/A **
N/A
17.86
400.000
EFTA01569904
7,144.00
29,496.00
(22,352.00)
13.83
400.000
5,530.98
N/A **
N/A
149.69
38.000
5,688.29
N/A **
N/A
20.26
337.000
6,827.47
N/A **
N/A
340.23
3.70%
94.28
102.000
9,617.00
N/A **
N/A
8.89
1,200.000
10,665.98
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
56.20
186.000
10,453.11
N/A **
N/A
378.06
3.29%
EFTA01569905
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-US Equity
P ROYAL DUTCH SHELL PLC -A
ISIN GBOOB03MLX29 SEDOL BO9CBL4
780259-99-0 EUR
RSA INSURANCE GROUP PLC
ISIN GB0006616899 SEDOL 0661689
G8566X-91-9 GBP
SANOFI
ISIN FR0000120578 SEDOL 5671735
F5548N-91-1 EUR
SCHNEIDER S A
ISIN FR0000121972 SEDOL 4834108
F86921-91-7 EUR
SHISEIDO COMPANY LIMITED
ISIN JP3351600006 SEDOL 6805265
824841-91-0 JPY
SODEXHO
ISIN FR0000121220/SEDOL 7062713
F84941-91-7 EUR
SOLVAY SA
ISIN BE0003470755 SEDOL 4821100
834437-91-5 EUR
STANDARD CHARTERED PLC
ORD U$ 0.50
ISIN GB0004082847 SEDOL 0408284
G84228-92-6 GBP
STORA ENSO OYJ
R SHS
ISIN FI0009005961 SEDOL 5072673
X21349-90-1 EUR
Page 12 of 66
6.23
933.000
5,812.57
N/A **
N/A
21.77
555.000
12,080.99
N/A **
N/A
93.77
77.000
7,220.51
N/A **
N/A
72.58
EFTA01569906
175.000
12,702.27
N/A **
N/A
18.25
400.000
7,301.30
N/A **
N/A
56.54
164.000
9,272.28
N/A **
N/A
70.12
156.000
10,938.87
N/A **
N/A
1.70
23,800.000
40,502.10
N/A **
N/A
34.84
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
EFTA01569907
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-US Equity
SUN HUNG KAI PROPERTIES
ISIN HK0016000132 SEDOL 6859927
Y82594-12-1 SHKP HKD
UNILEVER PLC
ISIN GBOOB1ORZP78 SEDOL B1ORZP7
904767-91-0 GBP
VODAFONE GROUP PLC
ISIN GBOOB16GWD56 SEDOL B16GWD5
92857W-92-8 GBP
Total Non-US Equity
$501,612.46
$29,496.00
($22,352.00)
2.71
5,404.000
14,635.98
N/A **
N/A
260.68
$930.69
$687.22
Emerging Market Equity
P SHIRE PLC
ISIN JEO0B2OKY057 SEDOL B2OKY05
G8124V-91-8 GBP
Preferred Stocks
CITIGROUP CAPITAL XIII
7 7/8% PFD
173080-20-1 C PNNA /BA1
COUNTRYWIDE CAPITAL V
7% PFD
222388-20-9 CFC PB
20.08
4,200.000
84,336.00
98,778.96
(14,442.96)
7,350.00
8.72%
33.53
N/A **
N/A
0.16%
33.61
299.000
10,049.61
EFTA01569908
N/A **
N/A
11.99
1,000.000
11,986.37
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
25.67
10,000.000
256,700.00
261,300.00
(4,600.00)
19,690.00
7.67%
Page 13 of 66
EFTA01569909
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Price
Preferred Stocks
3PM CHASE CAPITAL XXIX
6.7% PFD
48125E-20-7 3PM PC
Total Preferred Stocks
25.44
2,500.000
63,600.00
$404,636.00
62,500.00
$422,578.96
1,100.00
($17,942.96)
4,187.50
$31,227.50
6.58%
7.72%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Concentrated & Other Equity
GENERAL MOTORS CO
34.18
CV PFD B
37045V-20-9 GM PB
JPMORGAN CHASE & CO
7.9% PFD STK APR 30 2049
DTD 04/23/2008
46625H-HA-1 BBB /BAA
Total Concentrated & Other Equity
$192,845.50
$207,909.17
($15,063.67)
$14,225.00
$1,614.05
Unclassified
DB X-TRACKERS
ISIN LU0292106167 SEDOL B3DYFK4
892352-91-5
ETFS METAL SECURITIES LTD
ISIN 3E00B1VS3770 SEDOL BlVS377
131994-91-5
EFTA01569910
171.36
301.000
51,577.86
N/A **
N/A
7.35%
105.78
150,000.000
158,665.50
157,909.17
756.33
11,850.00
1,020.30
7.44%
1,000.000
34,180.00
50,000.00
(15,820.00)
2,375.00
593.75
6.95%
42.82
2,058.000
88,113.27
N/A **
N/A
Page 14 of 66
EFTA01569911
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Price
Unclassified
ISHARES MARKIT IBOXX CORPORATE BOND
ISIN IE00B00FV011 SEDOL BOOFV01
461278-91-3 GBP
PIMCO FUNDS GLOBAL INVESTORS SERIES
- GLOBAL INVESTMENT GRADE CREDIT
FUND
ISIN IE00B3BMD843 SEDOL B3BMD84
695421-91-7 GBP
Total Unclassified
$243,613.27
$0.00
$0.00
$0.00
0.00%
19.44
4,361.513
84,786.97
N/A **
N/A
182.24
105.000
19,135.17
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Page 15 of 66
EFTA01569912
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Estimated Value
51,256.00
Alternative Assets Detail
Price
Hard Assets
BARC CALLABLE PALLDIUM CP NT
05/14/12
LNKD TO PLDMLNPM
7.4% CPN, 20% MAX, 80% BARRIER
05/03/2011
06738K-JA-0
ISHARES SILVER TRUST
Total Hard Assets
46428Q-10-9 SLV
$48,724.00
$64,010.03
32.00
1,000.000
32,000.00
44,010.03
83.62
20,000.000
16,724.00
20,000.00
Quantity
Estimated
Value
Cost
Ending
Estimated Value
48,724.00
Change
In Value
(2,532.00)
Current
Allocation
1%
Page 16 of 66
EFTA01569913
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Non-USD Cash
Non-USD Short Term
US Fixed Income
Non-US Fixed Income
Complementary Structured Strategies
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
Market Value
561,111.85
776,606.24
53,169.02
630,092.50
438,785.32
143,661.00
$2,603,425 93
Ending
Market Value
1,001,899.23
124,902.80
792,795.70
624,354.50
603,783.14
134,377.50
$3,282,112.87
Current
Period Value
3,282,112.87
3,252,334.96
(124,602.33)
55,587.39
17,216.84
1.98%
US Fixed Income
Cash & Fixed Income as a percentage of your portfolio 65 %
Change
In Value
440,787.38
(651,703.44)
739,626.68
EFTA01569914
(5,738.00)
164,997.82
(9,283.50)
$678,686.94
Current
Allocation
18%
Cash
3%
16%
13%
12%
3%
65%
Non-US Fixed Income
Non-USD Cash
Complementary Structured
Strategies
Non-USD Short Term
Asset Categories
Page 17 of 66
EFTA01569915
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
6-12 months,
1-5 years,
5-10 years,
10+ years,
Total Value
1
SUMMARY BY TYPE
Market
Value
2,100,083.14
50,229.21
643,193.52
269,077.50
219,529.50
$3,282,112.87
% of Bond
Portfolio
66%
1%
19%
8%
6%
100%
The years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their stated maturity.
Note:
P indicates position adjusted for Pending Trade Activity.
**
A - Bonds purchased at a premium show amortization.
This is the Annual Percentage Yield (APY) which is the rate earned if
balances remain on deposit for a full year with compounding, there is no
change in the interest rate and all interest
is left in the account.
Unrealized Gain/Loss is shown as "N/A" in cases where we do not have
appropriate cost information for all tax lots comprising the position.
Please contact your J.P. Morgan team for additional
information.
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
PROCEEDS FROM PENDING SALES
1.00
EFTA01569916
1.00
909,572.47
92,325.76
909,572.47
92,325.76
909,572.47
92,325.76
272.87
19.79
0.03%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Cash & Fixed Income
Cash
NON USD Cash
Corporate Bonds
Municipal Bonds
International Bonds
Complementary Structure
Total Value
Market
Value
1,001,899.23
124,902.80
270,125.00
219,529.50
1,531,278.84
134,377.50
$3,282,112 87
% of Bond
Portfolio
30%
3%
8%
6%
49%
4%
100%
Page 18 of 66
EFTA01569917
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
Cash
JPM NY MUNI MM FD - MORGAN
Total Cash
1.00
1.00
1.00
$1,001,899 23
1.00
$1,001,899.23
$0.00
$272.87
$19.79
P
P
P
Non-USD Cash
SWISS FRANC
EURO PRINCIPAL CURRENCY
POUND STERLING
NORWEGIAN KRONE
TURKISH LIRA NEW
PRINCIPAL CURRENCY
Total Non-USD Cash
0.03%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
1.10
1.35
1.57
0.17
0.55
5,466.95
43,378.82
30,044.28
14,769.57
19,500.00
6,006.65
58,394.36
47,253.61
2,560.33
EFTA01569918
10,687.85
$124,902.80
5,926.23
58,474.53
46,728.91
2,548.90
11,816.03
$125,494.60
80.42
(80.17)
524.70
11.43
(1,128.18)
($591.80)
$0.00
0.00%
Non-USD Short Term
JP MORGAN CHASE BANK - CAD
98.35
LONDON TIME DEPOSITS 0.6600%
DATED 11/25/2011 MATURITY 12/02/2011
HELD BY LONDON TREASURY SERVICES
Bearer
2526E9-9J-8 CAD
114,959.75
113,065.90
112,569.43
496.47
746.23
12.43
0.70%
Page 19 of 66
EFTA01569919
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-USD Short Term
JP MORGAN CHASE BANK - GBP
LONDON TIME DEPOSITS 0.3000%
DATED 11/25/2011 MATURITY 12/02/2011
HELD BY LONDON TREASURY SERVICES
Bearer
2526E9-9R-0 GBP
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3000%
DATED 11/25/2011 MATURITY 12/02/2011
HELD BY LONDON TREASURY SERVICES
Bearer
2526E9-9V-1 NOK
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3000%
DATED 11/30/2011 MATURITY 12/07/2011
HELD BY LONDON TREASURY SERVICES
Bearer
2526H9-9S-5 NOK
INTL BK RECON & DEVELOP - BRL
8.75% JUN 15 2012
DTD 08/20/2009
HELD BY EUROCLEAR
ISIN XS0446421157 SEDOL B435Z93
459058-96-1 NA /AAA BRL
Total Non-USD Short Term
$792,795.70
$801,613.03
($8,817.33)
$9,124.56
$2,077.00
1.11%
55.81
90,000.00
50,229.21
50,106.74
122.47
4,369.53
2,017.62
7.46%
17.34
631,661.39
109,499.94
103,545.12
5,954.82
1,423.49
3.94
1.31%
EFTA01569920
17.34
591,468.05
102,532.34
102,844.87
(312.53)
1,332.91
22.14
1.37%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
157.28
265,430.01
417,468.31
432,546.87
(15,078.56)
1,252.40
20.87
0.34%
Page 20 of 66
EFTA01569921
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
US Fixed Income
HSBC FINANCE CORP
MEDIUM TERM NOTE 2.9% OCT 15 2015
DTD 10/15/2010
40429X-YB-6 A /A3
GENERAL ELEC CAP CORP
MEDIUM TERM FLOATING RATE NOTE
MAY 11 2016 DTD 05/11/2007
36962G-2V-5 AA+ /AA2
BANK OF AMERICA CORP
MEDIUM TERM NOTE
3.6% NOV 15 2016
DTD 11/04/2010
06050W-DW-2 A- /BAA
BARCLAYS BANK PLC
MEDIUM TERM NOTE 2 2/1% OCT 20 2017
DTD 10/20/2010
06740P-VG-8 NA /AA3
A MI ST MUNI BOND AUTH
ST CLEAN WTR REVOLVING FD 5%
OCT 01 2026 DTD 11/02/2006
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 10/01/2016 @ 100
59455T-PF-3 AAA /AAA
A BIRDVILLE TEXAS INDEPENDENT SCHOOL
DIST PERM SCH GTD FUND UNLIMITED TAX
5% FEB 15 2029 DTD 01/15/2007
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 02/15/2017 @ 100
090874-FV-5 AAA /AAA
110.26
100,000.00
110,258.00
110,436.27
110,503.00
(178.27)
5,000.00
1,472.20
4.16%
109.86
50,000.00
54,928.00
55,418.16
55,424.00
(490.16)
2,500.00
416.65
EFTA01569922
4.11%
89.80
150,000.00
134,700.00
150,000.00
(15,300.00)
3,750.00
427.05
4.49%
86.89
150,000.00
130,329.00
150,000.00
(19,671.00)
5,400.00
240.00
6.76%
91.35
50,000.00
45,676.00
45,394.50
281.50
326.39
17.40
2.72%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
94.12
100,000.00
94,120.00
100,000.00
(5,880.00)
2,900.00
370.50
4.57%
Page 21 of 66
EFTA01569923
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
US Fixed Income
A MA ST HLTH & EDUCTNL FACS AUTH
REVENUE HARVARD UNIV 5% B
JUL 15 2032 DTD 08/03/2005
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 07/15/2015 @ 100
57586C-FW-0 AAA /AAA
Total US Fixed Income
$624,354.50
$665,283.09
$665,361.50
Non-US Fixed Income
BLUEBAY HIGH YIELD BD FD GBP HDG-DB
ISIN LU0222772518
G13289-92-4 GBP
JPM MANAGED RESERVES C
ISHARES BARCLAYS CAPITAL
051398-91-5 GBP
20.86
ISIN IE00B1FZSD53 SEDOL B1G52V0
46578W-92-2 GBP
KFW - TRY
MTN 9 3/4% JUL 16 2013
DTD 02/10/2010
HELD BY EUROCLEAR
ISIN XS0484842470 SEDOL B637YV8
14085A-9A-6 AAA /AAA TRY
55.78
200,000.00
111,553.85
135,555.56
(24,001.71)
10,687.85
4,029.81
8.48%
5,790.00
120,752.34
N/A **
N/A
10,130.64
7.54
76,334.38
79,145.17
(2,810.79)
178.97
187.90
33,627.90
EFTA01569924
N/A **
N/A
($40,928.59)
$22,376.39
$3,888.20
4.74%
108.69
50,000.00
54,343.50
54,034.16
54,040.00
309.34
2,500.00
944.40
4.36%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 22 of 66
EFTA01569925
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-US Fixed Income
INTER AMERICAN DEVELOPMENT BANK- INR
MEDIUM TERM NOTE 3% MAR 25 2014
DTD 03/25/2010
HELD BY EUROCLEAR
ISIN XS0495010562 SEDOL B5114T3
U45818-9G-5 AAA /AAA INR
INTER AMERICAN DEVEL BK - IDR
MEDIUM TERM NOTE 6.50% JUN 04 2014
DTD 06/04/2010
HELD BY EUROCLEAR
ISIN XS0513770957 SEDOL B4YWHCO
45818W-9K-4 AAA /AAA IDR
Total Non-US Fixed Income
$603,783.14
$508,045.01
($58,642.11)
$23,813.57
$11,231.85
Complementary Structured Strategies
MS 7YNC1Y STEP-UP NOTE 09/13/17
INITIAL RATE 2.75% CPN
WHERE MAX RATE IS 6% PER ANNUM
DD 9/8/10
61745E-6Q-9 A- /A2
4.39%
0.01 1,300,000,000.00
139,399.00
150,112.11
(10,713.11)
9,275.52
4,561.70
7.61%
1.82
6,700,000.00
122,115.67
143,232.17
(21,116.50)
3,850.20
2,640.34
5.27%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
EFTA01569926
Accrued Interest
Yield
89.59
150,000.00
134,377.50
150,000.00
(15,622.50)
Page 23 of 66
EFTA01569927
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
Income
INFLOWS
7,911.27
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS **
Withdrawals
Interest Purchased
Foreign Exchange - Outflows
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
214,555.00
(219,967.00)
($5,412.00)
$909,572.47
* 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
576,179.13
(371,487.00)
$204,692.13
-$0.00
$0.00
$0.00
-(2,597.22)
($2,597.22)
298,152.58
50,406.99
$356,470.84
58,572.18
671,428.31
69,708.35
$799,708.84
(150,000.00)
(2,597.22)
(144,773.93)
($297,371.15)
$0.00
$0.00
EFTA01569928
$0.00
$0.00
Period
Value
561,110 85
Year-To-Date
Value*
-INCOME
Current
Period
Value
0.00
Year-To-Date
Value*
-Page
24 of 66
EFTA01569929
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - U S Dollar
Current
Cost Adjustments
Amortization
Cost Adjustments
Total Cost Adjustments
($17.50)
* Year to date information is calculated on a calendar year basis.
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
11/1
11/1
11/1
11/2
11/2
11/14
Div Domest
Interest Income
Interest Income
Spot FX
Spot FX
Corporate Interest
Description
AT&T INC @ 0.43 PER SHARE (ID: 00206R-10-2)
DEPOSIT SWEEP INTEREST FOR OCT. @ .03% RATE ON
NET AVG COLLECTED BALANCE OF $548,648.75 AS OF
11/01/11
COUNTRYWIDE CAPITAL V 7% PFD @ 0.4375 PER SHARE
(ID: 222388-20-9)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
IDR EXCHANGE RATE 860.090000000 DEAL 10/31/11
VALUE 10/31/11 (ID: OIDRPR-AA-9)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
IDR EXCHANGE RATE 884.000001000 DEAL 10/31/11
VALUE 10/31/11 (ID: OIDRPR-AA-9)
GENERAL ELEC CAP CORP MEDIUM TERM FLOATING RATE
NOTE MAY 11 2016 DTD 05/11/2007 AS OF 11/11/11
(ID: 36962G-2V-5)
Page 25 of 66
50,000.000
0.001
63.12
(419,625,000.000 )
(47,183.34)
47,233.79
4,200.000
(28,114,875.000 )
EFTA01569930
(3,161.28)
0.438
1,837.50
3,173.20
Quantity
Cost
1,000.000
Per Unit
Amount
0.43
PRINCIPAL
Amount
430.00
13.98
INCOME
Amount
Period Value
(17.50)
Year-To-Date
Value*
(17.50)
889,679.04
$889,661.54
EFTA01569931
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Description
BROADCOM CORP CL A JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 111320-10-7)
COGNIZANT TECHNOLOGY SOLUTIONS CORP CL A
JPMORGAN CHASE BANK TRADE DATE 11/15/11
(ID: 192446-10-2)
ORACLE CORP JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 68389X-10-5)
QUALCOMM INC JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 747525-10-3)
COMCAST CORP CL A JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 20030N-10-1)
CAPITAL ONE FINANCIAL CORP JPMORGAN CHASE BANK
TRADE DATE 11/15/11 (ID: 14040H-10-5)
SCHLUMBERGER LTD JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 806857-10-8)
BB & T CORP JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 054937-10-7)
BANK OF AMERICA CORP JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 060505-10-4)
EFTA01569932
EXXON MOBIL CORP JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 30231G- 10-2)
APACHE CORP JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 037411- 10-5)
AUTOZONE INC JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 053332- 10-2)
COCA-COLA CO JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 191216- 10-0)
237.000
0.00
176.000
0.00
360.000
0.00
114.000
0.00
113.000
0.00
309.000
0.00
944.000
0.00
190.000
0.00
95.000
0.00
22.000
0.00
204.000
0.00
Page 26 of 66
Quantity
Cost
Per Unit
Amount
250.000
0.00
102.000
0.00
PRINCIPAL
Amount
INCOME
Amount
EFTA01569933
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Description
E M C CORP MASS JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 268648-10-2)
E I DU PONT DE NEMOURS & CO JPMORGAN CHASE BANK
TRADE DATE 11/15/11 (ID: 263534-10-9)
HUMANA INC JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 444859-10-2)
JOHNSON CONTROLS INC JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 478366-10-7)
KROGER CO JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 501044-10-1)
NIKE INC B JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 654106-10-3)
OCCIDENTAL PETROLEUM CORP JPMORGAN CHASE BANK
TRADE DATE 11/15/11 (ID: 674599-10-5)
WELLS FARGO & CO JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 949746-10-1)
UNION PACIFIC CORP JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 907818-10-8)
UNITED TECHNOLOGIES CORP JPMORGAN CHASE BANK
EFTA01569934
TRADE DATE 11/15/11 (ID: 913017-10-9)
WALT DISNEY CO JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 254687-10-6)
DOMINION RESOURCES INC VA JPMORGAN CHASE BANK
TRADE DATE 11/15/11 (ID: 25746U-10-9)
UNITEDHEALTH GROUP INC JPMORGAN CHASE BANK
TRADE DATE 11/15/11 (ID: 91324P-10-2)
Quantity
Cost
Per Unit
Amount
468.000
0.00
224.000
0.00
63.000
0.00
301.000
0.00
265.000
0.00
116.000
0.00
144.000
0.00
478.000
0.00
109.000
0.00
162.000
0.00
229.000
0.00
182.000
0.00
198.000
0.00
PRINCIPAL
Amount
INCOME
Amount
Page 27 of 66
EFTA01569935
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/16
11/16
11/16
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Corporate Interest
Receipt of Assets
Receipt of Assets
Misc Credit
Description
VERIZON COMMUNICATIONS INC JPMORGAN CHASE BANK
TRADE DATE 11/15/11 (ID: 92343V-10-4)
CHEVRON CORP JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 166764-10-0)
CITIGROUP INC NEW JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 172967-42-4)
TIME WARNER INC NEW JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 887317-30-3)
ACCENTURE PLC-CL A JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: G1151C-10-1)
COVIDIEN PLC NEW JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: G2554F-11-3)
ACE LTD NEW JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: H0023R-10-5)
BANK OF AMERICA CORP MEDIUM TERM NOTE 3.6% NOV
15 2016 DTD 11/04/2010 (ID: 06050W-DW-2)
DB X-TRACKERS ISIN LU0292106167 SEDOL B3DYFK4
JP MORGAN CHASE BANK LONDON TRADE DATE 11/14/11
(ID: 892352-91-5)
ETFS METAL SECURITIES LTD ISIN JEO0B1VS3770
SEDOL BlVS377 JP MORGAN CHASE BANK LONDON TRADE
DATE 11/14/11 (ID: 131994-91-5)
BOOK TRANSFER CREDIT B/0: JP MORGAN INT'L BANK
EFTA01569936
LTD-BRUSSBRUSSELS BELGIUM B-121-0
ORG:/BE48945944120000 GHISLAINE MAXWELL
STREOGB: JP MORGAN INT'L BANK
LTD-BRUSSJPM INTERNATIONAL BANK BRUSSELS REF:
PMT FROM JPMORGAN/OCMT/USD298152,58/ TRN:
5912000320JS
Page 28 of 66
301.000
0.00
298,152.58
Quantity
Cost
Per Unit
Amount
283.000
0.00
116.000
0.00
358.000
0.00
290.000
0.00
123.000
0.00
236.000
0.00
113.000
0.00
150,000.000
2,058.000
0.00
0.018
2,700.00
PRINCIPAL
Amount
INCOME
Amount
EFTA01569937
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
11/17
Accrued Int Paid
Description
BIRDVILLE TEXAS INDEPENDENT SCHOOL DIST PERM
SCH GTD FUND UNLIMITED TAX 5% FEB 15 2029 DTD
01/15/2007 HELD BY DTC BOOK ENTRY ONLY PAR CALL
02/15/2017 @ 100 @ 110.503 JP MORGAN SECURITIES
LLC (BIDL) TRADE DATE 11/14/11 (ID: 090874-FV-5)
11/17
Accrued Int Recd
STATE OF NEW YORK DORMITORY AUTH REVS NON ST
SUPPORTED DEBT MEM SLOAN KETTERING 4% SUBSER A2
JUL 01 2018 DTD 05/13/2008 HELD BY DTC BOOK
ENTRY ONLY (ID: 649903-B4-2)
11/17
Accrued Int Recd
STATE OF NEW YORK DORMITORY AUTH REVS NONST
SUPPORTED DEBT MUN HLTH FACS LEASE 4% SUB 2-1
JAN 15 2017 DTD 12/21/2001 HELD BY DTC BOOK
ENTRY ONLY (ID: 649903-F5-5)
11/28
Accrued Int Paid
MA ST HLTH & EDUCTNL FACS AUTH REVENUE HARVARD
UNIV 5% B JUL 15 2032 DTD 08/03/2005 HELD BY
DTC BOOK ENTRY ONLY PAR CALL 07/15/2015 @ 100 @
108.08 JP MORGAN SECURITIES LLC (BIDL) TRADE
DATE 11/22/11 (ID: 57586C-FW-0)
11/28
Accrued Int Paid
MI ST MUNI BOND AUTH ST CLEAN WTR REVOLVING FD
5% OCT 01 2026 DTD 11/02/2006 HELD BY DTC BOOK
ENTRY ONLY PAR CALL 10/01/2016 @ 100 @ 110.848
JP MORGAN SECURITIES LLC (BIDL) TRADE DATE
11/22/11 (ID: 59455T-PF-3)
Total Inflows & Outflows
$353,873.62
50,000.000
0.00
0.008
(395.83)
50,000.000
0.00
0.018
(923.61)
100,000.000
0.014
EFTA01569938
1,355.56
100,000.000
0.015
1,511.11
Quantity
Cost
Per Unit
Amount
100,000.000
0.00
0.013
PRINCIPAL
Amount
(1,277.78)
INCOME
Amount
Page 29 of 66
EFTA01569939
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
TRADE ACTIVITY
Note:
Trade Date
Settle Date
11/14
11/17
L indicates Long Term Realized Gain/Loss
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
STATE OF NEW YORK DORMITORY AUTH REVS NON ST
SUPPORTED DEBT MEM SLOAN KETTERING 4% SUBSER A2
JUL 01 2018 DTD 05/13/2008 HELD BY DTC BOOK
ENTRY ONLY @ 108.375 JP MORGAN SECURITIES LLC
(BIDL) (ID: 649903-B4-2)
11/14
11/17
Sale
High Cost
STATE OF NEW YORK DORMITORY AUTH REVS NONST
SUPPORTED DEBT MUN HLTH FACS LEASE 4% SUB 2-1
JAN 15 2017 DTD 12/21/2001 HELD BY DTC BOOK
ENTRY ONLY @ 106.18 JP MORGAN SECURITIES LLC
(BIDL) (ID: 649903-F5-5)
Total Settled Sales/Maturities/Redemptions
$214,555.00
($200,310.44)
$14,244.56 L
(100,000.000)
106.20
106,180.00
(100,224.86)
5,955.14 L
Quantity
(100,000.000)
Per Unit
Amount
108.40
Proceeds
108,375.00
Tax Cost
(100,085.58)
Realized
Gain/Loss
8,289.42 L
Trade Date
Settle Date
EFTA01569940
Type
Description
Settled Securities Purchased
11/14
Purchase
11/17
BIRDVILLE TEXAS INDEPENDENT SCHOOL DIST PERM
SCH GTD FUND UNLIMITED TAX 5% FEB 15 2029 DTD
01/15/2007 HELD BY DTC BOOK ENTRY ONLY PAR CALL
02/15/2017 @ 100 @ 110.503 JP MORGAN SECURITIES
LLC (BIDL) (ID: 090874-FV-5)
11/22
11/28
Purchase
MA ST HLTH & EDUCTNL FACS AUTH REVENUE HARVARD
UNIV 5% B JUL 15 2032 DTD 08/03/2005 HELD BY
DTC BOOK ENTRY ONLY PAR CALL 07/15/2015 @ 100 @
108.08 JP MORGAN SECURITIES LLC (BIDL)
(ID: 57586C-FW-0)
Page 30 of 66
50,000.000
108.10
(54,040.00)
Quantity
100,000.000
Per Unit
Amount
110.50
Market Cost
(110,503.00)
EFTA01569941
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Trade Date
Settle Date
Type
Settled Securities Purchased
11/22
Purchase
11/28
Description
MI ST MUNI BOND AUTH ST CLEAN WTR REVOLVING FD
5% OCT 01 2026 DTD 11/02/2006 HELD BY DTC BOOK
ENTRY ONLY PAR CALL 10/01/2016 @ 100 @ 110.848
JP MORGAN SECURITIES LLC (BIDL)
(ID: 59455T-PF-3)
Total Settled Securities Purchased
Trade Date
Type
Est. Settle Date Selection Method Description
Pending Sales, Maturities, Redemptions
Sale
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
Page 31 of 66
Sale
Sale
Sale
Sale
Sale
Sale
Sale
ACCENTURE PLC-CL A (ID: G1151C-10-1)
ACE LTD NEW (ID: H0023R-10-5)
AUTOZONE INC (ID: 053332-10-2)
COMCAST CORP CL A (ID: 20030N-10-1)
NIKE INC B (ID: 654106-10-3)
ORACLE CORP (ID: 68389X-10-5)
EFTA01569942
RESEARCH IN MOTION LIMITED (ID: 760975-10-2)
VERIZON COMMUNICATIONS INC (ID: 92343V-10-4)
Quantity
(123.000)
(113.000)
(22.000)
(360.000)
(116.000)
(237.000)
(400.000)
(283.000)
Per Unit
Amount
55.12
65.92
320.00
21.72
94.79
29.78
16.40
36.29
($219,967.00)
Proceeds
6,772.24
7,442.08
7,038.54
7,797.47
10,988.46
7,043.57
6,459.87
10,252.89
(46,102.00)
(39,642.13) L
Tax Cost
Realized
Gain/Loss
Quantity
50,000.000
Per Unit
Amount
110.80
Market Cost
(55,424.00)
EFTA01569943
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Trade Date
Type
Est. Settle Date Selection Method Description
Pending Sales, Maturities, Redemptions
Sale
11/28
12/1
11/29
12/2
11/30
12/5
11/30
12/5
Total Pending Sales, Maturities, Redemptions
$92,325.76
($130,792.72)
($110,621.12) L
Sale
Sale
Sale
RESEARCH IN MOTION LIMITED (ID: 760975-10-2)
HUMANA INC (ID: 444859-10-2)
DOMINION RESOURCES INC VA (ID: 25746U-10-9)
RESEARCH IN MOTION LIMITED (ID: 760975-10-2)
Quantity
(400.000)
(63.000)
(182.000)
(400.000)
Per Unit
Amount
16.40
86.45
51.58
18.00
Proceeds
6,535.87
5,442.46
9,376.45
7,175.86
(40,329.00)
(33,153.14) L
Tax Cost
(44,361.72)
Realized
Gain/Loss
(37,825.85) L
COST ADJUSTMENTS
Settle Date
EFTA01569944
11/17
Type
Amortization
Description
STATE OF NEW YORK DORMITORY AUTH REVS NON ST
SUPPORTED DEBT MEM SLOAN KETTERING 4% SUBSER A2
JUL 01 2018 DTD 05/13/2008 HELD BY DTC BOOK
ENTRY ONLY MUNICIPAL BOND PREMIUM AMORTIZATIO
(ID: 649903-B4-2)
11/17
Amortization
STATE OF NEW YORK DORMITORY AUTH REVS NONST
SUPPORTED DEBT MUN HLTH FACS LEASE 4% SUB 2-1
JAN 15 2017 DTD 12/21/2001 HELD BY DTC BOOK
ENTRY ONLY MUNICIPAL BOND PREMIUM AMORTIZATIO
(ID: 649903-F5-5)
Total Cost Adjustments
($17.50)
100,000.000
(13.28)
Quantity
100,000.000
Cost Basis
Adjustments
(4.22)
Page 32 of 66
EFTA01569945
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - Australia Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value
--INCOME
US
Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Portfolio
Activity Detail - Australia Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
11/17
Receipt of Assets
Description
QBE INSURANCE GROUP LTD ISIN AU000000QBE9 SEDOL
6715740 (ID: Q78063-91-6)
Quantity
400.000
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Year-To-Date
Value
--Local
Value
Current
Period Value
0.00
0.00
EFTA01569946
Year-To-Date
Value
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value
--Page
33 of 66
EFTA01569947
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - Canadian Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Income
INFLOWS
Total Inflows
OUTFLOWS **
Total Outflows
Withdrawals
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
* 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
$0.00
-51,742.94
(112,433.39)
($60,690.45)
-0.00
0.00
50,731.37
(114,820.48)
(64,089.11)
-Period
Value
Beginning Cash Balance
-60.68
$60.68
(60.68)
($60.68)
Year-To-Date
Value*
-136.04
$136.04
(136.04)
($136.04)
Local
Value
Current
Period Value
0.00
62.22
62.22
(62.22)
EFTA01569948
(62.22)
Year-To-Date
Value*
-139.27
139.27
(139.27)
(139.27)
Page
34 of 66
EFTA01569949
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - Canadian Dollar
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* 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 - Canadian Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
11/3
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.7100% DATED 10/27/2011 MATURITY 11/03/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2525P9-9D-1)
11/3
11/3
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.7100% DATED 10/27/2011 MATURITY 11/03/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2525P9-9D-1)
(15.860)
(114,897.530)
(15.66)
(15.86)
Quantity
114,897.530
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
15.66
15.86
INCOME
Amount USD
Local Value
Currency
EFTA01569950
Gain/Loss USD
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
35 of 66
EFTA01569951
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
11/3
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/03/2011 MATURITY 11/10/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2525T9-9C-9)
11/10
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/03/2011 MATURITY 11/10/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2525T9-9C-9)
11/10
11/10
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
11/10
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/03/2011 MATURITY 11/10/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2525T9-9C-9)
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/10/2011 MATURITY 11/17/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2525W9-9X-9)
11/17
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/10/2011 MATURITY 11/17/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2525W9-9X-9)
11/17
11/17
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/10/2011 MATURITY 11/17/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2525W9-9X-9)
EFTA01569952
(14.750)
(114,928.140)
(14.43)
(14.75)
114,928.140
14.43
14.75
114,928.140
(14.750)
(114,913.390)
(14.48)
(14.75)
114,913.390
14.48
14.75
Quantity
114,913.390
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 36 of 66
EFTA01569953
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
11/17
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/17/2011 MATURITY 11/25/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526A9-9Q-6)
11/25
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/17/2011 MATURITY 11/25/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2526A9-9Q-6)
11/25
11/25
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
11/25
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/17/2011 MATURITY 11/25/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526A9-9Q-6)
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/25/2011 MATURITY 12/02/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526E9-9J-8)
Total Inflows & Outflows
$0.00
114,959.750
(16.860)
(114,942.890)
(16.11)
(16.86)
114,942.890
16.11
16.86
Quantity
114,942.890
Amount USD
Local Value
PRINCIPAL
Amount USD
EFTA01569954
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 37 of 66
EFTA01569955
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary Euro
PRINCIPAL
US Dollar Value
Current
Transactions
Income
Contributions
Total Inflows
OUTFLOWS **
Total Outflows
Tax Payments
Ending Cash Balance
* 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
Period Value
Beginning Cash Balance
INFLOWS
-105.77
42,204.13
$42,309.90
(27.33)
($27.33)
-Year-To-Date
Value*
-105.77
42,204.13
$42,309.90
(27.33)
($27.33)
-Local
Value
Current
Period Value
0.00
78.54
31,193.03
31,271.57
(20.20)
(20.20)
31,251.37
Year-To-Date
Value*
-78.54
31,193.03
31,271.57
(20.20)
(20.20)
-Page
EFTA01569956
38 of 66
EFTA01569957
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - Euro
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* 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 - Euro
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
11/16
11/16
11/16
11/16
11/16
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Description
PHILIPS ELECTRONICS N.V. ISIN NL0000009538
SEDOL 5986622 (ID: N6983Q-91-5)
ROYAL DUTCH SHELL PLC -A ISIN GBOOB03MLX29
SEDOL BO9CBL4 (ID: 780259-99-0)
AKZO NOBEL N V ISIN NL0000009132/SEDOL 5458314
(ID: N01803-90-2)
SOLVAY SA ISIN BE0003470755 SEDOL 4821100
(ID: 834437-91-5)
SANOFI ISIN FR0000120578 SEDOL 5671735
(ID: F5548N-91-1)
Quantity
337.000
488.000
149.000
77.000
156.000
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
EFTA01569958
Local Value
Currency
Gain/Loss USD
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
39 of 66
EFTA01569959
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
11/16
11/16
11/16
11/16
11/16
11/16
11/16
11/16
11/16
11/17
11/17
11/22
11/22
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Misc Receipt
Misc Receipt
Foreign Dividend
FGN Tax Withheld
Description
GDF SUEZ ISIN FR0010208488 SEDOL BOC2CQ3
(ID: 36827E-91-4)
PPR SA ISIN FR0000121485 SEDOL 5505072
(ID: F74953-93-0)
CAP GEMINI S A ISIN FR0000125338 SEDOL 4163437
(ID: F13587-92-2)
PERNOD-RICARD SA ISIN FR0000120693 SEDOL
4682329 (ID: F72027-91-9)
SODEXHO ISIN FR0000121220/SEDOL 7062713
(ID: F84941-91-7)
SCHNEIDER S A ISIN FR0000121972 SEDOL 4834108
(ID: F86921-91-7)
STORA ENSO OYJ R SHS ISIN FI0009005961 SEDOL
5072673 (ID: X21349-90-1)
BAYER AG REGISTERED SHS ISIN DE000BAY0017 SEDOL
5069211 (ID: 072733-91-8)
ALLIANZ SE HOLDING ISIN DE0008404005 SEDOL
5231485 (ID: D03080-90-6)
EFTA01569960
REP: EUR RECEIVED FROM GHISLAINE MAXWELL EURO
PRINCIPAL CURRENCY (ID: OEURPR-AA-9)
REP: EUR RECEIVED FROM GHISLAINE MAXWELL EURO
PRINCIPAL CURRENCY (ID: OEURPR-AA-9)
PERNOD-RICARD SA ISIN FR0000120693 SEDOL
4682329 @ 0.77 PER SHARE (ID: F72027-91-9)
PERNOD-RICA
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL ACC
For the Period 1/1/13 to 1/31/13
Adjusted Tax Cost Unrealized Est. Annual Inc.
Price Quantity Value Onginal Cost Gain/Loss Accrued Div. Yield
US Large Cap Equity
BANK OF AMERICA CORP 11.32 944.000 10,686.08 10,148.85 537.23 37.76 0.35%
050505-10-4 BAC
CMGROUP INC NEW 42.16 358.000 15,093.28 14,048.52 1,044.76 14.32 0.09%
172967-424 C 3.58
PROSHARES ULTRASHORT S8P600 NEW 48.86 250.000 12,215.00 44,809.50 (32,594.50)
74347B-30-0 SDS
PROSHARES TRUST 27.98 200.000 5,592.00 28,203.50 (20,611.50)
74347X-23-7 OID
SCHLUMBERGER LTD 78.05 113.000 8,819.65 9524 04 (704 39) 141.25 1.60%
806857-10-8 SIB
Total US Large Cap Equity $60,38321 $116,137.71 (S55.774.50) $257.93 0.43%
$19.73
US Small/Mid Cap Equity
GERON CORP 1.58 3,000.000 4,740.00 18,129.32 (13,389.32)
374163-10-3 GERN
Non-US Equity
RIO TINTO PLC 56.44 3.000 169.33 212.23 (42.90)
ISIN G80007188757 SEDOL 0718875
766994-90-9 GBP
JP Morgan Page 6 of 31
Confidential Treatment Requested by JPMorgan JPM-SDNY-00048911
Chase
CONFIDENTIAL SDNY_GM_00318109
EFTA01521521
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL
Confidential Treatment Requested by JPMorgan JPM-SDNY-00051708
Chase
CONFIDENTIAL SDNY_GM_00320906
EFTA01523936
DataSet-10
Unknown
1 pages
CHISLAINE MAXWELL ACCT
For the Period 3/I/I4 to 3/31/14
Portfolio Activity Detail - Norwegian Krone
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
317 Spot FX SPOT CURRENCY TRANSACTION SELL BUY USD SELL 208.364.640 (208.364.64) (2.363.87)
NOK EXCHANGE RATE 5.992200000 DEAL 03/05/14 (1,248.562.59)
VALUE 03/07/14 (ID: ONOKPR-AA-1)
J.P.Morgan Page 20 of 24
Confidential Treatment Requested by JPMorgan JPM-SDNY-00049483
Chase
CONFIDENTIAL SDNY_GM_00318681
EFTA01522023
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL
Confidential Treatment Requested by JPMorgan JPM-SDNY-00049462
Chase
CONFIDENTIAL SDNY_GM_00318660
EFTA01522003
DataSet-10
Unknown
1 pages
CHISLAINE MAXWELL ACCT.
For the Period 5/1/13 to 5/31/13
Portfolio Activity Summary - Norwegian Krone
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 :CC 9: 850.44 1,170.53 4,853 93
Total Inflows $200.92 8850.44 1,170.53 4,863.93
OUTFLOWS"
Wthdrawals (200.92) (850.44) (1,170.53) (4,853.93)
Total Outflows ($200.92) ($860.44) (1,170.63) (4,883.93)
Ending Cash Balance 0.00
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 Account age 24 of 28 Consolidated Statement Page 27
Confidential Treatment Requested by JPMorgan JPM-SDNY-00045737
Chase
CONFIDENTIAL SDNY_GM_00314935
EFTA01518504