DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL ACCT.
For the Period 6/1/13 to 6/30/13
Notes: ' Transaction Market Value is representative of the prior trading days market value. This is for informational purposes only and is not to be used for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type Quantity Transaction
Settle Date Selection Method Description Cost Market Value'
Securities Transferred Out
6/20 Free Delivery JP MORGAN CHASE BANK -CAD LONDON TIME DEPOSITS (116,040.130) (113,882.06)
0.6700% DATED 06/13/2013 MATURITY 06/20/2013 113,643.58
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2535R9-9B-2)
6/27 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS (116,055.250) (110.829.63)
0.6700% DATED 06/20/2013 MATURITY 06/27/2013 113,658.42
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID 253579-9D-6)
Total Securities Transferred Out (1460,678.84)
J.P.Morgan Page 23 of 30
Confidential Treatment Requested by JPMorgan JPM-SDNY-00049120
Chase
CONFIDENTIAL SDNY_GM_00318318
EFTA01521705
DataSet-10
Unknown
1 pages
GHISLA1NE MAXWELL ACCT.
For the Period 3/1/11 to 3/31/11
INFLOWS & OUTFLOWS
Per Unit PRINCIPAL INCOME
Settlement Type Amount USD Amount USD Amount USD Currency
Date Selection Method Descr ct on Quantity Local Value Local Value Local Value Gain/Loss USD
34 Receipt of Assets JP MORGAN CHASE BANK - NOK 624.240 610
LONDON TIME DEPOSITS 1.4500%
DATED 03/042011 MATURITY 03/11/2011
HELD BY LONDON TREASURY SERVICES
WENT REF FTD
3/10 Foreign Interest JP MORGAN CHASE BANK NOK 564600.630 29.61
LONDON TIME DEPOSITS 1.4500% 164.82
DATED 03/03/2011 MATURITY 03/10/2011
HELD BY LONDON TREASURY SERVICES
3/10 Misc. Disbursement REP: ROLLOVER TO TIME DEPOSIT (164.820) (29.61)
NORWEGIAN KRONE (164.82)
3/10 Free Delivery JP MORGAN CHASE BANK NOK (584,600.630)
High Cost LONDON TIME DEPOSITS 1.4500%
DATED 03/03/2011 MATURITY 03/10/2011
HEW BY LONDON TREASURY SERVICES
CLIENT REF FTD
3/10 Receipt of Assets JP MORGAN CHASE BANK - NOK 584,765450
LONDON TIME DEPOSITS 1.4500%
DATED 03/1W2011 MATURITY 03/17/2011
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
3/11 Foreign Interest JP MORGAN CHASE BANK - NOK 624,240 610 31.14
LONDON TIME DEPOSITS 1.4500% 176.00
DATED 03/042011 MATURITY 03/11/2011
HELD BY LONDON TREASURY SERVICES
3/11 Misc. Disbursement REP: ROLLOVER TO 71ME DEPOSIT (176.000) (31.14)
NORWEGIAN KRONE (176.00)
JP Morgan Page 20 of 30
Confidential Treatment Requested by JPMorgan JPM-SDNY-00047953
Chase
CONFIDENTIAL SDNY_GM_00317151
EFTA01520629
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL- OAP FOG ACCT.
For the Period 12/1/I1 to 12/31/11
Cash & Fixed Income Summary
Beginning Ending Change Current
Asset Categories Market Value Market Value In Value Allocation
Cash 4.573 09 5.344 50 771.41 3%
Current
Market Value/Cost Penod Value
Market Value 5,344.50
Tax Cost 5,344.50
Estimated Annual Income 1.60
Accrued Interest 0.13
Yield 0.03%
SUMMARY BY MATURITY SUMMARY BY TYPE
Market % of Bond Market % of Bond
Cash & Fixed Income Value Portfolio Cash & Fixed Income Value Portfolio
0-6 months' 5.344 50 100% 133 vi r: 344 50 100%
1 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.
JP Morgan Page 9 of 15
Confidential Treatment Requested by JPMorgan JPM-SDNY-00049606
Chase
CONFIDENTIAL SDNY_GM_00318804
EFTA01522125
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL ACCT
For the Period 1/1/14 to I/31/14
Adjusted Tax Cost Unrealized Est. Annual Inc.
Price Quantity Value Onginal Cost Gain/Loss Accrued Div. Yield
Preferred Stocks
CITIGROUP CAPITAL XIII 27 12 10,000.000 271,200.00 261.300.00 9,900.00 19690.00 7.26%
7 7,6% PFD
173080-20-1 C PN NA MA1
COUNTRYWIDE CAPITAL V 25.11 4,200.000 105,482.00 98,778.96 6,683.04 7,350.00 6.97%
7% PFD 1,837.50
222388-20-9 CFC PS
JPM CHASE CAPITAL XXIX 25.71 2,500.000 64,275.00 62,500.00 1,775.00 4,187.50 6.51%
61% PFD
48125E-20.7 JPM PC
Total Preferred Stocks $440,937.00 $422,578.96 $18,358.04 $31,227.50 7.08%
51.837.50
Concentrated & Other Equity
JPMORGAN CHASE & CO 110 43 150,000.000 165 640.50 157,909.17 7,731.33 11,850.00 7.09%
VAR RT PFD STK 04/30/2049 2.99535
DID 04/23/2008
46625H-HA-1 BBB MAI
JP Morgan Page 7 of 30
Confidential Treatment Requested by JPMorgan JPM-SDNY-00049396
Chase
CONFIDENTIAL SDNY GM_00318594
EFTA01521945
DataSet-10
Unknown
1 pages
GRISLAINE MAXWELL- OAP FDG ACCT
For the Period 11/1/12 to 11/30/12
Trade Dale Per Unit
Est. Settle Date Type Description Quantity Amount Market Cost
Pending Securities Purchased
11129 Purchase STAPLES INC (ID: 855030-10-2) 8.000 11.758 (94.23)
12/4
11129 Purchase STAPLES INC (ID: 855030.10.2) 6.000 11.745 (70.59)
12/4
11/30 Purchase STAPLES INC (ID: 855030-10-2) 37.000 11.694 (433.45)
125
11130 Purchase STAPLES INC (ID: 855030-10-2) 11.000 11.668 (128.57)
12/5
11/30 Purchase STAPLES INC (ID: 855030-10-2) 16.000 11.657 (188.84)
12/5
11/30 Purchase STAPLES INC (ID: 855030-10-2) 1.000 11.725 (11.75)
12/5
Total Pending Securities Purchased ($3$26.84)
JP Morgan Page 17 of 17
Confidential Treatment Requested by JPMorgan JPM-SDNY-00049828
Chase
CONFIDENTIAL SDNY_GM_00319026
EFTA01522309
DataSet-10
Unknown
148 pages
GHISLAINE MAXWELL
1000 VENETIAN WAY APT 801
MIAMI FL 33139-1043
EFTA01566688
EFTA01566689
For the Period 10/1/13 to 10/31/13
Account Summary
Account
Number
Investment Account(s)
GHISLAINE MAXWELL
GHISLAINE MAXWELL
GHISLAINE MAXWELL - OAP IHD
GHISLAINE MAXWELL - TAP DYS
GHISLAINE MAXWELL - TAP ARFI
Beginning Net
Market Value
5,186,365.84
430.00
1,851,249.95
1,011,717.77
993,184.92
$9,042,948.48
Ending Net
Market Value
5,218,128.72
430.00
1,917,781.95
1,027,149.23
999,650.02
$9,163,139.92
This account summary is provided for informational purposes and includes
assets at different entities.
(1) Assets held at JPMorgan Chase Bank, N.A., member Federal Deposit
Insurance Corporation ("FDIC"), except for exchangelisted
options, which are held at 3PMorgan Clearing Corporation ("JPMCC"). The
Asset Account Statement reflects brokerage
transactions executed through J.P. Morgan Securities LLC ("JPMS"), see
"Portfolio Activity Detail". Equity securities, fixed income
securities, and listed options transactions are generally cleared through
JPMCC, a wholly owned subsidiary of 3PMS. Please see
"Additional Information About Your Accounts" at the end of the Asset Account
Statement.
(2) Assets held in Margin Account at JPMCC, member Financial Regulatory
Authority ("FINRA") and Securities Insurance Protection
Corporation ("SIPC"). The Margin Account Statement reflects brokerage
transactions executed by JPMS, see "Portfolio Activity
Detail". Such transactions are cleared and carried through JPMCC.
Please see disclosures located at the end of this statement package for
important information relating to each 3.P.Morgan account(s).
EFTA01566690
Change
In Value
31,762.88
0.00
66,532.00
15,431.46
6,465.10
$120,191.44
Start on
Page
4
35
39
52
67
Client News
If you plan to make gifts of securities this year, please
notify your Client Service Representative before
December 1, 2013. This will allow us to process your
request before year-end and meet the deadline for tax
filing purposes.
0000037072.00.0.9E.00001.MAXWE04.20131104
Consolidated Statement Page 1
EFTA01566691
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01566692
For the Period 10/1/13 to 10/31/13
Consolidated Summary
INVESTMENT ACCOUNTS
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Other
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
2,949,585.43
632,005.08
5,283,906.66
158,652.35
$9,024,149.52
18,798.96
$9,042,948.48
Ending
Market Value
3,038,569.66
680,268.99
5,273,033.37
158,958.51
$9,150,830.53
12,309.39
$9,163,139.92
Change
In Value
88,984.23
48,263.91
(10,873.29)
306.16
$126,681.01
(6,489.57)
$120,191.44
$201,912.00
Estimated
121,359.28
14,033.97
66,518.75
Current
Annual Income Allocation
33%
7%
58%
2%
100%
Equity
EFTA01566693
Alternative
Assets
Asset Allocation
Other
Cash &
Fixed Income
Current
Portfolio Activity
Beginning Market Value
Net Contributions/Withdrawals
Income & Distributions
Change in Investment Value
Ending Market Value
Accruals
Market Value with Accruals
Period Value
9,024,149.52
(8,929.91)
26,110.14
109,500.78
$9,150,830.53
12,309.39
$9,163,139.92
Year-to-Date
Value
8,349,688.16
(306,947.05)
73,387.23
1,034,702.19
$9,150,830.53
12,309.39
$9,163,139.92
This Consolidated Summary shows all of your investments at J.P. Morgan other
than investments we hold in trust for you. These investments may be held in
custody or investment
management account at JPMorgan Chase Bank, N.A. (the "Bank") or in a
brokerage or margin account at J.P. Morgan Clearing Corp. ("JPMCC").
Brokerage and margin accounts are
non-discretionary and all investment decisions are made by the client. J.P.
Morgan Securities LLC ("JPMS") does not provide advice on asset allocation
or investment management
services, nor do its personnel take discretion over any client accounts.
Such advice and services are provided exclusively by the Bank.
Consolidated Statement Page 2
EFTA01566694
For the Period 10/1/13 to 10/31/13
Consolidated Summary
INVESTMENT ACCOUNT(S) YEAR-TO-DATE
Portfolio Activity
GHISLAINE MAXWELL
GHISLAINE MAXWELL
GHISLAINE MAXWELL - OAP IHD
GHISLAINE MAXWELL - TAP DYS
GHISLAINE MAXWELL - TAP ARFI
Total Value
Tax Summary
GHISLAINE MAXWELL
GHISLAINE MAXWELL - OAP IHD
GHISLAINE MAXWELL - TAP DYS
GHISLAINE MAXWELL - TAP ARFI
Total Value
Account
Account
Number
IIIIIIIIIII
Beginning
Market Value
8,349,258.16
430.00
0.00
0.00
0.00
$8,349,688.16
Taxable
Income
(20,119.51)
46,525.71
24,104.55
14,707.32
$65,218.07
Net Contributions/
Withdrawals
(4,031,823.69)
1,733,663.15
995,069.57
996,143.92
($306,947.05)
EFTA01566695
Tax-Exempt
Income
5,895.16
1,108.27
1,165.73
$8,169.16
'Unrealized Gain/Loss represents data from the time of account inception to
the current statement period.
(21,672.27)
(5,497.85)
(4,262.78)
($31,432.90)
Other Income
& Receipts
Income &
Distributions
(14,224.35)
46,525.71
25,212.82
15,873.05
$73,387.23
Change in
Investment Value
906,689.55
134,318.12
6,643.50
(12,948.98)
$1,034,702.19
Realized Gain/Loss
Short-term
Long-term
(70,239.07)
4.44
30.78
($70,203.85)
Ending Market Value
with Accruals
5,218,128.72
430.00
1,917,781.95
1,027,149.23
999,650.02
$9,163,139.92
Unrealized
Gain/Loss'
48,092.78
155,985.95
12,110.57
(8,686.20)
$207,503.10
CONTINUED
EFTA01566696
Consolidated Statement Page 3
EFTA01566697
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
270 Park Avenue, New York, NY 10017-2014
ACCT.
For the Period 10/1/13 to 10/31/13
Asset Account
J.P. Morgan Team
James Buckley
Jason Bell
Janet Young
Gina Magliocco
Jason Grosse
Online access
Banker
Investment Specialist
Client Service Team
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).
212/464-1536
212/464-2084
800/634-1318
Table of Contents
Account Summary
Holdings
Equity
Alternative Assets
Cash & Fixed Income
Other Assets
Portfolio Activity
Page
2
5
8
9
14
16
Accounts Page 1 of 31
Consolidated Statement Page 4
EFTA01566698
GHISLAINE MAXWELL
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Other
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
969,621.57
63,386.38
3,980,583.81
158,652.35
$5,172,244.11
14,121.73
$5,186,365.84
Ending
Market Value
986,618.54
63,084.55
4,001,238.07
158,958.51
$5,209,899.67
8,229.05
$5,218,128.72
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
(248.53)
1,607,746.17
(1,607,497.61)
$0.03
17,145.01
20,510.52
$5,209,899.67
8,229.05
$5,218,128.72
Period Value
EFTA01566699
5,172,244.11
Change
In Value
16,996.97
(301.83)
20,654.26
306.16
$37,655.56
(5,892.68)
$31,762.88
Year-to-Date
Value
8,349,258.16
849,480.50
(4,002,239.16)
13,360,849.93
(14,239,914.96)
($4,031,823.69)
(14,224.35)
906,689.55
$5,209,899.67
8,229.05
$5,218,128.72
Estimated
50,794.36
21,388.24
$72,182.60
Current
Annual Income Allocation
21%
1%
75%
3%
100%
Cash &
Fixed Income
Equity
Other
Alternative
Assets
Asse
ACCT
For the Period 10 1/13 to 10/31/13
Accoun Page 2 of 31
Consolidated Statement Page 5
EFTA01566700
GHISLAINE MAXWELL
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
7,177.74
1,575.88
7,689.48
$16,443.10
1,250.00
(548.09)
$701.91
Year-to-Date
Value
14,977.20
9,766.51
(107,915.84)
63,052.62
($20,119.51)
10,000.00
(4,104.84)
$5,895.16
Unrealized Gain/Loss
To-Date Value
$48,092.78
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
Year-to-Date
Value
(70,239.07)
($70,239.07
ACCT.
For the Period 10/1/13 to 10/31/13
Note: * This summary is for informational purposes only and is not to be
used for any financial or tax purposes. This summary does not include
securities which are taxable at the
federal level but are state exempt. This summary may not include all income
derived from Municipal Securities; Please consult your tax advisor for tax
implications.
1 Other category combines all the remaining Tax Exempt Income generated by
EFTA01566701
securities in the account which may not have a state affiliation.
Tax-Exempt Income
Summary by State*
MA
MI
Current
Period Value
701.91
Year-to-Date
Value
1,410.07
1,410.85
Tax-Exempt Income
Summary by State*
TX
Tax-Exempt Income
$701.91
Current
Period Value
Year-to-Date
Value
3,074.24
$5,895.
Account Page 3 of 31
Consolidated Statement Page 6
EFTA01566702
GHISLAINE MAXWELL ACCT.
For the Period 10/1/13 to 10/31/13
Account Summary
Cost Summary
Equity
Cash & Fixed Income
Other
Total
CONTINUED
Cost
944,362.24
3,984,388.10
92,027.29
$5,020,777.63
Account 052167006 Page 4 of 31
Consolidated Statement Page 7
EFTA01566703
GHISLAINE MAXWELL
Equity Summary
Asset Categories
US Large Cap Equity
US Small/Mid Cap Equity
Non-US Equity
Preferred Stocks
Concentrated & Other Equity
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Beginning
Market Value
299,641.71
10,050.00
146.86
444,174.00
215,609.00
$969,621.57
Ending
Market Value
363,803.33
11,850.00
152.21
444,460.00
166,353.00
$986,618.54
Current
Period Value
986,618.54
944,362.24
42,256.30
50,794.36
1,892.93
5.13%
US Large Cap Equity
Equity as a percentage of your portfolio - 21 %
Change
In Value
64,161.62
1,800.00
5.35
286.00
(49,256 00)
$16,996 97
Current
EFTA01566704
Allocation
7%
1%
1%
9%
3%
21%
Preferred Stocks
US Small/Mid Cap Equity
Non-US Equity
Concentrated & Other Equity
Asset Cate ories
ACCT
For the Period 10/1/13 to 10/31/13
Account Q52167006 Page 5 of 31
Consolidated Statement Page 8
EFTA01566705
GHISL LL
ACCT.
For the Period 10/1/13 to 10/31/13
Equity Detail
Price
US Large Cap Equity
APACHE CORP
037411-10-5 APA
BANK OF AMERICA CORP
CITIGROUP INC NEW
GENERAL MOTORS CO
060505-10-4 BAC
48.78
172967-42-4 C
51.32
CV PFD B
37045V-20-9 GM PB
SCHLUMBERGER LTD
SPDR S&P 500 ETF TRUST
Total US Large Cap Equity
806857-10-8 SLB
175.79
78462F-10-3 SPY
$363,803.33
$345,532.56
$18,270.77
$7,716.86
$22.58
US Small/Mid Cap Equity
GERON CORP
374163-10-3 GERN
2.12%
1,495.000
262,806.05
250,407.85
12,398.20
5,072.53
1.93%
93.72
113.000
10,590.36
9,524.04
1,066.32
141.25
1.33%
1,000.000
51,320.00
50,000.00
1,320.00
358.000
17,463.24
EFTA01566706
14,048.52
3,414.72
14.32
3.58
2,375.00
0.08%
4.63%
13.97
944.000
13,187.68
10,148.85
3,038.83
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
88.80
95.000
8,436.00
11,403.30
(2,967.30)
76.00
19.00
37.76
0.90%
0.29%
3.95
3,000.000
11,850.00
18,129.32
(6,279.32)
Account Q52167006 Page 6 of 31
Consolidated Statement Page 9
EFTA01566707
GHISLAINE MAXWELL ACCT
For the Period 10/1/13 to 10/31/13
Price
Non-US Equity
RIO TINTO PLC
ISIN GB0007188757 SEDOL 0718875
766994-90-9 BP
Preferred Stocks
CITIGROUP CAPITAL XIII
7 7/8% PFD
173080-20-1 C PN NA /BA1
COUNTRYWIDE CAPITAL V
7% PFD
222388-20-9 CFC PB
3PM CHASE CAPITAL XXIX
6.7% PFD
48125E-20-7 3PM PC
Total Preferred Stocks
25.70
2,500.000
64,250.00
$444,460.00
62,500.00
$422,578.96
1,750.00
$21,881.04
4,187.50
$31,227.50
$1,837.50
Concentrated & Other Equity
JPMORGAN CHASE & CO
VAR RT PFD STK 04/30/2049
DTD 04/23/2008
46625H-HA-1 BBB /BA1
6.52%
7.03%
25.05
4,200.000
105,210.00
98,778.96
6,431.04
7,350.00
1,837.50
6.99%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
EFTA01566708
Accrued Div.
Yield
50.74
3.000
152.21
212.23
(60.02)
27.50
10,000.000
275,000.00
261,300.00
13,700.00
19,690.00
7.16%
110.90
150,000.000
166,353.00
157,909.17
8,443.83
11,850.00
32.85
7.06%
Account Page 7 of 31
Consoliin.ement Page 10
EFTA01566709
GHISLAINE MAXWELL ACCT.
For the Period 10/1/13 to 10/31/13
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Estimated Value
63,386.38
Alternative Assets Detail
Price
Hard Assets
ETFS METAL SECURITIES LTD
ISIN JEO0B1VS3770 SEDOL BlVS377
131994-91-5
SPDR GOLD TRUST
Total Hard Assets
78463V-10-7 GLD
$63,084.55
$76,999.78
127.74
190.000
24,270.60
31,931.40
128.95
301.000
38,813.95
45,068.38
Quantity
Estimated
Value
Cost
Ending
Estimated Value
63,084.55
Change
In Value
(301.83)
Current
Allocation
1%
Accounil. Page 8 of 31
Console a e a ement Page 11
EFTA01566710
GHISLAINE MAXWELL ACCT
For the Period 10/1/13 to 10/31/13
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Non-USD Cash
Non-USD Short Term
US Fixed Income
Non-US Fixed Income
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
Market Value
2,740,074.68
132,277.29
319,883.17
626,655.93
161,692.74
$3,980,583.81
Ending
Market Value
2,755,978.68
135,516.25
320,822.19
627,441.39
161,479.56
$4,001,238.07
Current
Period Value
4,001,238.07
3,984,388.10
16,849.97
21,388.24
6,336.12
0.41%
US Fixed Income
Change
In Value
15,904.00
3,238.96
939.02
785.46
(213.18)
$20,654.26
Current
EFTA01566711
Allocation
51%
3%
6%
12%
3%
75%
Non-USD Short Term
Non-US Fixed Income
Non-USD Cash
Cash
Asset Categories
Cash & Fixed Income as a percentage of your portfolio 75 %
Account Q52167006 Page 9 of 31
Consolidated Statement Page 12
EFTA01566712
GHISLAINE MAXWELL ACCT.
For the Period 10/1/13 to 10/31/13
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1-5 years,
10+ years,
Total Value
1
SUMMARY BY TYPE
Market
Value
3,474,647.07
310,483.50
216,107.50
$4,001,238.07
% of Bond
Portfolio
88%
7%
5%
100%
The years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their stated maturity.
Note:
A - Bonds purchased at a premium show amortization.
1
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
3PM TR I NY MUNI MM FD - MORGAN
FUND 3
7-Day Annualized Yield: .01%
Total Cash
1.00
1.00
2,755,977.68
1.00
2,755,977.68
1.00
$2,755,978.68
2,755,977.68
1.00
$2,755,978.68
$0.00
$275.59
$22.94
0.01%
EFTA01566713
275.59
22.94
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
Total Value
Market
Value
2,755,978.68
135,516.25
310,483.50
216,107.50
561,495.33
21,656.81
$4,001,238.07
% of Bond
Portfolio
70%
3%
7%
5%
14%
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 • ount.
Account Page 10 of 31
Consolidated Statement Page 13
EFTA01566714
GHISLAINE MAXWELL ACCT
For the Period 10/1/13 to 10/31/13
Price
Non-USD Cash
AUSTRALIAN DOLLAR
POUND STERLING
HONG KONG DOLLAR
TURKISH LIRA NEW
PRINCIPAL CURRENCY
Total Non-USD Cash
0.95
1.61
0.13
0.50
100.00
9,544.49
950.00
239,000.00
94.69
15,334.17
122.53
119,964.86
$135,516.25
103.25
15,050.86
122.44
124,045.53
$139,322.08
(8.56)
283.31
0.09
(4,080.67)
($3,805.83)
$0.00
0.00%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Non-USD Short Term
JP MORGAN CHASE BANK - CAD
95.89
LONDON TIME DEPOSITS 0.6200%
DATED 10/30/2013 MATURITY 11/06/2013
HELD BY LONDON TREASURY SERVICES
Bearer
EFTA01566715
2537L9-9L-2 AD
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 0.9000%
DATED 10/30/2013 MATURITY 11/06/2013
HELD BY LONDON TREASURY SERVICES
Bearer
2537L9-9V-0 OK
Total Non-USD Short Term
$320,822.19
$324,019.75
($3,197.56)
$2,575.10
$14.25
0.83%
16.81
1,244,815.97
209,291.90
210,116.64
(824.74)
1,883.62
10.46
0.94%
116,309.36
111,530.29
113,903.11
(2,372.82)
691.48
3.79
0.63%
Account.. Page 11 of 31
Consoli a e a ement Page 14
EFTA01566716
GHISLAINE MAXWELL
ACCT.
For the Period 10/1/13 to 10/31/13
Price
US Fixed Income
3PM MANAGED RESERVES FD - GBP-C-DIST
ISIN LU0539309053
051398-91-5 BP
ISHARES GBP CORPORATE BOND UCITS ETF
ISIN IE00B00FV011 SEDOL BOOFV01
461278-91-3 BP
HSBC FINANCE CORP
MEDIUM TERM NOTE 2.9% OCT 15 2015
DTD 10/15/2010
40429X-YB-6 A /BAA
GENERAL ELEC CAP CORP
MEDIUM TERM FLOATING RATE NOTE
MAY 11 2016 DTD 05/11/2007
36962G-2V-5 AA+ /A1
BANK OF AMERICA CORP
MEDIUM TERM NOTE
3.6% NOV 15 2016
DTD 11/04/2010
06050W-DW-2 A- /BAA
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
110.31
50,000.00
55,152.50
53,348.92
55,424.00
1,803.58
2,500.00
208.30
3.97%
105.27
150,000.00
157,911.00
150,000.00
7,911.00
5,400.00
2,490.00
1.81%
99.41
50,000.00
49,704.50
45,394.50
EFTA01566717
4,310.00
237.55
54.10
0.71%
102.87
100,000.00
102,868.00
100,000.00
2,868.00
2,900.00
128.80
1.41%
206.26
105.00
21,656.81
19,023.08
2,633.73
10,235.70
7.74
79,193.58
81,082.31
(1,888.73)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Account 052167006 Page 12 of 31
Consolidated Statement Page 15
EFTA01566718
GHISLAINE MAXWELL
ACCT
For the Period 10/1/13 to 10/31/13
Price
US Fixed Income
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
$627,441.39
$607,562.27
$615,466.89
Non-US Fixed Income
BLUEBAY HIGH YIELD BD FD GBP HDG-DB
ISIN LU0222772518
G13289-92-4 BP
ISHARES GBP INDEX-LINKED GILTS
UCITS ETF
ISIN IE00B1FZSD53 SEDOL B1G52V0
46578W-92-2 BP
Total Non-US Fixed Income
$161,479.56
$157,505.32
$3,974.24
$0.00
$1,626.13
0.00%
21.20
5,790.00
122,742.71
118,212.32
4,530.39
1,626.13
206.16
187.90
38,736.85
39,293.00
(556.15)
$19,879.12
$18,537.55
$4,672.80
2.21%
EFTA01566719
104.57
50,000.00
52,283.00
51,945.91
54,040.00
337.09
2,500.00
736.10
4.63%
108.67
100,000.00
108,672.00
106,767.55
110,503.00
1,904.45
5,000.00
1,055.50
4.22%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Account Page 13 of 31
Consolidated Statement Page 16
EFTA01566720
GHISLAINE MAXWELL ACCT.
For the Period 10/1/13 to 10/31/13
Other Summary
Asset Categories
Balanced
Beginning
Estimated Value
158,652.35
Ending
Estimated Value
158,958.51
Change
In Value
306.16
Current
Allocation
3%
Current
Market Value/Cost
Estimated Value
Tax Cost
Estimated Gain/Loss
Note:
**
Period Value
158,958.51
92,027.29
2,901.74
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.
Other Detail
Price
Balanced
JPM INC OPP FD - GBP - A - DIST(HDG)
ISIN LU0323456201
287991-93-9 BP
145.90
450.272
65,692.59
1,663.11 **
N/A
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Accruals
Account Page 14 of 31
EFTA01566721
Consolidated Statement Page 17
EFTA01566722
GHISLAINE MAXWELL ACCT.
For the Period 10/1/13 to 10/31/13
Price
Balanced
PIMCO FUNDS GLOBAL INVESTORS SERIES
- GLOBAL INVESTMENT GRADE CREDIT
FUND
ISIN IE00B3BMD843 SEDOL B3BMD84
695421-91-7 BP
Total Balanced
$158,958.51
$92,027.29
$2,901.74
21.38
4,361.513
93,265.92
90,364.18
2,901.74
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Accrua
Accoun Page 15 of 31
Consolidated Statement Page 18
EFTA01566723
GHISLAINE MAXWELL ACCT
For the Period 10/1/13 to 10/31/13
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
INFLOWS
Income
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS **
Total Outflows
Withdrawals
$0.00
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
$0.00
$2,755,977.68
17,190.60
(250,407.85)
($233,217.25)
-$0.00
$0.00
$0.00
-$15,904.00
Period
Value
2,740,073.68
15,904.00
Year-To-Date
Value*
-74,446.28
849,480.50
204,459.12
$1,128,385.90
(4,000,000.00)
($4,000,000.00)
$0.00
$0.00
INCOME
Current
Period
Value
0.00
Year-To-Date
Value*
EFTA01566724
-$0.00
$0.00
Current
Cost
Adjustments
Amortization
Total Cost Adjustments
Period Value
(548.09)
($548.09)
Year-To-Date
Value*
(4,104.84)
($4,104.
Account Page 16 of 31
Consolidated Statement Page 19
EFTA01566725
GHISLAINE MAXWELL ACCT.
For the Period 10/1/13 to 10/31/13
Portfolio Activity Summary - U S Dollar
* 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 - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
10/1
Municipal Interest
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
(ID: 59455T-PF-3)
10/1
10/2
10/11
10/15
10/30
10/30
10/31
Interest Income
Interest Income
Foreign Dividend
Corporate Interest
Div Domest
Interest Income
Div Domest
Total Inflows & Outflows
Account Q52167006 Page 17 of 31
DEPOSIT SWEEP INTEREST FOR 09/01/13 - 09/30/13
@ .01% RATE ON AVG COLLECTED BALANCE OF
$2,740,025.91 AS OF 10/01/13
3PM CHASE CAPITAL XXIX 6.7% PFD @ 0.41875 PER
SHARE (ID: 48125E-20-7)
SCHLUMBERGER LTD @ 0.3125 PER SHARE
(ID: 806857-10-8)
HSBC FINANCE CORP MEDIUM TERM NOTE 2.9% OCT 15
2015 DTD 10/15/2010 (ID: 40429X-YB-6)
JPMORGAN CHASE & CO VAR RT PFD STK 04/30/2049
DTD 04/23/2008 (ID: 46625H-HA-1)
CITIGROUP CAPITAL XIII 7 7/8% PFD @ 0.492187
PER SHARE (ID: 173080-20-1)
SPDR S&P 500 ETF TRUST @ 0.83795 PER SHARE
(ID: 78462F-10-3)
2,500.000
113.000
EFTA01566726
100,000.000
150,000.000
10,000.000
1,495.000
0.419
0.312
0.015
0.04
0.492
0.838
1,046.88
35.31
1,450.00
5,925.00
4,921.87
1,252.74
$15,904.00
Consolidated Statement Page 20
22.20
Quantity
Cost
50,000.000
Per Unit
Amount
0.025
PRINCIPAL
Amount
1,250.00
INCOME
Amount
EFTA01566727
GHISLAINE MAXWELL ACCT-
For the Period 10/1/13 to 10/31/13
COST ADJUSTMENTS
Settle Date
10/1
Type
Amortization
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 MUNICIPAL
BOND PREMIUM AMORTIZATIO (ID: 59455T-PF-3)
Quantity
50,000.000
Cost Basis
Adjustments
(548.09
Account Page 18 of 31
Consolidated Statement Page 21
EFTA01566728
GHISLAINE MAXWELL ACCT.
For the Period 10/1/13 to 10/31/13
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
Period Value
-65.51
$65.51
(65.51)
($65.51)
-Year-To-Date
Value*
-572.70
$572.70
(572.70)
($572.70)
-Local
Value
Current
Period Value
0.00
67.82
67.82
(67.82)
(67.82)
0.00
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
EFTA01566729
Year-To-Date
Value*
--Year-To-Date
Value*
-587.01
587.01
(587.01)
(587.01)
-Account
Page 19 of 31
Consolidated Statement Page 22
EFTA01566730
GHISLAINE MAXWELL ACCT.
For the Period 10/1/13 to 10/31/13
Portfolio Activity Summary Canadian Dollar
Current
Securities Transferred In/Out
Securities Transferred In
Securities Transferred Out
Period Value
561,740.35
(561,674.81)
Year-To-Date
Value*
4,412,785.59
(4,867,076.81)
* 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
10/2
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 09/25/2013 MATURITY 10/02/2013
HELD BY LONDON TREASURY SERVICES
(ID: 2537A9-9S-9)
10/2
10/9
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 10/02/2013 MATURITY 10/09/2013
HELD BY LONDON TREASURY SERVICES
(ID: 2537C9-9P-3)
10/9
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
(12.880)
(12.47)
(12.88)
Account Q52167006 Page 20 of 31
Consolidated Statement Page 23
(12.880)
116,254.420
(12.47)
(12.88)
EFTA01566731
12.47
12.88
Quantity
116,241.540
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
12.47
12.88
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
EFTA01566732
GHISLAINE MAXWELL ACCT.
For the Period 10/1/13 to 10/31/13
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
10/16
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 10/09/2013 MATURITY 10/16/2013
HELD BY LONDON TREASURY SERVICES
(ID: 2537E9-9H-9)
10/16
10/23
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 10/16/2013 MATURITY 10/23/2013
HELD BY LONDON TREASURY SERVICES
(ID: 2537G9-9D-6)
10/23
10/30
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 10/23/2013 MATURITY 10/30/2013
HELD BY LONDON TREASURY SERVICES
(ID: 253739-9C-5)
10/30
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Total Inflows & Outflows
(14.020)
(13.42)
(14.02)
$0.00
(14.020)
116,295.340
(13.63)
(14.02)
13.42
14.02
(14.020)
116,281.320
(13.52)
(14.02)
13.63
14.02
EFTA01566733
Quantity
116,267.300
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
13.52
14.02
INCOME
Amount USD
Local Value
Currency
Gain/Los
Account Page 21 of 31
Consolidated Statement Page 24
EFTA01566734
GHISLAINE MAXWELL ACCT.1
For the Period 10/1/13 to 10/31/13
SECURITIES TRANSFERRED IN/OUT
Notes:
Settle Date Selection Method
Securities Transferred In
10/2
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 10/02/2013 MATURITY 10/09/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537C9-9P-3)
10/9
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 10/09/2013 MATURITY 10/16/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537E9-9H-9)
10/16
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 10/16/2013 MATURITY 10/23/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537G9-9D-6)
10/23
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 10/23/2013 MATURITY 10/30/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 253739-9C-5)
10/30
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 10/30/2013 MATURITY 11/06/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537L9-9L-2)
Total Securities Transferred In
$561,740.35
116,309.360
113,903.11
111,338.11
116,295.340
113,889.69
113,072.77
116,281.320
113,876.06
112,148.64
116,267.300
113,862.54
112,591.20
EFTA01566735
* Transaction Market Value is representative of the prior trading day's
market value. This is for informational purposes only and is not to be used
for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type
Quantity
Cost
116,254.420
113,850.07
Transaction
Market Value *
112,589.
Account Page 22 of 31
Consolidated Statement Page 25
EFTA01566736
GHISLAINE MAXWELL ACCT
For the Period 10/1/13 to 10/31/13
Notes:
* Transaction Market Value is representative of the prior trading day's
market value. This is for informational purposes only and is not to be used
for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type
Settle Date Selection Method
Securities Transferred Out
10/2
Free Delivery
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 09/25/2013 MATURITY 10/02/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537A9-9S-9)
10/9
Free Delivery
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 10/02/2013 MATURITY 10/09/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537C9-9P-3)
10/16
Free Delivery
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 10/09/2013 MATURITY 10/16/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537E9-9H-9)
10/23
Free Delivery
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 10/16/2013 MATURITY 10/23/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537G9-9D-6)
10/30
Free Delivery
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 10/23/2013 MATURITY 10/30/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537J9-9C-5)
Total Securities Transferred Out
($561,674.81)
(116,295.340)
113,889.69
(111,324.69)
(116,281.320)
113,876.06
(113,059.13)
(116,267.300)
113,862.54
EFTA01566737
(112,135.12)
(116,254.420)
113,850.07
(112,578.72)
Quantity
Cost
(116,241.540)
113,837.60
Transaction
Market Value *
(112,57
Account Page 23 of 31
Consolidated Statement Page 26
EFTA01566738
GHISLAINE MAXWELL ACCT.
For the Period 10/1/13 to 10/31/13
Portfolio Activity Summary Norwegian Krone
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Withdrawals
Ending Cash Balance
Period Value
-183.02
$183.02
(183.02)
($183.02)
-Year-To-Date
Value*
-1,645.11
$1,645.11
(1,645.11)
($1,645.11)
-Local
Value
Current
Period Value
0.00
1,088.64
1,088.64
(1,088.64)
(1,088.64)
0.00
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
EFTA01566739
Year-To-Date
Value*
--Year-To-Date
Value*
-9,580.00
9,580.00
(9,580.00)
(9,580.00)
Page 24 of 31
Consolidated Statement Page 27
EFTA01566740
GHISLAINE MAXWELL ACCT.
For the Period 10/1/13 to 10/31/13
Portfolio Activity Summary - Norwegian Krone
Current
Securities Transferred In/Out
Securities Transferred In
Securities Transferred Out
Period Value
1,046,005.82
(1,045,822.80)
Year-To-Date
Value*
8,948,064.34
(9,372,838.15)
* 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
10/2
Foreign Interest
Description
HELD BY LONDON TREASURY SERVICES
(ID: 2537B9-9B-5)
10/2
10/9
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Foreign Interest
HELD BY LONDON TREASURY SERVICES
(ID: 2537C9-9V-0)
10/9
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
(217.690)
(36.56)
(217.69)
Account 052167006 Page 25 of 31
Consolidated Statement Page 28
(217.650)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,243,944.980
0.9000% DATED 10/02/2013 MATURITY 10/09/2013
(36.33)
(217.65)
36.56
217.69
Quantity
EFTA01566741
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,243,727.330
0.9000% DATED 09/25/2013 MATURITY 10/02/2013
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
36.33
217.65
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
EFTA01566742
GHISLAINE MAXWELL ACCT.
For the Period 10/1/13 to 10/31/13
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
10/16
Foreign Interest
Description
HELD BY LONDON TREASURY SERVICES
(ID: 2537E9-9S-5)
10/16
10/23
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Foreign Interest
HELD BY LONDON TREASURY SERVICES
(ID: 2537G9-9P-9)
10/23
10/30
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Foreign Interest
HELD BY LONDON TREASURY SERVICES
(ID: 253739-9U-5)
10/30
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Total Inflows & Outflows
(217.800)
(37.00)
(217.80)
$0.00
(217.770)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,244,598.170
0.9000% DATED 10/23/2013 MATURITY 10/30/2013
(36.95)
(217.77)
37.00
217.80
(217.730)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,244,380.400
0.9000% DATED 10/16/2013 MATURITY 10/23/2013
(36.18)
(217.73)
36.95
217.77
Quantity
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,244,162.670
0.9000% DATED 10/09/2013 MATURITY 10/16/2013
Amount USD
EFTA01566743
Local Value
PRINCIPAL
Amount USD
Local Value
36.18
217.73
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Account Page 26 of 31
Consolidated Statement Page 29
EFTA01566744
GHISLAINE MAXWELL ACCT.
For the Period 10/1/13 to 10/31/13
SECURITIES TRANSFERRED IN/OUT
Notes:
Settle Date Selection Method
Securities Transferred In
10/2
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 10/02/2013 MATURITY 10/09/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537C9-9V-0)
10/9
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 10/09/2013 MATURITY 10/16/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537E9-9S-5)
10/16
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 10/16/2013 MATURITY 10/23/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537G9-9P-9)
10/23
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 10/23/2013 MATURITY 10/30/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 253739-9U-5)
10/30
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 10/30/2013 MATURITY 11/06/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537L9-9V-0)
Total Securities Transferred In
$1,046,005.82
1,244,815.970
210,116.64
211,448.08
1,244,598.170
210,079.64
211,181.49
1,244,380.400
210,042.69
206,778.12
1,244,162.670
210,006.51
208,965.99
EFTA01566745
* Transaction Market Value is representative of the prior trading day's
market value. This is for informational purposes only and is not to be used
for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type
Quantity
Cost
1,243,944.980
209,969.95
Transaction
Market Value *
207,632.
Account iiiIIIIIIIIPage 27 of 31
Consolidated Statement Page 30
EFTA01566746
GHISLAINE MAXWELL ACCT.
For the Period 10/1/13 to 10/31/13
Notes:
* Transaction Market Value is representative of the prior trading day's
market value. This is for informational purposes only and is not to be used
for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type
Settle Date Selection Method
Securities Transferred Out
10/2
Free Delivery
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 09/25/2013 MATURITY 10/02/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 253769-9B-5)
10/9
Free Delivery
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 10/02/2013 MATURITY 10/09/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537C9-9V-0)
10/16
Free Delivery
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 10/09/2013 MATURITY 10/16/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537E9-9S-5)
10/23
Free Delivery
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 10/16/2013 MATURITY 10/23/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537G9-9P-9)
10/30
Free Delivery
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 10/23/2013 MATURITY 10/30/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537J9-9U-5)
Total Securities Transferred Out
($1,045,822.80)
(1,244,598.170 )
210,079.64
(211,411.08)
(1,244,380.400 )
210,042.69
(211,144.54)
(1,244,162.670 )
210,006.51
EFTA01566747
(206,741.94)
(1,243,944.980 )
209,969.95
(208,929.43)
Quantity
Cost
(1,243,727.330 )
209,933.62
Transaction
Market Value *
(207,595.81)
Account 052167006 Page 28 of 31
Consolidated Statement Page 31
EFTA01566748
GHISLAINE MAXWELL ACCT.
For the Period 10/1/13 to 10/31/13
Portfolio Activity Summary - Pound Sterling
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Tax Payments
$0.00
TRADE ACTIVITY
Total Trade Activity
Settled Securities Purchased
Ending Cash Balance
(925.05)
($925.05)
-Period
Value
-1,540.57
$1,540.57
Year-To-Date
Value*
-8,002.01
$8,002.01
(21.35)
($21.35)
(2,588.16)
($2,588.16)
-0.00
(571.23)
(571.23)
9,544.49
INCOME
US
Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
EFTA01566749
0.00
0.00
Year-To-Date
Value*
--Local
Value
Current
Period Value
9,161.55
954.17
954.17
Year-To-Date
Value*
-5,155.09
5,155.09
(13.37)
(13.37)
(1,666.50)
(1,666.50)
-Account
Q52167006 Page 29 of 31
Consolidated Statement Page 32
EFTA01566750
GHISLAINE MAXWELL ACCT.
For the Period 10/1/13 to 10/31/13
Portfolio Activity Summary - Pound Sterling
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets
from your position
Portfolio Activity Detail - Pound Sterling
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
10/1
10/7
Foreign Dividend
Foreign Dividend
Total Inflows & Outflows
Description
3PM MANAGED RESERVES FD - GBP-C-DIST ISIN
LU0539309053 AS OF 09/30/13 (ID: 051398-91-5)
BLUEBAY HIGH YIELD BD FD GBP HDG-DB ISIN
LU0222772518 @ 2.038 PER SHARE CONV. @ "CONV
RATE" (ID: G13289-92-4)
$1,540.57
$0.00
Quantity
7.647
187.898
Amount USD
Local Value
120.969
74.70
3.276
2.038
PRINCIPAL
Amount USD
Local Value
925.05
571.23
615.52
382.94
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Account 052167006 Page 30 of 31
Consolidated Statement Page 33
EFTA01566751
GHISLAINE MAXWELL ACCT.IIMIM
For the Period 10/1/13 to 10/31/13
TRADE ACTIVITY - Pound Sterling
Note:
Trade Date
Settle Date
Type
Settled Securities Purchased
9/30
Purchase
10/1
* Settled transaction was initiated in prior statement period and settled in
current statement period
Per Unit
Description
3PM MANAGED RESERVES FD - GBP-C-DIST ISIN
LU0539309053 AS OF 09/30/13 (ID: 051398-91-5)
Quantity
0.090
Amount USD
Local Value
10,278.333
6,366.13
Market
Cost USD
Local Value
(925.05)
(571.23)
Currency
Gain/Loss USD
24.99 *
Accounta Page 31 of 31
Consolidated Statement Page 34
EFTA01566752
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01566753
J.P. Morgan Securities LLC
GHISLAINE MAXWELL
383 Madison Avenue, New York, NY 10179
ACCT. 24155873
For the Period 10/1/13 to 10/31/13
Margin Account
J.P. Morgan Team
James Buckley
Jason Bell
Janet Young
Gina Magliocco
Jason Grosse
Online access
Banker
Investment Specialist
Client Service Team
Client Service Team
Client Service Team
www.jpmorganonline.com
Transactions cleared and carried through J.P. Morgan Clearing Corp. Three
Chase Metrotech Center, Brooklyn, NY 11245-0001,
(347) 643-2578
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
212/464-1536
212/464-2084
800/634-1318
Table of Contents
Account Summary
Portfolio Activity
Page
2
4
Account 'age 1 of 4
Consolidated Statement Page 35
EFTA01566754
GHISLAINE MAXWELL
Account Summary
MARGIN
Cash
Asset Allocation
Cash & Fixed Income
Market Value
Market Value
0.00
$0.00
Margin
Market Value
430.00
$430.00
Current
Portfolio Activity
Beginning Market Value
Ending Market Value
Period Value
430.00
$430.00
Short
Market Value
0.00
$0.00
Year-to-Date
Value
430.00
$430.00
Total
430.00
$430.00
Estimated
$0.00
Current
Market Value Annual Income Allocation
100%
100%
ACCT.
For the Period 10/1/13 to 10/31/13
Account 24155873 Page 2 of 4
Consolidated Statement Page 36
EFTA01566755
GHISLAINE MAXWELL
ACCT
For the Period 10/1/13 to 10/31/13
Cash & Fixed Income Detail
Quantity
Price
Cash
US DOLLAR
1.00
430.00
Margin
430.00
430.00
Account
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Account Page 3 of 4
Consolidated Statement Page 37
EFTA01566756
GHISLAINE MAXWELL
Portfolio Activity Summary
PRINCIPAL
Current
Transactions
Portfolio Activity Detail
Beginning Cash Balance
Ending Cash Balance
Period Value
430.00
$430.00
Year-To-Date
Value
--INCOME
Current
Period
Value
0.00
$0.00
Year-To-Date
Value
--ACCT.
24155873
For the Period 10/1/13 to 10/31/13
No Ac Period
Accou Page 4 of 4
Consolidate dement Page 38
EFTA01566757
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL - OAP IHD
270 Park Avenue New York, NY 10017-2014
ACCT.
For the Period 10/1/13 to 10/31/13
Investment Management Account
J.P. Morgan Team
James Buckley
Jason Bell
Janet Young
Gina Magliocco
Jason Grosse
Online access
Banker
Investment Specialist
Client Service Team
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).
212/464-1536
212/464-2084
800/634-1318
Table of Contents
Account Summary
Page
2
Holdings
Equity
Portfolio Activity
4
10
Account Page 1 of 13
Consolidated Statement Page 39
EFTA01566758
GHISLAINE MAXWELL - OAP IHD
Account Summary
Asset Allocation
Equity
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
1,846,903.12
$1,846,903.12
4,346.83
$1,851,249.95
Ending
Market Value
1,914,506.98
$1,914,506.98
3,274.97
$1,917,781.95
Current
Portfolio Activity
Beginning Market Value
Contributions
Withdrawals & Fees
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
(5,606.65)
($5,606.65)
4,602.09
68,608.42
$1,914,506.98
3,274.97
$1,917,781.95
Period Value
1,846,903.12
Change
In Value
67,603.86
$67,603.86
(1,071.86)
$66,532.00
Year-to-Date
Value
0.00
1,750,000.00
(16,336.85)
$1,733,663.15
EFTA01566759
46,525.71
134,318.12
$1,914,506.98
3,274.97
$1,917,781.95
Estimated
67,450.27
$67,450.27
Current
Annual Income Allocation
100%
100%
ACCT.
For the P ri 10/1/13 to 10/31/13
Account Page 2 of 13
Consolidated Statement Page 40
EFTA01566760
GHISLAINE MAXWELL OAP IHD
Account Summary
Tax Summary
Foreign Dividends
Interest Income
Taxable Income
CONTINUED
Current
Period Value
4,601.75
0.34
$4,602.09
Year-to-Date
Value
46,520.66
5.05
$46,525.71
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
(1,203.89)
($1,203.89)
Year-to-Date
Value
(21,672.27)
4.44
($21,667.83)
ACCT. V49920008
For the Period 10/1/13 to 10/31/13
Unrealized Gain/Loss
To-Date Value
$155,985.95
Cost Summary
Equity
Total
1,758,521.03
Cost
$1,758,
AccountilliM Page 3 of 13
Consolidated Statement Page 41
EFTA01566761
GHISLAINE MAXWELL - OAP IHD
Equity Summary
Asset Categories
EAFE Equity
Beginning
Market Value
1,846,903.12
Ending
Market Value
1,914,506.98
Change
In Value
67,603.86
Current
Allocation
100%
ACCT. V49920008
For the Period 10/1/13 to 10/31/13
Current
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Period Value
1,914,506.98
1,758,521.03
155,985.95
67,450.27
3,274.97
3.52%
Account Page 4 of 13
Consolidated Statement Page 42
EFTA01566762
GHISLAINE MAXWELL - OAP IHD
ACCT.
For t11,1111 10/1/13 to 10/31/13
Note:
indicates position adjusted for Pending Trade Activity.
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.
Equity Detail
Price
EAFE Equity
ABB LTD
SPONS ADR
000375-20-4 ABB
ALSTOM
ADR
021244-20-7 ALSM Y
ASTRAZENECA PLC
SPONS ADR
046353-10-8 AZN
BAE SYSTEMS PLC
SPONS ADR
05523R-10-7 BAES Y
BAYER A G
SPONS ADR
072730-30-2 BAYR Y
BHP LTD
SPONS ADR
088606-10-8 BHP
BOC HONG KONG HOLDINGS LTD
SPONS ADR
096813-20-9 BHKL Y
65.43
555.000
36,313.65
36,821.52
(507.87)
1,748.80
4.82%
70.69
435.000
30,750.15
32,227.68
(1,477.53)
1,009.20
3.28%
29.33
124.70
EFTA01566763
1,735.000
325.000
50,887.55
40,527.50
39,277.38
32,896.77
11,610.17
7,630.73
2,026.48
741.32
586.62
3.98%
1.45%
3.67
52.86
12,070.000
365.000
44,296.90
19,293.90
44,210.81
18,351.75
86.09
942.15
869.04
1,022.00
1.96%
5.30%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
25.47
2,200.000
56,034.00
47,460.92
8,573.08
1,548.80
2.76%
Account Page 5 of 13
Consolidated Statement Page 43
EFTA01566764
GHIS OAP IHD
ACCT.., -
For the Period 10/1/13 to 10/31/13
Price
EAFE Equity
BRITISH AMERICAN TOBACCO PLC
SPONS ADR
110448-10-7 BTI
DEUTSCHE TELEKOM AG
SPONS ADR
251566-10-5 DTEG Y
DEUTSCHE POST AG
SPONS ADR
25157Y-20-2 DPSG Y
GDF SUEZ
SPONS ADR
36160B-10-5 GDFZ Y
GLAXOSMITHKLINE PLC
SPONS ADR
37733W-10-5 GSK
HSBC HOLDINGS PLC
SPONS ADR
404280-40-6 HBC
IMPERIAL TOBACCO PLC
ADR
453142-10-1 ITYB Y
P ISRAEL CHEMICALS LTD
ADR
465036-20-0 ISCH Y
KIRIN HOLDINGS COMPANY LTD
SPONS ADR
497350-30-6 KNBW Y
LUKOIL OAO SPONS ADR
677862-10-4 LUKO Y
65.47
1,035.000
67,761.45
64,776.1
Account Page 6 of 13
2,984.95
3,783.96
5.58%
Consolidated Statement Page 44
14.70
3,010.000
44,247.00
48,510.86
(4,263.86)
824.74
1.86%
8.22
EFTA01566765
1,390.000
11,425.80
17,118.82
(5,693.02)
740.87
6.48%
74.99
515.000
38,619.85
36,270.85
2,349.00
1,739.15
4.50%
55.04
1,145.000
63,020.80
62,810.83
209.97
2,748.00
4.36%
52.63
1,015.000
53,419.45
48,412.36
5,007.09
2,445.13
4.58%
25.02
1,980.000
49,539.60
42,100.10
7,439.50
2,665.08
5.38%
15.79
33.89
4,270.000
2,015.000
67,423.30
68,288.35
58,928.15
47,293.82
8,495.15
20,994.53
3,825.92
1,787.30
5.67%
2.62%
110.49
590.000
65,189.10
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL ACCT. NW
For the Period 3/1/12 to
Portfolio Activity Summary - Japanese Yen
PRINCIPAL
US Dollar Value Local Value
Current Year-To-Date Current Year-To-Date
Transactions Period Value Value' Period Value Value'
Beginning Cash Balance 784,035.00
INFLOWS
Contributions 612.74 47,055.00
Total Inflows $0.00 $812.74 0.00 47,065.00
OUTFLOWS"
Foreign Exchange - Outflows (50,04259) (50,653.54) (4,117,504.00) (4,164,559.00)
Total Outflows (560,042.69) ($60,663.64) (4.117.604.00) µ,184,66840)
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions 39,862.11 50,035.13 3,333,469.00 4,117,504.00
Total Trade Activity $39,862.11 $60,036.13 3,333,469.00 4,117,604.00
Ending Cash Balance 0.00 •••
• Year to date information is calculated on a calendar year basis
" Your account's standing instructions use a HIGH COST method for relieving assets from your position
JP Morgan Page 40 of 60
Confidential Treatment Requested by JPMorgan JPM-SDNY-00048557
Chase
CONFIDENTIAL SDNY_GM_00317755
EFTA01521195
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL ACCT.
For the Period 9/1/12 to' /30/12
SUMMARY BY MATURITY SUMMARY BY TYPE
Market % of Bond Market % of Bond
Cash & Fixed Income Value Portfolio Cash & Fixed Income Value Portfolio
04 months' 6.446.789 65 89% Cash 5840.799.03 80%
6-12 months' 114,401 87 1% NON USD Cash 349,222.62 4%
1-5 years' 560,446.30 7% Corporate Bonds 304,053.50 4%
10+ years' 228,216 50 3% Municipal Bonds 228216.50 3%
International Bonds 605.656 29 8%
Total Value 57,349,854.32 100%
Mutual Funds 21.906 38 1%
The years indicate the number of years until the bond is scheduled to mature Total Value 57,349,854.32 100%
based on the statement end date. Some bonds may be called, or paid in full.
before their stated maturity.
Note: R indicates position reviewed. A - Bonds purchased at a premium show amortization
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
Adjusted Tax Cost Unrealized Est Annual Income
Price Quantity Value Original Cost Gain:Loss Accrued Interest Yield
Cash
US DOLLAR 1.00 5.840.798.03 5,840,798.03 5.840.798.03 584.07 0 01% '
47 39
OM NY MUM MM FD - MORGAN 1.00 1.00 1.00 1.00
FUND 3
Total Cash $8,840,799.03 $5,840,799.03 $0.00 $584.07 0.01%
$47.39
JP Morgan Page 11 of 32
Confidential Treatment Requested by JPMorgan JPM-SDNY-00048752
Chase
CONFIDENTIAL SDNY_GM_00317950
EFTA01521373
DataSet-10
Unknown
1 pages
GHISLA1NE MAXWELL ACCT.
For the Period 4/1/14 to 4/30/14
COST ADJUSTMENTS
Cost Basis
Settle Date Type Description Quantity Adjustments
4/2 Amortization MA ST HLTH & EDUCTNL FACS AUTH REVENUE HARVARD 50.000 000 (241.58)
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)
4/2 Amortization MI ST MUNI BOND AUTH ST CLEAN WTR REVOLVING FD 50.000.000 (3.13)
5% OCT 01 2026 DTD 11/02/2006 HELD BY DTC BOOK
ENTRY ONLY PAR CALL 10/01/2016 @ 100 MUNICIPAL
BOND PREMIUM AMORTIZATIO (ID 59455T-PF-3)
Total Cost Adjustments ($1.043.70)
J.P.Morgan Account Page 11 of 14 Consolidated Statement Page 14
Confidential Treatment Requested by JPMorgan JPM-SDNY-00046866
Chase
CONFIDENTIAL SDNY_GM_00316064
EFTA01519572
DataSet-10
Unknown
1 pages
CHISLAINE MAXWELL-HY ACCT -
For the Period 8/1/12 to 8/31/12
Trade Date Type Per Unit Realized
Est. Settle Date Selection Method Description Quantity Amount Proceeds Tax Cost Gainloss
Pending Sales, Maturities. Redemptions
9/5 Redemption HOST HOTELS 8 RESORTS LP 83/4%JUN 01 2018 DTD (2,000.000) 102.25 2,045.00 (2,075.00) (39.00 L
9/5 04/04/2008 (ID: 44108E-8AS)
8/29 Sale FOREST OIL CORPORATION 7 1/4% JUN 15 2019 DTD (21:00.000) 97.875 1957.50 (2,040.00) (82.54 L
914 12/15/2007 (ID: 346091-AZ-4)
Total Pending Sales. Maturities. Redemptions $4,002.60 ($4,116.00) (611280) L
J.P.Morgan Page 23 of 23
Confidential Treatment Requested by JPMorgan JPM-SDNY-00050480
Chase
CONFIDENTIAL SDNY_GM_00319678
EFTA01522892
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL- OAP FDG ACCT
For the Period 11/1/13 to 11/30/13
Cash & Fixed Income Summary
Beginning Ending Change Current
Asset Categories Market Value Market Value In Value Allocation
Cash 59,933 12 62,959.20 3,026.08 3%
Current
Market Value/Cost Penod Value
Market Value 62,959.20
Tax Cost 62,959.20
Estimated Annual Income 18.88
Accrued Interest 1.50
Yield 0.03%
SUMMARY BY MATURITY SUMMARY BY TYPE
Market % of Bond Market
aiue % of Bond
Cash & Fixed Income Value Portfolio C ash & Fixed Incom e Portfolio
0-6 months' 62,959 20 100% .7. 9 , 1 62 959 20 100%
1 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.
JP Morgan Page 7 of 10
Confidential Treatment Requested by JPMorgan JPM-SDNY-00050034
Chase
CONFIDENTIAL SDNY_GM_00319232
EFTA01522488
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL IRA
For the Period 4/1/12 to 4/30/12
Note: ' This is the Annual Percentage Yield (API() which is the rate earned if balances remain on deposit for a full year with compounding, there is no change in the interest rate and all interest
is left in the account.
Cash & Fixed Income Detail
Adjusted Tax Cost Unrealized Est. Annual Income
Price Quantity Value Original Cost Gain/Loss Accrued Interest Yield
Cash
US DOLLAR 1.00 733.32 733.32 733.32 0.07 0.01%
0.01
US Fixed Income
JPM SHORT DURATION BOND FD - SEL 10.99 5,049.89 55,498.26 55,597.31 (99.05) 878.68 1.58%
481201-33-0 60.60
JP Morgan Page 5 of 7
Confidential Treatment Requested by JPMorgan JPM-SDNY-00051400
Chase
CONFIDENTIAL SDNY_GM_00320598
EFTA01523704
DataSet-10
Unknown
1 pages
CHISLAIN1: MAXWELL - TAP ARFI ACCT.
For the Period 9/1/l3 to 9/30113
Account Summary
Beginning Ending Change Estimated Current Asset Allocation
Asset Allocation Market Value Market Value In Value Annual Income Allocation
Alternative Assets 358,049 66 360,377 56 2,327.90 6.954.29 36%
Cash & Fixed Income 628,810 11 632,540.59 3,730.48 18,174.02 64%
Market Value $986,869.77 $092.918.16 66,060.38 626.12831 100%
Accruals 584.78 266.77 (31&01)
Cash
Market Value with Accruals 5907,444.66 $993,184.92 $6,740.37 Fowl income
Alterriarn•
Assets
Current Year-to-Date
Portfolio Activity Period Vakie Value
Beginning Market Value 986,869.77 0.00
Contributions 1,000,000.00
Withdrawals & Fees (2,330.95)
Net Contributions/Withdrawals 90.00 $997,669.05
Income & Distributions 1,920.83 14,224.06
Change In Investment Value 4,137.55 (18,974 96)
Ending Market Value 6992,918.16 6992,918.16
Accruals 266.77 266 77
Market Value with Accruals $993,184.92 $993,184.92
J.P Morgan AccouaPage 2e 9 Consolidated Statement Page 72
Confidential Treatment Requested by JPMorgan JPM-SDNY-00046223
Chase
CONFIDENTIAL SDNY_GM_00315421
EFTA01518964
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL ACCT. ili
For the Period 12/1/11 to 12/31/11
Portfolio Activity Summary - Norwegian Krone
INCOME
US Dollar Value Local Value
Current Year-To-Date Current Year-To-Date
Transactions Period Value Value' Period Value Value'
Beginning Cash Balance 000
Ending Cash Balance -- 0.00
• Year to date information is calculated on a calendar year basis.
•• Your account's standing instructions use a HIGH COST method for relieving assets from your position
US Dollar Value Local Value
Current Year-To-Date Current Year-To-Date
Cost Adjustments Period Value Value• Period Value Value'
Cost Adjustments 163.464.66 163.464.66 926.599 41 926.599 41
Total Cost Adjustments $163,464.66 $163,464.66 926,599.41 926,599.41
- Year to date information is calculated on a calendar year basis.
JP Morgan Page 53 of 77
Confidential Treatment Requested by JPMorgan JPM-SDNY-00048322
Chase
CONFIDENTIAL SDNY_GM_00317520
EFTA01520975
DataSet-10
Unknown
1 pages
CHISLAINE MAXWELL ACCT.
For the Period 6/1/I3 to 6/30/13
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
6/20 Foreign Interest JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,240,548.080 40 08
0.9500% DATED 06/13/2013 MATURITY 06/20/2013 229 16
HELD BY LONDON TREASURY SERVICES
(ID: 2535R9-90-9)
6/20 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (229.160) (40.06)
(ID: ONOKPR-AA-1) (229.16)
627 Foreign Interest JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,240,777.240 37.58
0.9500% DATED 06/20/2013 MATURITY 06/27/2013 229.20
HELD BY LONDON TREASURY SERVICES
(ID: 253519-9L-8)
6 27 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (229.200) (37.58)
(ID. ONOKPR-AA-11 (229.20)
Total Inflows & Outflows $0.00
SECURITIES TRANSFERRED IN/OUT
Notes: ' Transaction Market Value is representative of the prior trading days market value. This is for informational purposes only and is not to be used for any financial or tax
purposes. The Transaction Market Value shown is In USD.
Type Quantity Transaction
Settle Date Selection Method Description Cost Market Value'
Securities Transferred In
6/6 Receipt of Assets JP MORGAN CHASE BANK- NOK LONDON TIME DEPOSITS 1,240,318.970 213,402.89
0.9500% DATED 06/06/2013 MATURITY C6/13,2013 209,381.38
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2535P9-9P-3)
J.P Morgan Account Page 26 of 30 Consolidated Statement Page 29
Confidential Treatment Requested by JPMorgan JPM-SDNY-00045837
Chase
CONFIDENTIAL SDNY_GM_00315035
EFTA01518599
DataSet-10
Unknown
1 pages
CHISLAINE MAXWELL ACCT
For the Period ♦/1/14 to 4/30/14
Account Summary CONTINUED
Current Year-to-Date Current Year-to-Date
Tax Summary Period Value Value Period Value Value
Domestic Dividends/Distributions 1.232.79 3,142.18 ST Realized Gain/Loss 36.33
Foreign Dividends 48.87 976.93 LT Realized GaINLoss 21,985.40
Currency Gain/Loss (1,815.27) (12,926.08) Realized Gain/Loss $22,021.73
Interest Income 1,046.88 9.413.97
Taxable Income $61327 $607.00
Tax-Exempt Income 1.250.00 5,000.00
Bond Premium Amortization (1,043.70) (2,801.04)
Tax-Exempt Income $206.30 $2,308.96
Note: - This summary is for informational purposes only and is not to be used for any financial or tax purposes. This summary does not include securities which are taxable at the
federal level but are state exempt. This summary may not include all income derived from Municipal Securities; Please consult your tax advisor for tax implications.
Other category combines all the remaining Tax Exempt Income generated by securities in the account which may not have a state affiliation.
Tax-Exempt Income Tax-Exempt Income
Summary by State* Current Year-to-Date Summary by State* Current Year-to-Date
Period Value Value Period Value Value
MA (241.58) 451.08 TX (243.78) 1.256.24
MI 691.66 691.66 Tax-Exempt Income $206.30 $2,398.96
J.P Morgan Account age 3 of 14 Consolidated Statement Page 6
Confidential Treatment Requested by JPMorgan JPM-SDNY-00046858
Chase
CONFIDENTIAL SDNY_GM_00316056
EFTA01519564
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL ACCT -
For the Period 3/I / I4 to 3/31/14
Adjusted Tax Cost Unrealized Est Annual Income
Price Quantity Value Original Cost Gain/Loss Accrued Interest Yield
US Fixed Income
BANK OF AMERICA CORP 105.20 150,000.00 157,798.50 150,000.00 7,798.50 5,400.00 1.57%
MEDIUM TERM NOTE 2,040.00
3.6% NOV 15 2016
DTD 11/04/2010
06050W-DW-2 A- /BAA
A MI ST MUNI BOND AUTH 109.61 50,000.00 54,802.50 52,886.25 1,916.25 2,500.00 4.02%
ST CLEAN WTR REVOLVING FD 5% 55,424.00 1,258.90
OCT 01 2028 DTO 11/02/2006
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 10/01/2016 et 100
59455T-PF-3 AM /AAA
A BIRDVILLE TEXAS INDEPENDENT SCHOOL 108.95 100,000.00 108,946.00 105,944.52 3,001.48 5,000.00 4.19%
DIST PERM SCH GTD FUND UNLIMITED TAX 110,503.00 638.80
5% FEB 15 2029 DTD 01/15/2007
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 02/15/2017 100
090874-FV-5 AM /MA
A MA ST HLTH & EDUCTNL FAGS AUTH 105.05 50,000.00 52,526.00 51,478.33 1,047.67 2,500.00 4.59%
REVENUE HARVARD UNIV 5% B 54,040.00 527.75
JUL 15 2032 DTD 08/03/2005
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 07/15/2015 100
575860-FW-0 AM /AAA
Total US Fixed Income 2626,696.00 $606,703.60 $20,991.40 418,637.66 2.49%
$616,361.60 $6,832.96
J.P Morgan Page 11 of 24
Confidential Treatment Requested by JPMorgan JPM-SDNY-00049474
Chase
CONFIDENTIAL SDNY_GM_00318672
EFTA01522014
DataSet-10
Unknown
47 pages
GHISLAINE MAXWELL
EFTA01569536
EFTA01569537
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
For the Period 5/1/11 to 5/31/11
Asset Account
J.P. Morgan Team
Paul Morris
Ian Hirschfield
Janet Young
Gina Swetra
Pauline Esposito
Online access
Banker
Investment Specialist
Client Service Team
Client Service Team
Client Service Team
www.MorganOnline.com
For important information regarding your accounts refer to the rear of your
statement
Table of Contents
Account Summary
Holdings
Equity
Alternative Assets
Cash & Fixed Income
Portfolio Activity
Page
2
4
7
8
13
Client News
Switch to Paperless and Plant a Tree
J.P. Morgan is partnering with the Arbor Day Foundation
to plant a tree for every statement or document you
switch to paperless delivery - it's easy to make the switch.
To go paperless, please log into jpmorganonline.com
and select the "Statements & Documents" tab and then
select the "Go paperless and stop receiving paper
statements" link. Or, contact your J.P. Morgan Service
Team for assistance.
0000000627.15.0.15.00003.MAXWE00.20110608
Page 1 of 22
EFTA01569538
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
410,049.00
60,948.00
1,564,396.30
$2,035,393.30
33,026.74
$2,068,420.04
Ending
Market Value
447,642.00
79,876.00
1,528,235.17
$2,055,753.17
29,617.91
$2,085,371.08
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
2,035,393.30
16,850.61
(269.80)
884,911.95
(897,138.13)
$4,354.63
7,461.34
8,543.90
$2,055,753.17
29,617.91
$2,085,371.08
EFTA01569539
Change
In Value
37,593.00
18,928.00
(36,161.13)
$20,359.87
(3,408.83)
$16,951.04
Year-to-Date
Value
1,946,279.39
16,850.61
(1,268.81)
4,198,650.57
(4,538,111.43)
($323,879.06)
19,876.99
413,475.85
$2,055,753.17
29,617.91
$2,085,371.08
Estimated
16,932.50
Current
Annual Income Allocation
21%
4%
67,580.63
$84,513.13
75%
100%
Alternative
Assets
Cash &
Equity
Fixed Income
Asset Allocation
Page 2 of 22
EFTA01569540
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
Account Summary
Tax Summary
Domestic Dividends/Distributions
Currency Gain/Loss
Interest Income
Accrued Interest Current Year
Taxable Income
CONTINUED
Current
Period Value
430.00
7,031.34
$7,461.34
Year-to-Date
Value
1,160.00
(25.35)
27,960.71
(9,218.37)
$19,876.99
Unrealized Gain/Loss
To-Date Value
$65,660.05
ST Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
2,789.51
$2,789.51
Year-to-Date
Value
5,263.63
$5,263.63
Cost Summary
Equity
Cash & Fixed Income
Total
1,489,768.20
Cost
446,842.92
$1,936,611.12
Page 3 of 22
EFTA01569541
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
Equity Summary
Asset Categories
US Large Cap Equity
US Small/Mid Cap Equity
Non-US Equity
Preferred Stocks
Concentrated & Other Equity
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Beginning
Market Value
111,559.00
14,400.00
65,038.00
169,242.00
49,810.00
$410,049.00
Ending
Market Value
149,122.00
13,170.00
65,534.00
169,716.00
50,100.00
$447,642.00
Current
Period Value
447,642.00
446,842.92
799.08
16,932.50
893.75
3.78%
Equity as a percentage of your portfolio - 21 %
Change
In Value
37,563.00
(1,230.00)
496.00
474.00
290.00
$37,593.00
Current
EFTA01569542
Allocation
7%
1%
3%
8%
2%
21%
Preferred Stocks
Concentrated & Other Equity
US Small/Mid Cap Equity
Asset Categories
Non-US Equity
US Large Cap Equity
Page 4 of 22
EFTA01569543
GHISLAINE MAXWELL
ACCT.
For the Period 5/1/11 to 5/31/11
Note:
P indicates position adjusted for Pending Trade Activity.
Equity Detail
Price
US Large Cap Equity
AT&T INC
PFIZER INC
31.56
00206R-10-2 T
21.45
717081-10-3 PFE
P
PROSHARES ULTRASHORT S&P 500
PROSHARES TRUST
THE MOSAIC COMPANY
74347R-88-3 SDS
49.00
74347X-23-7 QID
70.85
NEW
61945C-10-3 MOS
Total US Large Cap Equity
US Small/Mid Cap Equity
GERON CORP
374163-10-3 GERN
Non-US Equity
FIRST MAJESTIC SILVER CORP
ISIN CA32076V1031 SEDOL 2833583
32076V-91-3 AG CAD
Page 5 of 22
21.14
3,100.000
65,534.00
41,251.64
24,282.36
$149,122.00
$176,183.00
($27,061.00)
$3,020.00
$300.00
2.02%
500.000
35,425.00
32,500.00
2,925.00
100.00
0.28%
200.000
EFTA01569544
9,800.00
26,203.50
(16,403.50)
20.08
2,000.000
40,162.00
64,729.50
(24,567.50)
1,500.000
32,175.00
26,460.00
5,715.00
1,200.00
300.00
3.73%
1,000.000
31,560.00
26,290.00
5,270.00
1,720.00
5.45%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
4.39
3,000.000
13,170.00
18,129.32
(4,959.32)
EFTA01569545
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
Price
Preferred Stocks
COUNTRYWIDE CAPITAL V
7% PFD
222388-20-9 CFC PB
3PM CHASE CAPITAL XXIX
6.7% PFD
48125E-20-7 3PM PC
Total Preferred Stocks
Concentrated & Other Equity
GENERAL MOTORS CO
CV PFD B
37045V-20-9 GM PB
25.92
2,500.000
64,800.00
$169,716.00
62,500.00
$161,278.96
2,300.00
$8,437.04
4,187.50
$11,537.50
6.46%
6.80%
24.98
4,200.000
104,916.00
98,778.96
6,137.04
7,350.00
7.01%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
50.10
1,000.000
50,100.00
50,000.00
100.00
2,375.00
593.75
4.74%
EFTA01569546
Page 6 of 22
EFTA01569547
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Estimated Value
60,948.00
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
SPDR GOLD TRUST
Total Hard Assets
78463V-10-7 GLD
$79,876.00
$53,482.00
149.64
400.000
59,856.00
33,482.00
100.10
20,000.000
20,020.00
20,000.00
Quantity
Estimated
Value
Cost
Ending
Estimated Value
79,876.00
Change
In Value
18,928.00
Current
Allocation
4%
Page 7 of 22
EFTA01569548
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
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
60,958.85
298,952.70
49,624.85
524,513.00
483,234.40
147,112.50
$1,564,396 30
Ending
Market Value
35,290.51
291,130.09
49,507.36
527,959.00
475,797.21
148,551.00
$1,528,235.17
Current
Period Value
1,528,235.17
1,489,768.20
38,466.97
67,580.63
28,724.16
4.57%
Change
In Value
(25,668.34)
(7,822.61)
(117.49)
3,446.00
(7,437.19)
EFTA01569549
1,438.50
($36,161.13)
Current
Allocation
2%
14%
2%
27%
23%
7%
75%
Non-USD Short Term
Cash
Complementary Structured
Strategies
US Fixed Income
Asset Categories
Non-USD Cash
Non-US Fixed Income
Cash & Fixed Income as a percentage of your portfolio 75 %
Page 8 of 22
EFTA01569550
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1-5 years'
5-10 years'
Total Value
1
SUMMARY BY TYPE
Market
Value
654,927.96
575,881.21
297,426.00
$1,528,235.17
% of Bond
Portfolio
44%
37%
19%
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:
1
Cash & Fixed Income
Cash
NON USD Cash
Govt and Agency Bonds
International Bonds
Complementary Structure
Other
Total Value
Market
Value
35,290.51
291,130.09
100,084.00
674,179.57
148,551.00
279,000.00
$1,528,235 17
% of Bond
Portfolio
2%
19%
6%
46%
EFTA01569551
9%
18%
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.
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
PROCEEDS FROM PENDING SALES
3PM NY MUNI MM FD - MORGAN
Total Cash
Non-USD Cash
CANADIAN DOLLAR
1.00
1.00
1.00
35,289.51
1.00
35,289.51
1.00
$35,290.51
35,289.51
1.00
$35,290.51
$0.00
$0.00
$1.00
0.00%
N/A
1.00
0.03%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
1.03
64,089.11
66,149.64
60,690.45
5,459.19
Page 9 of 22
EFTA01569552
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
Price
Non-USD Cash
POUND STERLING
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.7500%
DATED 05/25/2011 MATURITY 06/01/2011
HELD BY LONDON TREASURY SERVICES
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.7500%
DATED 05/26/2011 MATURITY 06/03/2011
HELD BY LONDON TREASURY SERVICES
Total Non-USD Cash
Non-USD Short Term
INTER AMERICAN DEVEL BANK - IDR
6.7% OCT 31 2011
DTD 10/30/2009
HELD BY EUROCLEAR
ISIN XS0459432679 SEDOL B5756J3
458183-9K-8 NA /AAA IDR
US Fixed Income
CITIGROUP CAPITAL XIII
7 7/8% PFD
173080-20-1 NA /BA1
FHLB 1.25% 09/29/15
313371-2G-0 AAA /WR
100.08
100,000.00
100,084.00
100,000.00
84.00
1,250.00
215.20
1.23%
0.01
419,625,000.00
49,507.36
48,769.75
737.61
3,293.87
1,922.13
6.90%
$291,130.09
$265,401.36
$25,728.73
$3,934.33
$31.64
1.37%
18.53
586,655.72
EFTA01569553
108,732.57
101,974.54
6,758.03
1,902.81
31.64
1.77%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
1.65
97.73
18.53
626,335.90
160.86
116,087.02
153.54
102,582.83
7.32
13,504.19
2,031.52
1.79%
27.90
10,000.00
279,000.00
261,300.00
17,700.00
19,690.00
7.06%
Page 10 of 22
EFTA01569554
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
Price
US Fixed Income
BARCLAYS BANK PLC
MEDIUM TERM NOTE 2 2/1% OCT 20 2017
DTD 10/20/2010
06740P-VG-8 NA /AA3
Total US Fixed Income
Non-US Fixed Income
INTL BK RECON & DEVELOP BRL
8.75% 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
2 05
6,700,000.00
137,168.16
143,232.17
(6,064.01)
4,462.20
828.92
6.08%
64.65
200,000.00
129,302.79
135,555.56
(6,252.77)
12,204.28
10,699.58
7.98%
63.31
90,000.00
56,979.26
50,106.74
6,872.52
4,971.12
4,780.39
EFTA01569555
8.43%
$527,959.00
$511,300.00
$16,659.00
$24,690.00
$642.25
4.71%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
99.25
150,000.00
148,875.00
150,000.00
(1,125.00)
3,750.00
427.05
2.63%
Page 11 of 22
EFTA01569556
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
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 944985B
45818W-9K-4 IDR
Total Non-US Fixed Income
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
$475,797.21
$479,006.58
($3,209.37)
$31,537.43
$26,127.14
7.03%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
0.01 1,300,000,000.00
152,347.00
150,112.11
2,234.89
9,899.83
9,818.25
6.55%
99.03
150,000.00
148,551.00
150,000.00
(1,449.00)
4,125.00
2.87%
Page 12 of 22
EFTA01569557
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
Income
INFLOWS
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS **
Total Outflows
Foreign Exchange - Outflows
$0.00
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
24,599.51
(104,920.00)
($80,320.49)
$0.00
44,324.12
(146,770.00)
($102,445.88)
-$0.00
$0.00
$0.00
-7,191.54
16,850.61
$24,042.15
23,368.80
16,850.61
4,457.75
$44,677.16
(144,773.93)
($144,773.93)
$0.00
$0.00
Period
Value
56,278.34
Year-To-Date
Value*
-INCOME
EFTA01569558
Current
Period
Value
0.00
Year-To-Date
Value*
-$0.00
$0.00
Page
13 of 22
EFTA01569559
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
5/2
5/2
5/2
5/2
5/26
Div Domest
Interest Income
Interest Income
Interest Income
Misc Receipt
Total Inflows & Outflows
Description
AT&T INC @ 0.43 PER SHARE (ID: 00206R-10-2)
DEPOSIT SWEEP INTEREST FOR APR. @ .03% RATE ON
NET AVG COLLECTED BALANCE OF $87,811.95 AS OF
05/01/11
CITIGROUP CAPITAL XIII 7 7/8% PFD @ 0.492187
PER SHARE (ID: 173080-20-1)
COUNTRYWIDE CAPITAL V 7% PFD @ 0.4375 PER SHARE
(ID: 222388-20-9)
TRANSFER FROM MMIA A/C TO ASSET A/C.
10,000.000
4,200.000
0.492
0.438
4,921.87
1,837.50
16,850.61
$24,042.15
Quantity
Cost
1,000.000
Per Unit
Amount
0.43
PRINCIPAL
Amount
430.00
2.17
INCOME
Amount
Page 14 of 22
EFTA01569560
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
TRADE ACTIVITY
Note:
S
*
Trade Date
Settle Date
4/28
5/3
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
SPRINT NEXTEL CORP @ 5.02 25,100.00 BROKERAGE
500.00 TAX &/OR SEC .49 J.P. MORGAN SECURITIES
LLC (ID: 852061-10-0)
Quantity
(5,000.000)
indicates Short Term Realized Gain/Loss
Settled transaction was initiated in prior statement period and settled in
current statement period
Per Unit
Amount
4.92
Proceeds
24,599.51
Tax Cost
(23,850.00)
Realized
Gain/Loss
749.51 S*
Trade Date
Settle Date
Type
Description
Settled Securities Purchased
4/28
Purchase
5/3
5/3
5/6
5/20
5/25
Purchase
PROSHARES ULTRASHORT S&P 500 @ 19.87 19,870.00
BROKERAGE 50.00 J.P. MORGAN SECURITIES LLC
(ID: 74347R-88-3)
BARC CALLABLE PALLDIUM CP NT 05/14/12 LNKD TO
PLDMLNPM 7.4% CPN, 20% MAX, 80% BARRIER
EFTA01569561
05/03/2011 @ 100.00 JP MORGAN SECURITIES LLC
(BIDL) (ID: 06738K-JA-0)
Purchase
Total Settled Securities Purchased
THE MOSIAC COMPANY NEW @ 65.00 J.P. MORGAN
SECURITIES LLC (ID: 61945C-10-3)
1,000.000
65.00
(65,000.00)
($104,920.00)
20,000.000
100.00
(20,000.00)
Quantity
1,000.000
Per Unit
Amount
19.92
Market Cost
(19,920.00) *
Page 15 of 22
EFTA01569562
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
Trade Date
Type
Est. Settle Date Selection Method Description
Pending Sales, Maturities, Redemptions
Sale
5/27
6/2
THE MOSAIC COMPANY NEW (ID: 61945C-10-3)
Quantity
(500.000)
Per Unit
Amount
70.63
Proceeds
35,289.51
Tax Cost
(32,500.00)
Realized
Gain/Loss
2,789.51 S
Page 16 of 22
EFTA01569563
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
Portfolio Activity Summary - Norwegian Krone
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
-269.80
$269.80
(269.80)
($269.80)
-Year-To-Date
Value*
-1,268.81
$1,268.81
(1,268.81)
($1,268.81)
-Local
EFTA01569564
Value
Current
Period Value
0.00
1,483.62
1,483.62
(1,483.62)
(1,483.62)
0.00
Year-To-Date
Value*
-7,107.27
7,107.27
(7,107.27)
(7,107.27)
-Page
17 of 22
EFTA01569565
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
Portfolio Activity Detail - Norwegian Krone
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
5/4
Foreign Interest
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.4500% DATED 04/27/2011 MATURITY 05/04/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2521J9-9L-9)
5/4
5/4
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
5/4
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.4500% DATED 04/27/2011 MATURITY 05/04/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2521J9-9L-9)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.4500% DATED 05/04/2011 MATURITY 05/11/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2521N9-9C-4)
5/5
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.4500% DATED 04/28/2011 MATURITY 05/05/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2521K9-9U-7)
5/5
5/5
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
1.4500% DATED 04/28/2011 MATURITY 05/05/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2521K9-9U-7)
(165.200)
(585,920.530)
(30.37)
(165.20)
585,920.530
EFTA01569566
30.37
165.20
625,763.850
(176.380)
(625,587.470)
(33.25)
(176.38)
Quantity
625,587.470
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
33.25
176.38
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 18 of 22
EFTA01569567
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
5/5
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.4500% DATED 05/05/2011 MATURITY 05/12/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2521P9-9Q-1)
5/11
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.4500% DATED 05/04/2011 MATURITY 05/11/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2521N9-9C-4)
5/11
5/11
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
5/11
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.4500% DATED 05/04/2011 MATURITY 05/11/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2521N9-9C-4)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.5500% DATED 05/11/2011 MATURITY 05/18/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2521R9-9U-0)
5/12
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.4500% DATED 05/05/2011 MATURITY 05/12/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2521P9-9Q-1)
5/12
5/12
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
1.4500% DATED 05/05/2011 MATURITY 05/12/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2521P9-9Q-1)
EFTA01569568
(165.240)
(586,085.730)
(30.22)
(165.24)
586,085.730
30.22
165.24
625,940.280
(176.430)
(625,763.850)
(32.42)
(176.43)
625,763.850
32.42
176.43
Quantity
586,085.730
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 19 of 22
EFTA01569569
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
5/12
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.8500% DATED 05/12/2011 MATURITY 05/19/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2521S9-9Q-8)
5/18
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.5500% DATED 05/11/2011 MATURITY 05/18/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2521R9-9U-0)
5/18
5/18
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
5/18
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.5500% DATED 05/11/2011 MATURITY 05/18/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2521R9-9U-0)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.7000% DATED 05/18/2011 MATURITY 05/25/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2521V9-9R-2)
5/19
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.8500% DATED 05/12/2011 MATURITY 05/19/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2521S9-9Q-8)
5/19
5/19
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
1.8500% DATED 05/12/2011 MATURITY 05/19/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2521S9-9Q-8)
EFTA01569570
(210.890)
(586,250.970)
(37.94)
(210.89)
586,250.970
37.94
210.89
626,128.930
(188.650)
(625,940.280)
(33.65)
(188.65)
625,940.280
33.65
188.65
Quantity
586,250.970
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 20 of 22
EFTA01569571
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
5/19
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.7000% DATED 05/19/2011 MATURITY 05/26/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2521W9-9N-0)
5/25
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.7000% DATED 05/18/2011 MATURITY 05/25/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2521V9-9R-2)
5/25
5/25
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
5/25
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.7000% DATED 05/18/2011 MATURITY 05/25/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2521V9-9R-2)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.7500% DATED 05/25/2011 MATURITY 06/01/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2521Z9-9E-7)
5/26
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.7000% DATED 05/19/2011 MATURITY 05/26/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2521W9-9N-0)
5/26
5/26
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
1.7000% DATED 05/19/2011 MATURITY 05/26/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2521W9-9N-0)
EFTA01569572
(193.860)
(586,461.860)
(34.78)
(193.86)
586,461.860
34.78
193.86
626,335.900
(206.970)
(626,128.930)
(37.17)
(206.97)
626,128.930
37.17
206.97
Quantity
586,461.860
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 21 of 22
EFTA01569573
GHISLAINE MAXWELL ACCT.
For the Period 5/1/11 to 5/31/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
5/26
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.7500% DATED 05/26/2011 MATURITY 06/03/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2522A9-9A-0)
Total Inflows & Outflows
$0.00
Quantity
586,655.720
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 22 of 22
EFTA01569574
For the Period 5/1/11 to 5/31/11
IMPORTANT INFORMATION ABOUT YOUR STATEMENT(S)
Please take the steps indicated below if you think statements are incorrect
or contact your J.P.Morgan team if you require additional information about
a transaction on your statement(s).
In Case of Errors or Questions About Your Electronic Transfers.
Contact your J.P. Morgan Team at one of the telephone numbers on the front
of your statements or write us at 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 the Bank 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 JPMorgan Chase Bank, N.A.
("JPMCB") Member FDIC.
In case of other errors or questions about your statement.
Please review your account statement and promptly report any inaccuracy or
discrepancy including possible unauthorized trading activity, unrecorded
dividend payments, unaccounted cash positions,
improper payments or transfers in writing to both the introducing broker,
JPMS and the clearing firm, JPMCC at the addresses shown on your statement.
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
EFTA01569575
activity and account balance(s) are correct.
Important Information about Pricing and Valuations
Market value information (including without limitation, prices, exchange
rates, accrued income and bond ratings) furnished herein some of which has
been provided by pricing sources or other sources
that J.P. Morgan believes to be reliable, is not guaranteed for accuracy and
is furnished for the exclusive use of the client.
J.P. Morgan makes no representation, warranty or guarantee, express or
implied, that any quoted value represents the actual terms at which
transactions or securities could be bought or sold or new
transactions could be entered into, or the actual terms on which existing
transactions or securities could be liquidated. Such values may only be
indicative.
The current price is the value of the financial asset share, unit or
contract as priced at the close of the market on the last day of the
statement period or the last available price. All values provided for
structured yield deposits (for example, JPMorgan London Time Deposits)
reflect the original deposit amount only. The value for Real Estate, Mineral
Interests and Miscellaneous Assets may not reflect
the most current value of the asset.
Certain assets including but not limited to, pooled and private investments,
non-publicly traded and infrequently traded securities, derivatives,
partnership interests and tangible assets are generally
illiquid, the value of such assets may have been provided to us by third
parties who may not be independent of the issuer or manager. Such
information is reflected as of the last date provided to us, and
is not independently verified.
Disclosures Page 1 of 4
EFTA01569576
For the Period 5/1/11 to 5/31/11
Valuations of over-the-counter derivative transactions, including certain
derivatives-related deposit products, have been prepared on a mid-market
basis. These valuations are derived from proprietary
models based upon well-recognized financial principles and we have, when
necessary to calculate the present value of future cash flows, made
reasonable estimates about relevant future market
conditions. Valuations based on other models or different assumptions may
yield different results. J.P. Morgan expressly disclaims any responsibility
for (1) the accuracy of the models or estimates
used in deriving the valuations, (2) any errors or omissions in computing or
disseminating the valuations, and (3) any uses to which the valuations are
put. Valuations are provided for information
purposes only and are intended solely for your own use. Please refer to the
trade confirmation for details of each transaction.
Important Information Regarding Auction Rate Securities (ARS). ARS are debt
or preferred securities with an interest or dividend rate reset periodically
in an auction. Although there may be daily,
weekly and monthly resets, there is no guarantee that there will be
liquidity. If there are not enough bids at an auction to redeem the
securities available for sale, the result may be a failed auction. In the
event of a failed auction, there is no assurance that a secondary market
will develop or that the security will trade at par or any other price
reflected on statements and online.Accordingly, investors
should not rely on pricing information appearing in their statements or
online with respect to ARS. Where J.P. Morgan was unable to obtain a price
from an outside service for a particular ARS, the price
column on your statement and online will indicate "$0.00" which however
should not be relied on as the price at which ARS would trade.
The JPMorgan Funds or The JPMorgan Institutional Funds or The American
Century Funds
Shares of the funds 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.
The distributor of the JPMorgan Funds is JPMorgan Distribution Services,
Inc., which is an affiliate of the JPMCB. JPMCB and its affiliates receive
compensation from JPMorgan Funds for providing
services. American Century Investment Services, Inc. is the distributor of
the American Century Funds. American Century Investment Management Inc.
serves as investment advisor to its respective
fund family and receives compensation from that fund family for providing
investment advisory and other services.
Shareholders of certain JPMorgan Funds are charged a redemption fee equal to
2% of the proceeds if they exchange or redeem shares of such funds within 60
days of purchase, subject to certain
exceptions set forth in the prospectus of the applicable Fund. Please
EFTA01569577
consult your J.P. Morgan representative for a list of the JPMorgan Funds
that impose redemption fees.
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, or gain/Loss. Such
information, which may be inaccurate, incomplete or subject to updating,
should be confirmed with your records and your tax advisor.
Offshore Deposits - London and Nassau
Deposits in Foreign Branches are not insured by the FDIC or any other Agency
of the Federal Government; amounts in such foreign accounts do not have the
benefit of any domestic
preference applicable to U.S Banks; certain Foreign accounts are considered
reportable to the Internal Revenue Service on a Report of Foreign Bank and
Financial Accounts (TD F
90-22.1).
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.
Fund manager disclosure information available upon request
If you have an investment account that is managed by an SEC-Registered
Investment Advisor, the Private Bank of J.P. Morgan will provide a copy of
the advisor's Form ADV II or brochure upon written
request.
Additional Information About Your Accounts
Disclosures Page 2 of 4
EFTA01569578
For the Period 5/1/11 to 5/31/11
Securities purchased or sold through J.P.Morgan Securities LLC ("JPMS") (1)
other than mutual funds, are cleared through J.P.Morgan Clearing Corp.
("JPMCC"), an affiliate of JPMS, and (2) other
than exchange-listed options and securities held in margin account(s), are
held in your Asset Account at JPMCB. Positions in exchange-listed options
and in margin account(s) are held by JPMCC and
are not delivered to or from your Asset Account. 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).
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 to you.
Upon written request, JPMS will promptly supply you with the latest such
information.
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 JPMS and JPMCC are
protected by SIPC up to $500,000 per customer, which includes up to $100,000
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.
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.
JPMS, JPMCB or their affiliates (the "J.P. Morgan Companies") may provide
administrative, custodial, sales, distribution or shareholder services to
JPMorgan Funds, American Century Funds, or funds
established, sponsored, advised, or managed by third parties, and the J.P.
Morgan Companies may be compensated for such services.
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
EFTA01569579
request.
Bank products and services are offered through JPMCB and its banking
affiliates. Securities are offered by JPMS and, to the extent noted above,
cleared through JPMCC.
If a partial call is made with respect to an issue of securities included in
your Accounts we will allocate the call by a method we deem fair and
equitable.
JPMS is not a bank and is a separate legal entity from its bank or thrift
affiliates, including JPMorgan Chase Bank, N.A. ("JPMCB").
Investment Products: Not FDIC Insured
-No Bank Guarantee -May Lose Value
IMPORTANT INFORMATION ABOUT ALTERNATIVE INVESTMENTS: FOOTNOTES 1 - 4
Private Equity, Hedge Funds, Exchange Funds, Real Estate and Other
Alternative Assets
1. Direct private equity investments and pooled private investments (e.g.,
interests in limited partnerships and limited liability companies) are
generally illiquid securities. Values are estimates only and
are not warranted for accuracy or completeness. Values do not represent the
actual terms at which transactions or securities could be bought or sold or
new transactions could be entered into or the
actual terms on which existing transactions could be liquidated as of the
date of this statement.
Disclosures Page 3 of 4
EFTA01569580
For the Period 5/1/11 to 5/31/11
Direct private equity investments are generally valued at cost, unless there
is an active secondary trading market in the securities, in which case,
direct private equity investments are valued using market
prices as of the close of the last business day for this statement period.
Pooled private equity investments are valued according to the General
Partner's or Manager's stated methodology. Please refer
to the limited partnership agreement, limited liability company agreement or
other operative documentation for each investment for the specific valuation
methodology used by the General Partner or
Manager for that investment. J.P. Morgan expressly disclaims any
responsibility for (1) the accuracy of the information and the methodology
used by the General Partner or Manager in deriving
valuations, (2) any errors or omissions in compiling or disseminating the
valuations, and (3) any use to which the valuations are put. Valuations are
provided for information purposes only and are
intended solely for your own use.
Hedge funds generally calculate the price (the "Net Asset Value" or " NAV"),
10-15 business days following the last business day of the month. For that
reason, hedge fund NAVs shown will generally be
the NAV of the month preceding this statement period. In general, the NAV is
stated net of management and incentive fees. The NAV is calculated according
to the General Partner's or Manager's
stated methodology. Please refer to the limited partnership agreement,
limited liability company agreement or other operative documentation for
each hedge fund for the specific methodology used by
the General Partner or Manager for that hedge fund. J.P. Morgan expressly
disclaims any responsibility for (1) the accuracy of the information and the
methodology used by the General Partner or
Manager in deriving valuations, (2) any errors or omissions in compiling or
disseminating the valuations, and (3) any use to which the valuations are
put. Valuations are provided for information
purposes only and are intended solely for your own use.
These statements do not provide tax reporting on private investments. Please
continue to rely upon the General Partner or Manager of the investment
vehicle for this information.
2. The 'Capital Called Since Inception USD' and "Cash/Security distributions
Since Inception USD' columns are updated monthly to reflect activity
(capital calls and distributions), if any.
3. Hedge funds generally allow subscriptions on a monthly or quarterly
basis. Your interest in a hedge fund or hedge fund of funds is generally as
of the first business day of the subscription period. Due
to early funding requirements by the applicable fund, your account may be
debited for the subscription amount prior to the subscription date. Please
refer to the applicable hedge fund's operative
documentation for further details.
Hedge fund redemptions are generally on a monthly, quarterly or annual basis
but can sometimes be subject to a multi-year lockup before a redemption is
permitted. For redemptions, there is generally
a notification period that can be a long interval before the actual
redemption date. Redemption proceeds are generally paid 15 calendar days
EFTA01569581
after the final NAV is issued, but can be subject to a
holdback of a portion of the proceeds until an annual audit of the Fund has
been completed. Please refer to the applicable hedge fund's operative
documentation for further details.
Global Access Portfolios share certain characteristics with hedge funds. In
particular, an investor who withdraws from a Global Access Portfolio will
not receive the withdrawal proceeds in their entirety
until 30-60 days after completion of the Portfolio's audit, which may be 18
months or longer after the redemption date. Interest may not be paid on any
proceeds pending distribution. These restrictions
apply even if the investor's account at JPMorgan is closed. The Confidential
Private Placement Memorandum and applicable Supplements contain other
important information about the Global Access
Portfolios and are available upon request.
4. Alternative assets may include publicly available mutual funds that
utilize non-traditional investment management strategies, for example,
strategies commonly employed by hedge funds. Mutual
funds generally calculate the price (the "Net Asset Value" or "NAV") on a
daily basis and mutual fund NAVs shown on your statement generally will be
the NAV as of the close of the last business day for
this statement period. Please refer to the applicable mutual fund prospectus
for further details. If the applicable mutual fund is a JPMorgan Fund,
please refer to disclosures on this statement concerning
JPMorgan Funds for other important information.
Disclosures Page 4 of 4
EFTA01569582
DataSet-10
Unknown
1 pages
GHISLAINE MAXWELL ACCT.
For the Period 6fI/13 to 6131)/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 156.90 1.007 34 916.54 5770 47
Total Inflows $156.90 $1,007.34 916.64 6,770.47
OUTFLOWS "
Withdrawals (156.90) (1,007.34) (916.54) (5.770.47)
Total Outflows ($166.90) ($1,007.34) (916.54) (6,770.47)
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 Page 24 of 30 Consolidated Statement Page 27
Confidential Treatment Requested by JPMorgan JPM-SDNY-00045835
Chase
CONFIDENTIAL SDNY_GM_00315033
EFTA01518597
DataSet-10
Unknown
1 pages
CHISLAINE MAXWELL - OAP IHD ACCT.
For the Period VIM to 2/28/13
Portfolio Activity Summary
Current Year-To-Date
Transactions Period Value Value•
Beginning Cash Balance 1,000,000.00
INFLOWS
Income 1.08 1.00
Contributions 1,000,000.00
Total Inflows $1.08 $1,000,001.00
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions 17,245.92 17,245.92
Settled Securities Purchased (992.425 80) (992.425 80)
Total Trade Activity (9975,179.88) (9975,179.88)
Ending Cash Balance $24,821.20
• 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
J.P.Morgan Account Page 10 of 16 Consolidated Statement Page 47
Confidential Treatment Requested by JPMorgan JPM-SDNY-00045435
Chase
CONFIDENTIAL SDNY_GM_00314633
EFTA01518218