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GHISLAINE MAXWELL -OAP HID ACCT.
For the Period 4/1/13 to ♦/31/13
Trade Date Per Unit
Sett 'e Date Type Description Quantity Amount Market Cost
Settled Securities Purchased
4/22 Purchase BOC HONG KONG HOLDINGS LTD SPONS ADR fa 66.3638 220.000 66.404 (14,608.84)
4/25 14,600.04 BROKERAGE 8.80 ESI SECURITIES COMPANY
(ID:
4/22 Purchase BRITISH AMERICAN TOBACCO PLC SPONS ADR 150.000 107.325 (16,098.78)
4/25 107.2852 16,092.78 BROKERAGE 6.00 ESI
SECURITIES COMPANY (ID:
4/22 Purchase DEUTSCHE POST AG SPONS ADR 22.5416 16,229.95 720.000 22.582 (16,258.75)
4/25 BROKERAGE 28.80 ESI SECURITIES COMPANY
(ID:
4/22 Purchase GDP SUEZ SPONS ADR (a 20.8377 7,918.33 BROKERAGE 380.000 20.919 (7,949.37)
4/25 15.20 TAX 8/OR SEC 15.84 ESI SECURITIES COMPANY
(ID:
4/22 Purchase GLAXOSMITHKLINE PLC SPONS ADR Q 50.5905 245.000 50.63 (12,404.47)
4/25 12,394.67 BROKERAGE 9.80 ESI SECURITIES COMPANY
(ID: EMS
4/22 Purchase HSBC HOLDINGS PLC SPONS ADR fa 52.0803 22,394.53 430.000 52.12 (22,411.73)
4/25 BROKERAGE 17.20 ESI SECURITIES COMPANY
(ID:
4/22 Purchase ISRAEL CHEMICALS LTD ADR 12.2857 18,858.55 1,535.000 12.316 (18,904.60)
4125 BROKERAGE 46.05 ESI SECURITIES COMPANY
(ID:
4/22 Purchase KIRIN HOLDINGS COMPANY LTD SPONS ADR Q 16.29 600.000 16.32 (9,792.00)
4125 9,774.00 BROKERAGE 18.00 ESI SECURITIES COMPANY
(ID: MN)
4122 Purchase MTN GROUP LTD SPONS ADR la 17.36 10,242.40 590.000 17.39 (10,280.10)
4/25 BROKERAGE 17.70 ESI SECURITIES COMPANY
(ID:
JP Morgan Page 15 of 19
Confidential Treatment Requested by JPMorgan JPM-SDNY-00045586
Chase
CONFIDENTIAL SDNY_GM_00314784
EFTA01518361
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GHISLAINE MAXWELL IRA ACCT.
For the Period 1/1/14 to
Cash & Fixed Income Summary
JP Morgan Page 3 of 6
Confidential Treatment Requested by JPMorgan JPM-SDNY-00051688
Chase
CONFIDENTIAL SDNY_GM_00320886
EFTA01523922
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GHISLAINE MAXWELL IRA ACCT.
For the Period I/1/14 to 1/31/14
TRADE ACTIVITY
Trade Date Per Unit
Settle Date Type Description Quantity Amount Market Cost
Settled Securities Purchased
1/2 Purchase JPM SHORT DURATION BOND FD- SEL FUND 3133 6.612 10.891 (72.01)
1/2 REINVESTED 02 10.89 PER SHARE (ID: 4812C1-33-0)
JP Morgan Page 6 of 6
Confidential Treatment Requested by JPMorgan JPM-SDNY-00051691
Chase
CONFIDENTIAL SDNY_GM_00320889
EFTA01523925
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GHISLAINE MAXWELL ACCT-
For the Period 2/1/14 to 2/28/14
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type Quantity Per Unit PRINCIPAL INCOME
Settle Date Selection Method Description Cost Amount Amount Amount
2/3 Interest Income DEPOSIT SWEEP INTEREST FOR 01/01/14 - 01/31/14 23.27
.01% RATE ON AVG COLLECTED BALANCE OF
$2,792,062.09 AS OF 02/01/14
2/3 Interest Income COUNTRYWIDE CAPITAL V 7% PFD @ 0.4375 PER SHARE 4200.000 0.438 1,837.50
(ID: 222388-20-9)
2/11 Corporate Interest GENERAL ELEC CAP CORP MEDIUM TERM FLOATING RATE 50.000 000 0.001 55.54
NOTE MAY 11 2016 DTD 05/11/2007
(ID: 36962G-2V-5)
2/18 Municipal Interest BIRDVILLE TEXAS INDEPENDENT SCHOOL DIST PERM 100.000.000 0.025 2500.00
SCH GTD FUND UNLIMITED TAX 5% FEB 15 2029 DTD
01/15/2007 HELD BY DTC BOOK ENTRY ONLY PAR CALL
02/15/2017 IS 100 (ID: 090874-FV-5)
2/21 Div Domest APACHE CORP 0.20 PER SHARE (ID: 037411.10.5) 95.000 0.20 19.00
2/24 Misc Credit BOOK TRANSFER CREDIT B/O: J P MORGAN CLEARING 430.00
CORP BROOKLYN NY 11245-0003 ORG:/2415587324
GHISLAINE MAXWELL OGB: JPMCLEARING CORP
METROTECH CENTER TRN: 1210700055JJ
2/28 Div Domest CITIGROUP INC NEWS 0.01 PER SHARE 358.000 0.01 3.58
(ID: 172967-42-4)
Total Inflows & Outflows 84.868.89
J.P.Morgan Account Page 17 of 28 Consolidated Statement Page 20
Confidential Treatment Requested by JPMorgan JPM-SDNY-00046712
Chase
CONFIDENTIAL SDNY_GM_00315910
EFTA01519426
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GH1SLAINE MAXWELL ACCT.
For the Period 1/1/13 to 1/31/13
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
1/18 Foreign Interest JP MORGAN CHASE BANK -CAD LONDON TIME DEPOSITS 115.748.010 13.02
0.5700% DATED 01/11/2013 MATURITY 01/18/2013 12.83
HELD BY LONDON TREASURY SERVICES
(ID: 2533J9-9C-4)
1/18 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR (12.830) (13.02)
(ID: OCADPR-AA-6) (12.83)
1:25 Foreign Interest JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 115.760.840 12_79
0.5700% DATED 01/18/2013 MATURITY 01/25/2013 1283
HELD BY LONDON TREASURY SERVICES
(ID: 2533L9-9Y-3)
1/25 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR (12.830) (12.79)
(ID: OCADPR-AA-6) (12.83)
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
1/4 Receipt of Assets JP MORGAN CHASE BANK- CAD LONDON TIME DEPOSITS 115,735.180 117,491.68
0.5700% DATED 01/04/2013 MATURITY 01/11/2013 113,343.43
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2533F9-9H-7)
J.P.Morgan Account age 23 of 32 Consolidated Statement Page 26
Confidential Treatment Requested by JPMorgan JPM-SDNY-00045306
Chase
CONFIDENTIAL SDNY_GM_00314504
EFTA01518093
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GHISLAINE MAXWELL
EFTA01575043
EFTA01575044
3PMorgan Chase Bank, N.A.
GHISLAINE MAXWELL IRA
270 Park Avenue, New York, NY 10017-2014
ACCT.
For the Period 6/1/11 to 6/30/11
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
Cash & Fixed Income
Portfolio Activity
4
6
Page
2
Client News
Occasionally, when a security is acquired through an
outside broker, it may be transferred to a J.P. Morgan
account without an initial purchase cost and date. As a
result, we cannot accurately calculate gain/loss for this
position. Beginning with July statements, securities
missing this cost basis information will display "N/A"
instead of "zero" in the Gain/Loss column.
To correct this information:
Please contact your J.P. Morgan client service
representative and provide the adjusted cost and
acquisition date for the security in question.
Page 1 of 6
EFTA01575045
GHISLAINE MAXWELL IRA ACCT.
For the Period 6/1/11 to 6/30/11
Account Summary
Asset Allocation
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
55,726.45
$55,726.45
1.42
$55,727.87
Ending
Market Value
55,727.87
$55,727.87
1.37
$55,729.24
Current
Portfolio Activity
Beginning Market Value
Income & Distributions
Ending Market Value
Accruals
Market Value with Accruals
Period Value
55,726.45
1.42
$55,727.87
1.37
$55,729.24
Year-to-Date
Value
55,719.54
8.33
$55,727.87
1.37
$55,729.24
Change
In Value
1.42
$1.42
(0.05)
$1.37
Estimated
16.71
$16.71
Current
Annual Income Allocation
EFTA01575046
100%
100%
Page 2 of 6
EFTA01575047
GHISLAINE MAXWELL IRA ACCT.
For the Period 6/1/11 to 6/30/11
Account Summary
Tax Summary
Interest Income
Taxable Income
CONTINUED
Current
Period Value
1.42
$1.42
Year-to-Date
Value
8.33
$8.33
Cost Summary
Cash & Fixed Income
55,727.87
Cost
Total
$55,727.87
Page 3 of 6
EFTA01575048
GHISLAINE MAXWELL IRA ACCT.
For the Period 6/1/11 to 6/30/11
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Market Value
55,726.45
Ending
Market Value
55,727.87
Change
In Value
1.42
Current
Allocation
100%
Current
Market Value/Cost
Market Value
Tax Cost
Estimated Annual Income
Accrued Interest
Yield
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1
Period Value
55,727.87
55,727.87
16.71
1.37
0.03%
SUMMARY BY TYPE
Market
Value
55,727.87
% of Bond
Portfolio
100%
The years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their stated maturity.
Cash & Fixed Income
Cash
Market
Value
55,727.87
% of Bond
EFTA01575049
Portfolio
100%
Page 4 of 6
EFTA01575050
GHISLAINE MAXWELL IRA ACCT.
For the Period 6/1/11 to 6/30/11
Note:
1
This is the Annual Percentage Yield (APY) which is the rate earned if
balances remain on deposit for a full year with compounding, there is no
change in the interest rate and all interest
is left in the account.
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
1.00
55,727.87
55,727.87
55,727.87
16.71
1.37
0.03%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 5 of 6
EFTA01575051
GHISLAINE MAXWELL IRA ACCT.
For the Period 6/1/11 to 6/30/11
Portfolio Activity Summary
Beginning Cash Balance
Transactions
Income
INFLOWS
Total Inflows
Ending Cash Balance
Current
Period Value
55,726.45
1.42
$1.42
$55,727.87
* Year to date information is calculated on a calendar year basis.
Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Portfolio Activity Detail
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
6/1
Interest Income
Description
DEPOSIT SWEEP INTEREST FOR MAY @ .03% RATE ON
NET AVG COLLECTED BALANCE OF $55,726.45 AS OF
06/01/11
Quantity
Cost
Per Unit
Amount
Amount
1.42
Year-To-Date
Value*
-8.33
$8.33
-Page
6 of 6
EFTA01575052
For the Period 6/1/11 to 6/30/11
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
EFTA01575053
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 3
EFTA01575054
For the Period 6/1/11 to 6/30/11
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.
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
EFTA01575055
request.
Additional Information About Your Accounts
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.
Disclosures Page 2 of 3
EFTA01575056
For the Period 6/1/11 to 6/30/11
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
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
Disclosures Page 3 of 3
EFTA01575057
EFTA01575058
DataSet-10
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GHISLAINE MAXWELL ACCT.
For the Period 1211/13 to 12/311/3
Adjusted Cost Unrealized
Price Quantity Value Original Cost Gain,Loss Accruals
Balanced
PIMCO FUNDS GLOBAL INVESTORS SERIES 21 75 4.361 513 94.855 12 90364 18 4 490 94
- GLOBAL INVESTMENT GRADE CREDIT 12;3013
FUND
ISIN IE00B3BMD843 SEDOL B3BMD84
695421-91-7 BP
Total Balanced $162.656.11 392,027.29 S4 490.94
J.P.Morgan Page 15 of 31
Confidential Treatment Requested by JPMorgan JPM-SDNY-00049364
Chase
CONFIDENTIAL SDNY_GM_00318562
EFTA01521918
DataSet-10
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1 pages
CHISLAINE MAXWELL - OAP IHD ACCT.
For the Period 2/1/14 to 2128/14
Account Summary CONTINUED
Current Year-to-Date Current Year-to-Date
Tax Summary Period Value Value Period Value Value
Foreign Dividends 28,034.21 30463.70 ST Realized Gain/Loss 622.50 9,772 82
Interest Income 2.72 3.97 LT Realized GaINLoss 1,557.86 1,557.88
Taxable Income 626,036.93 $30,467.67 Realized Gain/Loss $2,180.38 $11,330.70
To-Date Value
Unrealized Gain/Loss $4,841.98
Cost Summary cost
Equity 132,686.12
Total $132,686.12
J.P. Morgan Account 'age 3 of 15 Consolidated Statement Page 37
Confidential Treatment Requested by JPMorgan JPM-SDNY-00046730
Chase
CONFIDENTIAL SDNY_GM_00315928
EFTA01519444
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GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
TRADE ACTIVITY - Japanese Yen
Note: S indicates Short Term Realized Gainfloss
Per Unit
Trade Date Type Amount USD Proceeds USD Tax Cost USD Realized
Settle Date Selection Method Description Quantity Local Value Local Value Local Value GaiNLoss USD
Settled Sales/Maturities/Redemptions
1(20 Sale JAPAN TOBACCO INC ISIN JP3726800000 SEDOL (2.000) 5,086.51 10,173.02 (8,930.02) 1,243.00 S
1/25 High Cost 6474535 (ID: J27869-91-6) 393,000.00 784,035.00 (885,646.76)
JP Morgan Page 39 of 50
Confidential Treatment Requested by JPMorgan JPM-SDNY-00048394
Chase
CONFIDENTIAL SDNY_GM_00317592
EFTA01521041
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GHISLAINE MAXWELL ACCT.
For the Period 6/I/II to 6/30/I I
Settled Foreign Exchange Contracts
Trade Date Currency Amount Contracted Base Revalued
Settle Date Counter Currency Counter Amount Contract Rate Revaluation Rate Amount USD Amount USD Currency GM.
Trade Related
INDONESIAN RUPIA Jun.611 IDR (84,500,000.00) 8565.000000 8507.502207 9665.73 (9,932.41) (86.68)
U S DOLLAR Jun.711 USD 9,885.73
BRAZILIAN REAL Jun. 21 11 BRL (7,875.00) 1.582000 1.597499 4.977.88 (4,929.58) 48.30
U S DOLLAR Jun. 21 11 USD 4,977.88
JP Morgan Page 28 of 28
Confidential Treatment Requested by JPMorgan JPM-SDNY-00048055
Chase
CONFIDENTIAL SDNY_GM_00317253
EFTA01520726
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GHISLAINE MAXWELL -OAP HID ACCT.
For the Period 2/1/13 to 2/28/13
Equity Summary
Beginning Ending Change Current
Asset Categories Market Value Market Value In Value Allocation
EAFE Equity 994,948 63 978 369 85 (16,578.78) 100%
Current
Market Value/Cost Penod Value
Market Value 978,369.85
Tax Cost 999,626.41
Unrealized Gain/Loss (21,256.56)
Estimated Annual Income 34,363.15
Accrued Dividends 2,620.94
Yield 3.51%
JP Morgan Page 4 of 16
Confidential Treatment Requested by JPMorgan JPM-SDNY-00045369
Chase
CONFIDENTIAL SDNY_GM_00314567
EFTA01518154
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1 pages
CHISLAINE MAXWELL ACCT
For the Period 8/1/13 to sain3
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 127,95 1.315.35 760 95 7 621 13
Total Inflows 3127.95 31,316.35 760.95 7,621.13
OUTFLOWS"
Withdrawals (127.95) (1.316 35) (760.95) (7,621.13)
Total Outflows ($127.95) ($1,316.35) (760.95) (7,621.13)
Ending Cash Balance Wm.
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 31 of 36 Consolidated Statement Page 34
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GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Adjusted Tax Cost Unrealized Est. Annual Inc.
Pnce Quantity Value Onginal Cost Gain/Loss Accrued Div. Yield
Non-US Equity
VODAFONE GROUP PLC 0.00
ISIN GBOOBI 6GVVD56 SEDOL B16GWD5 260 61
92857W-92-8 GBP
Total Non-US Equity $431.810.83 3891,495.92 ($270,936.82) $540.50 0.11%
$3,012.71
Preferred Stocks
CITIGROUP CAPITAL XIII 26.06 10,000.000 280,600.00 261300.00 (700 00) 19,690 00 7 56%
7 7,8% PFD
173080-20-1 C PNNA /BA1
COUNTRYWIDE CAPITAL V 20.28 4,200.000 85,176.00 98,778.96 (13,602.96) 7,350.00 8.63%
7% PFD
222388-20-9 CFC PB
JPM CHASE CAPITAL XXIX 25.52 2,500.000 63,800.00 82,500.00 1,300.00 4,187.50 6.56%
6.7% PFD 1,046.88
46125E-20-7 JPM PC
Total Preferred Stocks 8409,678.00 $422.675.91 (813,002.98) 831,227.60 7.83%
$1,848.88
Concentrated & Other Equity
GENERAL MOTORS CO 34.25 1,000.000 34,250.00 50,000.00 (15.750.00) 2,375.00 6.93%
CV PFD B
37045V-20-9 GM PB
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GHISLAINE MAXWELL
For the Period 9/1/12 to 913W12
Account Summary CONTINUED
Cost Summary Cost
Equity 784.987.39
Cash 8 Fixed Income 7,374,830.78
Otter 90,384.18
Total 88,228,882.83
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CHISLAINE MAXWELL -TAP DVS ACCT
For the Period 511/13 to 5/31/13
Portfolio Activity Summary
Current Year-To-Date
Transactions Period Value Value'
Beginning Cash Balance 28.904.04
INFLOWS
Income 2,493.12 9,589.71
Contributions 1,000,000.00
Total Inflows $2,493.12 $1,009,589.71
OUTFLOWS
Fees& Commissions (1,284.55)
Total Outflows $0.00 ($1384.56)
TRADE ACTIVITY
Settled SalesNaturitiesMedemptions 39.139.00
Settled Securities Purchased (1,019,047.00)
Total Trade Activity $0.00 (4979,908.00)
Ending Cash Balance $28,397.16
• 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
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GHISLAINE MAXWELL- OAP FDG ACCT
For the Period 2/1/13 t
Adjusted Tax Cost Unrealized Est. Annual Inc.
Price Quantity Value Onginal Cost Gain/Loss Accrued Div. Yield
US Large Cap Equity
BLACKROCK INC 239.75 268.000 64,253.00 61,387.31 2,865.69 1,800.96 2.80%
09247X-10-1 BLK
CHEVRON CORP 117.15 548.000 64,198.20 61,772.97 2,425.23 1,972.80 3.07%
166784-10-0 CVX 493.20
COLGATE PALMOLNE CO 114.43 544.000 62,249.92 56,772.48 5,477.44 1,349.12 2.17%
194162-10-3 CL
CONOCOPHILUPS 57.95 940.000 54,473.00 55,151.35 (678.35) 2,481.60 4.56%
20825C-10-4 COP 620.40
GENERAL MILLS INC 46.25 1,197.000 55,361.25 48,534.43 6,826.82 1,580.04 2.85%
370334-10-4 GIS
HONEYWELL INTERNATIONAL INC 70.10 888.000 62,248.80 57,878.79 4,370.01 1,456.32 2.34%
438516-10-6 HON 364.08
ILLINOIS TOOL WORKS INC 61.50 844.000 51,906.00 51,473.38 432.62 1,282.88 2.47%
452308-10-9 ITW
JOHNSON & JOHNSON 76.11 768.000 58,452.48 54,560.28 3,892.20 1,873.92 3.21 %
478160-10-4 JNJ 468.48
LOCKHEED MARTIN CORP 88.00 625.000 55,000.00 57,019.17 (2,019.17) 2,875.00 5.23%
539830-10-9 LMT 718.75
MC DONALDS CORP 95.90 661.000 63,389.90 60,666.19 2,723.71 2,035.88 3.21 %
580135-10-1 MCD 508.97
NEXTERA ENERGY INC 71.87 837.000 60,155.19 57,381.55 2,773.84 2,209.68 3.67%
65339F-10-1 NEE 552.42
PEPSICO INC 75.77 832.000 63,040.64 59,023.51 4,017.13 1,788.80 2.84%
713448-10-8 PEP 447.20
PROCTER & GAMBLE CO 76.18 740.000 56,373.20 50,568.64 5,804.56 1,663.52 2.95%
742718-10-9 PG
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GHISLAINE MAXWELL ACCT.
For the Period 3/1/12 to 3/31/12
INFLOWS & OUTFLOWS
Per Unit PRINCIPAL INCOME
Type Amount USD Amount USD Amount USD Currency
Settle Date Selection Method Description Quantity Local Value Local Value Local Value Gain/Loss USD
3/13 Receipt of Assets JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 115,180.740
0.6100% DATED 03/13/2012 MATURITY 03/202012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2528F9-9C-8)
3/20 Foreign Interest JP MORGAN CHASE BANK- CAD LONDON TIME DEPOSITS 115,180.740 13.83
0.6100% DATED 03/13/2012 MATURITY 03/20/2012 13.66
HELD BY LONDON TREASURY SERVICES
(ID: 2528F9-9C-8)
3/20 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR (13.660) (13.83)
(ID: OCADPR-AA-8) (13.66)
3/20 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS (115,180.740)
High Cost 0.6100% DATED 03/13/2012 MATURITY 03/20/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2528F9-9C-8)
3/20 Receipt of Assets JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 115,194.400
0.6100% DATED 03(20/2012 MATURITY 03/27/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526H9-9W-2)
3/27 Foreign Interest JP MORGAN CHASE BANK- CAD LONDON TIME DEPOSITS 115,194.400 13.78
0.6100% DATED 03/202012 MATURITY 03/27/2012 13.68
HELD BY LONDON TREASURY SERVICES
(ID: 2528H9-9W-2)
3/27 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR (13.660) (13.78)
(ID: OCADPR-AA.6) (13.66)
3/27 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS (115,194.400)
High Cost 0.6100% DATED 03/20/2012 MATURITY 03/27/2012
HEW BY LONDON TREASURY SERVICES CLIENT REF FM
(ID: 2528H9-9W.2)
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GHISLAINE MAXWELL
For the Period 6/I/I I to WWI I
Portfolio Activity Detail - Norwegian Krone
INFLOWS & OUTFLOWS
Per Unit PRINCIPAL INCOME
Type Amount USD Amount USD Amount USD Currency
Settle Date Selection Method Description Quantity Local Value Local Value Local Value Gain/Loss USD
13/1 Foreign Interest JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 626,335.900 39.50
1.7500% DATED 05/25/2011 MATURITY 06/01/2011 21313
HELD BY LONDON TREASURY SERVICES
(ID: 252IZ9-9E-7)
6/1 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (213.130) (39.50)
(ID: ONOKPR-M-1) (213.13)
Gll Free Delivery JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS (826,335.900)
High Cost 1.7500% DATED 05/252011 MATURITY 06/01/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 252129-9E-7)
6/1 Receipt of Assets JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 626,549.030
1.7500% DATED 06/01/2011 MATURITY 06/08/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2522C9-9X-8)
6/3 Foreign Interest JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 586,655.720 42.35
1.7500% DATED 05/26/2011 MATURITY 06/032011 228.14
HELD BY LONDON TREASURY SERVICES
(ID: 2522A9-9A-0)
6/3 Mc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (228.140) (42.35)
(ID: ONOKPR-AA-1) (228.14)
6/3 Free Delivery JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS (586,655.720)
High Cost 1.7500% DATED 0526/2011 MATURITY 06/03/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2522A9-9A-0)
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GHISLAINE MAXWELL ACCT
For the Period 8/1/13 to 8/31/13
Adjusted Tax Cost Unrealized Est. Annual Income
Price Quantity Value Original Cost Gain/Loss Acaued Interest Yield
Non-US Eked Income
'SHARES GBP INDEX-LINKED GILTS 20 27 5,790.00 117,364.78 118212.32 (847.54)
UCITS ETF
ISIN IE0081FZSD53 SEDOL 81G52V0
46578W-92-2 BP
Total Non-US Fixed Income $154,048.90 $167,606.32 (03,466.42) $0.00 0.00%
Market Value
Receivable
Trade Date Currency Amount Contract Current Market Market Value Unrealized
Settlement Date Counter Currency Counter Amount Rate Forward Rate Payable Gain/Loss
Foreign Exchange Contracts
INDIAN RUPEE Aug. 27 13 INR (6,505,606.22) 67.257200 67.257200 96.727.31
usSCIS:AR Aug. 30 13 USD 96,727.31 96.727.31
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GHISLAINE MAXWELL-HY ACCT.
For the Period 3/1/14 to 3/31/14
Account Summary
Beginning Ending Change Estimated Current Asset Allocation
Asset Allocation Market Value Market Value In Value Annual Income Allocation
Cash & Fixed Income 3.00 3.00 0.00 100%
Market Value $3.00 $3.00 $0.00 $0.00 100%
Current Year-to-Date
Portfolio Activity Period Value Value
Beginning Market Value 3.00 3.00
Ending Market Value 33.00 33.00
Coma
Fixed Income
• - J.P. Morgan Separately Managed Account includes fixed income, equity, and alternative separatety managed accounts
managed by J P. Morgan. See important Information about investment principles and conflicts in the disclosures section.
Manager Allocation •
J.P Morgan Sep:unto/
Managed Account 100%
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