EFTA01570180.pdf
GHISLAINE MAXWELL
EFTA01570180
EFTA01570181
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
For the Period 1/1/12 to 1/31/12
Asset Account
J.P. Morgan Team
Paul Morris
Jason Bell
Janet Young
Gina Magliocco
Banker
Investment Specialist
Client Service Team
Client Service Team
Table of Contents
Account Summary
Holdings
Equity
Alternative Assets
Cash & Fixed Income
Other Assets
Portfolio Activity
Online access
www.jpmorganonline.com
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
Page
2
4
12
13
19
20
0000000222.15.0.15.RRRRR.MAXWE04.20120709
Page 1 of 50
EFTA01570182
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Other
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
1,414,900.54
44,424.00
3,383,938.21
83,641.54
$4,926,904.29
27,584.20
$4,954,488.49
Ending
Market Value
1,123,837.25
189,792.46
7,258,799.86
88,373.68
$8,660,803.25
32,695.68
$8,693,498.93
Current
Portfolio Activity
Beginning Market Value
Contributions
Withdrawals & Fees
Securities Transferred In
Securities Transferred Out
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
Period Value
4,926,904.29
4,972,799.54
(1,522,802.63)
2,449,604.12
(2,347,535.86)
$3,552,065.17
9,121.64
172,712.15
EFTA01570183
$8,660,803.25
32,695.68
$8,693,498.93
Change
In Value
(291,063.29)
145,368.46
3,874,861.65
4,732.14
$3,733,898.96
5,111.48
$3,739,010.44
Year-to-Date
Value
4,926,904.29
4,972,799.54
(1,522,802.63)
2,449,604.12
(2,347,535.86)
$3,552,065.17
9,121.64
172,712.15
$8,660,803.25
32,695.68
$8,693,498.93
Estimated
46,954.44
58,748.29
$105,702.73
Current
Annual Income Allocation
13%
2%
84%
1%
100%
Equity
Cash &
Fixed Income
Other
Alternative
Assets
Asset Allocation
Page 2 of 50
EFTA01570184
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Account Summary
Tax Summary
Domestic Dividends/Distributions
Foreign Dividends
Currency Gain/Loss
Interest Income
Taxable Income
Tax-Exempt Income
Bond Premium Amortization
Tax-Exempt Income
CONTINUED
Current
Period Value
323.22
1,475.44
(42.54)
6,258.62
$8,014.74
1,250.00
(143.10)
$1,106.90
Year-to-Date
Value
323.22
1,475.44
(42.54)
6,258.62
$8,014.74
1,250.00
(143.10)
$1,106.90
Unrealized Gain/Loss
To-Date Value
($350,559.41)
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
6,075.75
(58,385.84)
($52,310.09)
Year-to-Date
Value
6,075.75
(58,385.84)
($52,310.09)
Cost Summary
Equity
EFTA01570185
Cost
Cash & Fixed Income
Other
Total
1,395,698.82
7,319,020.74
90,364.18
$8,805,083.74
Page 3 of 50
EFTA01570186
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Equity Summary
Asset Categories
US Large Cap Equity
US Small/Mid Cap Equity
Non-US Equity
Preferred Stocks
Concentrated & Other Equity
Unclassified
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Beginning
Market Value
226,931.66
4,440.00
431,810.63
409,576.00
193,953.50
148,188.75
$1,414,900 54
Ending
Market Value
112,244.53
5,940.00
374,029.22
429,082.00
202,541.50
0.00
$1,123,837.25
Current
Period Value
1,123,837.25
1,395,698.82
(266,905.87)
46,954.44
7,738.59
4.16%
Equity as a percentage of your portfolio - 13 %
Change
In Value
(114,687.13)
1,500.00
(57,781.41)
19,506.00
EFTA01570187
8,588.00
(148,188.75)
($291,063.29)
13%
Current
Allocation
1%
1%
4%
5%
2%
Preferred Stocks
US Large Cap Equity
US Small/Mid Cap Equity
Asset Categories
Concentrated & Other Equity
Non-US Equity
Page 4 of 50
EFTA01570188
GHISLAINE MAXWELL
ACCT.
For the Period 1/1/12 to 1/31/12
Note:
P
**
indicates position adjusted for Pending Trade Activity.
Unrealized Gain/Loss is shown as "N/A" in cases where we do not have
appropriate cost information for all tax lots comprising the position.
Please contact your J.P. Morgan team for additional
information.
Equity Detail
Price
US Large Cap Equity
APACHE CORP
AT&T INC
00206R-10-2 T
BANK OF AMERICA CORP
BB & T CORP
060505-10-4 BAC
0.00
054937-10-7 BBT
CITIGROUP INC NEW
172967-42-4 C
P COGNIZANT TECHNOLOGY SOLUTIONS CORP
CL A
192446-10-2 CTSH
E I DU PONT DE NEMOURS & CO
E M C CORP MASS
KROGER CO
263534-10-9 DD
25.76
268648-10-2 EMC
23.76
501044-10-1 KR
265.000
6,296.40
6,587.16
(290.76)
121.90
1.94%
468.000
12,055.68
12,378.64
(322.96)
50.89
224.000
11,399.36
11,537.62
(138.26)
367.36
EFTA01570189
3.22%
30.72
71.75
358.000
10,997.76
14,048.52
0.00
(3,050.76)
49.44
14.32
0.13%
7.13
944.000
6,730.72
10,148.85
(3,418.13)
98.88
037411-10-5 APA
0.00
440.00
37.76
0.56%
95.000
9,393.60
11,403.30
(2,009.70)
57.00
14.25
0.61%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Page 5 of 50
EFTA01570190
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
US Large Cap Equity
PROSHARES ULTRASHORT S&P 500
PROSHARES TRUST
SCHLUMBERGER LTD
UNITED TECHNOLOGIES CORP
WALT DISNEY CO
74347R-88-3 SDS
38.23
74347X-23-7 QID
75.17
806857-10-8 SLB
78.35
913017-10-9 UTX
38.90
254687-10-6 DIS
Total US Large Cap Equity
$112,244.53
$169,440.36
($57,195.83)
$1,171.08
$503.69
US Small/Mid Cap Equity
GERON CORP
374163-10-3 GERN
Non-US Equity
AKZO NOBEL N V
ISIN NL0000009132/SEDOL 5458314
N01803-90-2 EUR
ALLIANZ SE HOLDING
ISIN DE0008404005 SEDOL 5231485
D03080-90-6 EUR
110.69
77.000
8,523.38
10,206.94
(1,683.56)
1.04%
229.000
8,908.10
9,015.40
(107.30)
137.40
1.54%
162.000
12,692.70
13,783.83
(1,091.13)
311.04
EFTA01570191
2.45%
113.000
8,494.21
9,524.04
(1,029.83)
124.30
1.46%
200.000
7,646.00
26,203.50
(18,557.50)
17.63
1,000.000
17,630.00
44,809.50
(27,179.50)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
1.98
3,000.000
5,940.00
18,129.32
(12,189.32)
52.06
149.000
7,757.08
9,781.64
(2,024.56)
Page 6 of 50
EFTA01570192
GHISLAINE MAXWELL
ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-US Equity
ATLAS COPCO AB-A SHS
ISIN SE0000101032 SEDOL B1QGR41
W10020-92-8 SEK
AVIVA PLC
ISIN GB0002162385 SEDOL 0216238
G2307K-92-2 GBP
BAYER AG REGISTERED SHS
ISIN DE000BAY0017 SEDOL 5069211
072733-91-8 EUR
CAP GEMINI S A
ISIN FR0000125338 SEDOL 4163437
F13587-92-2 EUR
CENTRICA
ISIN GB00B033F229 SEDOL B033F22
15639K-90-4 GBP
CINEWORLD GROUP PLC
ISIN GBOOB15FWH70 SEDOL Bl5FWH7
172145-91-4 GBP
P
COVIDIEN PLC NEW
CREDIT SUISSE GROUP AG
G2554F-11-3 COV
25.97
ISIN CH0012138530 SEDOL 7171589
H3698D-93-0 CHF
ERICSSON LM-B SHS
ISIN SE0000108656 SEDOL 5959378
W26049-91-1 SEK
GDF SUEZ
ISIN FR0010208488 SEDOL BOC2CQ3
36827E-91-4 EUR
Page 7 of 50
27.16
289.000
7,850.05
9,914.97
(2,064.92)
9.29
793.000
7,365.88
10,052.84
(2,686.96)
230.000
5,972.60
8,916.46
(2,943.86)
EFTA01570193
51.50
0.00
53.10
1.75%
3.37
4,500.000
15,161.11
16,168.92
(1,007.81)
4.63
1,556.000
7,204.28
7,922.75
(718.47)
36.54
217.000
7,928.22
11,437.04
(3,508.82)
70.10
163.000
11,426.67
13,056.92
(1,630.25)
5.51
6,000.000
33,082.24
38,037.94 **
N/A
23.75
442.000
10,495.99
10,669.62
(173.63)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
EFTA01570194
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-US Equity
JFE HOLDINGS INC
ISIN JP3386030005 SEDOL 6543792
476990-91-6 JPY
MARINE HARVEST ASA
ISIN N00003054108 SEDOL B02L486
693045-91-6 NOK
MARKS & SPENCER PLC - GBP
ISIN GB0031274896 SEDOL 3127489
G5824M-92-5 GBP
MARSTON'S PLC
ISIN GBOOB1JODM80 SEDOL B1JQDM8
G58512-91-7 GBP
MITSUBISHI UFJ FINANCIAL GROUP
ISIN JP3902900004 SEDOL 6335171
J44497-92-3 JPY
MITSUI & CO
ISIN JP3893600001 SEDOL 6597302
J43787-91-0 JPY
NISSAN MOTOR CO LTD
ISIN JP3672400003 SEDOL 6642860
J57160-91-3 JPY
PHILIPS ELECTRONICS N.V.
ISIN NL0000009538 SEDOL 5986622
N6983Q-91-5 EUR
PPR SA
ISIN FR0000121485 SEDOL 5505072
F74953-93-0 EUR
157.48
38.000
5,984.19
6,319.18
(334.99)
20.22
337.000
6,815.77
8,419.17
(1,603.40)
330.86
3.71%
9.43
1,200.000
11,315.41
12,254.65
(939.24)
16.97
500.000
8,485.25
EFTA01570195
8,640.50
(155.25)
4.58
1,400.000
6,407.87
6,697.36
(289.49)
1.53
30,000.000
45,921.24
48,127.99
(2,206.75)
1,747.50
5.16
4,350.000
22,433.24
26,287.24
(3,854.00)
0.54
25,000.000
13,588.00
163,464.66
(149,876.66)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
17.84
200.000
3,567.21
5,219.70
(1,652.49)
Page 8 of 50
EFTA01570196
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-US Equity
QBE INSURANCE GROUP LTD
ISIN AU000000QBE9 SEDOL 6715740
Q78063-91-6 AUD
RIO TINTO PLC
ISIN GB0007188757 SEDOL 0718875
766994-90-9 GBP
RSA INSURANCE GROUP PLC
ISIN GB0006616899 SEDOL 0661689
G8566X-91-9 GBP
SANOFI
ISIN FR0000120578 SEDOL 5671735
F5548N-91-1 EUR
SCHNEIDER S A
ISIN FR0000121972 SEDOL 4834108
F86921-91-7 EUR
SHISEIDO COMPANY LIMITED
ISIN JP3351600006 SEDOL 6805265
824841-91-0 JPY
SOLVAY SA
ISIN BE0003470755 SEDOL 4821100
834437-91-5 EUR
STANDARD CHARTERED PLC
ORD U$ 0.50
ISIN GB0004082847 SEDOL 0408284
G84228-92-6 GBP
STORA ENSO OYJ
R SHS
ISIN FI0009005961 SEDOL 5072673
X21349-90-1 SEOA EUR
Page 9 of 50
7.12
933.000
6,644.11
9,050.23
(2,406.12)
24.21
555.000
13,435.04
14,171.09
(736.05)
98.69
77.000
7,599.07
8,750.42
(1,151.35)
18.35
400.000
EFTA01570197
7,339.02
7,325.88
13.14
62.15
164.000
10,193.21
11,096.92
(903.71)
73.92
156.000
11,531.84
11,779.77
(247.93)
1.67
23,800.000
39,811.02
48,596.10
(8,785.08)
60.04
191.000
11,468.56
12,954.00
(1,485.44)
12.18
400.000
4,871.65
7,237.30
(2,365.65)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
EFTA01570198
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-US Equity
SUN HUNG KAI PROPERTIES
ISIN HK0016000132 SEDOL 6859927
Y82594-12-1 SHKP HKD
VODAFONE GROUP PLC
ISIN GBOOB16GWD56 SEDOL B16GWD5
92857W-92-8 GBP
Total Non-US Equity
$374,029.22
$577,641.01
($198,656.09)
0.00
601.45
$330.86
$2,402.05
Preferred Stocks
CITIGROUP CAPITAL XIII
7 7/8% PFD
173080-20-1 C PNNA /BA1
COUNTRYWIDE CAPITAL V
7% PFD
222388-20-9 CFC PB
JPM CHASE CAPITAL XXIX
6.7% PFD
48125E-20-7 JPM PC
Total Preferred Stocks
25.72
2,500.000
64,300.00
$429,082.00
62,500.00
$422,578.96
1,800.00
$6,503.04
4,187.50
$31,227.50
$1,837.50
6.51%
7.28%
22.71
4,200.000
95,382.00
98,778.96
(3,396.96)
7,350.00
1,837.50
7.71%
0.07%
EFTA01570199
13.85
1,000.000
13,850.02
15,082.81
(1,232.79)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
26.94
10,000.000
269,400.00
261,300.00
8,100.00
19,690.00
7.31%
Page 10 of 50
EFTA01570200
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Concentrated & Other Equity
GENERAL MOTORS CO
CV PFD B
37045V-20-9 GM PB
JPMORGAN CHASE & CO
7.9% PFD STK APR 30 2049
DTD 04/23/2008
46625H-HA-1 BBB /BAA
Total Concentrated & Other Equity
$202,541.50
$207,909.17
($5,367.67)
$14,225.00
$2,995.35
6.99%
108.32
150,000.000
162,481.50
157,909.17
4,572.33
11,850.00
2,995.35
7.25%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
40.06
1,000.000
40,060.00
50,000.00
(9,940.00)
2,375.00
5.93%
Page 11 of 50
EFTA01570201
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Estimated Value
44,424.00
Alternative Assets Detail
Price
Hard Assets
BARC CALLABLE PALLDIUM CP NT
05/14/12
LNKD TO PLDMLNPM
7.4% CPN, 20% MAX, 80% BARRIER
05/03/2011
06738K-JA-0
DB X-TRACKERS
ISIN LU0292106167 SEDOL B3DYFK4
892352-91-5
ETFS METAL SECURITIES LTD
ISIN 3E00B1VS3770 SEDOL BlVS377
131994-91-5
ISHARES SILVER TRUST
Total Hard Assets
46428Q-10-9 SLV
$189,792.46
$211,234.62
32.28
1,000.000
32,280.00
44,010.03
170.23
301.000
51,237.73
45,068.38
42.19
2,058.000
86,816.73
102,156.21
97.29
20,000.000
19,458.00
20,000.00
Quantity
Estimated
Value
Cost
Ending
Estimated Value
189,792.46
EFTA01570202
Change
In Value
145,368.46
Current
Allocation
2%
Page 12 of 50
EFTA01570203
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Non-USD Cash
Non-USD Short Term
US Fixed Income
Non-US Fixed Income
Complementary Structured Strategies
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
Market Value
1,165,213.57
808,604.77
48,289.02
632,373.50
596,452.35
133,005.00
$3,383,938 21
Ending
Market Value
4,877,588.71
885,103.01
0.00
750,979.70
600,733.94
144,394.50
$7,258,799.86
Current
Period Value
7,258,799.86
7,319,020.74
(60,220.88)
58,748.29
24,957.09
0.82%
Non-USD Cash
Change
In Value
3,712,375.14
76,498.24
(48,289.02)
118,606.20
EFTA01570204
4,281.59
11,389.50
$3,874,861.65
Current
Allocation
56%
10%
9%
7%
2%
84%
US Fixed Income
Non-US Fixed Income
Complementary Structured
Strategies
Cash
Asset Categories
Cash & Fixed Income as a percentage of your portfolio 84 %
Page 13 of 50
EFTA01570205
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1-5 years'
5-10 years'
10+ years'
Total Value
1
SUMMARY BY TYPE
Market
Value
6,070,779.77
671,175.09
289,369.50
227,475.50
$7,258,799.86
% of Bond
Portfolio
85%
9%
3%
3%
100%
The years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their stated maturity.
Note:
A - Bonds purchased at a premium show amortization.
1
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
PROCEEDS FROM PENDING SALES
3PM NY MUNI MM FD - MORGAN
Total Cash
1.00
1.00
1.00
4,858,142.33
19,445.38
1.00
4,858,142.33
19,445.38
1.00
$4,877,588.71
4,858,142.33
19,445.38
EFTA01570206
1.00
$4,877,588.71
$0.00
$485.81
$12.04
0.01%
485.81
12.04
0.01%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Cash & Fixed Income
Cash
NON USD Cash
Corporate Bonds
Municipal Bonds
International Bonds
Mutual Funds
Complementary Structure
Total Value
Market
Value
4,877,588.71
885,103.01
281,529.50
227,475.50
822,513.70
20,194.94
144,394.50
$7,258,799.86
% of Bond
Portfolio
69%
12%
3%
3%
11%
1%
1%
100%
This is the Annual Percentage Yield (APY) which is the rate earned if
balances remain on deposit for a full year with compounding, there is no
change in the interest rate and all interest
is left in the account.
EFTA01570207
Page 14 of 50
EFTA01570208
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-USD Cash
POUND STERLING
JAPANESE YEN
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.0000%
DATED 01/27/2012 MATURITY 02/03/2012
HELD BY LONDON TREASURY SERVICES
JP MORGAN CHASE BANK - CAD
LONDON TIME DEPOSITS 0.6100%
DATED 01/31/2012 MATURITY 02/07/2012
HELD BY LONDON TREASURY SERVICES
Total Non-USD Cash
$885,103.01
$892,281.17
($7,178.16)
$2,790.99
$30.68
US Fixed Income
JPM MANAGED RESERVES C
051398-91-5 GBP
ISHARES MARKIT IBOXX CORPORATE BOND
ISIN IE00B00FV011 SEDOL BOOFV01
461278-91-3 GBP
HSBC FINANCE CORP
MEDIUM TERM NOTE 2.9% OCT 15 2015
DTD 10/15/2010
40429X-YB-6 A /A3
GENERAL ELEC CAP CORP
MEDIUM TERM FLOATING RATE NOTE
MAY 11 2016 DTD 05/11/2007
36962G-2V-5 AA+ /AA2
Page 15 of 50
92.77
50,000.00
46,384.00
45,394.50
989.50
326.39
73.60
2.44%
96.47
100,000.00
96,469.00
100,000.00
(3,531.00)
2,900.00
853.80
3.93%
EFTA01570209
10,193.07
192.33
7.54
105.00
76,804.76
20,194.94
79,003.04
19,023.08
(2,198.28)
1,171.86
0.34%
99.72
115,098.80
114,771.70
112,705.79
2,065.91
700.10
1.83
0.62%
1.58
0.01
17.07
349,139.99
784,035.00
1,224,867.03
550,960.01
10,281.83
209,089.47
562,718.31
10,173.02
206,684.05
(11,758.30)
108.81
2,405.42
2,090.89
28.85
1.09%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
EFTA01570210
GHISLAINE MAXWE
ACCT.
For the Period 1/1/12 to 1/31/12
Price
US Fixed Income
BANK OF AMERICA CORP
MEDIUM TERM NOTE
3.6% NOV 15 2016
DTD 11/04/2010
06050W-DW-2 A- /BAA
BARCLAYS BANK PLC
MEDIUM TERM NOTE 2 2/1% OCT 20 2017
DTD 10/20/2010
06740P-VG-8 NA /AA3
A MI ST MUNI BOND AUTH
ST CLEAN WTR REVOLVING FD 5%
OCT 01 2026 DTD 11/02/2006
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 10/01/2016 @ 100
59455T-PF-3 AAA /AAA
A BIRDVILLE TEXAS INDEPENDENT SCHOOL
DIST PERM SCH GTD FUND UNLIMITED TAX
5% FEB 15 2029 DTD 01/15/2007
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 02/15/2017 @ 100
090874-FV-5 AAA /AAA
A MA ST HLTH & EDUCTNL FACS AUTH
REVENUE HARVARD UNIV 5% B
JUL 15 2032 DTD 08/03/2005
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 07/15/2015 @ 100
57586C-FW-0 AAA /AAA
Total US Fixed Income
$750,979.70
$762,638.96
$763,387.62
($11,659.26)
$22,376.39
$6,369.25
3.43%
110.74
50,000.00
55,372.00
53,855.22
54,040.00
1,516.78
2,500.00
111.10
4.21%
113.95
100,000.00
EFTA01570211
113,951.00
110,123.14
110,503.00
3,827.86
5,000.00
2,305.50
3.87%
116.31
50,000.00
58,152.50
55,239.98
55,424.00
2,912.52
2,500.00
833.30
3.56%
96.65
150,000.00
144,975.00
150,000.00
(5,025.00)
3,750.00
1,051.95
3.14%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
92.45
150,000.00
138,676.50
150,000.00
(11,323.50)
5,400.00
1,140.00
5.41%
Page 16 of 50
EFTA01570212
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-US Fixed Income
BLUEBAY HIGH YIELD BD FD GBP HDG-DB
ISIN LU0222772518
G13289-92-4 GBP
ISHARES BARCLAYS CAPITAL
ISIN IE00B1FZSD53 SEDOL B1G52V0
46578W-92-2 GBP
INTL BK RECON & DEVELOP - BRL
8 3/4% JUN 15 2012
DTD 08/20/2009
HELD BY EUROCLEAR ISIN:XS0446421157
SEDOL:B435Z93
459058-9B-1 NA /AAA BRL
KFW - TRY
MTN 9 3/4% JUL 16 2013
DTD 02/10/2010
HELD BY EUROCLEAR
ISIN XS0484842470 SEDOL B637YV8
14085A-9A-6 AAA /AAA TRY
INTER AMERICAN DEVELOPMENT BANK- INR
MEDIUM TERM NOTE 3% MAR 25 2014
DTD 03/25/2010
HELD BY EUROCLEAR
ISIN XS0495010562 SEDOL B5114T3
U45818-9G-5 AAA /AAA INR
1.88
6,700,000.00
125,734.21
143,232.17
(17,497.96)
4,065.12
3,476.35
6.70%
57.43
200,000.00
114,853.38
135,555.56
(20,702.18)
11,006.68
6,014.50
8.36%
57.10
90,000.00
51,390.08
50,106.74
1,283.34
4,498.97
2,839.49
EFTA01570213
8.66%
21.50
5,790.00
124,490.38
118,212.32
6,278.06
187.38
187.90
35,207.89
39,293.00
(4,085.11)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 17 of 50
EFTA01570214
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-US Fixed Income
INTER AMERICAN DEVEL BK - IDR
MEDIUM TERM NOTE 6.50% JUN 04 2014
DTD 06/04/2010
HELD BY EUROCLEAR
ISIN XS0513770957 SEDOL B4YWHCO
45818W-9K-4 AAA /AAA IDR
Total Non-US Fixed Income
$600,733.94
$636,511.90
($35,777.96)
$28,970.10
$18,545.12
Complementary Structured Strategies
MS 7YNC1Y STEP-UP NOTE 09/13/17
INITIAL RATE 2.75% CPN
WHERE MAX RATE IS 6% PER ANNUM
DD 9/8/10
61745E-6Q-9 A- /A2
5.06%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
0.01 1,300,000,000.00
149,058.00
150,112.11
(1,054.11)
9,399.33
6,214.78
5.33%
96.26
150,000.00
144,394.50
150,000.00
(5,605.50)
4,125.00
Page 18 of 50
EFTA01570215
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Other Summary
Asset Categories
Balanced
Beginning
Estimated Value
83,641.54
Ending
Estimated Value
88,373.68
Change
In Value
4,732.14
Current
Allocation
1%
Current
Market Value/Cost
Estimated Value
Tax Cost
Estimated Gain/Loss
Other Detail
Price
Balanced
PIMCO FUNDS GLOBAL INVESTORS SERIES
- GLOBAL INVESTMENT GRADE CREDIT
FUND
ISIN IE00B3BMD843 SEDOL B3BMD84
695421-91-7 GBP
20.26
4,361.513
88,373.68
90,364.18
(1,990.50)
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Accruals
Period Value
88,373.68
90,364.18
(1,990.50)
Page 19 of 50
EFTA01570216
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
Income
INFLOWS
7,598.49
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS **
Total Outflows
Withdrawals
TRADE ACTIVITY
Total Trade Activity
Settled Sales/Maturities/Redemptions
Ending Cash Balance
4,971,970.54
3,169.09
$4,982,738.12
(1,419,530.95)
($1,419,530.95)
129,722.59
$129,722.59
$4,858,142.33
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
7,598.49
4,971,970.54
3,169.09
$4,982,738.12
(1,419,530.95)
($1,419,530.95)
129,722.59
$129,722.59
-$0.00
$0.00
Period
Value
1,165,212.57
Year-To-Date
Value*
-INCOME
Current
Period
Value
0.00
EFTA01570217
Year-To-Date
Value*
-$0.00
$0.00
$0.00
$0.00
$0.00
-Page
20 of 50
EFTA01570218
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary U S Dollar
Current
Cost Adjustments
Amortization
Cost Adjustments
Total Cost Adjustments
Period Value
(143.10)
9,237.41
$9,094.31
* Year to date information is calculated on a calendar year basis.
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
1/3
1/3
1/3
1/3
1/4
1/6
1/11
Div Domest
Div Domest
Interest Income
Interest Income
Description
UNION PACIFIC CORP @ 0.60 PER SHARE
(ID: 907818-10-8)
JOHNSON CONTROLS INC @ 0.18 PER SHARE
(ID: 478366-10-7)
DEPOSIT SWEEP INTEREST FOR DEC. @ .03% RATE ON
NET AVG COLLECTED BALANCE OF $1,109,240.04 AS
OF 01/01/12
JPM CHASE CAPITAL XXIX 6.7% PFD @ 0.41875 PER
SHARE (ID: 48125E-20-7)
Misc Disbursement FUNDS TRANSFERRED FROM PRN A/C# Q52167006 TO
MMIA A/C# 00000000002916490721 AS REQUESTED
Foreign Dividend
Misc Receipt
SCHLUMBERGER LTD @ 0.25 PER SHARE
(ID: 806857-10-8)
TRANSFER FROM SANFORD BERNSTEIN
113.000
0.25
2,500.000
0.419
1,046.88
(1,166,407.29)
EFTA01570219
28.25
180,424.00
Page 21 of 50
Quantity
Cost
109.000
301.000
Per Unit
Amount
0.60
0.18
PRINCIPAL
Amount
65.40
54.18
28.26
INCOME
Amount
Year-To-Date
Value*
(143.10)
9,237.41
$9,094.31
EFTA01570220
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
1/17
1/17
1/17
1/17
1/17
1/17
Div Domest
Spot FX
Spot FX
Spot FX
Description
OCCIDENTAL PETROLEUM CORP @ 0.46 PER SHARE
(ID: 674599-10-5)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
AUD EXCHANGE RATE 1.029200000 DEAL 01/13/12
VALUE 01/17/12 (ID: OAUDPR-AA-8)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.266400000 DEAL 01/13/12
VALUE 01/17/12 (ID: OEURPR-AA-9)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
JPY EXCHANGE RATE 77.020000000 DEAL 01/13/12
VALUE 01/17/12 (ID: OJPYPR-AA-9)
Misc Disbursement FUNDS TRANSFERRED FROM PRN A/C# Q52167006 TO
MMIA A/C# 00000000002916490721 PHONE
INSTRUCTIONS FROM CLIENT
Municipal Interest
MA ST HLTH & EDUCTNL FACS AUTH REVENUE HARVARD
UNIV 5% B JUL 15 2032 DTD 08/03/2005 HELD BY
DTC BOOK ENTRY ONLY PAR CALL 07/15/2015 @ 100
(ID: 57586C-FW-0)
1/18
1/18
1/25
1/26
1/26
Div Domest
WALT DISNEY CO @ 0.60 PER SHARE
(ID: 254687-10-6)
Misc Disbursement FUNDS TRANSFERRED FROM PRN A/C# Q52167006 TO
MMIA A/C# 00000000002916490721 PHONE
INSTRUCTIONS FROM CLIENT
Spot FX
Misc Receipt
Misc Receipt
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.302200000 DEAL 01/23/12
EFTA01570221
VALUE 01/25/12 (ID: OEURPR-AA-9)
TRANSFER FROM SANFORD BERNSTEIN
TRANSFER FROM SANFORD BERNSTEIN
1,139,863.05
50,210.82
Page 22 of 50
(69.300)
(88.81)
90.24
229.000
0.60
137.40
(36,045.96)
50,000.000
0.025
1,250.00
(217,077.70)
(47,055.000)
(612.74)
610.95
(1,535.460)
(1,982.97)
1,944.51
Quantity
Cost
Per Unit
Amount
144.000
(208.350)
(216.26)
0.46
PRINCIPAL
Amount
66.24
214.43
INCOME
Amount
EFTA01570222
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
1/26
1/26
1/27
1/30
1/31
1/31
Misc Receipt
Misc Receipt
Spot FX
Interest Income
Misc Receipt
Misc Receipt
Total Inflows & Outflows
TRADE ACTIVITY
Note:
Trade Date
Settle Date
1/4
1/9
1/4
1/9
1/4
1/9
Description
TRANSFER FROM SANFORD BERNSTEIN
TRANSFER FROM SANFORD BERNSTEIN
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
HKD EXCHANGE RATE 7.768100000 DEAL 01/24/12
VALUE 01/27/12 (ID: OHKDPR-AA-4)
CITIGROUP CAPITAL XIII 7 7/8% PFD @ 0.492188
PER SHARE (ID: 173080-20-1)
TRANSFER FROM SANFORD BERNSTEIN
TRANSFER FROM SANFORD BERNSTEIN
10,000.000
0.492
4,921.88
49.36
42.50
$3,563,207.17
(2,400.000)
(309.23)
Quantity
Cost
Per Unit
Amount
PRINCIPAL
EFTA01570223
Amount
131.20
3,601,249.61
308.96
INCOME
Amount
L indicates Long Term Realized Gain/Loss
Type
S indicates Short Term Realized Gain/Loss
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
Sale
High Cost
Sale
High Cost
CHEVRON CORP @ 109.5906 12,712.51 BROKERAGE
6.96 TAX &/OR SEC .25 J.P. MORGAN SECURITIES
LLC (ID: 166764-10-0)
TIME WARNER INC NEW @ 36.08 10,463 20 BROKERAGE
17.40 TAX &/OR SEC .21 J.P. MORGAN SECURITIES
LLC (ID: 887317-30-3)
WELLS FARGO & CO @ 28.25 13,503.50 BROKERAGE
28.68 TAX &/OR SEC .26 J.P. MORGAN SECURITIES
LLC (ID: 949746-10-1)
Page 23 of 50
(478.000)
28.189
13,474.56
(13,224.13)
250.43 S
(290.000)
36.019
10,445.59
(10,196.64)
248.95 S
Quantity
(116.000)
Per Unit
Amount
109.528
Proceeds
12,705.30
Tax Cost
(11,819.95)
Realized
Gain/Loss
885.35 S
EFTA01570224
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Trade Date
Settle Date
1/11
1/17
1/11
1/17
1/11
1/17
1/19
1/24
1/23
1/26
1/23
1/26
1/23
1/26
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
BB & T CORP @ 26.75038 8,265.87 BROKERAGE 18.54
TAX &/OR SEC .16 J.P. MORGAN SECURITIES LLC
(ID: 054937-10-7)
OCCIDENTAL PETROLEUM CORP @ 96.73 13,929.12
BROKERAGE 8.64 TAX &/OR SEC .27 J.P. MORGAN
SECURITIES LLC (ID: 674599-10-5)
QUALCOMM INC @ 55.70 9,803.20 BROKERAGE 10.56
TAX &/OR SEC .19 J.P. MORGAN SECURITIES LLC
(ID: 747525-10-3)
BROADCOM CORP CL A @ 34.68066 8,670.17
BROKERAGE 15.00 TAX &/OR SEC .17 J.P. MORGAN
SECURITIES LLC (ID: 111320-10-7)
AT&T INC @ 30.51 30,510.00 BROKERAGE 60.00 TAX
&/OR SEC .59 J.P. MORGAN SECURITIES LLC
(ID: 00206R-10-2)
JOHNSON CONTROLS INC @ 31.40 9,451.40 BROKERAGE
EFTA01570225
18.06 TAX &/OR SEC .19 J.P. MORGAN SECURITIES
LLC (ID: 478366-10-7)
RESEARCH IN MOTION LIMITED @ 15.81 12,648.00
BROKERAGE 48.00 TAX &/OR SEC .25 J.P. MORGAN
SECURITIES LLC (ID: 760975-10-2)
Total Settled Sales/Maturities/Redemptions
$129,722.59
($187,291.31)
($58,385.84) L
$817.12 S
(800.000)
15.75
12,599.75
(69,825.00)
(57,225.25) L
(301.000)
31.339
9,433.15
(11,324.21)
(1,891.06) S
(1,000.000)
30.449
30,449.41
(31,610.00)
(1,160.59) L
(250.000)
34.62
8,655.00
(8,276.78)
378.22 S
(176.000)
55.639
9,792.45
(9,237.41)
555.04 S
(144.000)
96.668
13,920.21
(13,653.98)
266.23 S
Quantity
(309.000)
Per Unit
Amount
26.69
Proceeds
8,247.17
Tax Cost
(8,123.21)
Realized
Gain/Loss
EFTA01570226
123.96 S
Page 24 of 50
EFTA01570227
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Trade Date
Type
Est. Settle Date Selection Method Description
Pending Sales, Maturities, Redemptions
Sale
1/27
2/1
1/27
2/1
Sale
COVIDIEN PLC NEW (ID: G2554F-11-3)
COGNIZANT TECHNOLOGY SOLUTIONS CORP CL A
(ID: 192446-10-2)
Total Pending Sales, Maturities, Redemptions
Quantity
(236.000)
(102.000)
Per Unit
Amount
51.658
71.32
Proceeds
12,177.00
7,268.38
$19,445.38
Tax Cost
(11,860.03)
(7,275.16)
($19,135.19)
Realized
Gain/Loss
316.97 S
(6.78) S
$310.19 S
COST ADJUSTMENTS
Settle Date
1/4
1/17
Type
Cost Basis Adj
Amortization
Description
QUALCOMM INC COST BASIS ADJUSTMENT
(ID: 747525-10-3)
MA ST HLTH & EDUCTNL FACS AUTH REVENUE HARVARD
UNIV 5% B JUL 15 2032 DTD 08/03/2005 HELD BY
DTC BOOK ENTRY ONLY PAR CALL 07/15/2015 @ 100
MUNICIPAL BOND PREMIUM AMORTIZATIO
(ID: 57586C-FW-0)
EFTA01570228
Total Cost Adjustments
$9,094.31
Quantity
176.000
50,000.000
Cost Basis
Adjustments
9,237.41
(143.10)
Page 25 of 50
EFTA01570229
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Australia Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Contributions
OUTFLOWS **
Total Outflows
Foreign Exchange - Outflows
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Period
Value
-216.26
$216.26
(214.43)
($214.43)
-Year-To-Date
Value*
-216.26
$216.26
(214.43)
($214.43)
-Local
EFTA01570230
Value
Current
Period Value
0.00
208.35
208.35
(208.35)
(208.35)
0.00
Year-To-Date
Value*
-208.35
208.35
(208.35)
(208.35)
-Page
26 of 50
EFTA01570231
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Detail - Australia Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/4
1/17
Misc Receipt
Spot FX
Total Inflows & Outflows
Description
REP: AUD RECEIVED FROM GHISLAINE MAXWELL
AUSTRALIAN DOLLAR (ID: OAUDPR-AA-8)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
AUD EXCHANGE RATE 1.029200000 DEAL 01/13/12
VALUE 01/17/12 (ID: OAUDPR-AA-8)
$1.83
($1.83)
Quantity
208.350
214.430
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
216.26
208.35
(214.43)
(208.35)
(1.83)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 27 of 50
EFTA01570232
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Canadian Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Withdrawals
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Period
Value
-64.20
$64.20
(64.20)
($64.20)
-Year-To-Date
Value*
-64.20
$64.20
(64.20)
($64.20)
-Local
EFTA01570233
Value
Current
Period Value
0.00
65.26
65.26
(65.26)
(65.26)
0.00
Year-To-Date
Value*
-65.26
65.26
(65.26)
(65.26)
-Page
28 of 50
EFTA01570234
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Detail - Canadian Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/9
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/30/2011 MATURITY 01/09/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2526X9-9Q-1)
1/9
1/9
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
1/9
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/30/2011 MATURITY 01/09/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526X9-9Q-1)
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 01/09/2012 MATURITY 01/17/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527A9-9Y-7)
1/17
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 01/09/2012 MATURITY 01/17/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527A9-9Y-7)
1/17
1/17
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 01/09/2012 MATURITY 01/17/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527A9-9Y-7)
(16.870)
(115,054.630)
(16.46)
(16.87)
115,054.630
EFTA01570235
16.46
16.87
115,054.630
(21.090)
(115,033.540)
(20.59)
(21.09)
Quantity
115,033.540
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
20.59
21.09
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 29 of 50
EFTA01570236
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/17
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/17/2012 MATURITY 01/24/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527E9-9K-3)
1/24
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/17/2012 MATURITY 01/24/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527E9-9K-3)
1/24
1/24
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
1/24
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/17/2012 MATURITY 01/24/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527E9-9K-3)
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/24/2012 MATURITY 01/31/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527H9-9B-0)
1/31
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/24/2012 MATURITY 01/31/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527H9-9B-0)
1/31
1/31
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/24/2012 MATURITY 01/31/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527H9-9B-0)
EFTA01570237
(13.650)
(115,085.150)
(13.59)
(13.65)
115,085.150
13.59
13.65
115,085.150
(13.650)
(115,071.500)
(13.56)
(13.65)
115,071.500
13.56
13.65
Quantity
115,071.500
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 30 of 50
EFTA01570238
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/31
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/31/2012 MATURITY 02/07/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527L9-9H-2)
Total Inflows & Outflows
$0.00
Quantity
115,098.800
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 31 of 50
EFTA01570239
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Euro
PRINCIPAL
US Dollar Value
Current
Transactions
Income
INFLOWS
Total Inflows
OUTFLOWS **
Tax Payments
Foreign Exchange - Outflows
Total Outflows
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Period Value
Beginning Cash Balance
-118.42
$118.42
(29.61)
(2,034.75)
($2,064.36)
-Year-To-Date
Value*
-118.42
$118.42
(29.61)
(2,034.75)
($2,064.36)
-Local
Value
Current
Period Value
1,535.46
92.40
92.40
(23.10)
(1,604.76)
(1,627.86)
0.00
Year-To-Date
Value*
-92.40
92.40
(23.10)
(1,604.76)
(1,627.86)
-Page
EFTA01570240
32 of 50
EFTA01570241
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Euro
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
US Dollar Value
Current
Cost Adjustments
Cost Adjustments
Total Cost Adjustments
Period Value
25,835.27
$25,835.27
* Year to date information is calculated on a calendar year basis.
Year-To-Date
Value*
25,835.27
$25,835.27
Local Value
Current
Period Value
18,995.12
18,995.12
Year-To-Date
Value*
18,995.12
18,995.12
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
33 of 50
EFTA01570242
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Detail - Euro
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/17
1/19
1/19
1/25
Spot FX
Foreign Dividend
FGN Tax Withheld
Spot FX
Total Inflows & Outflows
COST ADJUSTMENTS - Euro
Cost Basis
Settle Date
1/4
1/4
1/4
Type
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Total Cost Adjustments (USD)
Description
PPR SA ISIN FR0000121485 SEDOL 5505072 COST
BASIS ADJUSTMENT (ID: F74953-93-0)
SCHNEIDER S A ISIN FR0000121972 SEDOL 4834108
COST BASIS ADJUSTMENT (ID: F86921-91-7)
PHILIPS ELECTRONICS N.V. ISIN NL0000009538
SEDOL 5986622 COST BASIS ADJUSTMENT
(ID: N6983Q-91-5)
$25,835.27
Page 34 of 50
Quantity
38.000
164.000
337.000
Adjustments USD
Local Value
6,319.18
4,646.11
11,096.92
8,158.90
8,419.17
6,190.11
Description
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
EFTA01570243
EUR EXCHANGE RATE 1.266400000 DEAL 01/13/12
VALUE 01/17/12 (ID: OEURPR-AA-9)
SOLVAY SA ISIN BE0003470755 SEDOL 4821100 @
1.20 PER SHARE (ID: 834437-91-5)
SOLVAY SA ISIN BE0003470755 SEDOL 4821100 TAX
WITHHELD BELGIUM 25.00% (ID: OEURPR-AA-9)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.302200000 DEAL 01/23/12
VALUE 01/25/12 (ID: OEURPR-AA-9)
($1,945.94)
($37.03)
77.000
(23.100)
90.240
1.538
1.20
118.42
92.40
(29.61)
(23.10)
(90.24)
(69.30)
1.43
Quantity
1,944.510
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
(1,944.51)
(1,535.46)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
(38.46)
EFTA01570244
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Hong Kong Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Foreign Exchange - Outflows
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Period
Value
-309.23
$309.23
(308.96)
($308.96)
-Year-To-Date
Value*
-309.23
$309.23
(308.96)
($308.96)
-Local
EFTA01570245
Value
Current
Period Value
0.00
2,400.00
2,400.00
(2,400.00)
(2,400.00)
0.00
Year-To-Date
Value*
-2,400.00
2,400.00
(2,400.00)
(2,400.00)
-Page
35 of 50
EFTA01570246
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Detail - Hong Kong Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/19
1/27
Foreign Dividend
Spot FX
Total Inflows & Outflows
Description
SUN HUNG KAI PROPERTIES ISIN HK0016000132 SEDOL
6859927 @ 2.40 PER SHARE (ID: Y82594-12-1)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
HKD EXCHANGE RATE 7.768100000 DEAL 01/24/12
VALUE 01/27/12 (ID: OHKDPR-AA-4)
$0.27
($0.27)
Quantity
1,000.000
308.960
Amount USD
Local Value
0.309
2.40
PRINCIPAL
Amount USD
Local Value
309.23
2,400.00
(308.96)
(2,400.00)
(0.27)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 36 of 50
EFTA01570247
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Japanese Yen
PRINCIPAL
US Dollar Value
Current
Transactions
Contributions
INFLOWS
Total Inflows
OUTFLOWS **
Total Outflows
Foreign Exchange - Outflows
TRADE ACTIVITY
Total Trade Activity
Period Value
Beginning Cash Balance
-612.74
$612.74
(610.95)
($610.95)
Settled
Sales/Maturities/Redemptions
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
10,173.02
$10,173.02
-Year-To-Date
Value*
-612.74
$612.74
(610.95)
($610.95)
10,173.02
$10,173.02
-Local
Value
Current
Period Value
0.00
47,055.00
47,055.00
(47,055.00)
(47,055.00)
784,035.00
784,035.00
784,035.00
Year-To-Date
Value*
EFTA01570248
-47,055.00
47,055.00
(47,055.00)
(47,055.00)
784,035.00
784,035.00
-Page
37 of 50
EFTA01570249
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Japanese Yen
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Portfolio Activity Detail - Japanese Yen
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/11
1/17
Misc Receipt
Spot FX
Total Inflows & Outflows
Description
REP: JPY RECEIVED FROM GHISLAINE MAXWELL
JAPANESE YEN AS OF 01/10/12 (ID: OJPYPR-AA-9)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
JPY EXCHANGE RATE 77.020000000 DEAL 01/13/12
VALUE 01/17/12 (ID: OJPYPR-AA-9)
$1.79
($1.79)
Quantity
47,055.000
610.950
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
612.74
47,055.00
(610.95)
(47,055.00)
(1.79)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Period Value
--Year-To-Date
Value*
EFTA01570250
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
38 of 50
EFTA01570251
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
TRADE ACTIVITY - Japanese Yen
Note:
Trade Date
Settle Date
1/20
1/25
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
JAPAN TOBACCO INC ISIN JP3726800000 SEDOL
6474535 (ID: J27869-91-6)
Quantity
(2.000)
S indicates Short Term Realized Gain/Loss
Per Unit
Amount USD
Local Value
5,086.51
393,000.00
Proceeds USD
Local Value
10,173.02
784,035.00
Tax Cost USD
Realized
Local Value Gain/Loss USD
(8,930.02)
(685,646.76)
1,243.00 S
Page 39 of 50
EFTA01570252
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Norwegian Krone
PRINCIPAL
US Dollar Value
Current
Transactions
Income
INFLOWS
Total Inflows
OUTFLOWS **
Total Outflows
Withdrawals
TRADE ACTIVITY
Total Trade Activity
Settled Sales/Maturities/Redemptions
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Period Value
Beginning Cash Balance
-77.08
$77.08
(103,037.48)
($103,037.48)
102,960.95
$102,960.95
-Year-To-Date
Value*
-77.08
$77.08
(103,037.48)
($103,037.48)
102,960.95
$102,960.95
-Local
Value
Current
Period Value
0.00
457.08
457.08
(592,609.74)
(592,609.74)
592,152.66
592,152.66
0.00
Year-To-Date
Value*
-457.08
EFTA01570253
457.08
(592,609.74)
(592,609.74)
592,152.66
592,152.66
-Page
40 of 50
EFTA01570254
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Norwegian Krone
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Portfolio Activity Detail - Norwegian Krone
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/4
Foreign Interest
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.7500% DATED 12/28/2011 MATURITY 01/04/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2526W9-9P-4)
1/4
1/4
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.7500% DATED 12/28/2011 MATURITY 01/04/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526W9-9P-4)
(92.200)
(632,257.290)
(15.59)
(92.20)
Quantity
632,257.290
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
15.59
92.20
INCOME
Amount USD
Local Value
Currency
EFTA01570255
Gain/Loss USD
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
41 of 50
EFTA01570256
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/4
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.4500% DATED 01/04/2012 MATURITY 01/13/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526Z9-9H-9)
1/9
Free Delivery
High Cost
1/9
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.0000% DATED 12/30/2011 MATURITY 01/09/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526Y9-9G-2)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.5500% DATED 01/09/2012 MATURITY 01/17/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 252769-9P-5)
1/13
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.4500% DATED 01/04/2012 MATURITY 01/13/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2526Z9-9H-9)
1/13
1/13
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
1/13
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.4500% DATED 01/04/2012 MATURITY 01/13/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526Z9-9H-9)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 01/13/2012 MATURITY 01/20/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527E9-9B-3)
632,420.630
(71.140)
(632,349.490)
EFTA01570257
(11.85)
(71.14)
632,349.490
11.85
71.14
592,152.660
(592,152.660)
Quantity
632,349.490
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 42 of 50
EFTA01570258
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/17
Foreign Interest
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.5500% DATED 01/09/2012 MATURITY 01/17/2012
HELD BY LONDON TREASURY SERVICES
(ID: 252769-9P-5)
1/20
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 01/13/2012 MATURITY 01/20/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527E9-9B-3)
1/20
1/20
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
1/20
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 01/13/2012 MATURITY 01/20/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527E9-9B-3)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 01/20/2012 MATURITY 01/27/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527G9-9T-2)
1/27
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 01/20/2012 MATURITY 01/27/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527G9-9T-2)
1/27
1/27
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Misc Disbursemen
EFTA01570180
EFTA01570181
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
For the Period 1/1/12 to 1/31/12
Asset Account
J.P. Morgan Team
Paul Morris
Jason Bell
Janet Young
Gina Magliocco
Banker
Investment Specialist
Client Service Team
Client Service Team
Table of Contents
Account Summary
Holdings
Equity
Alternative Assets
Cash & Fixed Income
Other Assets
Portfolio Activity
Online access
www.jpmorganonline.com
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
Page
2
4
12
13
19
20
0000000222.15.0.15.RRRRR.MAXWE04.20120709
Page 1 of 50
EFTA01570182
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Other
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
1,414,900.54
44,424.00
3,383,938.21
83,641.54
$4,926,904.29
27,584.20
$4,954,488.49
Ending
Market Value
1,123,837.25
189,792.46
7,258,799.86
88,373.68
$8,660,803.25
32,695.68
$8,693,498.93
Current
Portfolio Activity
Beginning Market Value
Contributions
Withdrawals & Fees
Securities Transferred In
Securities Transferred Out
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
Period Value
4,926,904.29
4,972,799.54
(1,522,802.63)
2,449,604.12
(2,347,535.86)
$3,552,065.17
9,121.64
172,712.15
EFTA01570183
$8,660,803.25
32,695.68
$8,693,498.93
Change
In Value
(291,063.29)
145,368.46
3,874,861.65
4,732.14
$3,733,898.96
5,111.48
$3,739,010.44
Year-to-Date
Value
4,926,904.29
4,972,799.54
(1,522,802.63)
2,449,604.12
(2,347,535.86)
$3,552,065.17
9,121.64
172,712.15
$8,660,803.25
32,695.68
$8,693,498.93
Estimated
46,954.44
58,748.29
$105,702.73
Current
Annual Income Allocation
13%
2%
84%
1%
100%
Equity
Cash &
Fixed Income
Other
Alternative
Assets
Asset Allocation
Page 2 of 50
EFTA01570184
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Account Summary
Tax Summary
Domestic Dividends/Distributions
Foreign Dividends
Currency Gain/Loss
Interest Income
Taxable Income
Tax-Exempt Income
Bond Premium Amortization
Tax-Exempt Income
CONTINUED
Current
Period Value
323.22
1,475.44
(42.54)
6,258.62
$8,014.74
1,250.00
(143.10)
$1,106.90
Year-to-Date
Value
323.22
1,475.44
(42.54)
6,258.62
$8,014.74
1,250.00
(143.10)
$1,106.90
Unrealized Gain/Loss
To-Date Value
($350,559.41)
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
6,075.75
(58,385.84)
($52,310.09)
Year-to-Date
Value
6,075.75
(58,385.84)
($52,310.09)
Cost Summary
Equity
EFTA01570185
Cost
Cash & Fixed Income
Other
Total
1,395,698.82
7,319,020.74
90,364.18
$8,805,083.74
Page 3 of 50
EFTA01570186
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Equity Summary
Asset Categories
US Large Cap Equity
US Small/Mid Cap Equity
Non-US Equity
Preferred Stocks
Concentrated & Other Equity
Unclassified
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Beginning
Market Value
226,931.66
4,440.00
431,810.63
409,576.00
193,953.50
148,188.75
$1,414,900 54
Ending
Market Value
112,244.53
5,940.00
374,029.22
429,082.00
202,541.50
0.00
$1,123,837.25
Current
Period Value
1,123,837.25
1,395,698.82
(266,905.87)
46,954.44
7,738.59
4.16%
Equity as a percentage of your portfolio - 13 %
Change
In Value
(114,687.13)
1,500.00
(57,781.41)
19,506.00
EFTA01570187
8,588.00
(148,188.75)
($291,063.29)
13%
Current
Allocation
1%
1%
4%
5%
2%
Preferred Stocks
US Large Cap Equity
US Small/Mid Cap Equity
Asset Categories
Concentrated & Other Equity
Non-US Equity
Page 4 of 50
EFTA01570188
GHISLAINE MAXWELL
ACCT.
For the Period 1/1/12 to 1/31/12
Note:
P
**
indicates position adjusted for Pending Trade Activity.
Unrealized Gain/Loss is shown as "N/A" in cases where we do not have
appropriate cost information for all tax lots comprising the position.
Please contact your J.P. Morgan team for additional
information.
Equity Detail
Price
US Large Cap Equity
APACHE CORP
AT&T INC
00206R-10-2 T
BANK OF AMERICA CORP
BB & T CORP
060505-10-4 BAC
0.00
054937-10-7 BBT
CITIGROUP INC NEW
172967-42-4 C
P COGNIZANT TECHNOLOGY SOLUTIONS CORP
CL A
192446-10-2 CTSH
E I DU PONT DE NEMOURS & CO
E M C CORP MASS
KROGER CO
263534-10-9 DD
25.76
268648-10-2 EMC
23.76
501044-10-1 KR
265.000
6,296.40
6,587.16
(290.76)
121.90
1.94%
468.000
12,055.68
12,378.64
(322.96)
50.89
224.000
11,399.36
11,537.62
(138.26)
367.36
EFTA01570189
3.22%
30.72
71.75
358.000
10,997.76
14,048.52
0.00
(3,050.76)
49.44
14.32
0.13%
7.13
944.000
6,730.72
10,148.85
(3,418.13)
98.88
037411-10-5 APA
0.00
440.00
37.76
0.56%
95.000
9,393.60
11,403.30
(2,009.70)
57.00
14.25
0.61%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Page 5 of 50
EFTA01570190
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
US Large Cap Equity
PROSHARES ULTRASHORT S&P 500
PROSHARES TRUST
SCHLUMBERGER LTD
UNITED TECHNOLOGIES CORP
WALT DISNEY CO
74347R-88-3 SDS
38.23
74347X-23-7 QID
75.17
806857-10-8 SLB
78.35
913017-10-9 UTX
38.90
254687-10-6 DIS
Total US Large Cap Equity
$112,244.53
$169,440.36
($57,195.83)
$1,171.08
$503.69
US Small/Mid Cap Equity
GERON CORP
374163-10-3 GERN
Non-US Equity
AKZO NOBEL N V
ISIN NL0000009132/SEDOL 5458314
N01803-90-2 EUR
ALLIANZ SE HOLDING
ISIN DE0008404005 SEDOL 5231485
D03080-90-6 EUR
110.69
77.000
8,523.38
10,206.94
(1,683.56)
1.04%
229.000
8,908.10
9,015.40
(107.30)
137.40
1.54%
162.000
12,692.70
13,783.83
(1,091.13)
311.04
EFTA01570191
2.45%
113.000
8,494.21
9,524.04
(1,029.83)
124.30
1.46%
200.000
7,646.00
26,203.50
(18,557.50)
17.63
1,000.000
17,630.00
44,809.50
(27,179.50)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
1.98
3,000.000
5,940.00
18,129.32
(12,189.32)
52.06
149.000
7,757.08
9,781.64
(2,024.56)
Page 6 of 50
EFTA01570192
GHISLAINE MAXWELL
ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-US Equity
ATLAS COPCO AB-A SHS
ISIN SE0000101032 SEDOL B1QGR41
W10020-92-8 SEK
AVIVA PLC
ISIN GB0002162385 SEDOL 0216238
G2307K-92-2 GBP
BAYER AG REGISTERED SHS
ISIN DE000BAY0017 SEDOL 5069211
072733-91-8 EUR
CAP GEMINI S A
ISIN FR0000125338 SEDOL 4163437
F13587-92-2 EUR
CENTRICA
ISIN GB00B033F229 SEDOL B033F22
15639K-90-4 GBP
CINEWORLD GROUP PLC
ISIN GBOOB15FWH70 SEDOL Bl5FWH7
172145-91-4 GBP
P
COVIDIEN PLC NEW
CREDIT SUISSE GROUP AG
G2554F-11-3 COV
25.97
ISIN CH0012138530 SEDOL 7171589
H3698D-93-0 CHF
ERICSSON LM-B SHS
ISIN SE0000108656 SEDOL 5959378
W26049-91-1 SEK
GDF SUEZ
ISIN FR0010208488 SEDOL BOC2CQ3
36827E-91-4 EUR
Page 7 of 50
27.16
289.000
7,850.05
9,914.97
(2,064.92)
9.29
793.000
7,365.88
10,052.84
(2,686.96)
230.000
5,972.60
8,916.46
(2,943.86)
EFTA01570193
51.50
0.00
53.10
1.75%
3.37
4,500.000
15,161.11
16,168.92
(1,007.81)
4.63
1,556.000
7,204.28
7,922.75
(718.47)
36.54
217.000
7,928.22
11,437.04
(3,508.82)
70.10
163.000
11,426.67
13,056.92
(1,630.25)
5.51
6,000.000
33,082.24
38,037.94 **
N/A
23.75
442.000
10,495.99
10,669.62
(173.63)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
EFTA01570194
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-US Equity
JFE HOLDINGS INC
ISIN JP3386030005 SEDOL 6543792
476990-91-6 JPY
MARINE HARVEST ASA
ISIN N00003054108 SEDOL B02L486
693045-91-6 NOK
MARKS & SPENCER PLC - GBP
ISIN GB0031274896 SEDOL 3127489
G5824M-92-5 GBP
MARSTON'S PLC
ISIN GBOOB1JODM80 SEDOL B1JQDM8
G58512-91-7 GBP
MITSUBISHI UFJ FINANCIAL GROUP
ISIN JP3902900004 SEDOL 6335171
J44497-92-3 JPY
MITSUI & CO
ISIN JP3893600001 SEDOL 6597302
J43787-91-0 JPY
NISSAN MOTOR CO LTD
ISIN JP3672400003 SEDOL 6642860
J57160-91-3 JPY
PHILIPS ELECTRONICS N.V.
ISIN NL0000009538 SEDOL 5986622
N6983Q-91-5 EUR
PPR SA
ISIN FR0000121485 SEDOL 5505072
F74953-93-0 EUR
157.48
38.000
5,984.19
6,319.18
(334.99)
20.22
337.000
6,815.77
8,419.17
(1,603.40)
330.86
3.71%
9.43
1,200.000
11,315.41
12,254.65
(939.24)
16.97
500.000
8,485.25
EFTA01570195
8,640.50
(155.25)
4.58
1,400.000
6,407.87
6,697.36
(289.49)
1.53
30,000.000
45,921.24
48,127.99
(2,206.75)
1,747.50
5.16
4,350.000
22,433.24
26,287.24
(3,854.00)
0.54
25,000.000
13,588.00
163,464.66
(149,876.66)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
17.84
200.000
3,567.21
5,219.70
(1,652.49)
Page 8 of 50
EFTA01570196
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-US Equity
QBE INSURANCE GROUP LTD
ISIN AU000000QBE9 SEDOL 6715740
Q78063-91-6 AUD
RIO TINTO PLC
ISIN GB0007188757 SEDOL 0718875
766994-90-9 GBP
RSA INSURANCE GROUP PLC
ISIN GB0006616899 SEDOL 0661689
G8566X-91-9 GBP
SANOFI
ISIN FR0000120578 SEDOL 5671735
F5548N-91-1 EUR
SCHNEIDER S A
ISIN FR0000121972 SEDOL 4834108
F86921-91-7 EUR
SHISEIDO COMPANY LIMITED
ISIN JP3351600006 SEDOL 6805265
824841-91-0 JPY
SOLVAY SA
ISIN BE0003470755 SEDOL 4821100
834437-91-5 EUR
STANDARD CHARTERED PLC
ORD U$ 0.50
ISIN GB0004082847 SEDOL 0408284
G84228-92-6 GBP
STORA ENSO OYJ
R SHS
ISIN FI0009005961 SEDOL 5072673
X21349-90-1 SEOA EUR
Page 9 of 50
7.12
933.000
6,644.11
9,050.23
(2,406.12)
24.21
555.000
13,435.04
14,171.09
(736.05)
98.69
77.000
7,599.07
8,750.42
(1,151.35)
18.35
400.000
EFTA01570197
7,339.02
7,325.88
13.14
62.15
164.000
10,193.21
11,096.92
(903.71)
73.92
156.000
11,531.84
11,779.77
(247.93)
1.67
23,800.000
39,811.02
48,596.10
(8,785.08)
60.04
191.000
11,468.56
12,954.00
(1,485.44)
12.18
400.000
4,871.65
7,237.30
(2,365.65)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
EFTA01570198
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-US Equity
SUN HUNG KAI PROPERTIES
ISIN HK0016000132 SEDOL 6859927
Y82594-12-1 SHKP HKD
VODAFONE GROUP PLC
ISIN GBOOB16GWD56 SEDOL B16GWD5
92857W-92-8 GBP
Total Non-US Equity
$374,029.22
$577,641.01
($198,656.09)
0.00
601.45
$330.86
$2,402.05
Preferred Stocks
CITIGROUP CAPITAL XIII
7 7/8% PFD
173080-20-1 C PNNA /BA1
COUNTRYWIDE CAPITAL V
7% PFD
222388-20-9 CFC PB
JPM CHASE CAPITAL XXIX
6.7% PFD
48125E-20-7 JPM PC
Total Preferred Stocks
25.72
2,500.000
64,300.00
$429,082.00
62,500.00
$422,578.96
1,800.00
$6,503.04
4,187.50
$31,227.50
$1,837.50
6.51%
7.28%
22.71
4,200.000
95,382.00
98,778.96
(3,396.96)
7,350.00
1,837.50
7.71%
0.07%
EFTA01570199
13.85
1,000.000
13,850.02
15,082.81
(1,232.79)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
26.94
10,000.000
269,400.00
261,300.00
8,100.00
19,690.00
7.31%
Page 10 of 50
EFTA01570200
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Concentrated & Other Equity
GENERAL MOTORS CO
CV PFD B
37045V-20-9 GM PB
JPMORGAN CHASE & CO
7.9% PFD STK APR 30 2049
DTD 04/23/2008
46625H-HA-1 BBB /BAA
Total Concentrated & Other Equity
$202,541.50
$207,909.17
($5,367.67)
$14,225.00
$2,995.35
6.99%
108.32
150,000.000
162,481.50
157,909.17
4,572.33
11,850.00
2,995.35
7.25%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
40.06
1,000.000
40,060.00
50,000.00
(9,940.00)
2,375.00
5.93%
Page 11 of 50
EFTA01570201
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Estimated Value
44,424.00
Alternative Assets Detail
Price
Hard Assets
BARC CALLABLE PALLDIUM CP NT
05/14/12
LNKD TO PLDMLNPM
7.4% CPN, 20% MAX, 80% BARRIER
05/03/2011
06738K-JA-0
DB X-TRACKERS
ISIN LU0292106167 SEDOL B3DYFK4
892352-91-5
ETFS METAL SECURITIES LTD
ISIN 3E00B1VS3770 SEDOL BlVS377
131994-91-5
ISHARES SILVER TRUST
Total Hard Assets
46428Q-10-9 SLV
$189,792.46
$211,234.62
32.28
1,000.000
32,280.00
44,010.03
170.23
301.000
51,237.73
45,068.38
42.19
2,058.000
86,816.73
102,156.21
97.29
20,000.000
19,458.00
20,000.00
Quantity
Estimated
Value
Cost
Ending
Estimated Value
189,792.46
EFTA01570202
Change
In Value
145,368.46
Current
Allocation
2%
Page 12 of 50
EFTA01570203
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Non-USD Cash
Non-USD Short Term
US Fixed Income
Non-US Fixed Income
Complementary Structured Strategies
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
Market Value
1,165,213.57
808,604.77
48,289.02
632,373.50
596,452.35
133,005.00
$3,383,938 21
Ending
Market Value
4,877,588.71
885,103.01
0.00
750,979.70
600,733.94
144,394.50
$7,258,799.86
Current
Period Value
7,258,799.86
7,319,020.74
(60,220.88)
58,748.29
24,957.09
0.82%
Non-USD Cash
Change
In Value
3,712,375.14
76,498.24
(48,289.02)
118,606.20
EFTA01570204
4,281.59
11,389.50
$3,874,861.65
Current
Allocation
56%
10%
9%
7%
2%
84%
US Fixed Income
Non-US Fixed Income
Complementary Structured
Strategies
Cash
Asset Categories
Cash & Fixed Income as a percentage of your portfolio 84 %
Page 13 of 50
EFTA01570205
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1-5 years'
5-10 years'
10+ years'
Total Value
1
SUMMARY BY TYPE
Market
Value
6,070,779.77
671,175.09
289,369.50
227,475.50
$7,258,799.86
% of Bond
Portfolio
85%
9%
3%
3%
100%
The years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their stated maturity.
Note:
A - Bonds purchased at a premium show amortization.
1
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
PROCEEDS FROM PENDING SALES
3PM NY MUNI MM FD - MORGAN
Total Cash
1.00
1.00
1.00
4,858,142.33
19,445.38
1.00
4,858,142.33
19,445.38
1.00
$4,877,588.71
4,858,142.33
19,445.38
EFTA01570206
1.00
$4,877,588.71
$0.00
$485.81
$12.04
0.01%
485.81
12.04
0.01%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Cash & Fixed Income
Cash
NON USD Cash
Corporate Bonds
Municipal Bonds
International Bonds
Mutual Funds
Complementary Structure
Total Value
Market
Value
4,877,588.71
885,103.01
281,529.50
227,475.50
822,513.70
20,194.94
144,394.50
$7,258,799.86
% of Bond
Portfolio
69%
12%
3%
3%
11%
1%
1%
100%
This is the Annual Percentage Yield (APY) which is the rate earned if
balances remain on deposit for a full year with compounding, there is no
change in the interest rate and all interest
is left in the account.
EFTA01570207
Page 14 of 50
EFTA01570208
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-USD Cash
POUND STERLING
JAPANESE YEN
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.0000%
DATED 01/27/2012 MATURITY 02/03/2012
HELD BY LONDON TREASURY SERVICES
JP MORGAN CHASE BANK - CAD
LONDON TIME DEPOSITS 0.6100%
DATED 01/31/2012 MATURITY 02/07/2012
HELD BY LONDON TREASURY SERVICES
Total Non-USD Cash
$885,103.01
$892,281.17
($7,178.16)
$2,790.99
$30.68
US Fixed Income
JPM MANAGED RESERVES C
051398-91-5 GBP
ISHARES MARKIT IBOXX CORPORATE BOND
ISIN IE00B00FV011 SEDOL BOOFV01
461278-91-3 GBP
HSBC FINANCE CORP
MEDIUM TERM NOTE 2.9% OCT 15 2015
DTD 10/15/2010
40429X-YB-6 A /A3
GENERAL ELEC CAP CORP
MEDIUM TERM FLOATING RATE NOTE
MAY 11 2016 DTD 05/11/2007
36962G-2V-5 AA+ /AA2
Page 15 of 50
92.77
50,000.00
46,384.00
45,394.50
989.50
326.39
73.60
2.44%
96.47
100,000.00
96,469.00
100,000.00
(3,531.00)
2,900.00
853.80
3.93%
EFTA01570209
10,193.07
192.33
7.54
105.00
76,804.76
20,194.94
79,003.04
19,023.08
(2,198.28)
1,171.86
0.34%
99.72
115,098.80
114,771.70
112,705.79
2,065.91
700.10
1.83
0.62%
1.58
0.01
17.07
349,139.99
784,035.00
1,224,867.03
550,960.01
10,281.83
209,089.47
562,718.31
10,173.02
206,684.05
(11,758.30)
108.81
2,405.42
2,090.89
28.85
1.09%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
EFTA01570210
GHISLAINE MAXWE
ACCT.
For the Period 1/1/12 to 1/31/12
Price
US Fixed Income
BANK OF AMERICA CORP
MEDIUM TERM NOTE
3.6% NOV 15 2016
DTD 11/04/2010
06050W-DW-2 A- /BAA
BARCLAYS BANK PLC
MEDIUM TERM NOTE 2 2/1% OCT 20 2017
DTD 10/20/2010
06740P-VG-8 NA /AA3
A MI ST MUNI BOND AUTH
ST CLEAN WTR REVOLVING FD 5%
OCT 01 2026 DTD 11/02/2006
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 10/01/2016 @ 100
59455T-PF-3 AAA /AAA
A BIRDVILLE TEXAS INDEPENDENT SCHOOL
DIST PERM SCH GTD FUND UNLIMITED TAX
5% FEB 15 2029 DTD 01/15/2007
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 02/15/2017 @ 100
090874-FV-5 AAA /AAA
A MA ST HLTH & EDUCTNL FACS AUTH
REVENUE HARVARD UNIV 5% B
JUL 15 2032 DTD 08/03/2005
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 07/15/2015 @ 100
57586C-FW-0 AAA /AAA
Total US Fixed Income
$750,979.70
$762,638.96
$763,387.62
($11,659.26)
$22,376.39
$6,369.25
3.43%
110.74
50,000.00
55,372.00
53,855.22
54,040.00
1,516.78
2,500.00
111.10
4.21%
113.95
100,000.00
EFTA01570211
113,951.00
110,123.14
110,503.00
3,827.86
5,000.00
2,305.50
3.87%
116.31
50,000.00
58,152.50
55,239.98
55,424.00
2,912.52
2,500.00
833.30
3.56%
96.65
150,000.00
144,975.00
150,000.00
(5,025.00)
3,750.00
1,051.95
3.14%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
92.45
150,000.00
138,676.50
150,000.00
(11,323.50)
5,400.00
1,140.00
5.41%
Page 16 of 50
EFTA01570212
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-US Fixed Income
BLUEBAY HIGH YIELD BD FD GBP HDG-DB
ISIN LU0222772518
G13289-92-4 GBP
ISHARES BARCLAYS CAPITAL
ISIN IE00B1FZSD53 SEDOL B1G52V0
46578W-92-2 GBP
INTL BK RECON & DEVELOP - BRL
8 3/4% JUN 15 2012
DTD 08/20/2009
HELD BY EUROCLEAR ISIN:XS0446421157
SEDOL:B435Z93
459058-9B-1 NA /AAA BRL
KFW - TRY
MTN 9 3/4% JUL 16 2013
DTD 02/10/2010
HELD BY EUROCLEAR
ISIN XS0484842470 SEDOL B637YV8
14085A-9A-6 AAA /AAA TRY
INTER AMERICAN DEVELOPMENT BANK- INR
MEDIUM TERM NOTE 3% MAR 25 2014
DTD 03/25/2010
HELD BY EUROCLEAR
ISIN XS0495010562 SEDOL B5114T3
U45818-9G-5 AAA /AAA INR
1.88
6,700,000.00
125,734.21
143,232.17
(17,497.96)
4,065.12
3,476.35
6.70%
57.43
200,000.00
114,853.38
135,555.56
(20,702.18)
11,006.68
6,014.50
8.36%
57.10
90,000.00
51,390.08
50,106.74
1,283.34
4,498.97
2,839.49
EFTA01570213
8.66%
21.50
5,790.00
124,490.38
118,212.32
6,278.06
187.38
187.90
35,207.89
39,293.00
(4,085.11)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 17 of 50
EFTA01570214
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Price
Non-US Fixed Income
INTER AMERICAN DEVEL BK - IDR
MEDIUM TERM NOTE 6.50% JUN 04 2014
DTD 06/04/2010
HELD BY EUROCLEAR
ISIN XS0513770957 SEDOL B4YWHCO
45818W-9K-4 AAA /AAA IDR
Total Non-US Fixed Income
$600,733.94
$636,511.90
($35,777.96)
$28,970.10
$18,545.12
Complementary Structured Strategies
MS 7YNC1Y STEP-UP NOTE 09/13/17
INITIAL RATE 2.75% CPN
WHERE MAX RATE IS 6% PER ANNUM
DD 9/8/10
61745E-6Q-9 A- /A2
5.06%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
0.01 1,300,000,000.00
149,058.00
150,112.11
(1,054.11)
9,399.33
6,214.78
5.33%
96.26
150,000.00
144,394.50
150,000.00
(5,605.50)
4,125.00
Page 18 of 50
EFTA01570215
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Other Summary
Asset Categories
Balanced
Beginning
Estimated Value
83,641.54
Ending
Estimated Value
88,373.68
Change
In Value
4,732.14
Current
Allocation
1%
Current
Market Value/Cost
Estimated Value
Tax Cost
Estimated Gain/Loss
Other Detail
Price
Balanced
PIMCO FUNDS GLOBAL INVESTORS SERIES
- GLOBAL INVESTMENT GRADE CREDIT
FUND
ISIN IE00B3BMD843 SEDOL B3BMD84
695421-91-7 GBP
20.26
4,361.513
88,373.68
90,364.18
(1,990.50)
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Accruals
Period Value
88,373.68
90,364.18
(1,990.50)
Page 19 of 50
EFTA01570216
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
Income
INFLOWS
7,598.49
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS **
Total Outflows
Withdrawals
TRADE ACTIVITY
Total Trade Activity
Settled Sales/Maturities/Redemptions
Ending Cash Balance
4,971,970.54
3,169.09
$4,982,738.12
(1,419,530.95)
($1,419,530.95)
129,722.59
$129,722.59
$4,858,142.33
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
7,598.49
4,971,970.54
3,169.09
$4,982,738.12
(1,419,530.95)
($1,419,530.95)
129,722.59
$129,722.59
-$0.00
$0.00
Period
Value
1,165,212.57
Year-To-Date
Value*
-INCOME
Current
Period
Value
0.00
EFTA01570217
Year-To-Date
Value*
-$0.00
$0.00
$0.00
$0.00
$0.00
-Page
20 of 50
EFTA01570218
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary U S Dollar
Current
Cost Adjustments
Amortization
Cost Adjustments
Total Cost Adjustments
Period Value
(143.10)
9,237.41
$9,094.31
* Year to date information is calculated on a calendar year basis.
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
1/3
1/3
1/3
1/3
1/4
1/6
1/11
Div Domest
Div Domest
Interest Income
Interest Income
Description
UNION PACIFIC CORP @ 0.60 PER SHARE
(ID: 907818-10-8)
JOHNSON CONTROLS INC @ 0.18 PER SHARE
(ID: 478366-10-7)
DEPOSIT SWEEP INTEREST FOR DEC. @ .03% RATE ON
NET AVG COLLECTED BALANCE OF $1,109,240.04 AS
OF 01/01/12
JPM CHASE CAPITAL XXIX 6.7% PFD @ 0.41875 PER
SHARE (ID: 48125E-20-7)
Misc Disbursement FUNDS TRANSFERRED FROM PRN A/C# Q52167006 TO
MMIA A/C# 00000000002916490721 AS REQUESTED
Foreign Dividend
Misc Receipt
SCHLUMBERGER LTD @ 0.25 PER SHARE
(ID: 806857-10-8)
TRANSFER FROM SANFORD BERNSTEIN
113.000
0.25
2,500.000
0.419
1,046.88
(1,166,407.29)
EFTA01570219
28.25
180,424.00
Page 21 of 50
Quantity
Cost
109.000
301.000
Per Unit
Amount
0.60
0.18
PRINCIPAL
Amount
65.40
54.18
28.26
INCOME
Amount
Year-To-Date
Value*
(143.10)
9,237.41
$9,094.31
EFTA01570220
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
1/17
1/17
1/17
1/17
1/17
1/17
Div Domest
Spot FX
Spot FX
Spot FX
Description
OCCIDENTAL PETROLEUM CORP @ 0.46 PER SHARE
(ID: 674599-10-5)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
AUD EXCHANGE RATE 1.029200000 DEAL 01/13/12
VALUE 01/17/12 (ID: OAUDPR-AA-8)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.266400000 DEAL 01/13/12
VALUE 01/17/12 (ID: OEURPR-AA-9)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
JPY EXCHANGE RATE 77.020000000 DEAL 01/13/12
VALUE 01/17/12 (ID: OJPYPR-AA-9)
Misc Disbursement FUNDS TRANSFERRED FROM PRN A/C# Q52167006 TO
MMIA A/C# 00000000002916490721 PHONE
INSTRUCTIONS FROM CLIENT
Municipal Interest
MA ST HLTH & EDUCTNL FACS AUTH REVENUE HARVARD
UNIV 5% B JUL 15 2032 DTD 08/03/2005 HELD BY
DTC BOOK ENTRY ONLY PAR CALL 07/15/2015 @ 100
(ID: 57586C-FW-0)
1/18
1/18
1/25
1/26
1/26
Div Domest
WALT DISNEY CO @ 0.60 PER SHARE
(ID: 254687-10-6)
Misc Disbursement FUNDS TRANSFERRED FROM PRN A/C# Q52167006 TO
MMIA A/C# 00000000002916490721 PHONE
INSTRUCTIONS FROM CLIENT
Spot FX
Misc Receipt
Misc Receipt
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.302200000 DEAL 01/23/12
EFTA01570221
VALUE 01/25/12 (ID: OEURPR-AA-9)
TRANSFER FROM SANFORD BERNSTEIN
TRANSFER FROM SANFORD BERNSTEIN
1,139,863.05
50,210.82
Page 22 of 50
(69.300)
(88.81)
90.24
229.000
0.60
137.40
(36,045.96)
50,000.000
0.025
1,250.00
(217,077.70)
(47,055.000)
(612.74)
610.95
(1,535.460)
(1,982.97)
1,944.51
Quantity
Cost
Per Unit
Amount
144.000
(208.350)
(216.26)
0.46
PRINCIPAL
Amount
66.24
214.43
INCOME
Amount
EFTA01570222
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
1/26
1/26
1/27
1/30
1/31
1/31
Misc Receipt
Misc Receipt
Spot FX
Interest Income
Misc Receipt
Misc Receipt
Total Inflows & Outflows
TRADE ACTIVITY
Note:
Trade Date
Settle Date
1/4
1/9
1/4
1/9
1/4
1/9
Description
TRANSFER FROM SANFORD BERNSTEIN
TRANSFER FROM SANFORD BERNSTEIN
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
HKD EXCHANGE RATE 7.768100000 DEAL 01/24/12
VALUE 01/27/12 (ID: OHKDPR-AA-4)
CITIGROUP CAPITAL XIII 7 7/8% PFD @ 0.492188
PER SHARE (ID: 173080-20-1)
TRANSFER FROM SANFORD BERNSTEIN
TRANSFER FROM SANFORD BERNSTEIN
10,000.000
0.492
4,921.88
49.36
42.50
$3,563,207.17
(2,400.000)
(309.23)
Quantity
Cost
Per Unit
Amount
PRINCIPAL
EFTA01570223
Amount
131.20
3,601,249.61
308.96
INCOME
Amount
L indicates Long Term Realized Gain/Loss
Type
S indicates Short Term Realized Gain/Loss
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
Sale
High Cost
Sale
High Cost
CHEVRON CORP @ 109.5906 12,712.51 BROKERAGE
6.96 TAX &/OR SEC .25 J.P. MORGAN SECURITIES
LLC (ID: 166764-10-0)
TIME WARNER INC NEW @ 36.08 10,463 20 BROKERAGE
17.40 TAX &/OR SEC .21 J.P. MORGAN SECURITIES
LLC (ID: 887317-30-3)
WELLS FARGO & CO @ 28.25 13,503.50 BROKERAGE
28.68 TAX &/OR SEC .26 J.P. MORGAN SECURITIES
LLC (ID: 949746-10-1)
Page 23 of 50
(478.000)
28.189
13,474.56
(13,224.13)
250.43 S
(290.000)
36.019
10,445.59
(10,196.64)
248.95 S
Quantity
(116.000)
Per Unit
Amount
109.528
Proceeds
12,705.30
Tax Cost
(11,819.95)
Realized
Gain/Loss
885.35 S
EFTA01570224
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Trade Date
Settle Date
1/11
1/17
1/11
1/17
1/11
1/17
1/19
1/24
1/23
1/26
1/23
1/26
1/23
1/26
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
BB & T CORP @ 26.75038 8,265.87 BROKERAGE 18.54
TAX &/OR SEC .16 J.P. MORGAN SECURITIES LLC
(ID: 054937-10-7)
OCCIDENTAL PETROLEUM CORP @ 96.73 13,929.12
BROKERAGE 8.64 TAX &/OR SEC .27 J.P. MORGAN
SECURITIES LLC (ID: 674599-10-5)
QUALCOMM INC @ 55.70 9,803.20 BROKERAGE 10.56
TAX &/OR SEC .19 J.P. MORGAN SECURITIES LLC
(ID: 747525-10-3)
BROADCOM CORP CL A @ 34.68066 8,670.17
BROKERAGE 15.00 TAX &/OR SEC .17 J.P. MORGAN
SECURITIES LLC (ID: 111320-10-7)
AT&T INC @ 30.51 30,510.00 BROKERAGE 60.00 TAX
&/OR SEC .59 J.P. MORGAN SECURITIES LLC
(ID: 00206R-10-2)
JOHNSON CONTROLS INC @ 31.40 9,451.40 BROKERAGE
EFTA01570225
18.06 TAX &/OR SEC .19 J.P. MORGAN SECURITIES
LLC (ID: 478366-10-7)
RESEARCH IN MOTION LIMITED @ 15.81 12,648.00
BROKERAGE 48.00 TAX &/OR SEC .25 J.P. MORGAN
SECURITIES LLC (ID: 760975-10-2)
Total Settled Sales/Maturities/Redemptions
$129,722.59
($187,291.31)
($58,385.84) L
$817.12 S
(800.000)
15.75
12,599.75
(69,825.00)
(57,225.25) L
(301.000)
31.339
9,433.15
(11,324.21)
(1,891.06) S
(1,000.000)
30.449
30,449.41
(31,610.00)
(1,160.59) L
(250.000)
34.62
8,655.00
(8,276.78)
378.22 S
(176.000)
55.639
9,792.45
(9,237.41)
555.04 S
(144.000)
96.668
13,920.21
(13,653.98)
266.23 S
Quantity
(309.000)
Per Unit
Amount
26.69
Proceeds
8,247.17
Tax Cost
(8,123.21)
Realized
Gain/Loss
EFTA01570226
123.96 S
Page 24 of 50
EFTA01570227
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Trade Date
Type
Est. Settle Date Selection Method Description
Pending Sales, Maturities, Redemptions
Sale
1/27
2/1
1/27
2/1
Sale
COVIDIEN PLC NEW (ID: G2554F-11-3)
COGNIZANT TECHNOLOGY SOLUTIONS CORP CL A
(ID: 192446-10-2)
Total Pending Sales, Maturities, Redemptions
Quantity
(236.000)
(102.000)
Per Unit
Amount
51.658
71.32
Proceeds
12,177.00
7,268.38
$19,445.38
Tax Cost
(11,860.03)
(7,275.16)
($19,135.19)
Realized
Gain/Loss
316.97 S
(6.78) S
$310.19 S
COST ADJUSTMENTS
Settle Date
1/4
1/17
Type
Cost Basis Adj
Amortization
Description
QUALCOMM INC COST BASIS ADJUSTMENT
(ID: 747525-10-3)
MA ST HLTH & EDUCTNL FACS AUTH REVENUE HARVARD
UNIV 5% B JUL 15 2032 DTD 08/03/2005 HELD BY
DTC BOOK ENTRY ONLY PAR CALL 07/15/2015 @ 100
MUNICIPAL BOND PREMIUM AMORTIZATIO
(ID: 57586C-FW-0)
EFTA01570228
Total Cost Adjustments
$9,094.31
Quantity
176.000
50,000.000
Cost Basis
Adjustments
9,237.41
(143.10)
Page 25 of 50
EFTA01570229
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Australia Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Contributions
OUTFLOWS **
Total Outflows
Foreign Exchange - Outflows
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Period
Value
-216.26
$216.26
(214.43)
($214.43)
-Year-To-Date
Value*
-216.26
$216.26
(214.43)
($214.43)
-Local
EFTA01570230
Value
Current
Period Value
0.00
208.35
208.35
(208.35)
(208.35)
0.00
Year-To-Date
Value*
-208.35
208.35
(208.35)
(208.35)
-Page
26 of 50
EFTA01570231
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Detail - Australia Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/4
1/17
Misc Receipt
Spot FX
Total Inflows & Outflows
Description
REP: AUD RECEIVED FROM GHISLAINE MAXWELL
AUSTRALIAN DOLLAR (ID: OAUDPR-AA-8)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
AUD EXCHANGE RATE 1.029200000 DEAL 01/13/12
VALUE 01/17/12 (ID: OAUDPR-AA-8)
$1.83
($1.83)
Quantity
208.350
214.430
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
216.26
208.35
(214.43)
(208.35)
(1.83)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 27 of 50
EFTA01570232
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Canadian Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Withdrawals
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Period
Value
-64.20
$64.20
(64.20)
($64.20)
-Year-To-Date
Value*
-64.20
$64.20
(64.20)
($64.20)
-Local
EFTA01570233
Value
Current
Period Value
0.00
65.26
65.26
(65.26)
(65.26)
0.00
Year-To-Date
Value*
-65.26
65.26
(65.26)
(65.26)
-Page
28 of 50
EFTA01570234
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Detail - Canadian Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/9
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/30/2011 MATURITY 01/09/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2526X9-9Q-1)
1/9
1/9
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
1/9
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/30/2011 MATURITY 01/09/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526X9-9Q-1)
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 01/09/2012 MATURITY 01/17/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527A9-9Y-7)
1/17
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 01/09/2012 MATURITY 01/17/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527A9-9Y-7)
1/17
1/17
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 01/09/2012 MATURITY 01/17/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527A9-9Y-7)
(16.870)
(115,054.630)
(16.46)
(16.87)
115,054.630
EFTA01570235
16.46
16.87
115,054.630
(21.090)
(115,033.540)
(20.59)
(21.09)
Quantity
115,033.540
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
20.59
21.09
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 29 of 50
EFTA01570236
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/17
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/17/2012 MATURITY 01/24/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527E9-9K-3)
1/24
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/17/2012 MATURITY 01/24/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527E9-9K-3)
1/24
1/24
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
1/24
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/17/2012 MATURITY 01/24/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527E9-9K-3)
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/24/2012 MATURITY 01/31/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527H9-9B-0)
1/31
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/24/2012 MATURITY 01/31/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527H9-9B-0)
1/31
1/31
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/24/2012 MATURITY 01/31/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527H9-9B-0)
EFTA01570237
(13.650)
(115,085.150)
(13.59)
(13.65)
115,085.150
13.59
13.65
115,085.150
(13.650)
(115,071.500)
(13.56)
(13.65)
115,071.500
13.56
13.65
Quantity
115,071.500
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 30 of 50
EFTA01570238
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/31
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/31/2012 MATURITY 02/07/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527L9-9H-2)
Total Inflows & Outflows
$0.00
Quantity
115,098.800
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 31 of 50
EFTA01570239
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Euro
PRINCIPAL
US Dollar Value
Current
Transactions
Income
INFLOWS
Total Inflows
OUTFLOWS **
Tax Payments
Foreign Exchange - Outflows
Total Outflows
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Period Value
Beginning Cash Balance
-118.42
$118.42
(29.61)
(2,034.75)
($2,064.36)
-Year-To-Date
Value*
-118.42
$118.42
(29.61)
(2,034.75)
($2,064.36)
-Local
Value
Current
Period Value
1,535.46
92.40
92.40
(23.10)
(1,604.76)
(1,627.86)
0.00
Year-To-Date
Value*
-92.40
92.40
(23.10)
(1,604.76)
(1,627.86)
-Page
EFTA01570240
32 of 50
EFTA01570241
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Euro
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
US Dollar Value
Current
Cost Adjustments
Cost Adjustments
Total Cost Adjustments
Period Value
25,835.27
$25,835.27
* Year to date information is calculated on a calendar year basis.
Year-To-Date
Value*
25,835.27
$25,835.27
Local Value
Current
Period Value
18,995.12
18,995.12
Year-To-Date
Value*
18,995.12
18,995.12
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
33 of 50
EFTA01570242
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Detail - Euro
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/17
1/19
1/19
1/25
Spot FX
Foreign Dividend
FGN Tax Withheld
Spot FX
Total Inflows & Outflows
COST ADJUSTMENTS - Euro
Cost Basis
Settle Date
1/4
1/4
1/4
Type
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Total Cost Adjustments (USD)
Description
PPR SA ISIN FR0000121485 SEDOL 5505072 COST
BASIS ADJUSTMENT (ID: F74953-93-0)
SCHNEIDER S A ISIN FR0000121972 SEDOL 4834108
COST BASIS ADJUSTMENT (ID: F86921-91-7)
PHILIPS ELECTRONICS N.V. ISIN NL0000009538
SEDOL 5986622 COST BASIS ADJUSTMENT
(ID: N6983Q-91-5)
$25,835.27
Page 34 of 50
Quantity
38.000
164.000
337.000
Adjustments USD
Local Value
6,319.18
4,646.11
11,096.92
8,158.90
8,419.17
6,190.11
Description
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
EFTA01570243
EUR EXCHANGE RATE 1.266400000 DEAL 01/13/12
VALUE 01/17/12 (ID: OEURPR-AA-9)
SOLVAY SA ISIN BE0003470755 SEDOL 4821100 @
1.20 PER SHARE (ID: 834437-91-5)
SOLVAY SA ISIN BE0003470755 SEDOL 4821100 TAX
WITHHELD BELGIUM 25.00% (ID: OEURPR-AA-9)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.302200000 DEAL 01/23/12
VALUE 01/25/12 (ID: OEURPR-AA-9)
($1,945.94)
($37.03)
77.000
(23.100)
90.240
1.538
1.20
118.42
92.40
(29.61)
(23.10)
(90.24)
(69.30)
1.43
Quantity
1,944.510
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
(1,944.51)
(1,535.46)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
(38.46)
EFTA01570244
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Hong Kong Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Foreign Exchange - Outflows
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Period
Value
-309.23
$309.23
(308.96)
($308.96)
-Year-To-Date
Value*
-309.23
$309.23
(308.96)
($308.96)
-Local
EFTA01570245
Value
Current
Period Value
0.00
2,400.00
2,400.00
(2,400.00)
(2,400.00)
0.00
Year-To-Date
Value*
-2,400.00
2,400.00
(2,400.00)
(2,400.00)
-Page
35 of 50
EFTA01570246
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Detail - Hong Kong Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/19
1/27
Foreign Dividend
Spot FX
Total Inflows & Outflows
Description
SUN HUNG KAI PROPERTIES ISIN HK0016000132 SEDOL
6859927 @ 2.40 PER SHARE (ID: Y82594-12-1)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
HKD EXCHANGE RATE 7.768100000 DEAL 01/24/12
VALUE 01/27/12 (ID: OHKDPR-AA-4)
$0.27
($0.27)
Quantity
1,000.000
308.960
Amount USD
Local Value
0.309
2.40
PRINCIPAL
Amount USD
Local Value
309.23
2,400.00
(308.96)
(2,400.00)
(0.27)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 36 of 50
EFTA01570247
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Japanese Yen
PRINCIPAL
US Dollar Value
Current
Transactions
Contributions
INFLOWS
Total Inflows
OUTFLOWS **
Total Outflows
Foreign Exchange - Outflows
TRADE ACTIVITY
Total Trade Activity
Period Value
Beginning Cash Balance
-612.74
$612.74
(610.95)
($610.95)
Settled
Sales/Maturities/Redemptions
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
10,173.02
$10,173.02
-Year-To-Date
Value*
-612.74
$612.74
(610.95)
($610.95)
10,173.02
$10,173.02
-Local
Value
Current
Period Value
0.00
47,055.00
47,055.00
(47,055.00)
(47,055.00)
784,035.00
784,035.00
784,035.00
Year-To-Date
Value*
EFTA01570248
-47,055.00
47,055.00
(47,055.00)
(47,055.00)
784,035.00
784,035.00
-Page
37 of 50
EFTA01570249
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Japanese Yen
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Portfolio Activity Detail - Japanese Yen
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/11
1/17
Misc Receipt
Spot FX
Total Inflows & Outflows
Description
REP: JPY RECEIVED FROM GHISLAINE MAXWELL
JAPANESE YEN AS OF 01/10/12 (ID: OJPYPR-AA-9)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
JPY EXCHANGE RATE 77.020000000 DEAL 01/13/12
VALUE 01/17/12 (ID: OJPYPR-AA-9)
$1.79
($1.79)
Quantity
47,055.000
610.950
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
612.74
47,055.00
(610.95)
(47,055.00)
(1.79)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Period Value
--Year-To-Date
Value*
EFTA01570250
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
38 of 50
EFTA01570251
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
TRADE ACTIVITY - Japanese Yen
Note:
Trade Date
Settle Date
1/20
1/25
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
JAPAN TOBACCO INC ISIN JP3726800000 SEDOL
6474535 (ID: J27869-91-6)
Quantity
(2.000)
S indicates Short Term Realized Gain/Loss
Per Unit
Amount USD
Local Value
5,086.51
393,000.00
Proceeds USD
Local Value
10,173.02
784,035.00
Tax Cost USD
Realized
Local Value Gain/Loss USD
(8,930.02)
(685,646.76)
1,243.00 S
Page 39 of 50
EFTA01570252
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Norwegian Krone
PRINCIPAL
US Dollar Value
Current
Transactions
Income
INFLOWS
Total Inflows
OUTFLOWS **
Total Outflows
Withdrawals
TRADE ACTIVITY
Total Trade Activity
Settled Sales/Maturities/Redemptions
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Period Value
Beginning Cash Balance
-77.08
$77.08
(103,037.48)
($103,037.48)
102,960.95
$102,960.95
-Year-To-Date
Value*
-77.08
$77.08
(103,037.48)
($103,037.48)
102,960.95
$102,960.95
-Local
Value
Current
Period Value
0.00
457.08
457.08
(592,609.74)
(592,609.74)
592,152.66
592,152.66
0.00
Year-To-Date
Value*
-457.08
EFTA01570253
457.08
(592,609.74)
(592,609.74)
592,152.66
592,152.66
-Page
40 of 50
EFTA01570254
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
Portfolio Activity Summary - Norwegian Krone
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Portfolio Activity Detail - Norwegian Krone
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/4
Foreign Interest
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.7500% DATED 12/28/2011 MATURITY 01/04/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2526W9-9P-4)
1/4
1/4
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.7500% DATED 12/28/2011 MATURITY 01/04/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526W9-9P-4)
(92.200)
(632,257.290)
(15.59)
(92.20)
Quantity
632,257.290
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
15.59
92.20
INCOME
Amount USD
Local Value
Currency
EFTA01570255
Gain/Loss USD
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
41 of 50
EFTA01570256
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/4
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.4500% DATED 01/04/2012 MATURITY 01/13/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526Z9-9H-9)
1/9
Free Delivery
High Cost
1/9
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.0000% DATED 12/30/2011 MATURITY 01/09/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526Y9-9G-2)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.5500% DATED 01/09/2012 MATURITY 01/17/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 252769-9P-5)
1/13
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.4500% DATED 01/04/2012 MATURITY 01/13/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2526Z9-9H-9)
1/13
1/13
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
1/13
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.4500% DATED 01/04/2012 MATURITY 01/13/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526Z9-9H-9)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 01/13/2012 MATURITY 01/20/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527E9-9B-3)
632,420.630
(71.140)
(632,349.490)
EFTA01570257
(11.85)
(71.14)
632,349.490
11.85
71.14
592,152.660
(592,152.660)
Quantity
632,349.490
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 42 of 50
EFTA01570258
GHISLAINE MAXWELL ACCT.
For the Period 1/1/12 to 1/31/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
1/17
Foreign Interest
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.5500% DATED 01/09/2012 MATURITY 01/17/2012
HELD BY LONDON TREASURY SERVICES
(ID: 252769-9P-5)
1/20
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 01/13/2012 MATURITY 01/20/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527E9-9B-3)
1/20
1/20
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
1/20
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 01/13/2012 MATURITY 01/20/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527E9-9B-3)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 01/20/2012 MATURITY 01/27/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527G9-9T-2)
1/27
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 01/20/2012 MATURITY 01/27/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527G9-9T-2)
1/27
1/27
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Misc Disbursemen