EFTA01569880.pdf
GHISLAINE MAXWELL
EFTA01569880
EFTA01569881
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
(Reviewed)
For the Period 11/1/11 to 11/30/11
Asset Account
J.P. Morgan Team
Paul Morris
Ian Hirschfield
Janet Young
Gina Magliocco
Online access
Banker
Investment Specialist
Client Service Team
Client Service Team
www.MorganOnline.com
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
Table of Contents
Account Summary
Holdings
Equity
Alternative Assets
Cash & Fixed Income
Portfolio Activity
Page
2
4
16
17
24
0000005442.15.0.15.00003.MAXWE00.20111205
Page 1 of 66
EFTA01569882
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
723,367.50
51,256.00
2,603,425.93
$3,378,049.43
22,021.62
$3,400,071.05
Ending
Market Value
1,631,152.30
48,724.00
3,282,112.87
$4,961,989.17
20,212.45
$4,982,201.62
Current
Portfolio Activity
Beginning Market Value
Contributions
Withdrawals & Fees
Securities Transferred In
Securities Transferred Out
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
Period Value
3,378,049.43
344,458.81
(440.79)
4,432,966.90
(3,088,764.77)
$1,688,220.15
8,979.21
(113,259.62)
$4,961,989.17
20,212.45
$4,982,201.62
EFTA01569883
Change
In Value
907,784.80
(2,532.00)
678,686.94
$1,583,939 74
(1,809.17)
$1,582,130 57
Equity
Year-to-Date
Value
1,946,279.39
1,149,972.16
(153,417.52)
16,689,293.77
(15,138,209.44)
$2,547,638.97
84,578.24
383,492.57
$4,961,989.17
20,212.45
$4,982,201.62
Estimated
52,169.67
55,587.39
$107,757.06
Current
Annual Income Allocation
34%
1%
65%
100%
Alternative
Assets
Cash &
Fixed Income
Asset Allocation
Page 2 of 66
EFTA01569884
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Account Summary
Tax Summary
Domestic Dividends/Distributions
Foreign Dividends
Currency Gain/Loss
Interest Income
Accrued Interest Current Year
Taxable Income
Tax-Exempt Income
Bond Premium Amortization
Accrued Interest Subsequent Year
Tax-Exempt Income
CONTINUED
Current
Period Value
430.00
105.77
(0.84)
8,192.33
$8,727.26
2,866.67
(17.50)
(2,597.22)
$251.95
Year-to-Date
Value
9,649.03
105.77
17.80
83,772.06
(9,218.37)
$84,326.29
2,866.67
(17.50)
(2,597.22)
$251.95
Unrealized Gain/Loss
To-Date Value
($253,087.31)
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
(97,962.97)
($97,962.97)
Year-to-Date
Value
19,728.75
EFTA01569885
(63,328.29)
($43,599.54)
Cost Summary
Equity
Cash & Fixed Income
Total
3,252,334.96
Cost
780,736.45
$4,033,071.41
Page 3 of 66
EFTA01569886
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Equity Summary
Asset Categories
US Large Cap Equity
US Small/Mid Cap Equity
Non-US Equity
Preferred Stocks
Concentrated & Other Equity
Unclassified
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Beginning
Market Value
58,286.00
7,050.00
32,320.00
422,405.00
203,306.50
0.00
$723,367.50
Ending
Market Value
283,435.07
5,010.00
501,612.46
404,636.00
192,845.50
243,613.27
$1,631,152 30
Current
Period Value
1,631,152.30
780,736.45
(113,198.95)
52,169.67
2,995.61
3.18%
US Large Cap Equity
Equity as a percentage of your portfolio - 34 %
Change
In Value
225,149.07
(2,040.00)
469,292.46
EFTA01569887
(17,769.00)
(10,461.00)
243,613.27
$907,784.80
Current
Allocation
6%
1%
10%
8%
4%
5%
34%
Preferred Stocks
Unclassified
Concentrated & Other Equity
US Small/Mid Cap Equity
Non-US Equity
Asset Categories
Page 4 of 66
EFTA01569888
GHISL LL
ACCT.
For the Period 11/1/11 to 11/30/11
Note:
P
**
indicates position adjusted for Pending Trade Activity.
Unrealized Gain/Loss is shown as "N/A" in cases where we do not have
appropriate cost information for all tax lots comprising the position.
Please contact your J.P. Morgan team for additional
information.
Equity Detail
Price
US Large Cap Equity
APACHE CORP
AT&T INC
00206R-10-2 T
P AUTOZONE INC
053332-10-2 AZO
BANK OF AMERICA CORP
BB & T CORP
BROADCOM CORP
060505-10-4 BAC
23.17
054937-10-7 BBT
30.35
CL A
111320-10-7 BRCM
CAPITAL ONE FINANCIAL CORP
CHEVRON CORP
CITIGROUP INC NEW
14040H-10-5 COF
102.82
166764-10-0 CVX
27.48
172967-42-4 C
358.000
9,837.84
N/A **
N/A
116.000
11,927.12
N/A **
N/A
44.66
114.000
5,091.24
N/A **
N/A
22.80
5.70
EFTA01569889
375.84
93.96
14.32
0.45%
3.15%
0. 15%
250.000
7,586.25
N/A **
N/A
90.00
1.19%
309.000
7,159.53
N/A **
N/A
328.38
5.44
944.000
5,135.36
N/A **
N/A **
N/A
N/A
37.76
9.44
197.76
0.74%
2.76%
99.44
037411-10-5 APA
28.98
1,000.000
28,980.00
31,610.00
(2,630.00)
1,720.00
5.94%
95.000
9,446.80
N/A **
N/A
57.00
0.60%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
EFTA01569890
Accrued Div.
Yield
Page 5 of 66
EFTA01569891
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
US Large Cap Equity
COCA-COLA CO
191216-10-0 KO
COGNIZANT TECHNOLOGY SOLUTIONS CORP
CL A
P
P
192446-10-2 CTSH
COMCAST CORP
CL A
20030N-10-1 CMCS A
P
DOMINION RESOURCES INC VA
E I DU PONT DE NEMOURS & CO
E M C CORP MASS
EXXON MOBIL CORP
HUMANA INC
25746U-10-9 D
47.72
263534-10-9 DD
23.01
268648-10-2 EMC
80.44
30231G-10-2 XOM
88.68
444859-10-2 HUM
P
JOHNSON CONTROLS INC
KROGER CO
NIKE INC B
478366-10-7 JCI
23.18
501044-10-1 KR
96.18
654106-10-3 NKE
OCCIDENTAL PETROLEUM CORP
674599-10-5 OXY
98.90
144.000
14,241.60
N/A **
N/A
264.96
1.86%
N/A **
N/A
265.000
EFTA01569892
6,142.70
N/A **
N/A
121.90
30.48
1.98%
1.50%
31.48
301.000
9,475.48
N/A **
N/A
216.72
2.29%
N/A **
N/A
1.13%
190.000
15,283.60
N/A **
N/A
357.20
2.34%
468.000
10,768.68
N/A **
N/A
224.000
10,689.28
N/A **
N/A
51.62
N/A **
N/A
89.64
367.36
91.84
3.44%
3.82%
67.35
22.67
102.000
6,869.70
N/A **
N/A **
N/A
N/A
1.99%
Quantity
Value
Adjusted Tax Cost
EFTA01569893
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
67.23
204.000
13,714.92
N/A **
N/A
383.52
95.88
2.80%
Page 6 of 66
EFTA01569894
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
US Large Cap Equity
P ORACLE CORP
68389X-10-5 ORCL
PROSHARES ULTRASHORT S&P 500
PROSHARES TRUST
QUALCOMM INC
SCHLUMBERGER LTD
TIME WARNER INC
74347R-88-3 SDS
45.01
74347X-23-7 QID
54.80
747525-10-3 QCOM
75.33
806857-10-8 SLB
34.82
NEW
887317-30-3 TWX
P
UNION PACIFIC CORP
UNITEDHEALTH GROUP INC
UNITED TECHNOLOGIES CORP
VERIZON COMMUNICATIONS INC
WALT DISNEY CO
907818-10-8 UNP
48.77
91324P-10-2 UNH
76.60
913017-10-9 UTX
37.73
92343V-10-4 VZ
35.85
254687-10-6 DIS
229.000
8,209.65
N/A **
N/A
91.60
1.12%
N/A **
N/A
162.000
12,409.20
N/A **
N/A
311.04
77.76
EFTA01569895
2.51%
5.30%
198.000
9,656.46
N/A **
N/A
103.41
109.000
11,271.69
N/A **
N/A
261.60
65.40
128.70
2.32%
1.33%
290.000
10,097.80
N/A **
N/A
113.000
8,512.29
N/A **
N/A
176.000
9,644.80
N/A **
N/A
151.36
37.84
113.00
28.25
272.60
68.15
1.57%
1.33%
2.70%
200.000
9,002.00
26,203.50
(17,201.50)
19.92
1,000.000
19,920.00
44,809.50
(24,889.50)
31.35
N/A **
N/A
0.77%
Quantity
EFTA01569896
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Page 7 of 66
EFTA01569897
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
US Large Cap Equity
WELLS FARGO & CO
Total US Large Cap Equity
949746-10-1 WFC
$283,435.07
$102,623.00
($44,721.00)
$5,786.48
$694.34
US Small/Mid Cap Equity
GERON CORP
374163-10-3 GERN
Non-US Equity
P
P
ACCENTURE PLC-CL A
ACE LTD NEW
AKZO NOBEL N V
G1151C-10-1 ACN
69.53
H0023R-10-5 ACE
50.51
ISIN NL0000009132/SEDOL 5458314
N01803-90-2 EUR
ALLIANZ SE HOLDING
ISIN DE0008404005 SEDOL 5231485
D03080-90-6 EUR
ATLAS COPCO AB-A SHS
ISIN SE0000101032 SEDOL B1QGR41
W10020-92-8 SEK
21.43
442.000
9,470.63
N/A **
N/A
102.59
77.000
7,899.44
N/A **
N/A
149.000
7,525.62
N/A **
N/A
N/A **
N/A
2.01%
EFTA01569898
57.93
N/A **
N/A
2.33%
2.04%
25.86
478.000
12,361.08
N/A **
N/A
229.44
1.86%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
1.67
3,000.000
5,010.00
18,129.32
(13,119.32)
Page 8 of 66
EFTA01569899
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-US Equity
AVIVA PLC
ISIN GB0002162385 SEDOL 0216238
G2307K-92-2 GBP
BAYER AG REGISTERED SHS
ISIN DE000BAY0017 SEDOL 5069211
072733-91-8 EUR
BRITISH AMERICAN TOBACCO PLC
ISIN GB0002875804 SEDOL 0287580
G1510J-91-2 GBP
CAP GEMINI S A
ISIN FR0000125338 SEDOL 4163437
F13587-92-2 EUR
CENTRICA
ISIN GB00B033F229 SEDOL B033F22
15639K-90-4 GBP
CINEWORLD GROUP PLC
ISIN GBOOB15FWH70 SEDOL Bl5FWH7
172145-91-4 GBP
COVIDIEN PLC NEW
CREDIT SUISSE GROUP AG
G2554F-11-3 COV
24.13
ISIN CH0012138530 SEDOL 7171589
H3698D-93-0 CHF
DRAX GROUP PLC
ISIN GBOOB1VNSX38 SEDOL BlVNSX3
G2904K-92-9 GBP
ERICSSON LM-B SHS
ISIN SE0000108656 SEDOL 5959378
W26049-91-1 SEK
Page 9 of 66
10.73
793.000
8,507.47
N/A **
N/A
8.80
5,300.000
46,639.02
N/A **
N/A
230.000
5,549.41
N/A **
N/A
45.55
236.000
EFTA01569900
10,749.80
N/A **
N/A
212.40
1.98%
3.19
4,500.000
14,349.83
N/A **
N/A
4.75
1,556.000
7,385.88
N/A **
N/A
37.82
217.000
8,206.96
N/A **
N/A
46.32
293.000
13,571.45
N/A **
N/A
65.52
163.000
10,679.29
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
4.90
6,000.000
29,414.50
N/A **
N/A
EFTA01569901
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-US Equity
GDF SUEZ
ISIN FR0010208488 SEDOL BOC2CQ3
36827E-91-4 EUR
P GLAXOSMITHKLINE PLC
ISIN GB0009252882/SEDOL 0925288
G3910J-90-6 GBP
JAPAN TOBACCO INC
ISIN JP3726800000 SEDOL 6474535
J27869-91-6 JPY
JFE HOLDINGS INC
ISIN JP3386030005 SEDOL 6543792
476990-91-6 JPY
MARINE HARVEST ASA
ISIN N00003054108 SEDOL B02L486
693045-91-6 NOK
MARKS & SPENCER PLC - GBP
ISIN GB0031274896 SEDOL 3127489
G5824M-92-5 GBP
MARSTON'S PLC
ISIN GBOOB1JODM80 SEDOL B1JQDM8
G58512-91-7 GBP
MITSUBISHI UFJ FINANCIAL GROUP
ISIN JP3902900004 SEDOL 6335171
J44497-92-3 JPY
MITSUI & CO
ISIN JP3893600001 SEDOL 6597302
J43787-91-0 JPY
15.23
500.000
7,613.04
N/A **
N/A
4.23
1,400.000
5,915.24
N/A **
N/A
5.19
1.51
4,350.000
30,000.000
22,591.22
45,202.26
N/A **
N/A **
N/A
EFTA01569902
426.54
N/A
0.43
25,000.000
10,825.85
N/A **
N/A
17.89
200.000
3,578.51
N/A **
N/A
4,695.35
2.000
9,390.70
N/A **
N/A
22.07
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
27.98
289.000
8,086.14
N/A **
N/A
Page 10 of 66
EFTA01569903
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-US Equity
NESTLE SA-REG
ISIN CH0038863350 SEDOL 7123870
H57312-92-0 CHF
NISSAN MOTOR CO LTD
ISIN JP3672400003 SEDOL 6642860
J57160-91-3 JPY
PERNOD-RICARD SA
ISIN FR0000120693 SEDOL 4682329
F72027-91-9 EUR
PHILIPS ELECTRONICS N.V.
ISIN NL0000009538 SEDOL 5986622
N6983Q-91-5 EUR
PPR SA
ISIN FR0000121485 SEDOL 5505072
F74953-93-0 EUR
QBE INSURANCE GROUP LTD
ISIN AU000000QBE9 SEDOL 6715740
Q78063-91-6 AUD
P
RESEARCH IN MOTION LIMITED
RIO TINTO PLC
760975-10-2 RIMM
52.52
ISIN GB0007188757 SEDOL 0718875
766994-90-9 GBP
P
P
ROCHE HOLDINGS AG-GENUSSS
ISIN CH0012032048 SEDOL 7110388
H69293-93-6 CHF
ROYAL DUTCH SHELL PLC - A
ISIN GBOOB03MLX29 SEDOL BO3MLX2
G7690A-91-0 GBP
Page 11 of 66
34.98
N/A **
N/A
159.31
N/A **
N/A
191.000
10,030.52
N/A **
N/A
17.86
400.000
EFTA01569904
7,144.00
29,496.00
(22,352.00)
13.83
400.000
5,530.98
N/A **
N/A
149.69
38.000
5,688.29
N/A **
N/A
20.26
337.000
6,827.47
N/A **
N/A
340.23
3.70%
94.28
102.000
9,617.00
N/A **
N/A
8.89
1,200.000
10,665.98
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
56.20
186.000
10,453.11
N/A **
N/A
378.06
3.29%
EFTA01569905
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-US Equity
P ROYAL DUTCH SHELL PLC -A
ISIN GBOOB03MLX29 SEDOL BO9CBL4
780259-99-0 EUR
RSA INSURANCE GROUP PLC
ISIN GB0006616899 SEDOL 0661689
G8566X-91-9 GBP
SANOFI
ISIN FR0000120578 SEDOL 5671735
F5548N-91-1 EUR
SCHNEIDER S A
ISIN FR0000121972 SEDOL 4834108
F86921-91-7 EUR
SHISEIDO COMPANY LIMITED
ISIN JP3351600006 SEDOL 6805265
824841-91-0 JPY
SODEXHO
ISIN FR0000121220/SEDOL 7062713
F84941-91-7 EUR
SOLVAY SA
ISIN BE0003470755 SEDOL 4821100
834437-91-5 EUR
STANDARD CHARTERED PLC
ORD U$ 0.50
ISIN GB0004082847 SEDOL 0408284
G84228-92-6 GBP
STORA ENSO OYJ
R SHS
ISIN FI0009005961 SEDOL 5072673
X21349-90-1 EUR
Page 12 of 66
6.23
933.000
5,812.57
N/A **
N/A
21.77
555.000
12,080.99
N/A **
N/A
93.77
77.000
7,220.51
N/A **
N/A
72.58
EFTA01569906
175.000
12,702.27
N/A **
N/A
18.25
400.000
7,301.30
N/A **
N/A
56.54
164.000
9,272.28
N/A **
N/A
70.12
156.000
10,938.87
N/A **
N/A
1.70
23,800.000
40,502.10
N/A **
N/A
34.84
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
EFTA01569907
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-US Equity
SUN HUNG KAI PROPERTIES
ISIN HK0016000132 SEDOL 6859927
Y82594-12-1 SHKP HKD
UNILEVER PLC
ISIN GBOOB1ORZP78 SEDOL B1ORZP7
904767-91-0 GBP
VODAFONE GROUP PLC
ISIN GBOOB16GWD56 SEDOL B16GWD5
92857W-92-8 GBP
Total Non-US Equity
$501,612.46
$29,496.00
($22,352.00)
2.71
5,404.000
14,635.98
N/A **
N/A
260.68
$930.69
$687.22
Emerging Market Equity
P SHIRE PLC
ISIN JEO0B2OKY057 SEDOL B2OKY05
G8124V-91-8 GBP
Preferred Stocks
CITIGROUP CAPITAL XIII
7 7/8% PFD
173080-20-1 C PNNA /BA1
COUNTRYWIDE CAPITAL V
7% PFD
222388-20-9 CFC PB
20.08
4,200.000
84,336.00
98,778.96
(14,442.96)
7,350.00
8.72%
33.53
N/A **
N/A
0.16%
33.61
299.000
10,049.61
EFTA01569908
N/A **
N/A
11.99
1,000.000
11,986.37
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
25.67
10,000.000
256,700.00
261,300.00
(4,600.00)
19,690.00
7.67%
Page 13 of 66
EFTA01569909
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Price
Preferred Stocks
3PM CHASE CAPITAL XXIX
6.7% PFD
48125E-20-7 3PM PC
Total Preferred Stocks
25.44
2,500.000
63,600.00
$404,636.00
62,500.00
$422,578.96
1,100.00
($17,942.96)
4,187.50
$31,227.50
6.58%
7.72%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Concentrated & Other Equity
GENERAL MOTORS CO
34.18
CV PFD B
37045V-20-9 GM PB
JPMORGAN CHASE & CO
7.9% PFD STK APR 30 2049
DTD 04/23/2008
46625H-HA-1 BBB /BAA
Total Concentrated & Other Equity
$192,845.50
$207,909.17
($15,063.67)
$14,225.00
$1,614.05
Unclassified
DB X-TRACKERS
ISIN LU0292106167 SEDOL B3DYFK4
892352-91-5
ETFS METAL SECURITIES LTD
ISIN 3E00B1VS3770 SEDOL BlVS377
131994-91-5
EFTA01569910
171.36
301.000
51,577.86
N/A **
N/A
7.35%
105.78
150,000.000
158,665.50
157,909.17
756.33
11,850.00
1,020.30
7.44%
1,000.000
34,180.00
50,000.00
(15,820.00)
2,375.00
593.75
6.95%
42.82
2,058.000
88,113.27
N/A **
N/A
Page 14 of 66
EFTA01569911
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Price
Unclassified
ISHARES MARKIT IBOXX CORPORATE BOND
ISIN IE00B00FV011 SEDOL BOOFV01
461278-91-3 GBP
PIMCO FUNDS GLOBAL INVESTORS SERIES
- GLOBAL INVESTMENT GRADE CREDIT
FUND
ISIN IE00B3BMD843 SEDOL B3BMD84
695421-91-7 GBP
Total Unclassified
$243,613.27
$0.00
$0.00
$0.00
0.00%
19.44
4,361.513
84,786.97
N/A **
N/A
182.24
105.000
19,135.17
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Page 15 of 66
EFTA01569912
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Estimated Value
51,256.00
Alternative Assets Detail
Price
Hard Assets
BARC CALLABLE PALLDIUM CP NT
05/14/12
LNKD TO PLDMLNPM
7.4% CPN, 20% MAX, 80% BARRIER
05/03/2011
06738K-JA-0
ISHARES SILVER TRUST
Total Hard Assets
46428Q-10-9 SLV
$48,724.00
$64,010.03
32.00
1,000.000
32,000.00
44,010.03
83.62
20,000.000
16,724.00
20,000.00
Quantity
Estimated
Value
Cost
Ending
Estimated Value
48,724.00
Change
In Value
(2,532.00)
Current
Allocation
1%
Page 16 of 66
EFTA01569913
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Non-USD Cash
Non-USD Short Term
US Fixed Income
Non-US Fixed Income
Complementary Structured Strategies
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
Market Value
561,111.85
776,606.24
53,169.02
630,092.50
438,785.32
143,661.00
$2,603,425 93
Ending
Market Value
1,001,899.23
124,902.80
792,795.70
624,354.50
603,783.14
134,377.50
$3,282,112.87
Current
Period Value
3,282,112.87
3,252,334.96
(124,602.33)
55,587.39
17,216.84
1.98%
US Fixed Income
Cash & Fixed Income as a percentage of your portfolio 65 %
Change
In Value
440,787.38
(651,703.44)
739,626.68
EFTA01569914
(5,738.00)
164,997.82
(9,283.50)
$678,686.94
Current
Allocation
18%
Cash
3%
16%
13%
12%
3%
65%
Non-US Fixed Income
Non-USD Cash
Complementary Structured
Strategies
Non-USD Short Term
Asset Categories
Page 17 of 66
EFTA01569915
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
6-12 months,
1-5 years,
5-10 years,
10+ years,
Total Value
1
SUMMARY BY TYPE
Market
Value
2,100,083.14
50,229.21
643,193.52
269,077.50
219,529.50
$3,282,112.87
% of Bond
Portfolio
66%
1%
19%
8%
6%
100%
The years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their stated maturity.
Note:
P indicates position adjusted for Pending Trade Activity.
**
A - Bonds purchased at a premium show amortization.
This is the Annual Percentage Yield (APY) which is the rate earned if
balances remain on deposit for a full year with compounding, there is no
change in the interest rate and all interest
is left in the account.
Unrealized Gain/Loss is shown as "N/A" in cases where we do not have
appropriate cost information for all tax lots comprising the position.
Please contact your J.P. Morgan team for additional
information.
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
PROCEEDS FROM PENDING SALES
1.00
EFTA01569916
1.00
909,572.47
92,325.76
909,572.47
92,325.76
909,572.47
92,325.76
272.87
19.79
0.03%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Cash & Fixed Income
Cash
NON USD Cash
Corporate Bonds
Municipal Bonds
International Bonds
Complementary Structure
Total Value
Market
Value
1,001,899.23
124,902.80
270,125.00
219,529.50
1,531,278.84
134,377.50
$3,282,112 87
% of Bond
Portfolio
30%
3%
8%
6%
49%
4%
100%
Page 18 of 66
EFTA01569917
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
Cash
JPM NY MUNI MM FD - MORGAN
Total Cash
1.00
1.00
1.00
$1,001,899 23
1.00
$1,001,899.23
$0.00
$272.87
$19.79
P
P
P
Non-USD Cash
SWISS FRANC
EURO PRINCIPAL CURRENCY
POUND STERLING
NORWEGIAN KRONE
TURKISH LIRA NEW
PRINCIPAL CURRENCY
Total Non-USD Cash
0.03%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
1.10
1.35
1.57
0.17
0.55
5,466.95
43,378.82
30,044.28
14,769.57
19,500.00
6,006.65
58,394.36
47,253.61
2,560.33
EFTA01569918
10,687.85
$124,902.80
5,926.23
58,474.53
46,728.91
2,548.90
11,816.03
$125,494.60
80.42
(80.17)
524.70
11.43
(1,128.18)
($591.80)
$0.00
0.00%
Non-USD Short Term
JP MORGAN CHASE BANK - CAD
98.35
LONDON TIME DEPOSITS 0.6600%
DATED 11/25/2011 MATURITY 12/02/2011
HELD BY LONDON TREASURY SERVICES
Bearer
2526E9-9J-8 CAD
114,959.75
113,065.90
112,569.43
496.47
746.23
12.43
0.70%
Page 19 of 66
EFTA01569919
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-USD Short Term
JP MORGAN CHASE BANK - GBP
LONDON TIME DEPOSITS 0.3000%
DATED 11/25/2011 MATURITY 12/02/2011
HELD BY LONDON TREASURY SERVICES
Bearer
2526E9-9R-0 GBP
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3000%
DATED 11/25/2011 MATURITY 12/02/2011
HELD BY LONDON TREASURY SERVICES
Bearer
2526E9-9V-1 NOK
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3000%
DATED 11/30/2011 MATURITY 12/07/2011
HELD BY LONDON TREASURY SERVICES
Bearer
2526H9-9S-5 NOK
INTL BK RECON & DEVELOP - BRL
8.75% JUN 15 2012
DTD 08/20/2009
HELD BY EUROCLEAR
ISIN XS0446421157 SEDOL B435Z93
459058-96-1 NA /AAA BRL
Total Non-USD Short Term
$792,795.70
$801,613.03
($8,817.33)
$9,124.56
$2,077.00
1.11%
55.81
90,000.00
50,229.21
50,106.74
122.47
4,369.53
2,017.62
7.46%
17.34
631,661.39
109,499.94
103,545.12
5,954.82
1,423.49
3.94
1.31%
EFTA01569920
17.34
591,468.05
102,532.34
102,844.87
(312.53)
1,332.91
22.14
1.37%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
157.28
265,430.01
417,468.31
432,546.87
(15,078.56)
1,252.40
20.87
0.34%
Page 20 of 66
EFTA01569921
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
US Fixed Income
HSBC FINANCE CORP
MEDIUM TERM NOTE 2.9% OCT 15 2015
DTD 10/15/2010
40429X-YB-6 A /A3
GENERAL ELEC CAP CORP
MEDIUM TERM FLOATING RATE NOTE
MAY 11 2016 DTD 05/11/2007
36962G-2V-5 AA+ /AA2
BANK OF AMERICA CORP
MEDIUM TERM NOTE
3.6% NOV 15 2016
DTD 11/04/2010
06050W-DW-2 A- /BAA
BARCLAYS BANK PLC
MEDIUM TERM NOTE 2 2/1% OCT 20 2017
DTD 10/20/2010
06740P-VG-8 NA /AA3
A MI ST MUNI BOND AUTH
ST CLEAN WTR REVOLVING FD 5%
OCT 01 2026 DTD 11/02/2006
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 10/01/2016 @ 100
59455T-PF-3 AAA /AAA
A BIRDVILLE TEXAS INDEPENDENT SCHOOL
DIST PERM SCH GTD FUND UNLIMITED TAX
5% FEB 15 2029 DTD 01/15/2007
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 02/15/2017 @ 100
090874-FV-5 AAA /AAA
110.26
100,000.00
110,258.00
110,436.27
110,503.00
(178.27)
5,000.00
1,472.20
4.16%
109.86
50,000.00
54,928.00
55,418.16
55,424.00
(490.16)
2,500.00
416.65
EFTA01569922
4.11%
89.80
150,000.00
134,700.00
150,000.00
(15,300.00)
3,750.00
427.05
4.49%
86.89
150,000.00
130,329.00
150,000.00
(19,671.00)
5,400.00
240.00
6.76%
91.35
50,000.00
45,676.00
45,394.50
281.50
326.39
17.40
2.72%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
94.12
100,000.00
94,120.00
100,000.00
(5,880.00)
2,900.00
370.50
4.57%
Page 21 of 66
EFTA01569923
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
US Fixed Income
A MA ST HLTH & EDUCTNL FACS AUTH
REVENUE HARVARD UNIV 5% B
JUL 15 2032 DTD 08/03/2005
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 07/15/2015 @ 100
57586C-FW-0 AAA /AAA
Total US Fixed Income
$624,354.50
$665,283.09
$665,361.50
Non-US Fixed Income
BLUEBAY HIGH YIELD BD FD GBP HDG-DB
ISIN LU0222772518
G13289-92-4 GBP
JPM MANAGED RESERVES C
ISHARES BARCLAYS CAPITAL
051398-91-5 GBP
20.86
ISIN IE00B1FZSD53 SEDOL B1G52V0
46578W-92-2 GBP
KFW - TRY
MTN 9 3/4% JUL 16 2013
DTD 02/10/2010
HELD BY EUROCLEAR
ISIN XS0484842470 SEDOL B637YV8
14085A-9A-6 AAA /AAA TRY
55.78
200,000.00
111,553.85
135,555.56
(24,001.71)
10,687.85
4,029.81
8.48%
5,790.00
120,752.34
N/A **
N/A
10,130.64
7.54
76,334.38
79,145.17
(2,810.79)
178.97
187.90
33,627.90
EFTA01569924
N/A **
N/A
($40,928.59)
$22,376.39
$3,888.20
4.74%
108.69
50,000.00
54,343.50
54,034.16
54,040.00
309.34
2,500.00
944.40
4.36%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 22 of 66
EFTA01569925
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-US Fixed Income
INTER AMERICAN DEVELOPMENT BANK- INR
MEDIUM TERM NOTE 3% MAR 25 2014
DTD 03/25/2010
HELD BY EUROCLEAR
ISIN XS0495010562 SEDOL B5114T3
U45818-9G-5 AAA /AAA INR
INTER AMERICAN DEVEL BK - IDR
MEDIUM TERM NOTE 6.50% JUN 04 2014
DTD 06/04/2010
HELD BY EUROCLEAR
ISIN XS0513770957 SEDOL B4YWHCO
45818W-9K-4 AAA /AAA IDR
Total Non-US Fixed Income
$603,783.14
$508,045.01
($58,642.11)
$23,813.57
$11,231.85
Complementary Structured Strategies
MS 7YNC1Y STEP-UP NOTE 09/13/17
INITIAL RATE 2.75% CPN
WHERE MAX RATE IS 6% PER ANNUM
DD 9/8/10
61745E-6Q-9 A- /A2
4.39%
0.01 1,300,000,000.00
139,399.00
150,112.11
(10,713.11)
9,275.52
4,561.70
7.61%
1.82
6,700,000.00
122,115.67
143,232.17
(21,116.50)
3,850.20
2,640.34
5.27%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
EFTA01569926
Accrued Interest
Yield
89.59
150,000.00
134,377.50
150,000.00
(15,622.50)
Page 23 of 66
EFTA01569927
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
Income
INFLOWS
7,911.27
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS **
Withdrawals
Interest Purchased
Foreign Exchange - Outflows
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
214,555.00
(219,967.00)
($5,412.00)
$909,572.47
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
576,179.13
(371,487.00)
$204,692.13
-$0.00
$0.00
$0.00
-(2,597.22)
($2,597.22)
298,152.58
50,406.99
$356,470.84
58,572.18
671,428.31
69,708.35
$799,708.84
(150,000.00)
(2,597.22)
(144,773.93)
($297,371.15)
$0.00
$0.00
EFTA01569928
$0.00
$0.00
Period
Value
561,110 85
Year-To-Date
Value*
-INCOME
Current
Period
Value
0.00
Year-To-Date
Value*
-Page
24 of 66
EFTA01569929
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - U S Dollar
Current
Cost Adjustments
Amortization
Cost Adjustments
Total Cost Adjustments
($17.50)
* Year to date information is calculated on a calendar year basis.
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
11/1
11/1
11/1
11/2
11/2
11/14
Div Domest
Interest Income
Interest Income
Spot FX
Spot FX
Corporate Interest
Description
AT&T INC @ 0.43 PER SHARE (ID: 00206R-10-2)
DEPOSIT SWEEP INTEREST FOR OCT. @ .03% RATE ON
NET AVG COLLECTED BALANCE OF $548,648.75 AS OF
11/01/11
COUNTRYWIDE CAPITAL V 7% PFD @ 0.4375 PER SHARE
(ID: 222388-20-9)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
IDR EXCHANGE RATE 860.090000000 DEAL 10/31/11
VALUE 10/31/11 (ID: OIDRPR-AA-9)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
IDR EXCHANGE RATE 884.000001000 DEAL 10/31/11
VALUE 10/31/11 (ID: OIDRPR-AA-9)
GENERAL ELEC CAP CORP MEDIUM TERM FLOATING RATE
NOTE MAY 11 2016 DTD 05/11/2007 AS OF 11/11/11
(ID: 36962G-2V-5)
Page 25 of 66
50,000.000
0.001
63.12
(419,625,000.000 )
(47,183.34)
47,233.79
4,200.000
(28,114,875.000 )
EFTA01569930
(3,161.28)
0.438
1,837.50
3,173.20
Quantity
Cost
1,000.000
Per Unit
Amount
0.43
PRINCIPAL
Amount
430.00
13.98
INCOME
Amount
Period Value
(17.50)
Year-To-Date
Value*
(17.50)
889,679.04
$889,661.54
EFTA01569931
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Description
BROADCOM CORP CL A JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 111320-10-7)
COGNIZANT TECHNOLOGY SOLUTIONS CORP CL A
JPMORGAN CHASE BANK TRADE DATE 11/15/11
(ID: 192446-10-2)
ORACLE CORP JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 68389X-10-5)
QUALCOMM INC JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 747525-10-3)
COMCAST CORP CL A JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 20030N-10-1)
CAPITAL ONE FINANCIAL CORP JPMORGAN CHASE BANK
TRADE DATE 11/15/11 (ID: 14040H-10-5)
SCHLUMBERGER LTD JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 806857-10-8)
BB & T CORP JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 054937-10-7)
BANK OF AMERICA CORP JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 060505-10-4)
EFTA01569932
EXXON MOBIL CORP JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 30231G- 10-2)
APACHE CORP JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 037411- 10-5)
AUTOZONE INC JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 053332- 10-2)
COCA-COLA CO JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 191216- 10-0)
237.000
0.00
176.000
0.00
360.000
0.00
114.000
0.00
113.000
0.00
309.000
0.00
944.000
0.00
190.000
0.00
95.000
0.00
22.000
0.00
204.000
0.00
Page 26 of 66
Quantity
Cost
Per Unit
Amount
250.000
0.00
102.000
0.00
PRINCIPAL
Amount
INCOME
Amount
EFTA01569933
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Description
E M C CORP MASS JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 268648-10-2)
E I DU PONT DE NEMOURS & CO JPMORGAN CHASE BANK
TRADE DATE 11/15/11 (ID: 263534-10-9)
HUMANA INC JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 444859-10-2)
JOHNSON CONTROLS INC JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 478366-10-7)
KROGER CO JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 501044-10-1)
NIKE INC B JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 654106-10-3)
OCCIDENTAL PETROLEUM CORP JPMORGAN CHASE BANK
TRADE DATE 11/15/11 (ID: 674599-10-5)
WELLS FARGO & CO JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 949746-10-1)
UNION PACIFIC CORP JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 907818-10-8)
UNITED TECHNOLOGIES CORP JPMORGAN CHASE BANK
EFTA01569934
TRADE DATE 11/15/11 (ID: 913017-10-9)
WALT DISNEY CO JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 254687-10-6)
DOMINION RESOURCES INC VA JPMORGAN CHASE BANK
TRADE DATE 11/15/11 (ID: 25746U-10-9)
UNITEDHEALTH GROUP INC JPMORGAN CHASE BANK
TRADE DATE 11/15/11 (ID: 91324P-10-2)
Quantity
Cost
Per Unit
Amount
468.000
0.00
224.000
0.00
63.000
0.00
301.000
0.00
265.000
0.00
116.000
0.00
144.000
0.00
478.000
0.00
109.000
0.00
162.000
0.00
229.000
0.00
182.000
0.00
198.000
0.00
PRINCIPAL
Amount
INCOME
Amount
Page 27 of 66
EFTA01569935
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/16
11/16
11/16
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Corporate Interest
Receipt of Assets
Receipt of Assets
Misc Credit
Description
VERIZON COMMUNICATIONS INC JPMORGAN CHASE BANK
TRADE DATE 11/15/11 (ID: 92343V-10-4)
CHEVRON CORP JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 166764-10-0)
CITIGROUP INC NEW JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 172967-42-4)
TIME WARNER INC NEW JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 887317-30-3)
ACCENTURE PLC-CL A JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: G1151C-10-1)
COVIDIEN PLC NEW JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: G2554F-11-3)
ACE LTD NEW JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: H0023R-10-5)
BANK OF AMERICA CORP MEDIUM TERM NOTE 3.6% NOV
15 2016 DTD 11/04/2010 (ID: 06050W-DW-2)
DB X-TRACKERS ISIN LU0292106167 SEDOL B3DYFK4
JP MORGAN CHASE BANK LONDON TRADE DATE 11/14/11
(ID: 892352-91-5)
ETFS METAL SECURITIES LTD ISIN JEO0B1VS3770
SEDOL BlVS377 JP MORGAN CHASE BANK LONDON TRADE
DATE 11/14/11 (ID: 131994-91-5)
BOOK TRANSFER CREDIT B/0: JP MORGAN INT'L BANK
EFTA01569936
LTD-BRUSSBRUSSELS BELGIUM B-121-0
ORG:/BE48945944120000 GHISLAINE MAXWELL
STREOGB: JP MORGAN INT'L BANK
LTD-BRUSSJPM INTERNATIONAL BANK BRUSSELS REF:
PMT FROM JPMORGAN/OCMT/USD298152,58/ TRN:
5912000320JS
Page 28 of 66
301.000
0.00
298,152.58
Quantity
Cost
Per Unit
Amount
283.000
0.00
116.000
0.00
358.000
0.00
290.000
0.00
123.000
0.00
236.000
0.00
113.000
0.00
150,000.000
2,058.000
0.00
0.018
2,700.00
PRINCIPAL
Amount
INCOME
Amount
EFTA01569937
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
11/17
Accrued Int Paid
Description
BIRDVILLE TEXAS INDEPENDENT SCHOOL DIST PERM
SCH GTD FUND UNLIMITED TAX 5% FEB 15 2029 DTD
01/15/2007 HELD BY DTC BOOK ENTRY ONLY PAR CALL
02/15/2017 @ 100 @ 110.503 JP MORGAN SECURITIES
LLC (BIDL) TRADE DATE 11/14/11 (ID: 090874-FV-5)
11/17
Accrued Int Recd
STATE OF NEW YORK DORMITORY AUTH REVS NON ST
SUPPORTED DEBT MEM SLOAN KETTERING 4% SUBSER A2
JUL 01 2018 DTD 05/13/2008 HELD BY DTC BOOK
ENTRY ONLY (ID: 649903-B4-2)
11/17
Accrued Int Recd
STATE OF NEW YORK DORMITORY AUTH REVS NONST
SUPPORTED DEBT MUN HLTH FACS LEASE 4% SUB 2-1
JAN 15 2017 DTD 12/21/2001 HELD BY DTC BOOK
ENTRY ONLY (ID: 649903-F5-5)
11/28
Accrued Int Paid
MA ST HLTH & EDUCTNL FACS AUTH REVENUE HARVARD
UNIV 5% B JUL 15 2032 DTD 08/03/2005 HELD BY
DTC BOOK ENTRY ONLY PAR CALL 07/15/2015 @ 100 @
108.08 JP MORGAN SECURITIES LLC (BIDL) TRADE
DATE 11/22/11 (ID: 57586C-FW-0)
11/28
Accrued Int Paid
MI ST MUNI BOND AUTH ST CLEAN WTR REVOLVING FD
5% OCT 01 2026 DTD 11/02/2006 HELD BY DTC BOOK
ENTRY ONLY PAR CALL 10/01/2016 @ 100 @ 110.848
JP MORGAN SECURITIES LLC (BIDL) TRADE DATE
11/22/11 (ID: 59455T-PF-3)
Total Inflows & Outflows
$353,873.62
50,000.000
0.00
0.008
(395.83)
50,000.000
0.00
0.018
(923.61)
100,000.000
0.014
EFTA01569938
1,355.56
100,000.000
0.015
1,511.11
Quantity
Cost
Per Unit
Amount
100,000.000
0.00
0.013
PRINCIPAL
Amount
(1,277.78)
INCOME
Amount
Page 29 of 66
EFTA01569939
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
TRADE ACTIVITY
Note:
Trade Date
Settle Date
11/14
11/17
L indicates Long Term Realized Gain/Loss
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
STATE OF NEW YORK DORMITORY AUTH REVS NON ST
SUPPORTED DEBT MEM SLOAN KETTERING 4% SUBSER A2
JUL 01 2018 DTD 05/13/2008 HELD BY DTC BOOK
ENTRY ONLY @ 108.375 JP MORGAN SECURITIES LLC
(BIDL) (ID: 649903-B4-2)
11/14
11/17
Sale
High Cost
STATE OF NEW YORK DORMITORY AUTH REVS NONST
SUPPORTED DEBT MUN HLTH FACS LEASE 4% SUB 2-1
JAN 15 2017 DTD 12/21/2001 HELD BY DTC BOOK
ENTRY ONLY @ 106.18 JP MORGAN SECURITIES LLC
(BIDL) (ID: 649903-F5-5)
Total Settled Sales/Maturities/Redemptions
$214,555.00
($200,310.44)
$14,244.56 L
(100,000.000)
106.20
106,180.00
(100,224.86)
5,955.14 L
Quantity
(100,000.000)
Per Unit
Amount
108.40
Proceeds
108,375.00
Tax Cost
(100,085.58)
Realized
Gain/Loss
8,289.42 L
Trade Date
Settle Date
EFTA01569940
Type
Description
Settled Securities Purchased
11/14
Purchase
11/17
BIRDVILLE TEXAS INDEPENDENT SCHOOL DIST PERM
SCH GTD FUND UNLIMITED TAX 5% FEB 15 2029 DTD
01/15/2007 HELD BY DTC BOOK ENTRY ONLY PAR CALL
02/15/2017 @ 100 @ 110.503 JP MORGAN SECURITIES
LLC (BIDL) (ID: 090874-FV-5)
11/22
11/28
Purchase
MA ST HLTH & EDUCTNL FACS AUTH REVENUE HARVARD
UNIV 5% B JUL 15 2032 DTD 08/03/2005 HELD BY
DTC BOOK ENTRY ONLY PAR CALL 07/15/2015 @ 100 @
108.08 JP MORGAN SECURITIES LLC (BIDL)
(ID: 57586C-FW-0)
Page 30 of 66
50,000.000
108.10
(54,040.00)
Quantity
100,000.000
Per Unit
Amount
110.50
Market Cost
(110,503.00)
EFTA01569941
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Trade Date
Settle Date
Type
Settled Securities Purchased
11/22
Purchase
11/28
Description
MI ST MUNI BOND AUTH ST CLEAN WTR REVOLVING FD
5% OCT 01 2026 DTD 11/02/2006 HELD BY DTC BOOK
ENTRY ONLY PAR CALL 10/01/2016 @ 100 @ 110.848
JP MORGAN SECURITIES LLC (BIDL)
(ID: 59455T-PF-3)
Total Settled Securities Purchased
Trade Date
Type
Est. Settle Date Selection Method Description
Pending Sales, Maturities, Redemptions
Sale
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
Page 31 of 66
Sale
Sale
Sale
Sale
Sale
Sale
Sale
ACCENTURE PLC-CL A (ID: G1151C-10-1)
ACE LTD NEW (ID: H0023R-10-5)
AUTOZONE INC (ID: 053332-10-2)
COMCAST CORP CL A (ID: 20030N-10-1)
NIKE INC B (ID: 654106-10-3)
ORACLE CORP (ID: 68389X-10-5)
EFTA01569942
RESEARCH IN MOTION LIMITED (ID: 760975-10-2)
VERIZON COMMUNICATIONS INC (ID: 92343V-10-4)
Quantity
(123.000)
(113.000)
(22.000)
(360.000)
(116.000)
(237.000)
(400.000)
(283.000)
Per Unit
Amount
55.12
65.92
320.00
21.72
94.79
29.78
16.40
36.29
($219,967.00)
Proceeds
6,772.24
7,442.08
7,038.54
7,797.47
10,988.46
7,043.57
6,459.87
10,252.89
(46,102.00)
(39,642.13) L
Tax Cost
Realized
Gain/Loss
Quantity
50,000.000
Per Unit
Amount
110.80
Market Cost
(55,424.00)
EFTA01569943
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Trade Date
Type
Est. Settle Date Selection Method Description
Pending Sales, Maturities, Redemptions
Sale
11/28
12/1
11/29
12/2
11/30
12/5
11/30
12/5
Total Pending Sales, Maturities, Redemptions
$92,325.76
($130,792.72)
($110,621.12) L
Sale
Sale
Sale
RESEARCH IN MOTION LIMITED (ID: 760975-10-2)
HUMANA INC (ID: 444859-10-2)
DOMINION RESOURCES INC VA (ID: 25746U-10-9)
RESEARCH IN MOTION LIMITED (ID: 760975-10-2)
Quantity
(400.000)
(63.000)
(182.000)
(400.000)
Per Unit
Amount
16.40
86.45
51.58
18.00
Proceeds
6,535.87
5,442.46
9,376.45
7,175.86
(40,329.00)
(33,153.14) L
Tax Cost
(44,361.72)
Realized
Gain/Loss
(37,825.85) L
COST ADJUSTMENTS
Settle Date
EFTA01569944
11/17
Type
Amortization
Description
STATE OF NEW YORK DORMITORY AUTH REVS NON ST
SUPPORTED DEBT MEM SLOAN KETTERING 4% SUBSER A2
JUL 01 2018 DTD 05/13/2008 HELD BY DTC BOOK
ENTRY ONLY MUNICIPAL BOND PREMIUM AMORTIZATIO
(ID: 649903-B4-2)
11/17
Amortization
STATE OF NEW YORK DORMITORY AUTH REVS NONST
SUPPORTED DEBT MUN HLTH FACS LEASE 4% SUB 2-1
JAN 15 2017 DTD 12/21/2001 HELD BY DTC BOOK
ENTRY ONLY MUNICIPAL BOND PREMIUM AMORTIZATIO
(ID: 649903-F5-5)
Total Cost Adjustments
($17.50)
100,000.000
(13.28)
Quantity
100,000.000
Cost Basis
Adjustments
(4.22)
Page 32 of 66
EFTA01569945
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - Australia Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value
--INCOME
US
Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Portfolio
Activity Detail - Australia Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
11/17
Receipt of Assets
Description
QBE INSURANCE GROUP LTD ISIN AU000000QBE9 SEDOL
6715740 (ID: Q78063-91-6)
Quantity
400.000
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Year-To-Date
Value
--Local
Value
Current
Period Value
0.00
0.00
EFTA01569946
Year-To-Date
Value
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value
--Page
33 of 66
EFTA01569947
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - Canadian Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Income
INFLOWS
Total Inflows
OUTFLOWS **
Total Outflows
Withdrawals
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
$0.00
-51,742.94
(112,433.39)
($60,690.45)
-0.00
0.00
50,731.37
(114,820.48)
(64,089.11)
-Period
Value
Beginning Cash Balance
-60.68
$60.68
(60.68)
($60.68)
Year-To-Date
Value*
-136.04
$136.04
(136.04)
($136.04)
Local
Value
Current
Period Value
0.00
62.22
62.22
(62.22)
EFTA01569948
(62.22)
Year-To-Date
Value*
-139.27
139.27
(139.27)
(139.27)
Page
34 of 66
EFTA01569949
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - Canadian Dollar
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Portfolio Activity Detail - Canadian Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
11/3
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.7100% DATED 10/27/2011 MATURITY 11/03/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2525P9-9D-1)
11/3
11/3
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.7100% DATED 10/27/2011 MATURITY 11/03/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2525P9-9D-1)
(15.860)
(114,897.530)
(15.66)
(15.86)
Quantity
114,897.530
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
15.66
15.86
INCOME
Amount USD
Local Value
Currency
EFTA01569950
Gain/Loss USD
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
35 of 66
EFTA01569951
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
11/3
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/03/2011 MATURITY 11/10/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2525T9-9C-9)
11/10
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/03/2011 MATURITY 11/10/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2525T9-9C-9)
11/10
11/10
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
11/10
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/03/2011 MATURITY 11/10/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2525T9-9C-9)
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/10/2011 MATURITY 11/17/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2525W9-9X-9)
11/17
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/10/2011 MATURITY 11/17/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2525W9-9X-9)
11/17
11/17
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/10/2011 MATURITY 11/17/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2525W9-9X-9)
EFTA01569952
(14.750)
(114,928.140)
(14.43)
(14.75)
114,928.140
14.43
14.75
114,928.140
(14.750)
(114,913.390)
(14.48)
(14.75)
114,913.390
14.48
14.75
Quantity
114,913.390
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 36 of 66
EFTA01569953
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
11/17
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/17/2011 MATURITY 11/25/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526A9-9Q-6)
11/25
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/17/2011 MATURITY 11/25/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2526A9-9Q-6)
11/25
11/25
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
11/25
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/17/2011 MATURITY 11/25/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526A9-9Q-6)
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/25/2011 MATURITY 12/02/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526E9-9J-8)
Total Inflows & Outflows
$0.00
114,959.750
(16.860)
(114,942.890)
(16.11)
(16.86)
114,942.890
16.11
16.86
Quantity
114,942.890
Amount USD
Local Value
PRINCIPAL
Amount USD
EFTA01569954
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 37 of 66
EFTA01569955
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary Euro
PRINCIPAL
US Dollar Value
Current
Transactions
Income
Contributions
Total Inflows
OUTFLOWS **
Total Outflows
Tax Payments
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Period Value
Beginning Cash Balance
INFLOWS
-105.77
42,204.13
$42,309.90
(27.33)
($27.33)
-Year-To-Date
Value*
-105.77
42,204.13
$42,309.90
(27.33)
($27.33)
-Local
Value
Current
Period Value
0.00
78.54
31,193.03
31,271.57
(20.20)
(20.20)
31,251.37
Year-To-Date
Value*
-78.54
31,193.03
31,271.57
(20.20)
(20.20)
-Page
EFTA01569956
38 of 66
EFTA01569957
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - Euro
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Portfolio Activity Detail - Euro
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
11/16
11/16
11/16
11/16
11/16
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Description
PHILIPS ELECTRONICS N.V. ISIN NL0000009538
SEDOL 5986622 (ID: N6983Q-91-5)
ROYAL DUTCH SHELL PLC -A ISIN GBOOB03MLX29
SEDOL BO9CBL4 (ID: 780259-99-0)
AKZO NOBEL N V ISIN NL0000009132/SEDOL 5458314
(ID: N01803-90-2)
SOLVAY SA ISIN BE0003470755 SEDOL 4821100
(ID: 834437-91-5)
SANOFI ISIN FR0000120578 SEDOL 5671735
(ID: F5548N-91-1)
Quantity
337.000
488.000
149.000
77.000
156.000
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
EFTA01569958
Local Value
Currency
Gain/Loss USD
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
39 of 66
EFTA01569959
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
11/16
11/16
11/16
11/16
11/16
11/16
11/16
11/16
11/16
11/17
11/17
11/22
11/22
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Misc Receipt
Misc Receipt
Foreign Dividend
FGN Tax Withheld
Description
GDF SUEZ ISIN FR0010208488 SEDOL BOC2CQ3
(ID: 36827E-91-4)
PPR SA ISIN FR0000121485 SEDOL 5505072
(ID: F74953-93-0)
CAP GEMINI S A ISIN FR0000125338 SEDOL 4163437
(ID: F13587-92-2)
PERNOD-RICARD SA ISIN FR0000120693 SEDOL
4682329 (ID: F72027-91-9)
SODEXHO ISIN FR0000121220/SEDOL 7062713
(ID: F84941-91-7)
SCHNEIDER S A ISIN FR0000121972 SEDOL 4834108
(ID: F86921-91-7)
STORA ENSO OYJ R SHS ISIN FI0009005961 SEDOL
5072673 (ID: X21349-90-1)
BAYER AG REGISTERED SHS ISIN DE000BAY0017 SEDOL
5069211 (ID: 072733-91-8)
ALLIANZ SE HOLDING ISIN DE0008404005 SEDOL
5231485 (ID: D03080-90-6)
EFTA01569960
REP: EUR RECEIVED FROM GHISLAINE MAXWELL EURO
PRINCIPAL CURRENCY (ID: OEURPR-AA-9)
REP: EUR RECEIVED FROM GHISLAINE MAXWELL EURO
PRINCIPAL CURRENCY (ID: OEURPR-AA-9)
PERNOD-RICARD SA ISIN FR0000120693 SEDOL
4682329 @ 0.77 PER SHARE (ID: F72027-91-9)
PERNOD-RICA
EFTA01569880
EFTA01569881
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
(Reviewed)
For the Period 11/1/11 to 11/30/11
Asset Account
J.P. Morgan Team
Paul Morris
Ian Hirschfield
Janet Young
Gina Magliocco
Online access
Banker
Investment Specialist
Client Service Team
Client Service Team
www.MorganOnline.com
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
Table of Contents
Account Summary
Holdings
Equity
Alternative Assets
Cash & Fixed Income
Portfolio Activity
Page
2
4
16
17
24
0000005442.15.0.15.00003.MAXWE00.20111205
Page 1 of 66
EFTA01569882
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
723,367.50
51,256.00
2,603,425.93
$3,378,049.43
22,021.62
$3,400,071.05
Ending
Market Value
1,631,152.30
48,724.00
3,282,112.87
$4,961,989.17
20,212.45
$4,982,201.62
Current
Portfolio Activity
Beginning Market Value
Contributions
Withdrawals & Fees
Securities Transferred In
Securities Transferred Out
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
Period Value
3,378,049.43
344,458.81
(440.79)
4,432,966.90
(3,088,764.77)
$1,688,220.15
8,979.21
(113,259.62)
$4,961,989.17
20,212.45
$4,982,201.62
EFTA01569883
Change
In Value
907,784.80
(2,532.00)
678,686.94
$1,583,939 74
(1,809.17)
$1,582,130 57
Equity
Year-to-Date
Value
1,946,279.39
1,149,972.16
(153,417.52)
16,689,293.77
(15,138,209.44)
$2,547,638.97
84,578.24
383,492.57
$4,961,989.17
20,212.45
$4,982,201.62
Estimated
52,169.67
55,587.39
$107,757.06
Current
Annual Income Allocation
34%
1%
65%
100%
Alternative
Assets
Cash &
Fixed Income
Asset Allocation
Page 2 of 66
EFTA01569884
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Account Summary
Tax Summary
Domestic Dividends/Distributions
Foreign Dividends
Currency Gain/Loss
Interest Income
Accrued Interest Current Year
Taxable Income
Tax-Exempt Income
Bond Premium Amortization
Accrued Interest Subsequent Year
Tax-Exempt Income
CONTINUED
Current
Period Value
430.00
105.77
(0.84)
8,192.33
$8,727.26
2,866.67
(17.50)
(2,597.22)
$251.95
Year-to-Date
Value
9,649.03
105.77
17.80
83,772.06
(9,218.37)
$84,326.29
2,866.67
(17.50)
(2,597.22)
$251.95
Unrealized Gain/Loss
To-Date Value
($253,087.31)
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
(97,962.97)
($97,962.97)
Year-to-Date
Value
19,728.75
EFTA01569885
(63,328.29)
($43,599.54)
Cost Summary
Equity
Cash & Fixed Income
Total
3,252,334.96
Cost
780,736.45
$4,033,071.41
Page 3 of 66
EFTA01569886
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Equity Summary
Asset Categories
US Large Cap Equity
US Small/Mid Cap Equity
Non-US Equity
Preferred Stocks
Concentrated & Other Equity
Unclassified
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Beginning
Market Value
58,286.00
7,050.00
32,320.00
422,405.00
203,306.50
0.00
$723,367.50
Ending
Market Value
283,435.07
5,010.00
501,612.46
404,636.00
192,845.50
243,613.27
$1,631,152 30
Current
Period Value
1,631,152.30
780,736.45
(113,198.95)
52,169.67
2,995.61
3.18%
US Large Cap Equity
Equity as a percentage of your portfolio - 34 %
Change
In Value
225,149.07
(2,040.00)
469,292.46
EFTA01569887
(17,769.00)
(10,461.00)
243,613.27
$907,784.80
Current
Allocation
6%
1%
10%
8%
4%
5%
34%
Preferred Stocks
Unclassified
Concentrated & Other Equity
US Small/Mid Cap Equity
Non-US Equity
Asset Categories
Page 4 of 66
EFTA01569888
GHISL LL
ACCT.
For the Period 11/1/11 to 11/30/11
Note:
P
**
indicates position adjusted for Pending Trade Activity.
Unrealized Gain/Loss is shown as "N/A" in cases where we do not have
appropriate cost information for all tax lots comprising the position.
Please contact your J.P. Morgan team for additional
information.
Equity Detail
Price
US Large Cap Equity
APACHE CORP
AT&T INC
00206R-10-2 T
P AUTOZONE INC
053332-10-2 AZO
BANK OF AMERICA CORP
BB & T CORP
BROADCOM CORP
060505-10-4 BAC
23.17
054937-10-7 BBT
30.35
CL A
111320-10-7 BRCM
CAPITAL ONE FINANCIAL CORP
CHEVRON CORP
CITIGROUP INC NEW
14040H-10-5 COF
102.82
166764-10-0 CVX
27.48
172967-42-4 C
358.000
9,837.84
N/A **
N/A
116.000
11,927.12
N/A **
N/A
44.66
114.000
5,091.24
N/A **
N/A
22.80
5.70
EFTA01569889
375.84
93.96
14.32
0.45%
3.15%
0. 15%
250.000
7,586.25
N/A **
N/A
90.00
1.19%
309.000
7,159.53
N/A **
N/A
328.38
5.44
944.000
5,135.36
N/A **
N/A **
N/A
N/A
37.76
9.44
197.76
0.74%
2.76%
99.44
037411-10-5 APA
28.98
1,000.000
28,980.00
31,610.00
(2,630.00)
1,720.00
5.94%
95.000
9,446.80
N/A **
N/A
57.00
0.60%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
EFTA01569890
Accrued Div.
Yield
Page 5 of 66
EFTA01569891
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
US Large Cap Equity
COCA-COLA CO
191216-10-0 KO
COGNIZANT TECHNOLOGY SOLUTIONS CORP
CL A
P
P
192446-10-2 CTSH
COMCAST CORP
CL A
20030N-10-1 CMCS A
P
DOMINION RESOURCES INC VA
E I DU PONT DE NEMOURS & CO
E M C CORP MASS
EXXON MOBIL CORP
HUMANA INC
25746U-10-9 D
47.72
263534-10-9 DD
23.01
268648-10-2 EMC
80.44
30231G-10-2 XOM
88.68
444859-10-2 HUM
P
JOHNSON CONTROLS INC
KROGER CO
NIKE INC B
478366-10-7 JCI
23.18
501044-10-1 KR
96.18
654106-10-3 NKE
OCCIDENTAL PETROLEUM CORP
674599-10-5 OXY
98.90
144.000
14,241.60
N/A **
N/A
264.96
1.86%
N/A **
N/A
265.000
EFTA01569892
6,142.70
N/A **
N/A
121.90
30.48
1.98%
1.50%
31.48
301.000
9,475.48
N/A **
N/A
216.72
2.29%
N/A **
N/A
1.13%
190.000
15,283.60
N/A **
N/A
357.20
2.34%
468.000
10,768.68
N/A **
N/A
224.000
10,689.28
N/A **
N/A
51.62
N/A **
N/A
89.64
367.36
91.84
3.44%
3.82%
67.35
22.67
102.000
6,869.70
N/A **
N/A **
N/A
N/A
1.99%
Quantity
Value
Adjusted Tax Cost
EFTA01569893
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
67.23
204.000
13,714.92
N/A **
N/A
383.52
95.88
2.80%
Page 6 of 66
EFTA01569894
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
US Large Cap Equity
P ORACLE CORP
68389X-10-5 ORCL
PROSHARES ULTRASHORT S&P 500
PROSHARES TRUST
QUALCOMM INC
SCHLUMBERGER LTD
TIME WARNER INC
74347R-88-3 SDS
45.01
74347X-23-7 QID
54.80
747525-10-3 QCOM
75.33
806857-10-8 SLB
34.82
NEW
887317-30-3 TWX
P
UNION PACIFIC CORP
UNITEDHEALTH GROUP INC
UNITED TECHNOLOGIES CORP
VERIZON COMMUNICATIONS INC
WALT DISNEY CO
907818-10-8 UNP
48.77
91324P-10-2 UNH
76.60
913017-10-9 UTX
37.73
92343V-10-4 VZ
35.85
254687-10-6 DIS
229.000
8,209.65
N/A **
N/A
91.60
1.12%
N/A **
N/A
162.000
12,409.20
N/A **
N/A
311.04
77.76
EFTA01569895
2.51%
5.30%
198.000
9,656.46
N/A **
N/A
103.41
109.000
11,271.69
N/A **
N/A
261.60
65.40
128.70
2.32%
1.33%
290.000
10,097.80
N/A **
N/A
113.000
8,512.29
N/A **
N/A
176.000
9,644.80
N/A **
N/A
151.36
37.84
113.00
28.25
272.60
68.15
1.57%
1.33%
2.70%
200.000
9,002.00
26,203.50
(17,201.50)
19.92
1,000.000
19,920.00
44,809.50
(24,889.50)
31.35
N/A **
N/A
0.77%
Quantity
EFTA01569896
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Page 7 of 66
EFTA01569897
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
US Large Cap Equity
WELLS FARGO & CO
Total US Large Cap Equity
949746-10-1 WFC
$283,435.07
$102,623.00
($44,721.00)
$5,786.48
$694.34
US Small/Mid Cap Equity
GERON CORP
374163-10-3 GERN
Non-US Equity
P
P
ACCENTURE PLC-CL A
ACE LTD NEW
AKZO NOBEL N V
G1151C-10-1 ACN
69.53
H0023R-10-5 ACE
50.51
ISIN NL0000009132/SEDOL 5458314
N01803-90-2 EUR
ALLIANZ SE HOLDING
ISIN DE0008404005 SEDOL 5231485
D03080-90-6 EUR
ATLAS COPCO AB-A SHS
ISIN SE0000101032 SEDOL B1QGR41
W10020-92-8 SEK
21.43
442.000
9,470.63
N/A **
N/A
102.59
77.000
7,899.44
N/A **
N/A
149.000
7,525.62
N/A **
N/A
N/A **
N/A
2.01%
EFTA01569898
57.93
N/A **
N/A
2.33%
2.04%
25.86
478.000
12,361.08
N/A **
N/A
229.44
1.86%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
1.67
3,000.000
5,010.00
18,129.32
(13,119.32)
Page 8 of 66
EFTA01569899
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-US Equity
AVIVA PLC
ISIN GB0002162385 SEDOL 0216238
G2307K-92-2 GBP
BAYER AG REGISTERED SHS
ISIN DE000BAY0017 SEDOL 5069211
072733-91-8 EUR
BRITISH AMERICAN TOBACCO PLC
ISIN GB0002875804 SEDOL 0287580
G1510J-91-2 GBP
CAP GEMINI S A
ISIN FR0000125338 SEDOL 4163437
F13587-92-2 EUR
CENTRICA
ISIN GB00B033F229 SEDOL B033F22
15639K-90-4 GBP
CINEWORLD GROUP PLC
ISIN GBOOB15FWH70 SEDOL Bl5FWH7
172145-91-4 GBP
COVIDIEN PLC NEW
CREDIT SUISSE GROUP AG
G2554F-11-3 COV
24.13
ISIN CH0012138530 SEDOL 7171589
H3698D-93-0 CHF
DRAX GROUP PLC
ISIN GBOOB1VNSX38 SEDOL BlVNSX3
G2904K-92-9 GBP
ERICSSON LM-B SHS
ISIN SE0000108656 SEDOL 5959378
W26049-91-1 SEK
Page 9 of 66
10.73
793.000
8,507.47
N/A **
N/A
8.80
5,300.000
46,639.02
N/A **
N/A
230.000
5,549.41
N/A **
N/A
45.55
236.000
EFTA01569900
10,749.80
N/A **
N/A
212.40
1.98%
3.19
4,500.000
14,349.83
N/A **
N/A
4.75
1,556.000
7,385.88
N/A **
N/A
37.82
217.000
8,206.96
N/A **
N/A
46.32
293.000
13,571.45
N/A **
N/A
65.52
163.000
10,679.29
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
4.90
6,000.000
29,414.50
N/A **
N/A
EFTA01569901
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-US Equity
GDF SUEZ
ISIN FR0010208488 SEDOL BOC2CQ3
36827E-91-4 EUR
P GLAXOSMITHKLINE PLC
ISIN GB0009252882/SEDOL 0925288
G3910J-90-6 GBP
JAPAN TOBACCO INC
ISIN JP3726800000 SEDOL 6474535
J27869-91-6 JPY
JFE HOLDINGS INC
ISIN JP3386030005 SEDOL 6543792
476990-91-6 JPY
MARINE HARVEST ASA
ISIN N00003054108 SEDOL B02L486
693045-91-6 NOK
MARKS & SPENCER PLC - GBP
ISIN GB0031274896 SEDOL 3127489
G5824M-92-5 GBP
MARSTON'S PLC
ISIN GBOOB1JODM80 SEDOL B1JQDM8
G58512-91-7 GBP
MITSUBISHI UFJ FINANCIAL GROUP
ISIN JP3902900004 SEDOL 6335171
J44497-92-3 JPY
MITSUI & CO
ISIN JP3893600001 SEDOL 6597302
J43787-91-0 JPY
15.23
500.000
7,613.04
N/A **
N/A
4.23
1,400.000
5,915.24
N/A **
N/A
5.19
1.51
4,350.000
30,000.000
22,591.22
45,202.26
N/A **
N/A **
N/A
EFTA01569902
426.54
N/A
0.43
25,000.000
10,825.85
N/A **
N/A
17.89
200.000
3,578.51
N/A **
N/A
4,695.35
2.000
9,390.70
N/A **
N/A
22.07
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
27.98
289.000
8,086.14
N/A **
N/A
Page 10 of 66
EFTA01569903
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-US Equity
NESTLE SA-REG
ISIN CH0038863350 SEDOL 7123870
H57312-92-0 CHF
NISSAN MOTOR CO LTD
ISIN JP3672400003 SEDOL 6642860
J57160-91-3 JPY
PERNOD-RICARD SA
ISIN FR0000120693 SEDOL 4682329
F72027-91-9 EUR
PHILIPS ELECTRONICS N.V.
ISIN NL0000009538 SEDOL 5986622
N6983Q-91-5 EUR
PPR SA
ISIN FR0000121485 SEDOL 5505072
F74953-93-0 EUR
QBE INSURANCE GROUP LTD
ISIN AU000000QBE9 SEDOL 6715740
Q78063-91-6 AUD
P
RESEARCH IN MOTION LIMITED
RIO TINTO PLC
760975-10-2 RIMM
52.52
ISIN GB0007188757 SEDOL 0718875
766994-90-9 GBP
P
P
ROCHE HOLDINGS AG-GENUSSS
ISIN CH0012032048 SEDOL 7110388
H69293-93-6 CHF
ROYAL DUTCH SHELL PLC - A
ISIN GBOOB03MLX29 SEDOL BO3MLX2
G7690A-91-0 GBP
Page 11 of 66
34.98
N/A **
N/A
159.31
N/A **
N/A
191.000
10,030.52
N/A **
N/A
17.86
400.000
EFTA01569904
7,144.00
29,496.00
(22,352.00)
13.83
400.000
5,530.98
N/A **
N/A
149.69
38.000
5,688.29
N/A **
N/A
20.26
337.000
6,827.47
N/A **
N/A
340.23
3.70%
94.28
102.000
9,617.00
N/A **
N/A
8.89
1,200.000
10,665.98
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
56.20
186.000
10,453.11
N/A **
N/A
378.06
3.29%
EFTA01569905
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-US Equity
P ROYAL DUTCH SHELL PLC -A
ISIN GBOOB03MLX29 SEDOL BO9CBL4
780259-99-0 EUR
RSA INSURANCE GROUP PLC
ISIN GB0006616899 SEDOL 0661689
G8566X-91-9 GBP
SANOFI
ISIN FR0000120578 SEDOL 5671735
F5548N-91-1 EUR
SCHNEIDER S A
ISIN FR0000121972 SEDOL 4834108
F86921-91-7 EUR
SHISEIDO COMPANY LIMITED
ISIN JP3351600006 SEDOL 6805265
824841-91-0 JPY
SODEXHO
ISIN FR0000121220/SEDOL 7062713
F84941-91-7 EUR
SOLVAY SA
ISIN BE0003470755 SEDOL 4821100
834437-91-5 EUR
STANDARD CHARTERED PLC
ORD U$ 0.50
ISIN GB0004082847 SEDOL 0408284
G84228-92-6 GBP
STORA ENSO OYJ
R SHS
ISIN FI0009005961 SEDOL 5072673
X21349-90-1 EUR
Page 12 of 66
6.23
933.000
5,812.57
N/A **
N/A
21.77
555.000
12,080.99
N/A **
N/A
93.77
77.000
7,220.51
N/A **
N/A
72.58
EFTA01569906
175.000
12,702.27
N/A **
N/A
18.25
400.000
7,301.30
N/A **
N/A
56.54
164.000
9,272.28
N/A **
N/A
70.12
156.000
10,938.87
N/A **
N/A
1.70
23,800.000
40,502.10
N/A **
N/A
34.84
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
EFTA01569907
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-US Equity
SUN HUNG KAI PROPERTIES
ISIN HK0016000132 SEDOL 6859927
Y82594-12-1 SHKP HKD
UNILEVER PLC
ISIN GBOOB1ORZP78 SEDOL B1ORZP7
904767-91-0 GBP
VODAFONE GROUP PLC
ISIN GBOOB16GWD56 SEDOL B16GWD5
92857W-92-8 GBP
Total Non-US Equity
$501,612.46
$29,496.00
($22,352.00)
2.71
5,404.000
14,635.98
N/A **
N/A
260.68
$930.69
$687.22
Emerging Market Equity
P SHIRE PLC
ISIN JEO0B2OKY057 SEDOL B2OKY05
G8124V-91-8 GBP
Preferred Stocks
CITIGROUP CAPITAL XIII
7 7/8% PFD
173080-20-1 C PNNA /BA1
COUNTRYWIDE CAPITAL V
7% PFD
222388-20-9 CFC PB
20.08
4,200.000
84,336.00
98,778.96
(14,442.96)
7,350.00
8.72%
33.53
N/A **
N/A
0.16%
33.61
299.000
10,049.61
EFTA01569908
N/A **
N/A
11.99
1,000.000
11,986.37
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
25.67
10,000.000
256,700.00
261,300.00
(4,600.00)
19,690.00
7.67%
Page 13 of 66
EFTA01569909
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Price
Preferred Stocks
3PM CHASE CAPITAL XXIX
6.7% PFD
48125E-20-7 3PM PC
Total Preferred Stocks
25.44
2,500.000
63,600.00
$404,636.00
62,500.00
$422,578.96
1,100.00
($17,942.96)
4,187.50
$31,227.50
6.58%
7.72%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Concentrated & Other Equity
GENERAL MOTORS CO
34.18
CV PFD B
37045V-20-9 GM PB
JPMORGAN CHASE & CO
7.9% PFD STK APR 30 2049
DTD 04/23/2008
46625H-HA-1 BBB /BAA
Total Concentrated & Other Equity
$192,845.50
$207,909.17
($15,063.67)
$14,225.00
$1,614.05
Unclassified
DB X-TRACKERS
ISIN LU0292106167 SEDOL B3DYFK4
892352-91-5
ETFS METAL SECURITIES LTD
ISIN 3E00B1VS3770 SEDOL BlVS377
131994-91-5
EFTA01569910
171.36
301.000
51,577.86
N/A **
N/A
7.35%
105.78
150,000.000
158,665.50
157,909.17
756.33
11,850.00
1,020.30
7.44%
1,000.000
34,180.00
50,000.00
(15,820.00)
2,375.00
593.75
6.95%
42.82
2,058.000
88,113.27
N/A **
N/A
Page 14 of 66
EFTA01569911
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Price
Unclassified
ISHARES MARKIT IBOXX CORPORATE BOND
ISIN IE00B00FV011 SEDOL BOOFV01
461278-91-3 GBP
PIMCO FUNDS GLOBAL INVESTORS SERIES
- GLOBAL INVESTMENT GRADE CREDIT
FUND
ISIN IE00B3BMD843 SEDOL B3BMD84
695421-91-7 GBP
Total Unclassified
$243,613.27
$0.00
$0.00
$0.00
0.00%
19.44
4,361.513
84,786.97
N/A **
N/A
182.24
105.000
19,135.17
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Page 15 of 66
EFTA01569912
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Estimated Value
51,256.00
Alternative Assets Detail
Price
Hard Assets
BARC CALLABLE PALLDIUM CP NT
05/14/12
LNKD TO PLDMLNPM
7.4% CPN, 20% MAX, 80% BARRIER
05/03/2011
06738K-JA-0
ISHARES SILVER TRUST
Total Hard Assets
46428Q-10-9 SLV
$48,724.00
$64,010.03
32.00
1,000.000
32,000.00
44,010.03
83.62
20,000.000
16,724.00
20,000.00
Quantity
Estimated
Value
Cost
Ending
Estimated Value
48,724.00
Change
In Value
(2,532.00)
Current
Allocation
1%
Page 16 of 66
EFTA01569913
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Non-USD Cash
Non-USD Short Term
US Fixed Income
Non-US Fixed Income
Complementary Structured Strategies
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
Market Value
561,111.85
776,606.24
53,169.02
630,092.50
438,785.32
143,661.00
$2,603,425 93
Ending
Market Value
1,001,899.23
124,902.80
792,795.70
624,354.50
603,783.14
134,377.50
$3,282,112.87
Current
Period Value
3,282,112.87
3,252,334.96
(124,602.33)
55,587.39
17,216.84
1.98%
US Fixed Income
Cash & Fixed Income as a percentage of your portfolio 65 %
Change
In Value
440,787.38
(651,703.44)
739,626.68
EFTA01569914
(5,738.00)
164,997.82
(9,283.50)
$678,686.94
Current
Allocation
18%
Cash
3%
16%
13%
12%
3%
65%
Non-US Fixed Income
Non-USD Cash
Complementary Structured
Strategies
Non-USD Short Term
Asset Categories
Page 17 of 66
EFTA01569915
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
6-12 months,
1-5 years,
5-10 years,
10+ years,
Total Value
1
SUMMARY BY TYPE
Market
Value
2,100,083.14
50,229.21
643,193.52
269,077.50
219,529.50
$3,282,112.87
% of Bond
Portfolio
66%
1%
19%
8%
6%
100%
The years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their stated maturity.
Note:
P indicates position adjusted for Pending Trade Activity.
**
A - Bonds purchased at a premium show amortization.
This is the Annual Percentage Yield (APY) which is the rate earned if
balances remain on deposit for a full year with compounding, there is no
change in the interest rate and all interest
is left in the account.
Unrealized Gain/Loss is shown as "N/A" in cases where we do not have
appropriate cost information for all tax lots comprising the position.
Please contact your J.P. Morgan team for additional
information.
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
PROCEEDS FROM PENDING SALES
1.00
EFTA01569916
1.00
909,572.47
92,325.76
909,572.47
92,325.76
909,572.47
92,325.76
272.87
19.79
0.03%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Cash & Fixed Income
Cash
NON USD Cash
Corporate Bonds
Municipal Bonds
International Bonds
Complementary Structure
Total Value
Market
Value
1,001,899.23
124,902.80
270,125.00
219,529.50
1,531,278.84
134,377.50
$3,282,112 87
% of Bond
Portfolio
30%
3%
8%
6%
49%
4%
100%
Page 18 of 66
EFTA01569917
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
Cash
JPM NY MUNI MM FD - MORGAN
Total Cash
1.00
1.00
1.00
$1,001,899 23
1.00
$1,001,899.23
$0.00
$272.87
$19.79
P
P
P
Non-USD Cash
SWISS FRANC
EURO PRINCIPAL CURRENCY
POUND STERLING
NORWEGIAN KRONE
TURKISH LIRA NEW
PRINCIPAL CURRENCY
Total Non-USD Cash
0.03%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
1.10
1.35
1.57
0.17
0.55
5,466.95
43,378.82
30,044.28
14,769.57
19,500.00
6,006.65
58,394.36
47,253.61
2,560.33
EFTA01569918
10,687.85
$124,902.80
5,926.23
58,474.53
46,728.91
2,548.90
11,816.03
$125,494.60
80.42
(80.17)
524.70
11.43
(1,128.18)
($591.80)
$0.00
0.00%
Non-USD Short Term
JP MORGAN CHASE BANK - CAD
98.35
LONDON TIME DEPOSITS 0.6600%
DATED 11/25/2011 MATURITY 12/02/2011
HELD BY LONDON TREASURY SERVICES
Bearer
2526E9-9J-8 CAD
114,959.75
113,065.90
112,569.43
496.47
746.23
12.43
0.70%
Page 19 of 66
EFTA01569919
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-USD Short Term
JP MORGAN CHASE BANK - GBP
LONDON TIME DEPOSITS 0.3000%
DATED 11/25/2011 MATURITY 12/02/2011
HELD BY LONDON TREASURY SERVICES
Bearer
2526E9-9R-0 GBP
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3000%
DATED 11/25/2011 MATURITY 12/02/2011
HELD BY LONDON TREASURY SERVICES
Bearer
2526E9-9V-1 NOK
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3000%
DATED 11/30/2011 MATURITY 12/07/2011
HELD BY LONDON TREASURY SERVICES
Bearer
2526H9-9S-5 NOK
INTL BK RECON & DEVELOP - BRL
8.75% JUN 15 2012
DTD 08/20/2009
HELD BY EUROCLEAR
ISIN XS0446421157 SEDOL B435Z93
459058-96-1 NA /AAA BRL
Total Non-USD Short Term
$792,795.70
$801,613.03
($8,817.33)
$9,124.56
$2,077.00
1.11%
55.81
90,000.00
50,229.21
50,106.74
122.47
4,369.53
2,017.62
7.46%
17.34
631,661.39
109,499.94
103,545.12
5,954.82
1,423.49
3.94
1.31%
EFTA01569920
17.34
591,468.05
102,532.34
102,844.87
(312.53)
1,332.91
22.14
1.37%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
157.28
265,430.01
417,468.31
432,546.87
(15,078.56)
1,252.40
20.87
0.34%
Page 20 of 66
EFTA01569921
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
US Fixed Income
HSBC FINANCE CORP
MEDIUM TERM NOTE 2.9% OCT 15 2015
DTD 10/15/2010
40429X-YB-6 A /A3
GENERAL ELEC CAP CORP
MEDIUM TERM FLOATING RATE NOTE
MAY 11 2016 DTD 05/11/2007
36962G-2V-5 AA+ /AA2
BANK OF AMERICA CORP
MEDIUM TERM NOTE
3.6% NOV 15 2016
DTD 11/04/2010
06050W-DW-2 A- /BAA
BARCLAYS BANK PLC
MEDIUM TERM NOTE 2 2/1% OCT 20 2017
DTD 10/20/2010
06740P-VG-8 NA /AA3
A MI ST MUNI BOND AUTH
ST CLEAN WTR REVOLVING FD 5%
OCT 01 2026 DTD 11/02/2006
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 10/01/2016 @ 100
59455T-PF-3 AAA /AAA
A BIRDVILLE TEXAS INDEPENDENT SCHOOL
DIST PERM SCH GTD FUND UNLIMITED TAX
5% FEB 15 2029 DTD 01/15/2007
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 02/15/2017 @ 100
090874-FV-5 AAA /AAA
110.26
100,000.00
110,258.00
110,436.27
110,503.00
(178.27)
5,000.00
1,472.20
4.16%
109.86
50,000.00
54,928.00
55,418.16
55,424.00
(490.16)
2,500.00
416.65
EFTA01569922
4.11%
89.80
150,000.00
134,700.00
150,000.00
(15,300.00)
3,750.00
427.05
4.49%
86.89
150,000.00
130,329.00
150,000.00
(19,671.00)
5,400.00
240.00
6.76%
91.35
50,000.00
45,676.00
45,394.50
281.50
326.39
17.40
2.72%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
94.12
100,000.00
94,120.00
100,000.00
(5,880.00)
2,900.00
370.50
4.57%
Page 21 of 66
EFTA01569923
GHISLAINE MAXWELL
ACCT.
For the Period 11/1/11 to 11/30/11
Price
US Fixed Income
A MA ST HLTH & EDUCTNL FACS AUTH
REVENUE HARVARD UNIV 5% B
JUL 15 2032 DTD 08/03/2005
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 07/15/2015 @ 100
57586C-FW-0 AAA /AAA
Total US Fixed Income
$624,354.50
$665,283.09
$665,361.50
Non-US Fixed Income
BLUEBAY HIGH YIELD BD FD GBP HDG-DB
ISIN LU0222772518
G13289-92-4 GBP
JPM MANAGED RESERVES C
ISHARES BARCLAYS CAPITAL
051398-91-5 GBP
20.86
ISIN IE00B1FZSD53 SEDOL B1G52V0
46578W-92-2 GBP
KFW - TRY
MTN 9 3/4% JUL 16 2013
DTD 02/10/2010
HELD BY EUROCLEAR
ISIN XS0484842470 SEDOL B637YV8
14085A-9A-6 AAA /AAA TRY
55.78
200,000.00
111,553.85
135,555.56
(24,001.71)
10,687.85
4,029.81
8.48%
5,790.00
120,752.34
N/A **
N/A
10,130.64
7.54
76,334.38
79,145.17
(2,810.79)
178.97
187.90
33,627.90
EFTA01569924
N/A **
N/A
($40,928.59)
$22,376.39
$3,888.20
4.74%
108.69
50,000.00
54,343.50
54,034.16
54,040.00
309.34
2,500.00
944.40
4.36%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 22 of 66
EFTA01569925
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-US Fixed Income
INTER AMERICAN DEVELOPMENT BANK- INR
MEDIUM TERM NOTE 3% MAR 25 2014
DTD 03/25/2010
HELD BY EUROCLEAR
ISIN XS0495010562 SEDOL B5114T3
U45818-9G-5 AAA /AAA INR
INTER AMERICAN DEVEL BK - IDR
MEDIUM TERM NOTE 6.50% JUN 04 2014
DTD 06/04/2010
HELD BY EUROCLEAR
ISIN XS0513770957 SEDOL B4YWHCO
45818W-9K-4 AAA /AAA IDR
Total Non-US Fixed Income
$603,783.14
$508,045.01
($58,642.11)
$23,813.57
$11,231.85
Complementary Structured Strategies
MS 7YNC1Y STEP-UP NOTE 09/13/17
INITIAL RATE 2.75% CPN
WHERE MAX RATE IS 6% PER ANNUM
DD 9/8/10
61745E-6Q-9 A- /A2
4.39%
0.01 1,300,000,000.00
139,399.00
150,112.11
(10,713.11)
9,275.52
4,561.70
7.61%
1.82
6,700,000.00
122,115.67
143,232.17
(21,116.50)
3,850.20
2,640.34
5.27%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
EFTA01569926
Accrued Interest
Yield
89.59
150,000.00
134,377.50
150,000.00
(15,622.50)
Page 23 of 66
EFTA01569927
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
Income
INFLOWS
7,911.27
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS **
Withdrawals
Interest Purchased
Foreign Exchange - Outflows
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
214,555.00
(219,967.00)
($5,412.00)
$909,572.47
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
576,179.13
(371,487.00)
$204,692.13
-$0.00
$0.00
$0.00
-(2,597.22)
($2,597.22)
298,152.58
50,406.99
$356,470.84
58,572.18
671,428.31
69,708.35
$799,708.84
(150,000.00)
(2,597.22)
(144,773.93)
($297,371.15)
$0.00
$0.00
EFTA01569928
$0.00
$0.00
Period
Value
561,110 85
Year-To-Date
Value*
-INCOME
Current
Period
Value
0.00
Year-To-Date
Value*
-Page
24 of 66
EFTA01569929
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - U S Dollar
Current
Cost Adjustments
Amortization
Cost Adjustments
Total Cost Adjustments
($17.50)
* Year to date information is calculated on a calendar year basis.
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
11/1
11/1
11/1
11/2
11/2
11/14
Div Domest
Interest Income
Interest Income
Spot FX
Spot FX
Corporate Interest
Description
AT&T INC @ 0.43 PER SHARE (ID: 00206R-10-2)
DEPOSIT SWEEP INTEREST FOR OCT. @ .03% RATE ON
NET AVG COLLECTED BALANCE OF $548,648.75 AS OF
11/01/11
COUNTRYWIDE CAPITAL V 7% PFD @ 0.4375 PER SHARE
(ID: 222388-20-9)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
IDR EXCHANGE RATE 860.090000000 DEAL 10/31/11
VALUE 10/31/11 (ID: OIDRPR-AA-9)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
IDR EXCHANGE RATE 884.000001000 DEAL 10/31/11
VALUE 10/31/11 (ID: OIDRPR-AA-9)
GENERAL ELEC CAP CORP MEDIUM TERM FLOATING RATE
NOTE MAY 11 2016 DTD 05/11/2007 AS OF 11/11/11
(ID: 36962G-2V-5)
Page 25 of 66
50,000.000
0.001
63.12
(419,625,000.000 )
(47,183.34)
47,233.79
4,200.000
(28,114,875.000 )
EFTA01569930
(3,161.28)
0.438
1,837.50
3,173.20
Quantity
Cost
1,000.000
Per Unit
Amount
0.43
PRINCIPAL
Amount
430.00
13.98
INCOME
Amount
Period Value
(17.50)
Year-To-Date
Value*
(17.50)
889,679.04
$889,661.54
EFTA01569931
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Description
BROADCOM CORP CL A JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 111320-10-7)
COGNIZANT TECHNOLOGY SOLUTIONS CORP CL A
JPMORGAN CHASE BANK TRADE DATE 11/15/11
(ID: 192446-10-2)
ORACLE CORP JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 68389X-10-5)
QUALCOMM INC JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 747525-10-3)
COMCAST CORP CL A JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 20030N-10-1)
CAPITAL ONE FINANCIAL CORP JPMORGAN CHASE BANK
TRADE DATE 11/15/11 (ID: 14040H-10-5)
SCHLUMBERGER LTD JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 806857-10-8)
BB & T CORP JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 054937-10-7)
BANK OF AMERICA CORP JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 060505-10-4)
EFTA01569932
EXXON MOBIL CORP JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 30231G- 10-2)
APACHE CORP JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 037411- 10-5)
AUTOZONE INC JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 053332- 10-2)
COCA-COLA CO JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 191216- 10-0)
237.000
0.00
176.000
0.00
360.000
0.00
114.000
0.00
113.000
0.00
309.000
0.00
944.000
0.00
190.000
0.00
95.000
0.00
22.000
0.00
204.000
0.00
Page 26 of 66
Quantity
Cost
Per Unit
Amount
250.000
0.00
102.000
0.00
PRINCIPAL
Amount
INCOME
Amount
EFTA01569933
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Description
E M C CORP MASS JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 268648-10-2)
E I DU PONT DE NEMOURS & CO JPMORGAN CHASE BANK
TRADE DATE 11/15/11 (ID: 263534-10-9)
HUMANA INC JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 444859-10-2)
JOHNSON CONTROLS INC JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 478366-10-7)
KROGER CO JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 501044-10-1)
NIKE INC B JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 654106-10-3)
OCCIDENTAL PETROLEUM CORP JPMORGAN CHASE BANK
TRADE DATE 11/15/11 (ID: 674599-10-5)
WELLS FARGO & CO JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 949746-10-1)
UNION PACIFIC CORP JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 907818-10-8)
UNITED TECHNOLOGIES CORP JPMORGAN CHASE BANK
EFTA01569934
TRADE DATE 11/15/11 (ID: 913017-10-9)
WALT DISNEY CO JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 254687-10-6)
DOMINION RESOURCES INC VA JPMORGAN CHASE BANK
TRADE DATE 11/15/11 (ID: 25746U-10-9)
UNITEDHEALTH GROUP INC JPMORGAN CHASE BANK
TRADE DATE 11/15/11 (ID: 91324P-10-2)
Quantity
Cost
Per Unit
Amount
468.000
0.00
224.000
0.00
63.000
0.00
301.000
0.00
265.000
0.00
116.000
0.00
144.000
0.00
478.000
0.00
109.000
0.00
162.000
0.00
229.000
0.00
182.000
0.00
198.000
0.00
PRINCIPAL
Amount
INCOME
Amount
Page 27 of 66
EFTA01569935
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/15
11/16
11/16
11/16
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Corporate Interest
Receipt of Assets
Receipt of Assets
Misc Credit
Description
VERIZON COMMUNICATIONS INC JPMORGAN CHASE BANK
TRADE DATE 11/15/11 (ID: 92343V-10-4)
CHEVRON CORP JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: 166764-10-0)
CITIGROUP INC NEW JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 172967-42-4)
TIME WARNER INC NEW JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: 887317-30-3)
ACCENTURE PLC-CL A JPMORGAN CHASE BANK TRADE
DATE 11/15/11 (ID: G1151C-10-1)
COVIDIEN PLC NEW JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: G2554F-11-3)
ACE LTD NEW JPMORGAN CHASE BANK TRADE DATE
11/15/11 (ID: H0023R-10-5)
BANK OF AMERICA CORP MEDIUM TERM NOTE 3.6% NOV
15 2016 DTD 11/04/2010 (ID: 06050W-DW-2)
DB X-TRACKERS ISIN LU0292106167 SEDOL B3DYFK4
JP MORGAN CHASE BANK LONDON TRADE DATE 11/14/11
(ID: 892352-91-5)
ETFS METAL SECURITIES LTD ISIN JEO0B1VS3770
SEDOL BlVS377 JP MORGAN CHASE BANK LONDON TRADE
DATE 11/14/11 (ID: 131994-91-5)
BOOK TRANSFER CREDIT B/0: JP MORGAN INT'L BANK
EFTA01569936
LTD-BRUSSBRUSSELS BELGIUM B-121-0
ORG:/BE48945944120000 GHISLAINE MAXWELL
STREOGB: JP MORGAN INT'L BANK
LTD-BRUSSJPM INTERNATIONAL BANK BRUSSELS REF:
PMT FROM JPMORGAN/OCMT/USD298152,58/ TRN:
5912000320JS
Page 28 of 66
301.000
0.00
298,152.58
Quantity
Cost
Per Unit
Amount
283.000
0.00
116.000
0.00
358.000
0.00
290.000
0.00
123.000
0.00
236.000
0.00
113.000
0.00
150,000.000
2,058.000
0.00
0.018
2,700.00
PRINCIPAL
Amount
INCOME
Amount
EFTA01569937
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
11/17
Accrued Int Paid
Description
BIRDVILLE TEXAS INDEPENDENT SCHOOL DIST PERM
SCH GTD FUND UNLIMITED TAX 5% FEB 15 2029 DTD
01/15/2007 HELD BY DTC BOOK ENTRY ONLY PAR CALL
02/15/2017 @ 100 @ 110.503 JP MORGAN SECURITIES
LLC (BIDL) TRADE DATE 11/14/11 (ID: 090874-FV-5)
11/17
Accrued Int Recd
STATE OF NEW YORK DORMITORY AUTH REVS NON ST
SUPPORTED DEBT MEM SLOAN KETTERING 4% SUBSER A2
JUL 01 2018 DTD 05/13/2008 HELD BY DTC BOOK
ENTRY ONLY (ID: 649903-B4-2)
11/17
Accrued Int Recd
STATE OF NEW YORK DORMITORY AUTH REVS NONST
SUPPORTED DEBT MUN HLTH FACS LEASE 4% SUB 2-1
JAN 15 2017 DTD 12/21/2001 HELD BY DTC BOOK
ENTRY ONLY (ID: 649903-F5-5)
11/28
Accrued Int Paid
MA ST HLTH & EDUCTNL FACS AUTH REVENUE HARVARD
UNIV 5% B JUL 15 2032 DTD 08/03/2005 HELD BY
DTC BOOK ENTRY ONLY PAR CALL 07/15/2015 @ 100 @
108.08 JP MORGAN SECURITIES LLC (BIDL) TRADE
DATE 11/22/11 (ID: 57586C-FW-0)
11/28
Accrued Int Paid
MI ST MUNI BOND AUTH ST CLEAN WTR REVOLVING FD
5% OCT 01 2026 DTD 11/02/2006 HELD BY DTC BOOK
ENTRY ONLY PAR CALL 10/01/2016 @ 100 @ 110.848
JP MORGAN SECURITIES LLC (BIDL) TRADE DATE
11/22/11 (ID: 59455T-PF-3)
Total Inflows & Outflows
$353,873.62
50,000.000
0.00
0.008
(395.83)
50,000.000
0.00
0.018
(923.61)
100,000.000
0.014
EFTA01569938
1,355.56
100,000.000
0.015
1,511.11
Quantity
Cost
Per Unit
Amount
100,000.000
0.00
0.013
PRINCIPAL
Amount
(1,277.78)
INCOME
Amount
Page 29 of 66
EFTA01569939
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
TRADE ACTIVITY
Note:
Trade Date
Settle Date
11/14
11/17
L indicates Long Term Realized Gain/Loss
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
STATE OF NEW YORK DORMITORY AUTH REVS NON ST
SUPPORTED DEBT MEM SLOAN KETTERING 4% SUBSER A2
JUL 01 2018 DTD 05/13/2008 HELD BY DTC BOOK
ENTRY ONLY @ 108.375 JP MORGAN SECURITIES LLC
(BIDL) (ID: 649903-B4-2)
11/14
11/17
Sale
High Cost
STATE OF NEW YORK DORMITORY AUTH REVS NONST
SUPPORTED DEBT MUN HLTH FACS LEASE 4% SUB 2-1
JAN 15 2017 DTD 12/21/2001 HELD BY DTC BOOK
ENTRY ONLY @ 106.18 JP MORGAN SECURITIES LLC
(BIDL) (ID: 649903-F5-5)
Total Settled Sales/Maturities/Redemptions
$214,555.00
($200,310.44)
$14,244.56 L
(100,000.000)
106.20
106,180.00
(100,224.86)
5,955.14 L
Quantity
(100,000.000)
Per Unit
Amount
108.40
Proceeds
108,375.00
Tax Cost
(100,085.58)
Realized
Gain/Loss
8,289.42 L
Trade Date
Settle Date
EFTA01569940
Type
Description
Settled Securities Purchased
11/14
Purchase
11/17
BIRDVILLE TEXAS INDEPENDENT SCHOOL DIST PERM
SCH GTD FUND UNLIMITED TAX 5% FEB 15 2029 DTD
01/15/2007 HELD BY DTC BOOK ENTRY ONLY PAR CALL
02/15/2017 @ 100 @ 110.503 JP MORGAN SECURITIES
LLC (BIDL) (ID: 090874-FV-5)
11/22
11/28
Purchase
MA ST HLTH & EDUCTNL FACS AUTH REVENUE HARVARD
UNIV 5% B JUL 15 2032 DTD 08/03/2005 HELD BY
DTC BOOK ENTRY ONLY PAR CALL 07/15/2015 @ 100 @
108.08 JP MORGAN SECURITIES LLC (BIDL)
(ID: 57586C-FW-0)
Page 30 of 66
50,000.000
108.10
(54,040.00)
Quantity
100,000.000
Per Unit
Amount
110.50
Market Cost
(110,503.00)
EFTA01569941
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Trade Date
Settle Date
Type
Settled Securities Purchased
11/22
Purchase
11/28
Description
MI ST MUNI BOND AUTH ST CLEAN WTR REVOLVING FD
5% OCT 01 2026 DTD 11/02/2006 HELD BY DTC BOOK
ENTRY ONLY PAR CALL 10/01/2016 @ 100 @ 110.848
JP MORGAN SECURITIES LLC (BIDL)
(ID: 59455T-PF-3)
Total Settled Securities Purchased
Trade Date
Type
Est. Settle Date Selection Method Description
Pending Sales, Maturities, Redemptions
Sale
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
Page 31 of 66
Sale
Sale
Sale
Sale
Sale
Sale
Sale
ACCENTURE PLC-CL A (ID: G1151C-10-1)
ACE LTD NEW (ID: H0023R-10-5)
AUTOZONE INC (ID: 053332-10-2)
COMCAST CORP CL A (ID: 20030N-10-1)
NIKE INC B (ID: 654106-10-3)
ORACLE CORP (ID: 68389X-10-5)
EFTA01569942
RESEARCH IN MOTION LIMITED (ID: 760975-10-2)
VERIZON COMMUNICATIONS INC (ID: 92343V-10-4)
Quantity
(123.000)
(113.000)
(22.000)
(360.000)
(116.000)
(237.000)
(400.000)
(283.000)
Per Unit
Amount
55.12
65.92
320.00
21.72
94.79
29.78
16.40
36.29
($219,967.00)
Proceeds
6,772.24
7,442.08
7,038.54
7,797.47
10,988.46
7,043.57
6,459.87
10,252.89
(46,102.00)
(39,642.13) L
Tax Cost
Realized
Gain/Loss
Quantity
50,000.000
Per Unit
Amount
110.80
Market Cost
(55,424.00)
EFTA01569943
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Trade Date
Type
Est. Settle Date Selection Method Description
Pending Sales, Maturities, Redemptions
Sale
11/28
12/1
11/29
12/2
11/30
12/5
11/30
12/5
Total Pending Sales, Maturities, Redemptions
$92,325.76
($130,792.72)
($110,621.12) L
Sale
Sale
Sale
RESEARCH IN MOTION LIMITED (ID: 760975-10-2)
HUMANA INC (ID: 444859-10-2)
DOMINION RESOURCES INC VA (ID: 25746U-10-9)
RESEARCH IN MOTION LIMITED (ID: 760975-10-2)
Quantity
(400.000)
(63.000)
(182.000)
(400.000)
Per Unit
Amount
16.40
86.45
51.58
18.00
Proceeds
6,535.87
5,442.46
9,376.45
7,175.86
(40,329.00)
(33,153.14) L
Tax Cost
(44,361.72)
Realized
Gain/Loss
(37,825.85) L
COST ADJUSTMENTS
Settle Date
EFTA01569944
11/17
Type
Amortization
Description
STATE OF NEW YORK DORMITORY AUTH REVS NON ST
SUPPORTED DEBT MEM SLOAN KETTERING 4% SUBSER A2
JUL 01 2018 DTD 05/13/2008 HELD BY DTC BOOK
ENTRY ONLY MUNICIPAL BOND PREMIUM AMORTIZATIO
(ID: 649903-B4-2)
11/17
Amortization
STATE OF NEW YORK DORMITORY AUTH REVS NONST
SUPPORTED DEBT MUN HLTH FACS LEASE 4% SUB 2-1
JAN 15 2017 DTD 12/21/2001 HELD BY DTC BOOK
ENTRY ONLY MUNICIPAL BOND PREMIUM AMORTIZATIO
(ID: 649903-F5-5)
Total Cost Adjustments
($17.50)
100,000.000
(13.28)
Quantity
100,000.000
Cost Basis
Adjustments
(4.22)
Page 32 of 66
EFTA01569945
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - Australia Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value
--INCOME
US
Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Portfolio
Activity Detail - Australia Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
11/17
Receipt of Assets
Description
QBE INSURANCE GROUP LTD ISIN AU000000QBE9 SEDOL
6715740 (ID: Q78063-91-6)
Quantity
400.000
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Year-To-Date
Value
--Local
Value
Current
Period Value
0.00
0.00
EFTA01569946
Year-To-Date
Value
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value
--Page
33 of 66
EFTA01569947
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - Canadian Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Income
INFLOWS
Total Inflows
OUTFLOWS **
Total Outflows
Withdrawals
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
$0.00
-51,742.94
(112,433.39)
($60,690.45)
-0.00
0.00
50,731.37
(114,820.48)
(64,089.11)
-Period
Value
Beginning Cash Balance
-60.68
$60.68
(60.68)
($60.68)
Year-To-Date
Value*
-136.04
$136.04
(136.04)
($136.04)
Local
Value
Current
Period Value
0.00
62.22
62.22
(62.22)
EFTA01569948
(62.22)
Year-To-Date
Value*
-139.27
139.27
(139.27)
(139.27)
Page
34 of 66
EFTA01569949
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - Canadian Dollar
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Portfolio Activity Detail - Canadian Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
11/3
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.7100% DATED 10/27/2011 MATURITY 11/03/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2525P9-9D-1)
11/3
11/3
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.7100% DATED 10/27/2011 MATURITY 11/03/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2525P9-9D-1)
(15.860)
(114,897.530)
(15.66)
(15.86)
Quantity
114,897.530
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
15.66
15.86
INCOME
Amount USD
Local Value
Currency
EFTA01569950
Gain/Loss USD
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
35 of 66
EFTA01569951
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
11/3
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/03/2011 MATURITY 11/10/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2525T9-9C-9)
11/10
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/03/2011 MATURITY 11/10/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2525T9-9C-9)
11/10
11/10
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
11/10
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/03/2011 MATURITY 11/10/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2525T9-9C-9)
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/10/2011 MATURITY 11/17/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2525W9-9X-9)
11/17
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/10/2011 MATURITY 11/17/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2525W9-9X-9)
11/17
11/17
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/10/2011 MATURITY 11/17/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2525W9-9X-9)
EFTA01569952
(14.750)
(114,928.140)
(14.43)
(14.75)
114,928.140
14.43
14.75
114,928.140
(14.750)
(114,913.390)
(14.48)
(14.75)
114,913.390
14.48
14.75
Quantity
114,913.390
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 36 of 66
EFTA01569953
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
11/17
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/17/2011 MATURITY 11/25/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526A9-9Q-6)
11/25
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/17/2011 MATURITY 11/25/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2526A9-9Q-6)
11/25
11/25
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
11/25
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/17/2011 MATURITY 11/25/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526A9-9Q-6)
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/25/2011 MATURITY 12/02/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526E9-9J-8)
Total Inflows & Outflows
$0.00
114,959.750
(16.860)
(114,942.890)
(16.11)
(16.86)
114,942.890
16.11
16.86
Quantity
114,942.890
Amount USD
Local Value
PRINCIPAL
Amount USD
EFTA01569954
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 37 of 66
EFTA01569955
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary Euro
PRINCIPAL
US Dollar Value
Current
Transactions
Income
Contributions
Total Inflows
OUTFLOWS **
Total Outflows
Tax Payments
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Period Value
Beginning Cash Balance
INFLOWS
-105.77
42,204.13
$42,309.90
(27.33)
($27.33)
-Year-To-Date
Value*
-105.77
42,204.13
$42,309.90
(27.33)
($27.33)
-Local
Value
Current
Period Value
0.00
78.54
31,193.03
31,271.57
(20.20)
(20.20)
31,251.37
Year-To-Date
Value*
-78.54
31,193.03
31,271.57
(20.20)
(20.20)
-Page
EFTA01569956
38 of 66
EFTA01569957
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - Euro
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Portfolio Activity Detail - Euro
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
11/16
11/16
11/16
11/16
11/16
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Description
PHILIPS ELECTRONICS N.V. ISIN NL0000009538
SEDOL 5986622 (ID: N6983Q-91-5)
ROYAL DUTCH SHELL PLC -A ISIN GBOOB03MLX29
SEDOL BO9CBL4 (ID: 780259-99-0)
AKZO NOBEL N V ISIN NL0000009132/SEDOL 5458314
(ID: N01803-90-2)
SOLVAY SA ISIN BE0003470755 SEDOL 4821100
(ID: 834437-91-5)
SANOFI ISIN FR0000120578 SEDOL 5671735
(ID: F5548N-91-1)
Quantity
337.000
488.000
149.000
77.000
156.000
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
EFTA01569958
Local Value
Currency
Gain/Loss USD
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
39 of 66
EFTA01569959
GHISLAINE MAXWELL ACCT.
For the Period 11/1/11 to 11/30/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
11/16
11/16
11/16
11/16
11/16
11/16
11/16
11/16
11/16
11/17
11/17
11/22
11/22
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Receipt of Assets
Misc Receipt
Misc Receipt
Foreign Dividend
FGN Tax Withheld
Description
GDF SUEZ ISIN FR0010208488 SEDOL BOC2CQ3
(ID: 36827E-91-4)
PPR SA ISIN FR0000121485 SEDOL 5505072
(ID: F74953-93-0)
CAP GEMINI S A ISIN FR0000125338 SEDOL 4163437
(ID: F13587-92-2)
PERNOD-RICARD SA ISIN FR0000120693 SEDOL
4682329 (ID: F72027-91-9)
SODEXHO ISIN FR0000121220/SEDOL 7062713
(ID: F84941-91-7)
SCHNEIDER S A ISIN FR0000121972 SEDOL 4834108
(ID: F86921-91-7)
STORA ENSO OYJ R SHS ISIN FI0009005961 SEDOL
5072673 (ID: X21349-90-1)
BAYER AG REGISTERED SHS ISIN DE000BAY0017 SEDOL
5069211 (ID: 072733-91-8)
ALLIANZ SE HOLDING ISIN DE0008404005 SEDOL
5231485 (ID: D03080-90-6)
EFTA01569960
REP: EUR RECEIVED FROM GHISLAINE MAXWELL EURO
PRINCIPAL CURRENCY (ID: OEURPR-AA-9)
REP: EUR RECEIVED FROM GHISLAINE MAXWELL EURO
PRINCIPAL CURRENCY (ID: OEURPR-AA-9)
PERNOD-RICARD SA ISIN FR0000120693 SEDOL
4682329 @ 0.77 PER SHARE (ID: F72027-91-9)
PERNOD-RICA