EFTA01519469.pdf
CHISLAINE MAXWELL -TAP DYS ACCT.
For the Period 2/1/14 to 2/28/14
Notes: • Transaction Market Value is representative of the prior trading day's market value. This is for informational purposes only and is not to be used for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type Quantity Transaction
Settle Date Selection Method Description Cost Market Value •
Securities Transferred Out
2/26 Free Delivery HARBOR HIGH YIELD BOND-INST TRANSFER TO UBS (2,660.657) (29,453.47)
FINANCIAL SERVICES INC. TRADE DATE 02/25/14 29,905.78
(ID: 411511-55.3)
2/26 Free Delivery HARBOR CONVERTIBLE SEC-INST TRANSFER TO UBS (Z833.314) (32,101.45)
FINANCIAL SERVICES INC. TRADE DATE 02/25/14 29272.00
(ID: 411512-73-4)
2/26 Free Delivery CLEARBRIDGE EQUITY INC FD4 CAP 8 INCOME I (2,339.801) (43,282.92)
TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE 41,251.00
DATE 02/25/14 (1D: 52469H-59-4)
2/26 Free Delivery TORTOISE MLP & PIPEUNE-INS TRANSFER TO UBS (2,296.774) (37,598.19)
FINANCIAL SERVICES INC. TRADE DATE 02/25/14 30,616.00
(ID: 56168Y-40-4)
2/26 Free Delivery MATTHEWS ASIA DIVIDEND-INS TRANSFER TO UBS (Z638.382) (39,734.03)
FINANCIAL SERVICES INC. TRADE DATE 02/25/14 39286.00
(ID: 577130-75-0)
2/26 Free Delivery METROPOLITAN WEST FDS TOTAL RET CL I TRANSFER (7,192.344) (76,886.16)
TO UBS FINANCIAL SERVICES INC. TRADE DATE 77,030.00
02/25/14 (ID: 592905-50-9)
2;26 Free Delivery RIDGEWORTH SEIX FLOATING-1 TRANSFER TO UBS (6,502.655) (58,979.08)
FINANCIAL SERVICES INC. TRADE DATE 02/25)14 58.784.00
(ID: 76628T-67-8)
Total Securities Transferred Out ($874,442.33)
J.P.Morgan Account Page 13 of 15 Consolidated Statement Page 62
Confidential Treatment Requested by JPMorgan JPM-SDNY-00046756
Chase
CONFIDENTIAL SDNY_GM_00315954
EFTA01519469
For the Period 2/1/14 to 2/28/14
Notes: • Transaction Market Value is representative of the prior trading day's market value. This is for informational purposes only and is not to be used for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type Quantity Transaction
Settle Date Selection Method Description Cost Market Value •
Securities Transferred Out
2/26 Free Delivery HARBOR HIGH YIELD BOND-INST TRANSFER TO UBS (2,660.657) (29,453.47)
FINANCIAL SERVICES INC. TRADE DATE 02/25/14 29,905.78
(ID: 411511-55.3)
2/26 Free Delivery HARBOR CONVERTIBLE SEC-INST TRANSFER TO UBS (Z833.314) (32,101.45)
FINANCIAL SERVICES INC. TRADE DATE 02/25/14 29272.00
(ID: 411512-73-4)
2/26 Free Delivery CLEARBRIDGE EQUITY INC FD4 CAP 8 INCOME I (2,339.801) (43,282.92)
TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE 41,251.00
DATE 02/25/14 (1D: 52469H-59-4)
2/26 Free Delivery TORTOISE MLP & PIPEUNE-INS TRANSFER TO UBS (2,296.774) (37,598.19)
FINANCIAL SERVICES INC. TRADE DATE 02/25/14 30,616.00
(ID: 56168Y-40-4)
2/26 Free Delivery MATTHEWS ASIA DIVIDEND-INS TRANSFER TO UBS (Z638.382) (39,734.03)
FINANCIAL SERVICES INC. TRADE DATE 02/25/14 39286.00
(ID: 577130-75-0)
2/26 Free Delivery METROPOLITAN WEST FDS TOTAL RET CL I TRANSFER (7,192.344) (76,886.16)
TO UBS FINANCIAL SERVICES INC. TRADE DATE 77,030.00
02/25/14 (ID: 592905-50-9)
2;26 Free Delivery RIDGEWORTH SEIX FLOATING-1 TRANSFER TO UBS (6,502.655) (58,979.08)
FINANCIAL SERVICES INC. TRADE DATE 02/25)14 58.784.00
(ID: 76628T-67-8)
Total Securities Transferred Out ($874,442.33)
J.P.Morgan Account Page 13 of 15 Consolidated Statement Page 62
Confidential Treatment Requested by JPMorgan JPM-SDNY-00046756
Chase
CONFIDENTIAL SDNY_GM_00315954
EFTA01519469