EFTA01522038.pdf
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CHISLAINE MAXWELL ACCT
For the Period 4/1/14 to 4/30/14
Notes: ' Transaction Market Value is representative of the prior trading days market value. This is for informational purposes only and is not to be used for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type Quantity Transaction
Settle Date Selection Method Description Cost Markel Value'
Securities Transferred Out
4/2 Free Delivery BIRDVILLE TEXAS INDEPENDENT SCHOOL DIST PERM (100,000.000) (108,917.00)
SCH GTD FUND UNLIMITED TAX 5% FEB 15 2029 DTD 105,938.98
01/15/2007 HELD BY DTC BOOK ENTRY ONLY PAR CALL
02/15/2017 100 TRANSFER TO UBS FINANCIAL
SERVICES INC. TRADE DATE 04/01/14
(ID: 090874-FV-5)
4/2 Free Delivery CMGROUP INC NEW TRANSFER TO UBS FINANCIAL @58.000) (17,112.40)
SERVICES INC. TRADE DATE 04/01/14 14,048.52
(ID: 172967-42-4)
4/2 Free Delivery CITIGROUP CAPITAL XIII 7 7/8% PFD TRANSFER TO (10,000.000) (276,800.00)
UBS FINANCIAL SERVICES INC. TRADE DATE 04/01/14 261,300.00
(ID: 173080-20-1)
4/2 Free Delivery COUNTRYWIDE CAPITAL V 7% PFD TRANSFER TO UBS (4,200.000) (107,184.00)
FINANCIAL SERVICES INC. TRADE DATE 04/01/14 98,778.96
(ID: 222388-20-9)
4/2 Free Delivery GENERAL ELEC CAP CORP MEDIUM TERM FLOATING RATE (50,000.000) (50,095.00)
NOTE MAY 11 2016 DTD 05/11/2007 TRANSFER TO U8S 45,394.50
FINANCIAL SERVICES INC. TRADE DATE 04/01/14
(ID: 36962G-2V-5)
4/2 Free Delivery GENERAL MOTORS CO TRANSFER TO UBS FINANCIAL (1,373.000) (47,148.82)
SERVICES INC. TRADE DATE 04/01/14 50,000.00
(ID: 37045V-10-0)
4/2 Free Delivery GERON CORP TRANSFER TO UBS FINANCIAL SERVICES (3,000.000) (6,360.00)
INC. TRADE DATE 04/01/14 (ID: 374163-10-3) 18,129.32
J.P.Morgan Page 8 of 14
Confidential Treatment Requested by JPMorgan JPM-SDNY-00049503
Chase
CONFIDENTIAL SDNY_GM_00318701
EFTA01522038
For the Period 4/1/14 to 4/30/14
Notes: ' Transaction Market Value is representative of the prior trading days market value. This is for informational purposes only and is not to be used for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type Quantity Transaction
Settle Date Selection Method Description Cost Markel Value'
Securities Transferred Out
4/2 Free Delivery BIRDVILLE TEXAS INDEPENDENT SCHOOL DIST PERM (100,000.000) (108,917.00)
SCH GTD FUND UNLIMITED TAX 5% FEB 15 2029 DTD 105,938.98
01/15/2007 HELD BY DTC BOOK ENTRY ONLY PAR CALL
02/15/2017 100 TRANSFER TO UBS FINANCIAL
SERVICES INC. TRADE DATE 04/01/14
(ID: 090874-FV-5)
4/2 Free Delivery CMGROUP INC NEW TRANSFER TO UBS FINANCIAL @58.000) (17,112.40)
SERVICES INC. TRADE DATE 04/01/14 14,048.52
(ID: 172967-42-4)
4/2 Free Delivery CITIGROUP CAPITAL XIII 7 7/8% PFD TRANSFER TO (10,000.000) (276,800.00)
UBS FINANCIAL SERVICES INC. TRADE DATE 04/01/14 261,300.00
(ID: 173080-20-1)
4/2 Free Delivery COUNTRYWIDE CAPITAL V 7% PFD TRANSFER TO UBS (4,200.000) (107,184.00)
FINANCIAL SERVICES INC. TRADE DATE 04/01/14 98,778.96
(ID: 222388-20-9)
4/2 Free Delivery GENERAL ELEC CAP CORP MEDIUM TERM FLOATING RATE (50,000.000) (50,095.00)
NOTE MAY 11 2016 DTD 05/11/2007 TRANSFER TO U8S 45,394.50
FINANCIAL SERVICES INC. TRADE DATE 04/01/14
(ID: 36962G-2V-5)
4/2 Free Delivery GENERAL MOTORS CO TRANSFER TO UBS FINANCIAL (1,373.000) (47,148.82)
SERVICES INC. TRADE DATE 04/01/14 50,000.00
(ID: 37045V-10-0)
4/2 Free Delivery GERON CORP TRANSFER TO UBS FINANCIAL SERVICES (3,000.000) (6,360.00)
INC. TRADE DATE 04/01/14 (ID: 374163-10-3) 18,129.32
J.P.Morgan Page 8 of 14
Confidential Treatment Requested by JPMorgan JPM-SDNY-00049503
Chase
CONFIDENTIAL SDNY_GM_00318701
EFTA01522038